MODULE-I

Introduction to OS
A program that acts as an intermediary between a user of a
computer and the computer hardware

Operating system goals:

o Execute user programs and make solving user problems easier

o Make the computer system convenient to use

o Use the computer hardware in an efficient manner

 Computer System Structure

 Computer system can be divided into four components

o Hardware – provides basic computing resources

 CPU, memory, I/O devices

o Operating system

 Controls and coordinates use of hardware among

various applications and users

o 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

o Users

 People, machines, other computers

OS Definition

 OS is a resource allocator

o Manages all resources

o Decides between conflicting requests for efficient and fair resource use

 OS is a control program

o Controls execution of programs to prevent errors and improper

use of the computer

Computer Startup

 bootstrap program is loaded at power-up or reboot

o Typically stored in ROM or EPROM, generally known as firmware

o Initializes all aspects of system

o Loads operating system kernel and starts execution

Computer System Organisation

 One or more CPUs, device controllers connect through common bus

providing access to shared memory

 Concurrent execution of CPUs and devices competing for memory cycles

 I/O devices and the CPU can execute concurrently

 Each device controller is in charge of a particular device type

 Each device controller has a local buffer

 CPU moves data from/to main memory to/from local buffers

 I/O is from the device to local buffer of controller

 Device controller informs CPU that it has finished its operation by causing an
interrupt

 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

 The operating system preserves the state of the CPU by storing

registers and the program counter

 Determines which type of interrupt has occurred:

 polling

 vectored interrupt system

 Separate segments of code determine what action should be taken for

each type of interrupt

I/O Structure

 After I/O starts, control returns to user program only upon I/O completion

o Wait instruction idles the CPU until the next interrupt

o Wait loop (contention for memory access)

o At most one I/O request is outstanding at a time, no

simultaneous I/O processing

 After I/O starts, control returns to user program without waiting for I/O
completion

o System call – request to the operating system to allow user to

wait for I/O completion

o Device-status table contains entry for each I/O device indicating

its type, address, and state

o Operating system indexes into I/O device table to determine

device status and to modify table entry to include interrupt

Storage Structure

 Main memory – only large storage media that the CPU can access directly

 Secondary storage – extension of main memory that

provides large nonvolatile storage capacity
  Magnetic disks – rigid metal or glass platters covered with magnetic
recording material

Direct Memory Access Structure

 Used for high-speed I/O devices able to transmit information

at close to memory speeds

 Device controller transfers blocks of data from buffer storage

directly to main memory without CPU intervention

 Only one interrupt is generated per block, rather than the one
interrupt per byte

Storage Hierarchy

 Storage systems organized in hierarchy

o Speed

o Cost

o Volatility
Caching

 Important principle, performed at many levels in a computer (in

hardware, operating system, software)

 Information in use copied from slower to faster storage temporarily

 Faster storage (cache) checked first to determine if information is there

o If it is, information used directly from the cache (fast)

o If not, data copied to cache and used there

 Cache smaller than storage being cached

o Cache management important design problem

o Cache size and replacement policy

o Disk surface is logically divided into tracks, which are subdivided into
sectors

o The disk controller determines the logical interaction between

the device and the computer

Computer System Architecture

 Most systems use a single general-purpose processor (PDAs

through mainframes)

o Most systems have special-purpose processors as well

 Multiprocessors systems growing in use and importance

o Also known as parallel systems, tightly-coupled systems

o Advantages include

 Increased throughput

 Economy of scale

 Increased reliability – graceful degradation or fault tolerance

o Two types

 Asymmetric Multiprocessing
  Symmetric Multiprocessing

Fig: Symmetric multiprocessing architecture

Operating System Structure

 Multiprogramming needed for efficiency

o Single user cannot keep CPU and I/O devices busy at all times

o Multiprogramming organizes jobs (code and data) so CPU always

has one to execute
 o A subset of total jobs in system is kept in memory

o One job selected and run via job scheduling

o When it has to wait (for I/O for example), OS switches to another job

 Timesharing (multitasking) is logical extension in which CPU switches

jobs so frequently that users can interact with each job while it is
running, creating interactive computing

o Response time should be < 1 second

o Each user has at least one program executing in memory 🢡process

o If several jobs ready to run at the same time 🢡 CPU scheduling

o If processes don’t fit in memory, swapping moves them in and out to

run

o Virtual memory allows execution of processes not completely in

memory

 Operating System Operation

 Interrupt driven by hardware

 Software error or request creates exception or trap

o Division by zero, request for operating system service

 Other process problems include infinite loop, processes modifying

each other or the operating system

 Dual-mode operation allows OS to protect itself and other system components

o User mode and kernel mode

o Mode bit provided by hardware

 Provides ability to distinguish when system is running

user code or kernel code

 Some instructions designated as privileged, only

executable in kernel mode

 System call changes mode to kernel, return from call

resets it to user

 Timer to prevent infinite loop / process hogging resources

 o Set interrupt after specific period

o Operating system decrements counter

o When counter zero generate an interrupt

o Set up before scheduling process to regain control or

terminate program that exceeds allotted time

OS Services

 One set of operating-system services provides functions that are helpful to the
user:

o User interface - Almost all operating systems have a user interface (UI)

 Varies between Command-Line (CLI), Graphics User Interface (GUI),

Batch

o Program execution - The system must be able to load a program

into memory and to run that program, end execution, either
normally or abnormally (indicating error)

o I/O operations - A running program may require I/O, which may

involve a file or an I/O device

o File-system manipulation - The file system is of particular interest.

Obviously, programs need to read and write files and directories,
create and delete them, search them, list file Information,
permission management.

