Operating System

Chanderprabhu Jain College of Higher Studies & School of Law
Plot No. OCF, Sector A-8, Narela, New Delhi – 110040
(Affiliated to Guru Gobind Singh Indraprastha University and Approved by Govt of NCT of Delhi & Bar Council of India)
Semester: Fifth Semester
Name of the Subject: Operating System
UNIT- 1

WHAT IS AN OPERATING SYSTEM?
• An interface between users and hardware - an environment "architecture”
• Allows convenient usage; hides the tedious stuff
• Allows efficient usage; parallel activity, avoids wasted cycles
• Provides information protection
• Gives each user a slice of the resources
• Acts as a control program.
OPERATING SYSTEM
OVERVIEW
2
Chanderprabhu Jain College of Higher
Studies & School of Law

OPERATING SYSTEM
OVERVIEW
The Layers Of
A System
Program Interface
Humans
User Programs
O.S. Interface
O.S.
Hardware Interface/
Privileged Instructions
Disk/Tape/Memory
3

A mechanism for scheduling jobs or processes. Scheduling can be as simple as running
the next process, or it can use relatively complex rules to pick a running process.
A method for simultaneous CPU execution and IO handling. Processing is going on even
as IO is occurring in preparation for future CPU work.
Off Line Processing; not only are IO and CPU happening concurrently, but some off-
board processing is occurring with the IO.
OPERATING SYSTEM
OVERVIEW
Components
4

The CPU is wasted if a job waits for I/O. This leads to:
– Multiprogramming ( dynamic switching ). While one job waits for a resource, the
CPU can find another job to run. It means that several jobs are ready to run and
only need the CPU in order to continue.
CPU scheduling is the subject of Chapter 6.
All of this leads to:
– memory management
– resource scheduling
– deadlock protection
which are the subject of the rest of this course.
OPERATING SYSTEM
OVERVIEW
Components
5

Other Characteristics include:
• Time Sharing - multiprogramming environment that's also interactive.
• Multiprocessing - Tightly coupled systems that communicate via shared memory. Used for
scientific applications. Used for speed improvement by putting together a number of off-the-shelf
processors.
• Distributed Systems - Loosely coupled systems that communicate via message passing. Advantages
include resource sharing, speed up, reliability, communication.
• Real Time Systems - Rapid response time is main characteristic. Used in control of applications
where rapid response to a stimulus is essential.
OPERATING SYSTEM
OVERVIEW
Characteristics
6

OPERATING SYSTEM
OVERVIEW
Characteristics
Interrupts:
• Interrupt transfers control to the interrupt service routine generally, through
the interrupt vector, which contains the addresses of all the service routines.
• Interrupt architecture must save the address of the interrupted instruction.
• Incoming interrupts are disabled while another interrupt is being processed to
prevent a lost interrupt.
• A trap is a software-generated interrupt caused either by an error or a user
request.
• An operating system is interrupt driven.
7

OPERATING SYSTEM
OVERVIEW
Hardware
Support
These are the
devices that make
up a typical
system.
Any of these
devices can cause
an electrical
interrupt that grabs
the attention of the
CPU.
8

Operating System
• Is a program that controls the execution of
application programs
– OS must relinquish control to user programs
and regain it safely and efficiently
– Tells the CPU when to execute other pgms
• Is an interface between the user and
hardware
• Masks the details of the hardware to
application programs
– Hence OS must deal with hardware details
9

Services Provided by the OS
• Facilities for Program creation
– editors, compilers, linkers, and debuggers
• Program execution
– loading in memory, I/O and file initialization
• Access to I/O and files
– deals with the specifics of I/O and file formats
• System access
– Protection in access to resources and data
– Resolves conflicts for resource contention
10

• Accounting
– collect statistics on resource usage
– monitor performance (eg: response time)
– used for system parameter tuning to improve
performance
– useful for anticipating future enhancements
– used for billing users (on multiuser systems)
11

Evolution of an Operating System
• Must adapt to hardware upgrades and new
types of hardware. Examples:
– Character vs graphic terminals
– Introduction of paging hardware
• Must offer new services, eg: internet
support
• The need to change the OS on regular basis
place requirements on it’s design
– modular construction with clean interfaces
– object oriented methodology
12

The Monitor
• Monitor reads jobs one at a time
from the input device
• Monitor places a job in the user
program area
• A monitor instruction branches to
the start of the user program
• Execution of user pgm continues
until:
– end-of-pgm occurs
– error occurs
• Causes the CPU to fetch its next
instruction from Monitor
13
Chander
prabhu
Jain
College
of Higher

Job Control Language (JCL)
• Is the language to provide
instructions to the monitor
– what compiler to use
– what data to use
• Example of job format: ------->>
• $FTN loads the compiler and
transfers control to it
• $LOAD loads the object code (in
place of compiler)
• $RUN transfers control to user
program
$JOB
$FTN
...
FORTRAN
program
...
$LOAD
$RUN
...
Data
...
$END
14
Chander
prabhu
Jain
College
of Higher

Job Control Language (JCL)
• Each read instruction (in user pgm) causes one
line of input to be read
• Causes (OS) input routine to be invoke
– checks for not reading a JCL line
– skip to the next JCL line at completion of user
program
15

Timesharing
• Multiprogramming allowed several jobs to be
active at one time
– Initially used for batch systems
– Cheaper hardware terminals -> interactive use
• Computer use got much cheaper and easier
– No more “priesthood”
– Quick turnaround meant quick fixes for problems
16

Types of modern operating
systems
• Mainframe operating systems: MVS
• Server operating systems: FreeBSD, Solaris
• Multiprocessor operating systems: Cellular IRIX
• Personal computer operating systems: Windows, Unix
• Real-time operating systems: VxWorks
• Embedded operating systems
• Smart card operating systems
 Some operating systems can fit into more than one category
17

Memory
User program
and data
User program
and data
Operating
system
Address
0x1dfff
0x23000
0x27fff
0x2b000
0x2ffff
0
• Single base/limit pair: set for each process
• Two base/limit registers: one for program, one for data
Base
Limit
User data
User program
Operating
system
User data
Base1
Limit2
Limit1
Base2
Address
0x1dfff
0x23000
0x29000
0x2bfff
0x2ffff
0
0x2d000
0x24fff
18Chanderprabhu Jain College of Higher Studies & School of Law

Anatomy of a device request
Interrupt
controller
CPU
5 Disk
controller
3 2
61 4
• Left: sequence as seen by hardware
– Request sent to controller, then to disk
– Disk responds, signals disk controller which tells interrupt controller
– Interrupt controller notifies CPU
• Right: interrupt handling (software point of view)
Instructionn
Operating
system
Instructionn+1
Interrupt handler
1: Interrupt
2: Process interrupt
3: Return

Processes
• Process: program in execution
– Address space (memory) the
program can use
– State (registers, including
program counter & stack
pointer)
• OS keeps track of all processes in
a process table
• Processes can create other
processes
– Process tree tracks these
relationships
– A is the root of the tree
– A created three child processes:
B, C, and D
– C created two child processes: E
and F
– D created one child process: G
A
B
E F
C D
G

Inside a (Unix) process
• Processes have three
segments
– Text: program code
– Data: program data
• Statically declared variables
• Areas allocated by malloc()
or new
– Stack
• Automatic variables
• Procedure call information
• Address space growth
– Text: doesn’t grow
– Data: grows “up”
– Stack: grows “down”
Stack
Data
Text
0x7fffffff
0
Data

• Error Detection
– internal and external
hardware errors
• memory error
• device failure
– software errors
• arithmetic overflow
• access forbidden memory
locations
– Inability of OS to grant
request of application
• Error Response
– simply report error to the
application
– Retry the operation
– Abort the application
22

Batch OS
• Alternates execution between user program
and the monitor program
• Relies on available hardware to effectively
alternate execution from various parts of
memory
23

Desirable Hardware Features
• Memory protection
– do not allow the memory area containing the
monitor to be altered by user programs
• Timer
– prevents a job from monopolizing the system
– an interrupt occurs when time expires
24

Memory hierarchy
• What is the memory hierarchy?
– Different levels of memory
– Some are small & fast
– Others are large & slow
• What levels are usually included?
– Cache: small amount of fast, expensive memory
• L1 (level 1) cache: usually on the CPU chip
• L2 & L3 cache: off-chip, made of SRAM
– Main memory: medium-speed, medium price memory (DRAM)
– Disk: many gigabytes of slow, cheap, non-volatile storage
• Memory manager handles the memory
hierarchy
25

Basic memory management
• Components include
– Operating system (perhaps with device drivers)
– Single process
• Goal: lay these out in memory
– Memory protection may not be an issue (only one program)
– Flexibility may still be useful (allow OS changes, etc.)
• No swapping or paging
Operating system
(RAM)
User program
(RAM)
0xFFFF 0xFFFF
0 0
User program
(RAM)
Operating system
(ROM)
Operating system
(RAM)
User program
(RAM)
Device drivers
(ROM)

Fixed partitions: multiple
programs
• Fixed memory partitions
– Divide memory into fixed spaces
– Assign a process to a space when it’s free
• Mechanisms
– Separate input queues for each partition
– Single input queue: better ability to optimize CPU usage
OS
Partition 1
Partition 2
Partition 3
Partition 4
0
100K
500K
600K
700K
900K
OS
Partition 1
Partition 2
Partition 3
Partition 4
0
100K
500K
600K
700K
900K