 One set of operating-system services provides functions that are helpful

to the user (Cont):

o 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)

o 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

o 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

o Accounting - To keep track of which users use how much and what
kinds of computer resources

o 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.
System Call

 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 use

 Three 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)

Example

 System call sequence to copy the contents of one file to another file
 Typically, a number associated with each system call

o 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

o Just needs to obey API and understand what OS will do as a result call

o 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)

Types of system call

 Process control

 File management

 Device management

 Information maintenance
  Communications

 Protection

OS Structure

n MS-DOS – written to provide the most functionality in the least space

l Not divided into modules

l Although MS-DOS has some structure, its interfaces and

levels of functionality are not well separated
 Fig: MS Dos structure

Layered Approach

 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

Fig: Layered System

 Fig: UNIX system structure

Micro Kernel Sructure

 Moves as much from the kernel into “user” space

 Communication takes place between user modules using message passing

 Benefits:

o Easier to extend a microkernel

o Easier to port the operating system to new architectures

o More reliable (less code is running in kernel mode)

o More secure

 Detriments:

o Performance overhead of user space to kernel space communication

Virtual Machne

 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

Process Management
 An operating system executes a variety of programs:

o Batch system – jobs

o Time-shared systems – user programs or tasks

 Textbook uses the terms job and process almost interchangeably

 Process – a program in execution; process execution must progress in

sequential fashion

 A process includes:

o program counter

o stack

o data section
 Process State

As a process executes, it changes state

o new: The process is being created

o running: Instructions are being executed

o waiting: The process is waiting for some event to occur

o ready: The process is waiting to be assigned to a processor

o terminated: The process has finished execution

Fig: Process Transition Diagram

PCB: Process Control Block

Information associated with each process

 Process state

 Program counter

 CPU registers

 CPU scheduling information

 Memory-management information

 Accounting information

 I/O status information

 Fig: PCB

Context Switching

 When CPU switches to another process, the system must save the
state of the old process and load the saved state for the new process
via a context switch

 Context of a process represented in the PCB

 Context-switch time is overhead; the system does no useful work while

switching

 Time dependent on hardware support

Process Scheduling Queues

 Job queue – set of all processes in the system

 Ready queue – set of all processes residing in main memory, ready

and waiting to execute

 Device queues – set of processes waiting for an I/O device

 Processes migrate among the various queues

 Fig: Process Scheduling

Schedulers

 Long-term scheduler (or job scheduler) – selects which processes

should be brought into the ready queue
  Short-term scheduler (or CPU scheduler) – selects which process
should be executed next and allocates CPU

 Short-term scheduler is invoked very frequently (milliseconds)  (must be

fast)

 Long-term scheduler is invoked very infrequently (seconds, minutes)

 (may be slow)

 The long-term scheduler controls the degree of multiprogramming

 Processes can be described as either:

o I/O-bound process – spends more time doing I/O than

computations, many short CPU bursts

o CPU-bound process – spends more time doing computations;

few very long CPU bursts

Process Creation

 Parent process create children processes, which, in turn

create other processes, forming a tree of processes

 Generally, process identified and managed via a process identifier (pid)

 Resource sharing

o Parent and children share all resources

o Children share subset of parent’s resources

o Parent and child share no resources

 Execution

o Parent and children execute concurrently

o Parent waits until children terminate

 Address space

o Child duplicate of parent

o Child has a program loaded into it

 UNIX examples

o fork system call creates new process

 o exec system call used after a fork to replace the process’
memory space with a new program

Process Termination

 Process executes last statement and asks the operating system to delete it
(exit)

o Output data from child to parent (via wait)

o Process’ resources are deallocated by operating system

 Parent may terminate execution of children processes (abort)

o Child has exceeded allocated resources

o Task assigned to child is no longer required

o If parent is exiting

 Some operating system do not allow child to continue if

its parent terminates

 All children terminated - cascading termination

Inter Process Communication

 Processes within a system may be independent or cooperating

 Cooperating process can affect or be affected by other processes,

including sharing data

 Reasons for cooperating processes:

o Information sharing

o Computation speedup

o Modularity
 o Convenience

 Cooperating processes need interprocess communication (IPC)

 Two models of IPC

o Shared memory

o Message passing

Fig:a- Message Passing, b- Shared Memory

Cooperating Process

 Independent process cannot affect or be affected by the execution

of another process

 Cooperating process can affect or be affected by the execution of another

process

 Advantages of process cooperation

o Information sharing

o Computation speed-up

o Modularity
 o Convenience

Producer Consumer Problem

 Paradigm for cooperating processes, producer process produces

information that is consumed by a consumer process

o unbounded-buffer places no practical limit on the size of the buffer

o bounded-buffer assumes that there is a fixed buffer size

while (true) {
/* Produce an item */

while (((in = (in + 1) % BUFFER SIZE count) == out)

; /* do nothing -- no free buffers */

buffer[in] = item;

in = (in + 1) % BUFFER SIZE;

Fig: Producer Process

while (true)

{ while (in == out)

; // do nothing -- nothing to consume

// remove an item from the buffer

item = buffer[out];

out = (out + 1)Fig: Consumer

% BUFFER SIZE;
Process

IPC-Message Passing

 Mechanism for processes to communicate and to synchronize their actions

 Message system – processes communicate with each other without

resorting to shared variables

 IPC facility provides two operations:

 o send(message) – message size fixed or variable

o receive(message)

 If P and Q wish to communicate, they need to:

o establish a communication link between them

o exchange messages via send/receive

 Implementation of communication link

o physical (e.g., shared memory, hardware bus)

o logical (e.g., logical properties)

Direct Communication

 Processes must name each other explicitly:

o send (P, message) – send a message to process P

o receive(Q, message) – receive a message from process Q

 Properties of communication link

o Links are established automatically

o A link is associated with exactly one pair of communicating processes

o Between each pair there exists exactly one link

 The link may be unidirectional, but is usually bi-directional

Indirect Communication

 Messages are directed and received from mailboxes (also referred to as

ports)

o Each mailbox has a unique id

o Processes can communicate only if they share a mailbox

 Properties of communication link

o Link established only if processes share a common mailbox

o A link may be associated with many processes

o Each pair of processes may share several communication links

 o Link may be unidirectional or bi-directional

o Operations

 create a new mailbox

 send and receive messages through mailbox

 destroy a mailbox

o Primitives are defined as:

 send(A, message) – send a message to mailbox A

 receive(A, message) – receive a message from mailbox A

o Allow a link to be associated with at most two processes

o Allow only one process at a time to execute a receive operation

o Allow the system to select arbitrarily the receiver. Sender is

notified who the receiver was.

Synchronisation

 Message passing may be either blocking or non-blocking

 Blocking is considered synchronous

o Blocking send has the sender block until the message is received

o Blocking receive has the receiver block until a message is available

 Non-blocking is considered asynchronous

o Non-blocking send has the sender send the message and continue

o Non-blocking receive has the receiver receive a valid message or null

Buffering

Queue of messages attached to the link; implemented in one of three ways

1. Zero capacity – 0 messages

Sender must wait for receiver (rendezvous)

2. Bounded capacity – finite length of n

messages Sender must wait if link full
 3. Unbounded capacity – infinite
length Sender never waits

Thread
 A thread is a flow of execution through the process code, with its
own program counter, system registers and stack.

 A thread is also called a light weight process. Threads provide a way

to improve application performance through parallelism.

 Threads represent a software approach to improving performance of

operating system by reducing the overhead thread is equivalent to
a classical process.

Fig: Single threaded vs multithreaded process

Benefits

 Responsiveness

 Resource Sharing

 Economy

 Scalability
User Threads

 Thread management done by user-level threads library

 Three primary thread libraries:

o POSIX Pthreads

o Win32 threads

o Java threads

Kernel Thread

 Supported by the Kernel

 Examples

o Windows XP/2000

o Solaris

o Linux

o Tru64 UNIX

o Mac OS X

Multithreading Models

 Many-to-One

o Many user-level threads mapped to single kernel thread

o Examples:

o Solaris Green Threads

o GNU Portable Threads

 One-to-One

o Each user-level thread maps to kernel thread

o Examples

o Windows NT/XP/2000

o Linux

o Solaris 9 and later

 Many-to-Many

o Allows many user level threads to be mapped to many kernel threads

o Allows the operating system to create a sufficient number

of kernel threads

o Solaris prior to version 9

o Windows NT/2000 with the ThreadFiber package

Thread Library

 Thread library provides programmer with API for creating and managing
threads

 Two primary ways of implementing

o Library entirely in user space

o Kernel-level library supported by the OS

Pthreads

 May be provided either as user-level or kernel-level

 A POSIX standard (IEEE 1003.1c) API for thread creation and synchronization

 API specifies behavior of the thread library, implementation is up to

development of the library

 Common in UNIX operating systems (Solaris, Linux, Mac OS X)

Java Threads

 Java threads are managed by the JVM

 Typically implemented using the threads model provided by underlying OS

 Java threads may be created by:

o Extending Thread class

o Implementing the Runnable interface

Threading Issues

 Semantics of fork() and exec() system calls

 Thread cancellation of target thread

o Asynchronous or deferred

 Signal handling

 Thread pools

 Thread-specific data

 Scheduler activations

Thread Cancellation

 Terminating a thread before it has finished

 Two general approaches:

o Asynchronous cancellation terminates the target thread immediately

o Deferred cancellation allows the target thread to periodically

check if it should be cancelled

Thread Pools

 Create a number of threads in a pool where they await work

 Advantages:

o Usually slightly faster to service a request with an existing

thread than create a new thread

o Allows the number of threads in the application(s) to be bound

to the size of the pool

Thread Scheduling

 Distinction between user-level and kernel-level threads

 Many-to-one and many-to-many models, thread library schedules

user-level threads to run on LWP

o Known as process-contention scope (PCS) since

scheduling competition is within the process
  Kernel thread scheduled onto available CPU is system-contention
scope (SCS) – competition among all threads in system

Difference between Process and Thread

Process Thread

Process is heavy weight or resource Thread is light weight taking

intensive. lesser resources than a process.

Process switching needs interaction with Thread switching does not need
operating system. to interact with operating system.

In multiple processing environments each

All threads can share same set of
process executes the same code but
open files, child processes.
has its own memory and file resources.

If one process is blocked then no other While one thread is blocked and
process can execute until the first waiting, second thread in the
process is unblocked. same task can run.

Multiple processes without using threads Multiple threaded processes use

use more resources. fewer resources.

In multiple processes each process One thread can read, write or

operates independently of the others. change another thread's data.