Swapping
• Memory allocation changes as
– Processes come into memory
– Processes leave memory
• Swapped to disk
• Complete execution
• Gray regions are unused memory
OS OS OS OS OS OS OS
A A
B
A
B
C
B
C
B
C
D
C
D
C
D
A

Tracking memory usage: linked
lists
• Keep track of free / allocated memory regions with a linked list
– Each entry in the list corresponds to a contiguous region of memory
– Entry can indicate either allocated or free (and, optionally, owning process)
– May have separate lists for free and allocated areas
• Efficient if chunks are large
– Fixed-size representation for each region
– More regions => more space needed for free lists
A B C D
16 24 32
Memory regions
A 0 6 - 6 4 B 10 3 - 13 4 C 17 9
- 29 3D 26 3
8

Allocating memory
• Search through region list to find a large enough space
• Suppose there are several choices: which one to use?
– First fit: the first suitable hole on the list
– Next fit: the first suitable after the previously allocated hole
– Best fit: the smallest hole that is larger than the desired region (wastes least
space?)
– Worst fit: the largest available hole (leaves largest fragment)
• Option: maintain separate queues for different-size holes
- 6 5 - 19 14 - 52 25 - 102 30 - 135 16
- 202 10 - 302 20 - 350 30 - 411 19 - 510 3
Allocate 20 blocks first fit
5
Allocate 12 blocks next fit
18
Allocate 13 blocks best fit
1
Allocate 15 blocks worst fit
15

Freeing memory
• Allocation structures must be updated when memory is freed
• Easy with bitmaps: just set the appropriate bits in the bitmap
• Linked lists: modify adjacent elements as needed
– Merge adjacent free regions into a single region
– May involve merging two regions with the just-freed area
A X B
A X
X B
X
A B
A
B

Limitations of swapping
• Problems with swapping
– Process must fit into physical memory (impossible to run larger
processes)
– Memory becomes fragmented
• External fragmentation: lots of small free areas
• Compaction needed to reassemble larger free areas
– Processes are either in memory or on disk: half and half doesn’t do
any good
• Overlays solved the first problem
– Bring in pieces of the process over time (typically data)
– Still doesn’t solve the problem of fragmentation or partially resident
processes
32

Virtual memory
• Basic idea: allow the OS to hand out more memory than exists
on the system
• Keep recently used stuff in physical memory
• Move less recently used stuff to disk
• Keep all of this hidden from processes
– Processes still see an address space from 0 – max address
– Movement of information to and from disk handled by the
OS without process help
• Virtual memory (VM) especially helpful in multiprogrammed
system
– CPU schedules process B while process A waits for its
memory to be retrieved from disk
33

Virtual and physical addresses
• Program uses virtual
addresses
– Addresses local to the
process
– Hardware translates virtual
address to physical address
• Translation done by the
Memory Management Unit
– Usually on the same chip as
the CPU
– Only physical addresses leave
the CPU/MMU chip
• Physical memory indexed
by physical addresses
CPU chip
CPU
Memory
Disk
controller
MMU
Virtual addresses
from CPU to MMU
Physical addresses
on bus, in memory

0–4K
4–8K
8–12K
12–16K
16–20K
20–24K
24–28K
28–32K
Paging and page tables
• Virtual addresses mapped to
physical addresses
– Unit of mapping is called a page
– All addresses in the same virtual
page are in the same physical
page
– Page table entry (PTE) contains
translation for a single page
• Table translates virtual page
number to physical page number
– Not all virtual memory has a
physical page
– Not every physical page need be
used
• Example:
– 64 KB virtual memory
– 32 KB physical memory
70–4K
44–8K
8–12K
12–16K
016–20K
20–24K
24–28K
328–32K
32–36K
36–40K
140–44K
544–48K
648–52K
-52–56K
56–60K
-60–64K
Virtual
address
space
Physical
memory
-
-
-
-
-
-
-

What’s in a page table entry?
• Each entry in the page table contains
– Valid bit: set if this logical page number has a corresponding physical frame in
memory
• If not valid, remainder of PTE is irrelevant
– Page frame number: page in physical memory
– Referenced bit: set if data on the page has been accessed
– Dirty (modified) bit :set if data on the page has been modified
– Protection information
Page frame numberVRDProtection
Valid bitReferenced bitDirty bit

Example:
• 4 KB (=4096 byte) pages
• 32 bit logical addresses
p d
2d = 4096 d = 12
12 bits
32 bit logical address
32-12 = 20 bits
Mapping logical => physical
address
• Split address from CPU into
two pieces
– Page number (p)
– Page offset (d)
• Page number
– Index into page table
– Page table contains base
address of page in physical
memory
• Page offset
– Added to base address to get
actual physical memory
address
• Page size = 2d bytes

page number
p d
page offset
0
1
p-1
p
p+1
f
f d
Page frame number
...
page table
physical memory
0
1
...
f-1
f
f+1
f+2
...
Page frame number
CPU
Address translation architecture
38

0
Page frame number
Logical memory (P0)
1
2
3
4
5
6
7
8
9
Physical
memory
Page table (P0)
Logical memory (P1) Page table (P1)
Page 4
Page 3
Page 2
Page 1
Page 0
Page 1
Page 0
0
8
2
9
4
3
6
Page 3 (P0)
Page 0 (P1)
Page 0 (P0)
Page 2 (P0)
Page 1 (P0)
Page 4 (P0)
Page 1 (P1)
Free
pages
Memory & paging structures
39

884
960
955
...
220
657
401
...
1st level
page table
2nd level
page tables
...
...
...
...
...
...
...
...
...
main
memory
...
125
613
961
...
Two-level page tables
• Problem: page tables can be too
large
– 232 bytes in 4KB pages need 1
million PTEs
• Solution: use multi-level page
tables
– “Page size” in first page table is
large (megabytes)
– PTE marked invalid in first page
table needs no 2nd level page
table
• 1st level page table has pointers
to 2nd level page tables
• 2nd level page table has actual
physical page numbers in it

More on two-level page tables
• Tradeoffs between 1st and 2nd level page table sizes
– Total number of bits indexing 1st and 2nd level table is constant for a
given page size and logical address length
– Tradeoff between number of bits indexing 1st and number indexing
2nd level tables
• More bits in 1st level: fine granularity at 2nd level
• Fewer bits in 1st level: maybe less wasted space?
• All addresses in table are physical addresses
• Protection bits kept in 2nd level table
41

p1 = 10 bits p2 = 9 bits offset = 13 bits
page offsetpage number
Two-level paging: example
• System characteristics
– 8 KB pages
– 32-bit logical address divided into 13 bit page offset, 19 bit page number
• Page number divided into:
– 10 bit page number
– 9 bit page offset
• Logical address looks like this:
– p1 is an index into the 1st level page table
– p2 is an index into the 2nd level page table pointed to by p1

...
...
2-level address translation example
p1 = 10 bits p2 = 9 bits offset = 13 bits
page offsetpage number
...
0
1
p1
...
0
1
p2
19
physical address
1st level page table
2nd level page table
main memory
0
1
frame
number
13
Page
table
base
...
...
43

Implementing page tables in hardware
• Page table resides in main (physical) memory
• CPU uses special registers for paging
– Page table base register (PTBR) points to the page table
– Page table length register (PTLR) contains length of page table:
restricts maximum legal logical address
• Translating an address requires two memory accesses
– First access reads page table entry (PTE)
– Second access reads the data / instruction from memory
• Reduce number of memory accesses
– Can’t avoid second access (we need the value from memory)
– Eliminate first access by keeping a hardware cache (called a translation
lookaside buffer or TLB) of recently used page table entries
44

Logical
page #
Physical
frame #
Example TLB
8
unused
2
3
12
29
22
7
3
1
0
12
6
11
4
Translation Lookaside Buffer
(TLB)
• Search the TLB for the desired
logical page number
– Search entries in parallel
– Use standard cache techniques
• If desired logical page number is
found, get frame number from
TLB
• If desired logical page number
isn’t found
– Get frame number from page
table in memory
– Replace an entry in the TLB with
the logical & physical page
numbers from this reference

Handling TLB misses
• If PTE isn’t found in TLB, OS needs to do the lookup in the
page table
• Lookup can be done in hardware or software
• Hardware TLB replacement
– CPU hardware does page table lookup
– Can be faster than software
– Less flexible than software, and more complex hardware
• Software TLB replacement
– OS gets TLB exception
– Exception handler does page table lookup & places the result into the
TLB
– Program continues after return from exception
– Larger TLB (lower miss rate) can make this feasible 46

How long do memory accesses take?
• Assume the following times:
– TLB lookup time = a (often zero - overlapped in CPU)
– Memory access time = m
• Hit ratio (h) is percentage of time that a logical page number
is found in the TLB
– Larger TLB usually means higher h
– TLB structure can affect h as well
• Effective access time (an average) is calculated as:
– EAT = (m + a)h + (m + m + a)(1-h)
– EAT =a + (2-h)m
• Interpretation
– Reference always requires TLB lookup, 1 memory access
– TLB misses also require an additional memory reference 47

Inverted page table
• Reduce page table size further: keep one entry for each frame
in memory
• PTE contains
– Virtual address pointing to this frame
– Information about the process that owns this page
• Search page table by
– Hashing the virtual page number and process ID
– Starting at the entry corresponding to the hash result
– Search until either the entry is found or a limit is reached
• Page frame number is index of PTE
• Improve performance by using more advanced hashing
algorithms
48

pid1
pidk
pid0
Inverted page table architecture
process ID p = 19 bits offset = 13 bits
page number
1319
physical address
inverted page table
main memory
...
0
1
...
Page frame
number
page offset
pid p
p0
p1
pk
...
...
0
1
k
search
k
49

Memory Management
Requirements
• Relocation
– programmer cannot know where the program will
be placed in memory when it is executed
– a process may be (often) relocated in main
memory due to swapping
– swapping enables the OS to have a larger pool of
ready-to-execute processes
– memory references in code (for both instructions
and data) must be translated to actual physical
memory address
50

Memory Management
Requirements
• Protection
– processes should not be able to reference
memory locations in another process without
permission
– impossible to check addresses at compile time in
programs since the program could be relocated
– address references must be checked at run time
by hardware
51

Memory Management
Requirements
• Sharing
– must allow several processes to access a common
portion of main memory without compromising
protection
• cooperating processes may need to share access to the
same data structure
• better to allow each process to access the same copy of
the program rather than have their own separate copy
52

Memory Management
Requirements
• Logical Organization
– users write programs in modules with different
characteristics
• instruction modules are execute-only
• data modules are either read-only or read/write
• some modules are private others are public
– To effectively deal with user programs, the OS and
hardware should support a basic form of module
to provide the required protection and sharing
53

Memory Management
Requirements
• Physical Organization
– secondary memory is the long term store for
programs and data while main memory holds
program and data currently in use
– moving information between these two levels of
memory is a major concern of memory
management (OS)
• it is highly inefficient to leave this responsibility to the
application programmer
54

Simple Memory Management
• In this chapter we study the simpler case where there is no
virtual memory
• An executing process must be loaded entirely in main
memory (if overlays are not used)
• Although the following simple memory management
techniques are not used in modern OS, they lay the ground
for a proper discussion of virtual memory (next chapter)
– fixed partitioning
– dynamic partitioning
– simple paging
– simple segmentation
55

Fixed
Partitioning
• Partition main memory
into a set of non
overlapping regions called
partitions
• Partitions can be of equal
or unequal sizes
56
Chander
prabhu
Jain
College
of Higher

Fixed Partitioning
• any process whose size is less than or equal to a partition
size can be loaded into the partition
• if all partitions are occupied, the operating system can
swap a process out of a partition
• a program may be too large to fit in a partition. The
programmer must then design the program with overlays
– when the module needed is not present the user
program must load that module into the program’s
partition, overlaying whatever program or data are
there
57

Fixed Partitioning
• Main memory use is inefficient. Any program,
no matter how small, occupies an entire
partition. This is called internal
fragmentation.
• Unequal-size partitions lessens these
problems but they still remain...
• Equal-size partitions was used in early IBM’s
OS/MFT (Multiprogramming with a Fixed
number of Tasks)
58

Placement Algorithm with
Partitions
• Equal-size partitions
– If there is an available partition, a process can be
loaded into that partition
• because all partitions are of equal size, it does not
matter which partition is used
– If all partitions are occupied by blocked processes,
choose one process to swap out to make room for
the new process
59

Partitions
• Unequal-size partitions:
use of multiple queues
– assign each process to
the smallest partition
within which it will fit
– A queue for each
partition size
– tries to minimize internal
fragmentation
– Problem: some queues
will be empty if no
processes within a size
range is present
60
Chander
prabhu
Jain
College
of Higher

Partitions
• Unequal-size partitions:
use of a single queue
– When its time to load a
process into main memory
the smallest available
partition that will hold the
process is selected
– increases the level of
multiprogramming at the
expense of internal
fragmentation
61
Chander
prabhu
Jain
College
of Higher

Dynamic Partitioning
• Partitions are of variable length and number
• Each process is allocated exactly as much memory
as it requires
• Eventually holes are formed in main memory. This
is called external fragmentation
• Must use compaction to shift processes so they are
contiguous and all free memory is in one block
• Used in IBM’s OS/MVT (Multiprogramming with a
Variable number of Tasks)
62

Dynamic Partitioning: an example
• A hole of 64K is left after loading 3 processes: not enough
room for another process
• Eventually each process is blocked. The OS swaps out
process 2 to bring in process 4
63

Dynamic Partitioning: an example
• another hole of 96K is created
• Eventually each process is blocked. The OS swaps out
process 1 to bring in again process 2 and another hole of
96K is created...
• Compaction would produce a single hole of 256K 64

Placement
Algorithm
• Used to decide which
free block to allocate to
a process
• Goal: to reduce usage of
compaction (time
consuming)
• Possible algorithms:
– Best-fit: choose
smallest hole
– First-fit: choose first
hole from beginning
– Next-fit: choose first
hole from last
placement
65
Chander
prabhu
Jain
College
of Higher

Placement Algorithm: comments
• Next-fit often leads to allocation of the
largest block at the end of memory
• First-fit favors allocation near the beginning:
tends to create less fragmentation then
Next-fit
• Best-fit searches for smallest block: the
fragment left behind is small as possible
– main memory quickly forms holes too small to
hold any process: compaction generally needs
to be done more often
66

Replacement Algorithm
• When all processes in main memory are
blocked, the OS must choose which process to
replace
– A process must be swapped out (to a Blocked-
Suspend state) and be replaced by a new process
or a process from the Ready-Suspend queue
– We will discuss later such algorithms for memory
management schemes using virtual memory
67

Buddy System
• A reasonable compromize to overcome
disadvantages of both fixed and variable
partitionning schemes
• A modified form is used in Unix SVR4 for
kernal memory allocation
• Memory blocks are available in size of 2^{K}
where L <= K <= U and where
– 2^{L} = smallest size of block allocatable
– 2^{U} = largest size of block allocatable
(generally, the entire memory available)
68

Buddy System
• We start with the entire block of size 2^{U}
• When a request of size S is made:
– If 2^{U-1} < S <= 2^{U} then allocate the entire block of
size 2^{U}
– Else, split this block into two buddies, each of size
2^{U-1}
– If 2^{U-2} < S <= 2^{U-1} then allocate one of the 2
buddies
– Otherwise one of the 2 buddies is split again
• This process is repeated until the smallest block greater or
equal to S is generated
• Two buddies are coalesced whenever both of them
become unallocated
69

Buddy System
• The OS maintains several lists of holes
– the i-list is the list of holes of size 2^{i}
– whenever a pair of buddies in the i-list occur,
they are removed from that list and coalesced
into a single hole in the (i+1)-list
• Presented with a request for an allocation of
size k such that 2^{i-1} < k <= 2^{i}:
– the i-list is first examined
– if the i-list is empty, the (i+1)-list is then
examined... 70

Example of Buddy System
71

Buddy Systems: remarks
• On average, internal fragmentation is 25%
– each memory block is at least 50% occupied
• Programs are not moved in memory
– simplifies memory management
• Mostly efficient when the size M of memory used by the
Buddy System is a power of 2
– M = 2^{U} “bytes” where U is an integer
– then the size of each block is a power of 2
– the smallest block is of size 1
– Ex: if M = 10, then the smallest block would be of size 5
72

Relocation
• Because of swapping and compaction, a
process may occupy different main
memory locations during its lifetime
• Hence physical memory references by a
process cannot be fixed
• This problem is solved by distinguishing
between logical address and physical
address
73

Address Types
• A physical address (absolute address) is a physical location
in main memory
• A logical address is a reference to a memory location
independent of the physical structure/organization of
memory
• Compilers produce code in which all memory references
are logical addresses
• A relative address is an example of logical address in which
the address is expressed as a location relative to some
known point in the program (ex: the beginning)
74

Address Translation
• Relative address is the most frequent type of logical
address used in pgm modules (ie: executable files)
• Such modules are loaded in main memory with all memory
references in relative form
• Physical addresses are calculated “on the fly” as the
instructions are executed
• For adequate performance, the translation from relative to
physical address must by done by hardware
75

Simple example of hardware
translation of addresses
• When a process is assigned to the running state, a base
register (in CPU) gets loaded with the starting physical
address of the process
• A bound register gets loaded with the process’s ending
physical address
• When a relative addresses is encountered, it is added with
the content of the base register to obtain the physical
address which is compared with the content of the bound
register
• This provides hardware protection: each process can only
access memory within its process image
76

Example Hardware for Address
Translation
77

Simple Paging
• Main memory is partition into equal fixed-
sized chunks (of relatively small size)
• Trick: each process is also divided into chunks
of the same size called pages
• The process pages can thus be assigned to the
available chunks in main memory called
frames (or page frames)
• Consequence: a process does not need to
occupy a contiguous portion of memory
78