Process Scheduling
 Maximum CPU utilization obtained with multiprogramming

 CPU–I/O Burst Cycle – Process execution consists of a cycle of CPU

execution and I/O wait

 CPU burst distribution

 Fig: CPU burst and I/O burst

CPU Scheduler

 Selects from among the processes in memory that are ready to

execute, and allocates the CPU to one of them

 CPU scheduling decisions may take place when a process:

1. Switches from running to waiting state

2. Switches from running to ready state

3. Switches from waiting to ready

4. Terminates

 Scheduling under 1 and 4 is nonpreemptive

 All other scheduling is

preemptive Dispatcher
  Dispatcher module gives control of the CPU to the process selected by
the short- term scheduler; this involves:

o switching context

o switching to user mode

o jumping to the proper location in the user program to restart that

program

 Dispatch latency – time it takes for the dispatcher to stop one

process and start another running

CPU Scheduling Criteria

 Max CPU utilization

 Max throughput

 Min turnaround time

 Min waiting time

 Min response time

CPU Scheduling Algorithms

A. First Come First Serve Scheduling

 Schedule the task first which arrives first

 Non preemptive In nature

B. Shortest Job First 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

o The difficulty is knowing the length of the next CPU request

Priority Scheduling

 A priority number (integer) is associated with each process

  The CPU is allocated to the process with the highest priority (smallest
integer
 highest priority)

o Preemptive

o nonpreemptive

 SJF is a priority scheduling where priority is the predicted next

CPU burst time

 Problem  Starvation – low priority processes may never execute

 Solution  Aging – as time progresses increase the priority of the process

Round Robin Scheduling

 Each process gets a small unit of CPU time (time quantum), usually
10-100 milliseconds. After this time has elapsed, the process is
preempted and added to the end of the ready queue.

 If there are n processes in the ready queue and the time quantum
is q, then each process gets 1/n of the CPU time in chunks of at
most q time units at once. No process waits more than (n-1)q time
units.

 Performance

o q large  FIFO

o q small  q must be large with respect to context switch,

otherwise overhead is too high

Multilevel Queue Scheduling

 Ready queue is partitioned into separate

queues: foreground (interactive)
background (batch)

 Each queue has its own scheduling algorithm

o foreground – RR

o background – FCFS
  Scheduling must be done between the queues

o Fixed priority scheduling; (i.e., serve all from foreground

then from background). Possibility of starvation.

o 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

o 20% to background in FCFS

Multilevel Feedback Queue Scheduling

 A process can move between the various queues; aging can be

implemented this way

 Multilevel-feedback-queue scheduler defined by the following parameters:

o number of queues

o scheduling algorithms for each queue

o method used to determine when to upgrade a process

o method used to determine when to demote a process

o method used to determine which queue a process will enter

when that process needs service
 MODULE-II

Process Synchronization
 Concurrent access to shared data may result in data inconsistency

 Maintaining data consistency requires mechanisms to ensure

the orderly execution of cooperating processes

 Suppose that we wanted to provide a solution to the consumer-

producer problem that fills all the buffers. We can do so by having an
integer count that keeps track of the number of full buffers. Initially,
count is set to 0. It is incremented by the producer after it produces a
new buffer and is decremented by the consumer after it consumes a
buffer.

Pseudocode for Producer Process Pseudocode for Consumer Process

while (true) { while (true) {

/* produce an item and while (count == 0)

put in nextProduced */
; // do nothing
while (count == BUFFER_SIZE)
nextConsumed =
; // do nothing
buffer[out]; out = (out +
buffer [in] = nextProduced;
1) %
in = (in + 1) % BUFFER_SIZE;
BUFFER_SIZE;
count--;
count++;
Race Condition /* consume the item in
nextConsume
d
 A situation like this, where
several p rocesses
} access and manipulate the
same
data concurrently and the outcome of the execution depends on the
particular order in which the access takes place, is called a race
condition.
 count++ could be

implemented as register1
= count
 register1 = register1
+ 1 count = register1

 count-- could be implemented as

register2 = count
register2 = register2
- 1 count = register2

 Consider this execution interleaving with “count = 5” initially:

S0: producer execute register1 = count {register1 = 5}

S1: producer execute register1 = register1 + 1
{register1
= 6} S2: consumer execute register2 = count
{register2 = 5}
S3: consumer execute register2 = register2 - 1
{register2 = 4}
S4: producer execute count = register1 {count =
6}
S5: consumer execute count = register2 {count = 4}

Critical Section Problem

A section of code, common to n cooperating processes, in which the processes
may be accessing common variables.
A Critical Section Environment contains:
 Entry Section Code requesting entry into the critical section.
 Critical Section Code in which only one process can execute at any one time.
 Exit Section The end of the critical section, releasing or allowing others in.
 Remainder Section Rest of the code AFTER the critical se
 
 Consider a system consisting of n processes {P0, P1, ..., Pn−1}. Each
process has a segment of code, called a critical section, in which the
process may be changing common variables, updating a table, writing
a file, and so on.
 The important feature of the system is that, when one process is
executing in its critical section, no other process is allowed to execute
in its critical section. That is, no two processes are executing in their
critical sections at the same time.
 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.
Solution to Critical Section Problem

1. Mutual Exclusion - If process P i is executing in its critical section, then

no other processes can be executing in their critical sections

2. Progress - If no process is executing in its critical section and there

exist some processes that wish to enter their critical section, then the
selection of the processes that will enter the critical section next
cannot be postponed indefinitely

3. Bounded Waiting - A bound must exist on the number of times that

other processes are allowed to enter their critical sections after a
process has made a request to enter its critical section and before that
request is granted

⚫ Assume that each process executes at a nonzero speed

⚫ No assumption concerning relative speed of the N processes
 Peterson’s Solution

 Two process solution

 Assume that the LOAD and STORE instructions are atomic; that is,
cannot be interrupted.

 The two processes share two variables:

o int turn;

o Boolean flag[2]

 The variable turn indicates whose turn it is to enter the critical section.