Example of process loading
• Now suppose that process B is swapped out
79

Example of process loading
(cont.)
• When process A and C are
blocked, the pager loads a
new process D consisting
of 5 pages
• Process D does not
occupied a contiguous
portion of memory
• There is no external
fragmentation
• Internal fragmentation
consist only of the last
page of each process
80
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College
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Page Tables
• The OS now needs to maintain (in main memory) a page
table for each process
• Each entry of a page table consist of the frame number
where the corresponding page is physically located
• The page table is indexed by the page number to obtain
the frame number
• A free frame list, available for pages, is maintained
81

Logical address used in paging
• Within each program, each logical address must
consist of a page number and an offset within the
page
• A CPU register always holds the starting physical
address of the page table of the currently running
process
• Presented with the logical address (page number,
offset) the processor accesses the page table to
obtain the physical address (frame number, offset)
82

Logical address in
paging
• The logical address becomes a
relative address when the page size
is a power of 2
• Ex: if 16 bits addresses are used and
page size = 1K, we need 10 bits for
offset and have 6 bits available for
page number
• Then the 16 bit address obtained
with the 10 least significant bit as
offset and 6 most significant bit as
page number is a location relative
to the beginning of the process
83
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prabhu
Jain
College
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Logical address in paging
• By using a page size of a power of 2, the pages
are invisible to the programmer,
compiler/assembler, and the linker
• Address translation at run-time is then easy to
implement in hardware
– logical address (n,m) gets translated to physical
address (k,m) by indexing the page table and
appending the same offset m to the frame
number k
84

Logical-to-Physical Address
Translation in Paging
85

Logical-to-Physical Address
Translation in segmentation
86

Virtual memory
• Consider a typical, large application:
– There are many components that are mutually exclusive.
Example: A unique function selected dependent on user
choice.
– Error routines and exception handlers are very rarely used.
– Most programs exhibit a slowly changing locality of
reference. There are two types of locality: spatial and
temporal.
87

Characteristics of Paging and
Segmentation
• Memory references are dynamically translated into
physical addresses at run time
– a process may be swapped in and out of main memory
such that it occupies different regions
• A process may be broken up into pieces (pages or
segments) that do not need to be located
contiguously in main memory
• Hence: all pieces of a process do not need to be
loaded in main memory during execution
– computation may proceed for some time if the next
instruction to be fetch (or the next data to be accessed) is
in a piece located in main memory
88

Process Execution
• The OS brings into main memory only a few
pieces of the program (including its starting
point)
• Each page/segment table entry has a present bit
that is set only if the corresponding piece is in
main memory
• The resident set is the portion of the process
that is in main memory
• An interrupt (memory fault) is generated when
the memory reference is on a piece not present
in main memory
89

Process Execution (cont.)
• OS places the process in a Blocking state
• OS issues a disk I/O Read request to bring into main
memory the piece referenced to
• another process is dispatched to run while the disk
I/O takes place
• an interrupt is issued when the disk I/O completes
– this causes the OS to place the affected process in the
Ready state
90

Advantages of Partial Loading
• More processes can be maintained in main
memory
– only load in some of the pieces of each process
– With more processes in main memory, it is
more likely that a process will be in the Ready
state at any given time
• A process can now execute even if it is
larger than the main memory size
– it is even possible to use more bits for logical
addresses than the bits needed for addressing
the physical memory
91

Virtual Memory: large as you wish!
– Ex: 16 bits are needed to address a physical memory of
64KB
– lets use a page size of 1KB so that 10 bits are needed
for offsets within a page
– For the page number part of a logical address we may
use a number of bits larger than 6, say 22 (a modest
value!!)
• The memory referenced by a logical address is
called virtual memory
– is maintained on secondary memory (ex: disk)
– pieces are bring into main memory only when needed
92

Virtual Memory (cont.)
– For better performance, the file system is often
bypassed and virtual memory is stored in a special
area of the disk called the swap space
• larger blocks are used and file lookups and indirect
allocation methods are not used
• By contrast, physical memory is the memory
referenced by a physical address
– is located on DRAM
• The translation from logical address to physical
address is done by indexing the appropriate
page/segment table with the help of memory
management hardware
93

Possibility of trashing
• To accommodate as many processes as possible,
only a few pieces of each process is maintained in
main memory
• But main memory may be full: when the OS brings
one piece in, it must swap one piece out
• The OS must not swap out a piece of a process just
before that piece is needed
• If it does this too often this leads to trashing:
– The processor spends most of its time swapping
pieces rather than executing user instructions
94

Locality
• Temporal locality: Addresses that are referenced at
some time Ts will be accessed in the near future (Ts +
delta_time) with high probability. Example :
Execution in a loop.
• Spatial locality: Items whose addresses are near one
another tend to be referenced close together in time.
Example: Accessing array elements.
• How can we exploit this characteristics of programs?
Keep only the current locality in the main memory.
Need not keep the entire program in the main
memory.
95

Locality and Virtual Memory
• Principle of locality of references: memory
references within a process tend to cluster
• Hence: only a few pieces of a process will be needed
over a short period of time
• Possible to make intelligent guesses about which
pieces will be needed in the future
• This suggests that virtual memory may work
efficiently (ie: trashing should not occur too often)
96

Space and Time
CPU
cache Main
memory
Secondary
Storage
Desirable
increasing
97

Demand paging
• Main memory (physical address space) as well as user
address space (virtual address space) are logically
partitioned into equal chunks known as pages. Main
memory pages (sometimes known as frames) and
virtual memory pages are of the same size.
• Virtual address (VA) is viewed as a pair (virtual page
number, offset within the page). Example: Consider a
virtual space of 16K , with 2K page size and an address
3045. What the virtual page number and offset
corresponding to this VA?
98

Virtual Page Number and Offset
3045 / 2048 = 1
3045 % 2048 = 3045 - 2048 = 997
VP# = 1
Offset within page = 997
Page Size is always a power of 2? Why?
99

Page Size Criteria
Consider the binary value of address 3045 :
1011 1110 0101
for 16K address space the address will be 14 bits.
Rewrite:
00 1011 1110 0101
A 2K address space will have offset range 0 -2047 (11
bits)
Offset within pagePage#
001 011 1110 0101
100

Demand paging (contd.)
• There is only one physical address space but as many
virtual address spaces as the number of processes in the
system. At any time physical memory may contain pages
from many process address space.
• Pages are brought into the main memory when needed
and “rolled out” depending on a page replacement policy.
• Consider a 8K main (physical) memory and three virtual
address spaces of 2K, 3K and 4K each. Page size of 1K. The
status of the memory mapping at some time is as shown.
101

Demand Paging (contd.)
0
1
2
3
4
5
6
7
Main memory
LAS 0
LAS 1
LAS 2
(Physical Address Space -PAS)
LAS - Logical Address Space
Executable
code space
102

Issues in demand paging
• How to keep track of which logical page goes where
in the main memory? More specifically, what are the
data structures needed?
– Page table, one per logical address space.
• How to translate logical address into physical
address and when?
– Address translation algorithm applied every time a
memory reference is needed.
• How to avoid repeated translations?
– After all most programs exhibit good locality. “cache
recent translations”
103

Issues in demand paging (contd.)
• What if main memory is full and your process
demands a new page? What is the policy for page
replacement? LRU, MRU, FIFO, random?
• Do we need to roll out every page that goes into
main memory? No, only the ones that are
modified. How to keep track of this info and such
other memory management information? In the
page table as special bits.
104

Support Needed for
Virtual Memory
• Memory management hardware must support
paging and/or segmentation
• OS must be able to manage the movement of pages
and/or segments between secondary memory and
main memory
• We will first discuss the hardware aspects; then the
algorithms used by the OS
105

Paging
• Each page table entry contains a present bit to indicate
whether the page is in main memory or not.
– If it is in main memory, the entry contains the frame
number of the corresponding page in main memory
– If it is not in main memory, the entry may contain the
address of that page on disk or the page number may
be used to index another table (often in the PCB) to
obtain the address of that page on disk
Typically, each process has its own page table
106

Paging
• A modified bit indicates if the page has been
altered since it was last loaded into main
memory
– If no change has been made, the page does not
have to be written to the disk when it needs to
be swapped out
• Other control bits may be present if protection is
managed at the page level
– a read-only/read-write bit
– protection level bit: kernel page or user page
(more bits are used when the processor supports
more than 2 protection levels)
107

Page Table Structure
• Page tables are variable in length (depends
on process size)
– then must be in main memory instead of
registers
• A single register holds the starting physical
address of the page table of the currently
running process
108

Address Translation in a Paging System
109

Sharing Pages
• If we share the same code among different users,
it is sufficient to keep only one copy in main
memory
• Shared code must be reentrant (ie: non self-
modifying) so that 2 or more processes can
execute the same code
• If we use paging, each sharing process will have a
page table who’s entry points to the same frames:
only one copy is in main memory
• But each user needs to have its own private data
pages
110

Sharing Pages: a text editor
111

• Because the page table is in main memory, each
virtual memory reference causes at least two
physical memory accesses
– one to fetch the page table entry
– one to fetch the data
• To overcome this problem a special cache is set up
for page table entries
– called the TLB - Translation Lookaside Buffer
• Contains page table entries that have been most recently used
• Works similar to main memory cache
112