 The flag array is used to indicate if a process is ready to enter the

critical section. flag[i] = true implies that process Pi is ready!

Hardware Synchronization

 Many systems provide hardware support for critical section code

 Uniprocessors – could disable interrupts

o Currently running code would execute without preemption

o Generally too inefficient on multiprocessor systems

 Operating systems using this not broadly scalable

 Modern machines provide special atomic hardware instructions

 Atomic = non-interruptable
 o Either test memory word and set value

o Or swap contents of two memory words

Solution to Critical Section Problem using Lock

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

TestAndndSet Instruction

boolean TestAndSet (boolean *target)

boolean rv = *target;

*target =

TRUE; return

rv:

Solution using TestAndSet

 Shared boolean variable lock., initialized to false.

 Solution:

do {

while ( TestAndSet (&lock ))

; // do nothing

// critical

section lock =

FALSE;

// remainder section

} while (TRUE);
Sawp Instruction

void Swap (boolean *a, boolean *b)

boolean temp = *a;

*a = *b;

*b = temp:

Solution using Swap

 Shared Boolean variable lock initialized to FALSE; Each process

has a local Boolean variable key

 Solution

: do {

key = TRUE;

while ( key == TRUE)

Swap (&lock,

&key );

// critical

section lock = FALSE;

// remainder section

} while (TRUE);

Bounded-waiting Mutual Exclusion with TestandSet()

do {

waiting[i] = TRUE;

key = TRUE;

while (waiting[i] && key)

 key = TestAndSet(&lock);

waiting[i] = FALSE;

// critical

section j = (i + 1) %

n;

while ((j != i) && !

waiting[j]) j = (j

+ 1) % n;

if (j == i)

lock = FALSE;

else

waiting[j] = FALSE;

// remainder section

} while (TRUE);

Semaphore

 Synchronization tool that does not require busy waiting

 Semaphore S – integer variable

 Two standard operations modify S: wait() and signal()

 Originally called P() and V()

 Less complicated

 Can only be accessed via two indivisible (atomic) operations

wait (S) { signal (S) {

while S <= 0 S++;

; // no-op }
S--;

 Counting semaphore – integer value can range over an unrestricted domain

  Binary semaphore – integer value can range only
between 0 and 1; can be simpler to implement

o Also known as mutex locks

 Can implement a counting semaphore S as a binary semaphore

 Provides mutual exclusion

Semaphore mutex; // initialized

to 1 do {

wait (mutex);

// Critical Section

signal (mutex);

// remainder section

} while (TRUE);

Semaphore Implementation

 Must guarantee that no two processes can execute wait () and

signal () on the same semaphore at the same time

 Thus, implementation becomes the critical section problem where

the wait and signal code are placed in the crtical section.

o Could now have busy waiting in critical section implementation

 But implementation code is short

 Little busy waiting if critical section rarely occupied

 Note that applications may spend lots of time in critical sections

and therefore this is not a good solution.

 With each semaphore there is an associated waiting queue. Each

entry in a waiting queue has two data items:

o value (of type integer)

o pointer to next record in the list

 Two operations:
 o block – place the process invoking the operation on the

appropriate waiting queue.

o wakeup – remove one of processes in the waiting queue and

place it in the ready queue.

 Implementation of

wait:

wait(semaphore

*S) {

S->value--;

if (S->value < 0) {

add this process to S-

>list; block();

 Implementation of signal:

signal(semaphore

*S) { S-

>value++;

if (S->value <= 0) {

remove a process P from S->list;

wakeup(P);

Classical Problems of Synchronization

 Bounded-Buffer Problem

 Readers and Writers Problem

 Dining-Philosophers Problem
 Bounded-Buffer Problem

The pool consists of n buffers, each capable of holding one item. The mutex semaphore
provides mutual exclusion for accesses to the buffer pool and is initialized to the value
1. The empty and full semaphores count the number of empty and full buffers. The
semaphore empty is initialized to the value n; the semaphore full is initialized to the
value 0.
 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.

 The structure of the producer

process do {

// produce an item in

nextp wait (empty);

wait (mutex);

// add the item to the

buffer signal (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);

Readers-Writers Problem

Suppose that a database is to be shared among several concurrent processes. Some of

these processes may want only to read the database, whereas others may want to
update (that is, to read and write) the database. We distinguish between these two
types of processes by referring to the former as readers and to the latter as writers.
Obviously, if two readers access the shared data simultaneously, no adverse effects will
result. However, if a writer and some other process (either a reader or a writer) access
the database simultaneously,
chaos may ensue.

 A data set is shared among a number of concurrent processes

o Readers – only read the data set; they do not perform any updates

o 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

 Shared Data

o Data set

o Semaphore mutex initialized to 1

o Semaphore wrt initialized to 1

o Integer readcount initialized to 0

 The structure of a writer

process do {

wait (wrt) ;
 // writing is

performed signal

(wrt) ;

} while (TRUE);

 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);

Dining-Philosophers Problem
Consider five philosophers who spend their lives thinking and eating. The philosophers
share a circular table surrounded by five chairs, each belonging to one philosopher. In
the center of the table is a bowl of rice, and the table is laid with five single chopsticks).
When a philosopher thinks, she does not interact with her colleagues. From time to
time, a philosopher gets hungry and tries to pick up the two chopsticks that are closest
to her (the chopsticks that are between her and her left and right neighbors). A
philosopher may pick up only one chopstick at a time. Obviously, she cannot pick up a
chopstick that is already in the hand of a neighbor. When a hungry philosopher has both
her chopsticks at the same time, she eats without releasing the chopsticks. When she is
finished eating, she puts down both chopsticks and starts thinking again.
 Shared data
o Bowl of rice (data set)
o Semaphore chopstick [5] initialized to 1
 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);