• Given a logical address, the processor examines the
TLB
• If page table entry is present (a hit), the frame
number is retrieved and the real (physical) address
is formed
• If page table entry is not found in the TLB (a miss),
the page number is used to index the process page
table
– if present bit is set then the corresponding frame is
accessed
– if not, a page fault is issued to bring in the referenced
page in main memory
• The TLB is updated to include the new page entry
113

Use of a Translation Lookaside Buffer
114

TLB: further comments
• TLB use associative mapping hardware to
simultaneously interrogates all TLB entries to find
a match on page number
• The TLB must be flushed each time a new process
enters the Running state
• The CPU uses two levels of cache on each virtual
memory reference
– first the TLB: to convert the logical address to the
physical address
– once the physical address is formed, the CPU then looks
in the cache for the referenced word
115

Page Tables and Virtual Memory
• Most computer systems support a very large virtual
address space
– 32 to 64 bits are used for logical addresses
– If (only) 32 bits are used with 4KB pages, a page table may
have 2^{20} entries
• The entire page table may take up too much main memory.
Hence, page tables are often also stored in virtual memory
and subjected to paging
– When a process is running, part of its page table must be in
main memory (including the page table entry of the currently
executing page)
116

Inverted Page Table
• Another solution (PowerPC, IBM Risk 6000) to the problem
of maintaining large page tables is to use an Inverted Page
Table (IPT)
• We generally have only one IPT for the whole system
• There is only one IPT entry per physical frame (rather than
one per virtual page)
– this reduces a lot the amount of memory needed for
page tables
• The 1st entry of the IPT is for frame #1 ... the nth entry of
the IPT is for frame #n and each of these entries contains
the virtual page number
• Thus this table is inverted
117

Inverted Page Table
• The process ID with the virtual
page number could be used to
search the IPT to obtain the
frame #
• For better performance,
hashing is used to obtain a
hash table entry which points
to a IPT entry
– A page fault occurs if no
match is found
– chaining is used to
manage hashing
overflow d = offset within page
118
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prabhu
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College
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The Page Size Issue
• Page size is defined by hardware; always a power
of 2 for more efficient logical to physical address
translation. But exactly which size to use is a
difficult question:
– Large page size is good since for a small page size,
more pages are required per process
• More pages per process means larger page tables. Hence, a
large portion of page tables in virtual memory
– Small page size is good to minimize internal
fragmentation
– Large page size is good since disks are designed to
efficiently transfer large blocks of data
– Larger page sizes means less pages in main memory;
this increases the TLB hit ratio
119

The Page Size Issue
• With a very small page
size, each page matches
the code that is actually
used: faults are low
• Increased page size causes
each page to contain more
code that is not used.
Page faults rise.
• Page faults decrease if we
can approach point P were
the size of a page is equal
to the size of the entire
process
120
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prabhu
Jain
College
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The Page Size Issue
• Page fault rate is also
determined by the
number of frames
allocated per process
• Page faults drops to a
reasonable value when W
frames are allocated
• Drops to 0 when the
number (N) of frames is
such that a process is
entirely in memory
121
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prabhu
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College
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The Page Size Issue
• Page sizes from 1KB to 4KB are most
commonly used
• But the issue is non trivial. Hence some
processors are now supporting multiple
page sizes. Ex:
– Pentium supports 2 sizes: 4KB or 4MB
– R4000 supports 7 sizes: 4KB to 16MB
122

Operating System Software
• Memory management software depends on
whether the hardware supports paging or
segmentation or both
• Pure segmentation systems are rare. Segments
are usually paged -- memory management issues
are then those of paging
• We shall thus concentrate on issues associated
with paging
• To achieve good performance we need a low page
fault rate
123

The LRU Policy
• Replaces the page that has not been referenced for
the longest time
– By the principle of locality, this should be the page least
likely to be referenced in the near future
– performs nearly as well as the optimal policy
• Example: A process of 5 pages with an OS that fixes
the resident set size to 3
124

Implementation of the LRU Policy
• Each page could be tagged (in the page table
entry) with the time at each memory
reference.
• The LRU page is the one with the smallest time
value (needs to be searched at each page fault)
• This would require expensive hardware and a
great deal of overhead.
• Consequently very few computer systems
provide sufficient hardware support for true
LRU replacement policy
• Other algorithms are used instead
125

The FIFO Policy
• Treats page frames allocated to a process as
a circular buffer
– When the buffer is full, the oldest page is
replaced. Hence: first-in, first-out
• This is not necessarily the same as the LRU page
• A frequently used page is often the oldest, so it will
be repeatedly paged out by FIFO
– Simple to implement
• requires only a pointer that circles through the page
frames of the process
126

UNIT- 2

Process Concept
• Process is a program in execution; forms the basis of all
computation; process execution must progress in sequential
fashion.
• Program is a passive entity stored on disk (executable file),
Process is an active entity; A program becomes a process when
executable file is loaded into memory.
• Execution of program is started via CLI entry of its name,
GUI mouse clicks, etc.
• A process is an instance of a running program; it can be
assigned to, and executed on, a processor.
• Related terms for Process: Job, Step, Load Module, Task,
Thread.

Process Parts
• A process includes three segments/sections:
1. Program: code/text.
2. Data: global variables and heap
• Heap contains memory dynamically allocated during run time.
3. Stack: temporary data
• Procedure/Function parameters, return addresses,
local variables.
• Current activity of a program includes its Context:
program counter, state, processor registers, etc.
• One program can be several processes:
– Multiple users executing the same Sequential program.
– Concurrent program running several process.

Process Attributes
• Process ID
• Parent process ID
• User ID
• Process state/priority
• Program counter
• CPU registers
• Memory management information
• I/O status information
• Access Control
• Accounting information

Process States
• Let us start with three states:
1) Running state –
• the process that gets executed (single CPU);
its instructions are being executed.
2) Ready state –
• any process that is ready to be executed; the process
is waiting to be assigned to a processor.
3) Waiting/Blocked state –
• when a process cannot execute until its I/O
completes or some other event occurs.

A Three-state Process Model
Ready Running
Waiting
Event
Occurs
Dispatc
h
Time-out
Event
Wait

PROCESSES PROCESS STATE
 New The process is just being put together.
 Running Instructions being executed. This running process holds the
CPU.
 Waiting For an event (hardware, human, or another process.)
 Ready The process has all needed resources - waiting for CPU only.
 Suspended Another process has explicitly told this process to
sleep. It will be awakened when a process explicitly awakens it.
 Terminated The process is being torn apart.

PROCESS CONTROL BLOCK:
CONTAINS INFORMATION ASSOCIATED WITH
EACH PROCESS:
It's a data structure holding:
 PC, CPU registers,
 memory management information,
 accounting ( time used, ID, ... )
 I/O status ( such as file resources ),
 scheduling data ( relative priority, etc. )
 Process State (so running, suspended, etc. is
simply a field in the PCB ).
PROCESSES Process State

The act of Scheduling a process means changing the active PCB pointed to
by the CPU. Also called a context switch.
A context switch is essentially the same as a process switch - it means that the
memory, as seen by one process is changed to the memory seen by another
process.
See Figure on Next Page (4.3)
SCHEDULING QUEUES:
(Process is driven by events that are triggered by needs and availability )
Ready queue = contains those processes that are ready to run.
I/O queue (waiting state ) = holds those processes waiting for I/O service.
What do the queues look like? They can be implemented as single or double
linked. See Figure Several Pages from Now (4.4)
PROCESSES
Scheduling
Components

PROCESSES
Scheduling
Components
The CPU switching
from one process to
another.

Figure
PROCESSES
Scheduling
Components
Ready Q
And
IO Q’s

LONG TERM SCHEDULER
 Run seldom ( when job comes into memory )
 Controls degree of multiprogramming
 Tries to balance arrival and departure rate through an appropriate
job mix.
SHORT TERM SCHEDULER
Contains three functions:
 Code to remove a process from the processor at the end of its run.
a)Process may go to ready queue or to a wait state.
 Code to put a process on the ready queue –
a)Process must be ready to run.
b)Process placed on queue based on priority.
PROCESSES
Scheduling
Components

SHORT TERM SCHEDULER (cont.)
 Code to take a process off the ready queue and run that process (also called
dispatcher).
a) Always takes the first process on the queue (no intelligence required)
b) Places the process on the processor.
This code runs frequently and so should be as short as possible.
MEDIUM TERM SCHEDULER
• Mixture of CPU and memory resource management.
• Swap out/in jobs to improve mix and to get memory.
• Controls change of priority.
PROCESSES
Scheduling
Components

INTERRUPT HANDLER
• In addition to doing device work, it also readies processes, moving them,
for instance, from waiting to ready.
How do all
these
scheduling
components
fit together?
Fig
PROCESSES
Scheduling
Components
Interrupt Handler
Short Term
Scheduler
Short Term
Scheduler
Long Term
Scheduler
Medium Term
Scheduler

First-Come, First-Served (FCFS) Scheduling
Process Burst Time
P1 24
P2 3
P3 3
• Suppose that the processes arrive in the order: P1 , P2 ,
P3
The Gantt Chart for the schedule is:
• Waiting time for P1 = 0; P2 = 24; P3 = 27
• Average waiting time: (0 + 24 + 27)/3 = 17
P1 P2 P3
24 27 300

FCFS Scheduling (Cont.)
Suppose that the processes arrive in the order:
P2 , P3 , P1
• The Gantt chart for the schedule is:
• Waiting time for P1 = 6;P2 = 0; P3 = 3
• Average waiting time: (6 + 0 + 3)/3 = 3
• Much better than previous case
P1P3P2
63 300

Shortest-Job-First (SJF)
Scheduling
• Associate with each process the length of its
next CPU burst. Use these lengths to schedule
the process with the shortest time.
• SJF is optimal – gives minimum average waiting
time for a given set of processes
– The difficulty is knowing the length of the
next CPU request.

Example of SJF
Process Arrival Time Burst Time
P1 0.0 6
P2 2.0 8
P3 4.0 7
P4 5.0 3
• SJF scheduling chart
• Average waiting time = (3 + 16 + 9 + 0) / 4 = 7
P4
P3P1
3 160 9
P2
24

Determining Length of Next CPU
Burst
• Can only estimate the length
• Can be done by using the length of previous CPU
bursts, using exponential averaging
:Define4.
10,3.
burstCPUnexttheforvaluepredicted2.
burstCPUoflengthactual1.





 1n
th
n nt
n+1 =  tn + (1- ) n.

Multilevel Queue
• Ready queue is partitioned into separate queues:
– foreground (interactive)
– background (batch)
• Each queue has its own scheduling algorithm:
– foreground – RR
– background – FCFS
• Scheduling must be done between the queues:
– Fixed priority scheduling; (i.e., serve all from foreground then
from background). Possibility of starvation.
– Time slice – each queue gets a certain amount of CPU time which
it can schedule amongst its processes; i.e., 80% to foreground in
RR
– 20% to background in FCFS

Multilevel Feedback Queue
• A process can move between the various queues;
aging can be implemented this way.
• Multilevel-feedback-queue scheduler defined by the
following parameters:
– number of queues
– scheduling algorithms for each queue
– method used to determine when to upgrade a
process
– method used to determine when to demote a
process
– method used to determine which queue a process
will enter when that process needs service

Deadlock
• Deadlock – two or more processes are waiting
indefinitely for an event that can be caused by
only one of the waiting processes
• Let S and Q be two semaphores initialized to 1
P0 P1
wait (S); wait (Q);
wait (Q); wait (S);
. .
. .
signal (S); signal (Q);
signal (Q); signal (S);
• Priority Inversion - Scheduling problem when

Starvation – indefinite blocking.
A process may never be removed from the semaphore queue in which it is
suspended
 Order of arrival retainment:
 Weak semaphores:
 The thread that will access the critical region next is selected randomly
 Starvation is possible
 Strong semaphores:
 The thread that will access the critical region next is selected based on
its arrival time, e.g. FIFO
 Starvation is not possible
Starvation

Classical Problems of
Synchronization
• Bounded-Buffer Problem
• Readers and Writers Problem
• Dining-Philosophers Problem

Bounded-Buffer Problem
• N buffers, each can hold one item
• Semaphore mutex initialized to the
value 1
• Semaphore full initialized to the value 0
• Semaphore empty initialized to the
value N.

Readers-Writers Problem
• A data set is shared among a number of
concurrent processes
– Readers – only read the data set; they do not
perform any updates
– Writers – can both read and write
• Problem – allow multiple readers to read at
the same time.
– Only one single writer can access the shared data
at the same time

Dining-Philosophers Problem
• Shared data
– Bowl of rice (data set)
– Semaphore chopstick [5] initialized to 1

Problems with Semaphores
• Correct use of semaphore operations:
– signal (mutex) …. wait (mutex)
– wait (mutex) … wait (mutex)
– Omitting of wait (mutex) or signal
(mutex) (or both)

Monitors
• A high-level abstraction that provides a convenient and effective mechanism for
process synchronization
• Only one process may be active within the monitor at a time
monitor monitor-name
{
// shared variable declarations
procedure P1 (…) { …. }
…
procedure Pn (…) {……}
Initialization code ( ….) { … }
…
}
}

Condition Variables
• condition x, y;
• Two operations on a condition variable:
– x.wait () – a process that invokes the operation
is suspended.
– x.signal () – resumes one of processes (if any)
that invoked x.wait ()

Types of Storage Media
• Volatile storage – information stored here
does not survive system crashes
– Example: main memory, cache
• Nonvolatile storage – Information usually
survives crashes
– Example: disk and tape
• Stable storage – Information never lost
– Not actually possible,
• approximated via replication or RAID to devices with
independent failure modes
Goal is to assure transaction atomicity where failures cause loss of
information on volatile storage

Log-Based Recovery
• Record to stable storage information about all
modifications by a transaction
• Most common is write-ahead logging
– Log on stable storage, each log record describes
single transaction write operation, including
• Transaction name
• Data item name
• Old value
• New value
– <Ti starts> written to log when transaction Ti starts

Log-Based Recovery Algorithm
• Using the log, system can handle any volatile
memory errors
– Undo(Ti) restores value of all data updated by Ti
– Redo(Ti) sets values of all data in transaction Ti to
new values
• Undo(Ti) and redo(Ti) must be idempotent
– Multiple executions must have the same result as
one execution
• If system fails, restore state of all updated data

Checkpoints
 Log could become long, and recovery could
take long
 Checkpoints shorten log and recovery time.
 Checkpoint scheme:
1. Output all log records currently in volatile storage
to stable storage
2. Output all modified data from volatile to stable
storage
3. Output a log record <checkpoint> to the log on

Concurrent Transactions
• Must be equivalent to serial execution
– serializability
• Could perform all transactions in critical
section
– Inefficient, too restrictive
• Concurrency-control algorithms provide
serializability

Serializability
• Consider two data items A and B
• Consider Transactions T0 and T1
• Execute T0, T1 atomically
• Execution sequence called schedule
• Atomically executed transaction order called
serial schedule
• For N transactions, there are N! valid serial
schedules

Nonserial Schedule
• Nonserial schedule allows overlapped execute
– Resulting execution not necessarily incorrect
• Consider schedule S, operations Oi, Oj
– Conflict if access same data item, with at least one
write
• If Oi, Oj consecutive and operations of
different transactions & Oi and Oj don’t
conflict

Schedule 2: Concurrent Serializable Schedule

Locking Protocol
• Ensure serializability by associating lock with
each data item
– Follow locking protocol for access control
• Locks
– Shared
• Ti has shared-mode lock (S) on item Q,
• Ti can read Q but not write Q
– Exclusive
• Ti has exclusive-mode lock (X) on Q,
• Ti can read and write Q

Two-phase Locking Protocol
• Generally ensures conflict serializability
• Each transaction issues lock and unlock
requests in two phases
– Growing – obtaining locks
– Shrinking – releasing locks
• Does not prevent deadlock

Timestamp-based Protocols
• Select order among transactions in advance
– timestamp-ordering
• Transaction Ti associated with timestamp
TS(Ti) before Ti starts
– TS(Ti) < TS(Tj) if Ti entered system before Tj
– TS can be generated from system clock or as
logical counter incremented at each entry of
transaction

Timestamp-based Protocol Implementation
• Data item Q gets two timestamps
– W-timestamp(Q) – largest timestamp of any
transaction that executed write(Q) successfully
– R-timestamp(Q) – largest timestamp of successful
read(Q)
– Updated whenever read(Q) or write(Q) executed
• Timestamp-ordering protocol assures any
conflicting read and write executed in
timestamp order
• Suppose Ti executes read(Q)

Timestamp-ordering Protocol
• Suppose Ti executes write(Q)
– If TS(Ti) < R-timestamp(Q), value Q produced by Ti
was needed previously and Ti assumed it would
never be produced
• Write operation rejected, Ti rolled back
– If TS(Ti) < W-tiimestamp(Q), Ti attempting to write
obsolete value of Q
• Write operation rejected and Ti rolled back
– Otherwise, write executed
• Any rolled back transaction T is assigned new

UNIT- 3
175

Deadlock
• Examples: Traffic Jam :
• Dining Philosophers
• Device allocation
– process 1 requests tape drive 1 & gets it
– process 2 requests tape drive 2 & gets it
– process 1 requests tape drive 2 but is blocked
– process 2 requests tape drive 1 but is blocked
• Semaphores : P(s) P(t)
P(t) P(s)
176

• I/O spooling disc
– disc full of spooled input
– no room for subsequent output
• Over-allocation of pages in a virtual memory OS
– each process has a allocation of notional pages it must work within
– process acquires pages one by one
– normally does not use its full allocation
– kernel over-allocates total number of notional pages
• more efficient uses of memory
• like airlines overbooking seats
– deadlock may arise
• all processes by mischance approach use of their full allocation
• kernel cannot provide last pages it promised
• partial deadlock also - some processes blocked
– recovery ?
177

• Resource:
– used by a single process at a single point in time
– any one of the same type can be allocated
• Pre-emptible:
– can be taken away from a process without ill effect
– no deadlocks with pre-emptible resources
• Non-Pre-emptible:
– cannot be taken away without problems
– most resources like this 178

Definition : A set of processes is deadlocked if
each process in the set is waiting for an event
that only another process in the set can cause
Necessary conditions for deadlock :
• Mutual Exclusion : each resource is either
currently assigned to one process or is available
to be assigned
• Hold and wait : processes currently holding
resources granted earlier can request new 179