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 ( ….) { … }
…
}
}
Schematic view of a Monitor

Condition Variables
 condition x, y;
 Two operations on a condition variable:
o x.wait () – a process that invokes the operation is suspended.
 x.signal () – resumes one of processes (if any) that invoked
x.wait ()
Monitor with Condition Variables
Monitor Implementation Using Semaphores

 Variables
semaphore mutex; // (initially
= 1) semaphore next; //
(initially = 0) int next-count =
0;
 Each procedure F will be replaced by
wait(mutex);
…
body of F;
…
if (next_count > 0)
signal(next)
else
signal(mutex);
 Mutual exclusion within a monitor is ensured.
Monitor Implementation
For each condition variable x, we have:
semaphore x_sem; // (initially
= 0) int x-count = 0;
The operation x.wait can be implemented as:

x-count++;
if (next_count > 0)
signal(next);
else
signal(mutex);
wait(x_sem
); x-
count--;
The operation x.signal can be

implemented as: if (x-count

> 0) {
 next_count+
+;
signal(x_sem
); wait(next);
next_count--;
}

Deadlock
 A set of blocked processes each holding a resource and waiting to
acquire a resource held by another process in the set

 Example

o System has 2 disk drives

o P1 and P2 each hold one disk drive and each needs another one

 Example

o semaphores A and B, initialized to 1

P0 P1

wait (A); wait(B)

wait (B); wait(A)

System Model

 Resource types R1, R2, . . ., Rm (CPU cycles, memory space, I/O devices)

 Each resource type Ri has Wi instances.

 Each process utilizes a resource as follows:

o request

o use

o release
Deadlock Characterization

 Mutual exclusion: only one process at a time can use a resource

 Hold and wait: a process holding at least one resource is waiting to

acquire additional resources held by other processes

 No preemption: a resource can be released only voluntarily by the

process holding it, after that process has completed its task

 Circular wait: there exists a set {P0, P1, …, P0} of waiting processes
such that P0 is waiting for a resource that is held by P1, P1 is waiting
for a resource that is held by P2, …, Pn–1 is waiting for a resource
that is held by Pn, and P0 is waiting for a resource that is held by P0.

Resource Allocation Graph

 A set of vertices V and a set of edges E.

 V is partitioned into two types:

o P = {P1, P2, …, Pn}, the set consisting of all the processes in the
system

o R = {R1, R2, …, Rm}, the set consisting of all resource types in the
system

 request edge – directed edge P1  Rj

 assignment edge – directed edge Rj  Pi

 Process

 Resource Type with 4 instances

 Pi requests instance of Rj
  Pi is holding an instance of Rj

Fig: RAG Fig: RAG with a deadlock

 If graph contains no cycles  no deadlock

 If graph contains a cycle 

o if only one instance per resource type, then deadlock

o if several instances per resource type, possibility of deadlock

Methods for Handling Deadlock

 Ensure that the system will never enter a deadlock state

 Allow the system to enter a deadlock state and then recover

 Ignore the problem and pretend that deadlocks never occur in the
system; used by most operating systems, including UNIX

Deadlock Prevention

 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 is the systems such that for each Pi, the
resources that Pi can still
 request can be satisfied by currently available resources + resources
held by all the Pj, with j < i

 That is:

o If Pi resource needs are not immediately available, then Pi can wait

until all
Pj have 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

Facts

n If a system is in safe state  no deadlocks

n If a system is in unsafe state  possibility of deadlock

n Avoidance  ensure that a system will never enter an unsafe

state.

Deadlock Avoidance Algorithm

 Single instance of a resource type
o Use a resource-allocation graph
 Multiple instances of a resource type
o Use the banker’s algorithm
 RAG Scheme
 Claim edge Pi  Rj 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

Banker’s Algorithm
Assumptions

 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
Data Structure for Bankers’ Algorithm
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 Rj available
 Max: n x m matrix. If Max [i,j] = k, then process Pi may 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 Rj to 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 for i = 0, 1, …, n- 1
2. Find and i such that both:
(a) Finish [i] = false
(b) Needi  Work
If no such i exists, go to step 4
3. Work = Work +
Allocationi Finish[i] = true
go to step 2
4. If Finish [i] == true for all i, then the system is in a safe state
Resource Request Algorithm
Request = request vector for process Pi. If Requesti [j] = k then process Pi wants k
instances of resource type Rj
1. If Requesti  Needi go to step 2. Otherwise, raise error condition, since
process has exceeded its maximum claim
2. If Requesti  Available, go to step 3. Otherwise Pi must wait, since
resources are not available
3. Pretend to allocate requested resources to Pi by modifying the state as
follows:
Available = Available – Request;
Allocationi = Allocationi + Requesti;
Needi = Needi – Requesti;

 If safe  the resources are allocated to Pi

 If unsafe  Pi must wait, and the old resource-allocation state is
restored
Deadlock Detection
 Allow system to enter deadlock state
 Detection algorithm
 Recovery scheme
Recovery from Deadlock
A. 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
B. 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

Memory Management
 Program must be brought (from disk) into memory and placed within
a process for it to be run

 Main memory and registers are only storage CPU can access directly

 Register access in one CPU clock (or less)

 Main memory can take many cycles

 Cache sits between main memory and CPU registers

 Protection of memory required to ensure correct operation

 A pair of base and limit registers define the logical address space
Logical vs Physical Address Space