Resource Allocation Modelling using Graphs
Nodes : resource process
Arcs : resource requested :
resource allocated :
180

181

182

• For multiple resources of the same type :
• Deadlock :
• A cycle not sufficient to
imply a deadlock :
183

Possible Strategies :
• Ignore - the Ostrich or Head-in-the-Sand
algorithm
– try to reduce chance of deadlock as far as
reasonable
– accept that deadlocks will occur occasionally
• example: kernel table sizes - max number of pages,
open files etc.
184

• Deadlock Prevention
– negate one of the necessary conditions
• negating Mutual Exclusion :
– example: shared use of a printer
• give exclusive use of the printer to each user in turn wanting to print?
• deadlock possibility if exclusive access to another resource also allowed
• better to have a spooler process to which print jobs are sent
– complete output file must be generated first
– example: file system actions
• give a process exclusive access rights to a file directory
• example: moving a file from one directory to another
– possible deadlock if allowed exclusive access to two directories
simultaneously
– should write code so as only to need to access one directory at a time
– solution?
• make resources concurrently sharable wherever possible e.g. read-only access
• most resources inherently not sharable!
185

Resource Trajectory Graph
186

187

• negating Hold and Wait
– process could request all the resources it will ever
need at once
188

• negating Circular Wait
– require that a process can only acquire one
resource at a time
• example: moving a file from one directory to another
– require processes to acquire resources in a certain
order
– example:
• 1: tape drive
• 2: disc drive
• 3: printer
• 4: plotter 189

• Deadlock Avoidance
– deadlock possible but avoided by careful allocation of resources
– avoid entering unsafe states
– a state is safe if it is not deadlocked and there is a way to satisfy all
requests currently pending by running the processes in some order
– need to know all future requests of processes
190

• Example: can processes run to completion in
some order?
– with 10 units of resource to allocate :
– if A runs first and acquires a further unit :
191

• avoidance using resource allocation graphs -
for one instance resources
– add an extra type of arc - the claim arc to indicate
future requests
– when the future request is actually made, convert
this to an allocation arc
192

Banker’s Algorithm (Dijkstra)
• Single resource
– at each request, consider whether granting will
lead to an unsafe state - if so, deny
– is state after the notional grant still safe? 193

• Multiple resources
– m types of resource, n processes
194

• look for a row in R  A i.e. a process whose requests can be
met
• if no such row exists, state is unsafe
• add this row of R into the same row of C and subtract it from
C R
195

Drawbacks of Banker’s Algorithm
– processes rarely know in advance how many resources they
will need
– the number of processes changes as time progresses
– resources once available can disappear
– the algorithm assumes processes will return their resources
within a reasonable time
– processes may only get their resources after an arbitrarily
long delay
196

• Detection and Recovery
– let deadlock occur, then detect and recover
somehow
• Methods of Detection - single resources
– search for loops in resource allocation graph
197

Chapter Seven : Device
Management
• System Devices
• Sequential Access Storage
Media
• Direct Access Storage
Devices
• Components of I/O
Subsystem
• Communication Among
Devices
• Management of I/O
Requests
Paper Storage Media
Magnetic Tape Storage
Magnetic Disk Storage
Optical Disc Storage
198

Device Management Functions
• Track status of each device (such as tape drives, disk drives,
printers, plotters, and terminals).
• Use preset policies to determine which process will get a
device and for how long.
• Allocate the devices.
• Deallocate the devices at 2 levels:
– At process level when I/O command has been executed &
device is temporarily released
– At job level when job is finished & device is permanently
released.
199

System Devices
• Differences among system’s peripheral devices
are a function of characteristics of devices,
and how well they’re managed by the Device
Manager.
• Most important differences among devices
– Speeds
– Degree of sharability.
• By minimizing variances among devices, a 200

Dedicated Devices
• Assigned to only one job at a time and serve
that job for entire time it’s active.
– E.g., tape drives, printers, and plotters, demand this kind
of allocation scheme, because it would be awkward to
share.
• Disadvantage -- must be allocated to a single
user for duration of a job’s execution.
– Can be quite inefficient, especially when device isn’t used
100 % of time.
201

Shared Devices
• Assigned to several processes.
– E.g., disk pack (or other direct access storage device) can be shared by
several processes at same time by interleaving their requests.
• Interleaving must be carefully controlled by Device Manager.
• All conflicts must be resolved based on predetermined policies to decide
which request will be handled first.
202

Virtual Devices
• Combination of dedicated devices that have
been transformed into shared devices.
– E.g, printers are converted into sharable devices through a
spooling program that reroutes all print requests to a disk.
– Output sent to printer for printing only when all of a job’s
output is complete and printer is ready to print out entire
document.
– Because disks are sharable devices, this technique can
convert one printer into several “virtual” printers, thus
improving both its performance and use.
203

Sequential Access Storage Media
• Magnetic tape used for secondary storage on
early computer systems; now used for routine
archiving & storing back-up data.
• Records on magnetic tapes are stored serially,
one after other.
• Each record can be of any length.
– Length is usually determined by the application
program.
• Each record can be identified by its position
on the tape. 204

Magnetic Tapes
• Data is recorded on 8 parallel
tracks that run length of tape.
• Ninth track holds parity bit used
for routine error checking.
• Number of characters that can
be recorded per inch is
determined by density of tape
(e.g., 1600 or 6250 bpi).
Parity
•
•
••
•
•
•
• •
••
•
Characters
205

First Come First Served (FCFS)
Device Scheduling Algorithm
• Simplest device-scheduling algorithm:
• Easy to program and essentially fair to users.
• On average, it doesn’t meet any of the three goals of a seek
strategy.
• Remember, seek time is most time-consuming of functions
performed here, so any algorithm that can minimize it is
preferable to FCFS.
206

Shortest Seek Time First (SSTF)
Device Scheduling Algorithm
• Uses same underlying philosophy as shortest
job next where shortest jobs are processed
first & longer jobs wait.
• Request with track closest to one being served
(that is, one with shortest distance to travel) is
next to be satisfied.
• Minimizes overall seek time.
207

SCAN Device Scheduling Algorithm
• SCAN uses a directional bit to indicate whether the arm is
moving toward the center of the disk or away from it.
• Algorithm moves arm methodically from outer to inner track
servicing every request in its path.
• When it reaches innermost track it reverses direction and
moves toward outer tracks, again servicing every request in its
path.
208

LOOK (Elevator Algorithm) : A
Variation of SCAN
• Arm doesn’t necessarily go all the way to either edge unless
there are requests there.
• “Looks” ahead for a request before going to service it.
• Eliminates possibility of indefinite postponement of requests
in out-of-the-way places—at either edge of disk.
• As requests arrive each is incorporated in its proper place in
queue and serviced when the arm reaches that track.
209

Other Variations of SCAN
• N-Step SCAN -- holds all requests until arm starts on way back. New
requests are grouped together for next sweep.
• C-SCAN (Circular SCAN) -- arm picks up requests on its path during inward
sweep.
– When innermost track has been reached returns to outermost track
and starts servicing requests that arrived during last inward sweep.
– Provides a more uniform wait time.
• C-LOOK (optimization of C-SCAN) --sweep inward stops at last high-
numbered track request, so arm doesn’t move all the way to last track
unless it’s required to do so.
– Arm doesn’t necessarily return to the lowest-numbered track; it
returns only to the lowest-numbered track that’s requested.
210

Which Device Scheduling
Algorithm?
• FCFS works well with light loads, but as soon
as load grows, service time becomes
unacceptably long.
• SSTF is quite popular and intuitively appealing.
It works well with moderate loads but has
problem of localization under heavy loads.
• SCAN works well with light to moderate loads
and eliminates problem of indefinite
postponement. SCAN is similar to SSTF in
throughput and mean service times. 211

Search Strategies: Rotational
Ordering
• Rotational ordering -- optimizes search times
by ordering requests once read/write heads
have been positioned.
– Nothing can be done to improve time spent moving
read/write head because it’s dependent on hardware.
• Amount of time wasted due to rotational
delay can be reduced.
– If requests are ordered within each track so that first
sector requested on second track is next number higher
than one just served, rotational delay is minimized. 212

Redundant Array of Inexpensive
Disks (RAID)
• RAID is a set of physical disk drives that is viewed as a single
logical unit by OS.
• RAID assumes several smaller-capacity disk drives preferable
to few large-capacity disk drives because, by distributing data
among several smaller disks, system can simultaneously
access requested data from multiple drives.
• System shows improved I/O performance and improved data
recovery in event of disk failure.
213

RAID -2
• RAID introduces much-needed concept of
redundancy to help systems recover from
hardware failure.
• Also requires more disk drives which increase
hardware costs.
214

UNIT- 4
215

FILE MANAGEMENT
216

Operating Systems:
Internals and Design Principles
If there is one singular characteristic that makes squirrels unique
among small mammals it is their natural instinct to hoard food.
Squirrels have developed sophisticated capabilities in their hoarding.
Different types of food are stored in different ways to maintain quality.
Mushrooms, for instance, are usually dried before storing. This is done
by impaling them on branches or leaving them in the forks of trees for
later retrieval. Pine cones, on the other hand, are often harvested while
green and cached in damp conditions that keep seeds from ripening.
Gray squirrels usually strip outer husks from walnuts before storing.
— SQUIRRELS: A WILDLIFE HANDBOOK,
Kim Long
217

Files
• Data collections created by users
• The File System is one of the most important
parts of the OS to a user
• Desirable properties of files:
Long-term existence
• files are stored on disk or other secondary storage and do not disappear when a user logs off
Sharable between processes
• files have names and can have associated access permissions that permit controlled sharing
Structure
• files can be organized into hierarchical or more complex structure to reflect the relationships among
files
218

File Systems
• Provide a means to store data organized as
files as well as a collection of functions that
can be performed on files
• Maintain a set of attributes associated with
the file
• Typical operations include:
– Create
– Delete
– Open 219

File Structure
Four terms are
commonly used when
discussing files:
Field Record File Database
220

File Structure
• Files can be structured as a collection of records or as a
sequence of bytes
• UNIX, Linux, Windows, Mac OS’s consider files as a
sequence of bytes
• Other OS’s, notably many IBM mainframes, adopt the
collection-of-records approach; useful for DB
• COBOL supports the collection-of-records file and can
implement it even on systems that don’t provide such files
natively.
221

Structure Terms
Field
– basic element of data
– contains a single value
– fixed or variable length
File
• collection of related
fields that can be treated
as a unit by some
application program
• One field is the key – a
Record
Database
 collection of similar records
 treated as a single entity
 may be referenced by name
 access control restrictions
usually apply at the file level
 collection of related data
 relationships among elements
of data are explicit
 designed for use by a number
of different applications
 consists of one or more types
of files
222

File System Architecture
• Notice that the top layer consists of a number of different
file formats: pile, sequential, indexed sequential, …
• These file formats are consistent with the collection-of-
records approach to files and determine how file data is
accessed
• Even in a byte-stream oriented file system it’s possible to
build files with record-based structures but it’s up to the
application to design the files and build in access methods,
indexes, etc.
• Operating systems that include a variety of file formats
provide access methods and other support automatically.
223

Layered File System Architecture
• File Formats – Access methods provide
the interface to users
• Logical I/O
• Basic I/O
• Basic file system
• Device drivers
224

Device Drivers
• Lowest level
• Communicates directly with peripheral devices
• Responsible for starting I/O operations on a device
• Processes the completion of an I/O request
• Considered to be part of the operating system
225

Basic File System
• Also referred to as the physical I/O level
• Primary interface with the environment outside the
computer system
• Deals with blocks of data that are exchanged with disk or
other mass storage devices.
– placement of blocks on the secondary storage device
– buffering blocks in main memory
• Considered part of the operating system
226

Basic I/O Supervisor
• Responsible for all file I/O initiation and
termination
• Control structures that deal with device I/O,
scheduling, and file status are maintained
• Selects the device on which I/O is to be
performed
• Concerned with scheduling disk and tape
accesses to optimize performance
227

Logical I/O
Enables users
and
applications to
access records
Provides
general-
purpose record
I/O capability Maintains
basic data
about file
228

Logical I/O
This level is the interface between the
logical commands issued by a program and
the physical details required by the disk.
Logical units of data versus physical blocks
of data to match disk requirements.
229

Access Method
 Level of the file system closest to the user
 Provides a standard interface between applications and
the file systems and devices that hold the data
 Different access methods reflect different file structures
and different ways of accessing and
processing the data
230

Elements of File Management
231

File Organization and Access
• File organization is the logical structuring of
the records as determined by the way in
which they are accessed
• In choosing a file organization, several
criteria are important:
– short access time
– ease of update
– economy of storage 232

File Organization Types
Five of the common
file organizations
are:
The pile
The
sequential
file
The indexed
sequential
file
The
indexed
file
The direct, or
hashed, file
233

The Pile
• Least
complicated
form of file
organization
• Data are
collected in the
order they
arrive
• Each record
234

The Sequential File
• Most common form of file
structure
• A fixed format is used for
records
• Key field uniquely identifies
the record & determines
storage order
• Typically used in batch
applications
• Only organization that is
easily stored on tape as well
as disk
235

Indexed Sequential File
• Adds an index
to the file to
support
random
access
• Adds an
overflow file
• Greatly 236

Indexed File
• Records are accessed only
through their indexes
• Variable-length records can
be employed
• Exhaustive index contains one
entry for every record in the
main file
• Partial index contains entries
to records where the field of
interest exists
• Used mostly in applications
where timeliness of
information is critical
• Examples would be airline
reservation systems and
inventory control systems
237

Direct or Hashed File
• Access directly any block of
a known address
• Makes use of hashing on
the key value
• Often used where:
– very rapid access is required
– fixed-length records are used
– records are always accessed one
at a time
Examples are:
• directories
• pricing tables
• schedules
• name lists
238

B-Trees
• A balanced tree structure with all branches
of equal length
• Standard method of organizing indexes for
databases
• Commonly used in OS file systems
• Provides for efficient searching, adding, and
deleting of items
239

B-Tree Characteristics
A tree structure (no closed
loops) with the following
characteristics:
- - the tree consists of a number
of nodes and leaves
- - each node contains at least one
key which uniquely identifies a file
record, and more than one pointer
to child nodes or leaves
- - each node is limited to the
same number of maximum keys
- - the keys in a node are stored
in non-decreasing order; each
node has one more pointer than
keys
240

B-Tree Characteristics
– every node has at
most 2d – 1 keys and
2d children or,
equivalently, 2d
pointers
– every node, except for
the root, has at least d
– 1 keys and d
pointers, as a result,
each internal node,
except the root, is at
least half full and has
at least d children
A B-tree is characterized by its
minimum degree d and satisfies
the following properties:
241

File Sharing
Two issues arise
when allowing files
to be shared among
a number of users:
access rights
management of
simultaneous
access
242

Access Rights
• None
– the user would not be allowed
to read the user directory that
includes the file
• Knowledge
• the user can determine that the
file exists and who its owner is
and can then petition the owner
for additional access rights
• Execution
• the user can load and execute a
program but cannot copy it
• Reading
• the user can read the file for any
purpose, including copying and
execution
• Appending
– the user can add data to the file
but cannot modify or delete any
of the file’s contents
• Updating
– the user can modify, delete, and
add to the file’s data
• Changing protection
– the user can change the access
rights granted to other users
• Deletion
– the user can delete the file from
the file system
243

User Access Rights
Owner
usually the
initial creator of
the file
has full rights
may grant
rights to others
Specific
Users
individual users
who are
designated by
user ID
User
Groups
a set of users
who are not
individually
defined
All
all users who
have access to
this system
these are
public files
244

Contiguous File Allocation
A single contiguous set
of blocks is allocated to a
file at the time of file
creation
Preallocation strategy
using variable-size
portions
Is the best from the
point of view of the
individual sequential file
12.9
245

After Compaction
Figure 12.10 Contiguous File Allocation (After Compaction)
246

Chained Allocation
Allocation is on an individual block
basis
Each block contains a pointer to
the next block in the chain
The file allocation table needs just
a single entry for each file
No external fragmentation to
worry about
Better for sequential files
12.11
247

Chained Allocation After Consolidation
12.12
248

Indexed Allocation with Block
Portions
12.13
249

Indexed Allocation with
Variable Length Portions
12.14
250

Free Space Management
• Just as allocated space must be managed, so
must the unallocated space
• To perform file allocation, it is necessary to
know which blocks are available
• A disk allocation table is needed in addition
to a file allocation table
251

Bit Tables (Bit Vectors)
• This method uses a vector containing one bit
for each block on the disk
• Each entry of a 0 corresponds to a free
block, and each 1 corresponds to a block in
use Advantages:
• works well with any file
allocation method
• it is as small as possible
252

Chained Free Portions
• The free portions may be chained together
by using a pointer and length value in each
free portion
• Negligible space overhead because there is
no need for a disk allocation table
• Suited to all file allocation methods
Disadvantages:
• leads to fragmentation
• every time you allocate a block you need to read the
block first to recover the pointer to the new first free
block before writing data to that block
253

Access Matrix
 The basic elements are:
 subject – an entity capable of
accessing objects
 object – anything to which access
is controlled
 access right – the way in which an
object is accessed by a subject
254

Access
Control Lists
• A matrix may
be
decomposed
by columns,
yielding access
control lists
• The access 255

Capability Lists
• Decompositi
on by rows
yields
capability
tickets
• A capability
ticket
specifies 256

UNIX File Management
• In the UNIX file
system, six types
of files are
distinguished:•contains arbitrary data in zero or more data blocks
Regular, or ordinary
•contains a list of file names plus pointers to associated inodes
Directory
•contains no data but provides a mechanism to map physical devices to file names
Special
•an interprocess communications facility
Named pipes
•an alternative file name for an existing file
Links
•a data file that contains the name of the file it is linked to
Symbolic links
257

Inodes
• All types of UNIX files are administered by
the OS by means of inodes
• An inode (index node) is a control structure
that contains the key information needed by
the operating system for a particular file
• Several file names may be associated with a
single inode
• an active inode is associated with exactly one file
• each file is controlled by exactly one inode 258

FreeBSD Inode and File Structure
259

Operating System

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Operating System