 The concept of a logical address space that is bound to a separate

physical address space is central to proper memory management

o Logical address – generated by the CPU; also referred to as

virtual address

o Physical address – address seen by the memory unit

 Logical and physical addresses are the same in compile-time and

load-time address-binding schemes; logical (virtual) and physical
addresses differ in execution-time address-binding scheme

Address Binding

 Address binding of instructions and data to memory addresses can

happen at three different stages

o Compile time: If memory location known a priori, absolute code

can be generated; must recompile code if starting location
changes

o Load time: Must generate relocatable code if memory location

is not known at compile time

o 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)

Memory Management Unit

 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

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 Swapping

 A process can be swapped temporarily out of memory to a backing

store, and then brought back into memory for continued execution

 Backing store – fast disk large enough to accommodate copies of

all memory images for all users; must provide direct access to these
memory images

 Roll 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 executed

 Major part of swap time is transfer time; total transfer time is directly
proportional to the amount of memory swapped

 Modified versions of swapping are found on many systems (i.e., UNIX,

Linux, and Windows)

 System maintains a ready queue of ready-to-run processes which have

memory images on disk
Contiguous Allocation

 Main memory usually into two partitions:

o Resident operating system, usually held in low memory with

interrupt vector

o User processes then held in high memory

 Relocation registers used to protect user processes from each other,

and from changing operating-system code and data

o Base register contains value of smallest physical address

o Limit register contains range of logical addresses – each logical

address must be less than the limit register

o MMU maps logical address dynamically

 Multiple-partition allocation

o Hole – block of available memory; holes of various size are

scattered throughout memory

o When a process arrives, it is allocated memory from a hole

large enough to accommodate it

o Operating system maintains information about:

a) allocated partitions b) free partitions (hole)
Dynamic Storage Allocation Problem

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

 Best-fit: Allocate the smallest hole that is big enough; must search
entire list, unless ordered by size

o Produces the smallest leftover hole

 Worst-fit: Allocate the largest hole; must also search entire list

o Produces the largest leftover hole

Fragmentation

 External Fragmentation – total memory space exists to satisfy a

request, but it is not contiguous

 Internal Fragmentation – allocated memory may be slightly larger

than requested memory; this size difference is memory internal to a
partition, but not being used

 Reduce external fragmentation by compaction

o Shuffle memory contents to place all free memory together in

one large block

o Compaction is possible only if relocation is dynamic, and is

done at execution time

o I/O problem

 Latch job in memory while it is involved in I/O

 Do I/O only into OS buffers

Paging

 Logical address space of a process can be noncontiguous; process is

allocated physical memory whenever the latter is available

 Divide physical memory into fixed-sized blocks called frames (size is

power of 2, between 512 bytes and 8,192 bytes)

 Divide logical memory into blocks of same size called pages

 Keep track of all free frames

  To run a program of size n pages, need to find n free frames and load
program

 Set up a page table to translate logical to physical addresses

 Internal fragmentation

 Address generated by CPU is divided into:

o Page number (p) – used as an index into a page table which

contains base address of each page in physical memory

o Page offset (d) – combined with base address to define the

physical memory address that is sent to the memory unit

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)

 Some TLBs store address-space identifiers (ASIDs) in each TLB entry

– uniquely identifies each process to provide address-space
protection for that process

Paging with TLB

Memory Protection

 Memory protection implemented by associating protection bit with each

frame

 Valid-invalid bit attached to each entry in the page table:

o “valid” indicates that the associated page is in the process’

logical address space, and is thus a legal page

o “invalid” indicates that the page is not in the process’

logical address space

Shared Pages

 Shared code
 o One copy of read-only (reentrant) code shared among processes
(i.e., text editors, compilers, window systems).

o Shared code must appear in same location in the logical address

space of all processes

 Private code and data

o Each process keeps a separate copy of the code and data

o The pages for the private code and data can appear
anywhere in the logical address space

Structure of Page table

Hierarchical Paging

 Break up the logical address space into multiple page tables

 A simple technique is a two-level page table

Hashed Page Tables

 The virtual page number is hashed into a page table

o 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

o If a match is found, the corresponding physical frame is extracted

Inverted Page Tables

 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
Segmentation
 Memory-management scheme that supports user view of memory
 A program is a collection of segments
o A segment is a logical unit such as: main program, procedure,
function, method, object, local variables, global variables,
common block, stack, symbol table, arrays
 Logical address consists of a two tuple:
 <segment-number, offset>,
 Segment table – maps two-dimensional physical addresses; each
table entry has:
o base – contains the starting physical address where the
segments reside in memory
o limit – specifies the length of the segment
 Segment-table base register (STBR) points to the segment 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
 o With each entry in segment table associate:
 validation bit = 0  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

Virtual Memory Management

 Virtual memory – separation of user logical memory from physical memory.

o Only part of the program needs to be in memory for execution

o Logical address space can therefore be much larger than

physical address space

o Allows address spaces to be shared by several processes

o Allows for more efficient process creation

 Virtual memory can be implemented via:

o Demand paging

o Demand segmentation
Demand Paging

 Bring a page into memory only when it is needed

o Less I/O needed

o Less memory needed

o Faster response

o More users

 Page is needed  reference to it

o invalid reference  abort

o not-in-memory  bring to memory

 Lazy swapper – never swaps a page into memory unless page will be needed

o Swapper that deals with pages is a pager

 With each page table entry a valid–invalid bit is

associated (v  in-memory, i  not-in-memory)

 Initially valid–invalid bit is set to i on all entries

 During address translation, if valid–invalid bit in page table entry is

I  page fault

Page Fault

If there is a reference to a page, first reference to that page will trap

to operating system: page fault

1. Operating system looks at another table to decide:

l Invalid reference  abort

l Just not in memory

2. Get empty frame

3. Swap page into frame

4. Reset tables

5. Set validation bit = v

 6. Restart the instruction that caused the page fault

Page Replacement
 Prevent over-allocation of memory by modifying page-fault service
routine to include page replacement

 Use modify (dirty) bit to reduce overhead of page transfers – only

modified pages are written to disk

 Page replacement completes separation between logical memory

and physical memory – large virtual memory can be provided on a
smaller physical memory

 Find the location of the desired page on disk

 Find a free frame:

- If there is a free frame, use it
- If there is no free frame, use a page replacement algorithm to
select a victim frame

 Bring the desired page into the (newly) free frame; update the page
and frame tables
  Restart the process

Page Replacement algorithm FIFO

(First-in-First-Out)

 A FIFO replacement algorithm associates with each page the time

when that page was brought into memory.
 When a page must be replaced, the oldest page is chosen.
 Belady’s Anomaly: more frames  more page faults ( for some page-
replacement algorithms, the page-fault rate may increase as the
number of allocated frames increases.)
 Ex-
OPTIMAL PAGE REPLACEMENT
 Replace page that will not be used for longest period of time
 Ex-

LRU (LEAST RECENTLY USED)

 LRU replacement associates with each page the time of that page’s last use.
 When a page must be replaced, LRU chooses the page that has not
been used for the longest period of time.
 Ex-

Allocation of Frames
 Each process needs minimum number of pages
 Two major allocation schemes
o fixed allocation
o priority allocation
 Equal allocation – For example, if there are 100 frames and 5
processes, give each process 20 frames.
 Proportional allocation – Allocate according to the size of process
 si  size of process pi S
  si
m  totalnumber of frames
s
ai  allocation for pi  i
mS
Global vs Local Allocation
 Global replacement – process selects a replacement frame from
the set of all frames; one process can take a frame from another
 Local replacement – each process selects from only its own set of
allocated frames
Thrashing
 If a process does not have “enough” pages, the page-fault rate is very
high. This leads to:
o low CPU utilization
o operating system thinks that it needs to increase the
degree of multiprogramming
o another process added to the system
 Thrashing  a process is busy swapping pages in and out
 MODULE-III

File System
File

 Contiguous logical address space

 Types:

o Data

 numeric

 character

 binary

o Program

File Structure

 None - sequence of words, bytes

 Simple record structure

o Lines

o Fixed length

o Variable length

 Complex Structures

o Formatted document

o Relocatable load file

 Can simulate last two with first method by inserting

appropriate control characters

 Who decides:

o Operating system

l Program
 File Attribute

 Name – only information kept in human-readable form

 Identifier – unique tag (number) identifies file within file system

 Type – needed for systems that support different types

 Location – pointer to file location on device

 Size – current file size

 Protection – controls who can do reading, writing, executing

 Time, date, and user identification – data for protection, security, and
usage monitoring

 Information about files are kept in the directory structure, which is

maintained on the disk

File Types
File Operations

 Create, Write, Read, Reposition within file, Delete, Truncate

 Open(Fi) – search the directory structure on disk for entry Fi, and
move the content of entry to memory

 Close (Fi) – move the content of entry Fi in memory to directory structure on

disk

File Access Methods

n Sequential Access n Direct Access

read read n

next write n

write position to n

next read

reset next

no read after last write

write next

(rewrite)
Directory Structure

A. Single Level Directory

 A single directory for all users

 Naming problem

 Grouping problem

B. Two Level Directory

 Separate directory for each user

 Path name

 Can have the same file name for different user

 Efficient searching

 No grouping capability
C. Tree Structure Directory

 Efficient searching

 Grouping Capability

D. Acyclic Graph Directories

  Have shared subdirectories and files

File Sharing

 Sharing of files on multi-user systems is desirable

 Sharing may be done through a protection scheme

 On distributed systems, files may be shared across a network

 Network File System (NFS) is a common distributed file-sharing method

 User IDs identify users, allowing permissions and protections to be per-user

 Group IDs allow users to be in groups, permitting group access rights

 Uses networking to allow file system access between systems

o Manually via programs like FTP

o Automatically, seamlessly using distributed file systems

o Semi automatically via the world wide web

 Client-server model allows clients to mount remote file systems from servers

o Server can serve multiple clients

o Client and user-on-client identification is insecure or complicated

o NFS is standard UNIX client-server file sharing protocol

o CIFS is standard Windows protocol

o Standard operating system file calls are translated into remote calls

 Distributed Information Systems (distributed naming services) such as

LDAP, DNS, NIS, Active Directory implement unified access to
information needed for remote computing

 Remote file systems add new failure modes, due to network failure, server
failure

 Recovery from failure can involve state information about status of

each remote request

 Stateless protocols such as NFS include all information in each

request, allowing easy recovery but less security
  Consistency semantics specify how multiple users are to access a
shared file simultaneously

o Similar to Ch 7 process synchronization algorithms

 Tend to be less complex due to disk I/O and network

latency (for remote file systems

o Andrew File System (AFS) implemented complex remote file

sharing semantics

o Unix file system (UFS) implements:

 Writes to an open file visible immediately to other users of

the same open file

 Sharing file pointer to allow multiple users to read

and write concurrently

o AFS has session semantics

 Writes only visible to sessions starting after the file is closed

File System Structure

 File structure

o Logical storage unit

o Collection of related information

n File system resides on secondary storage (disks)

n File system organized into layers

n File control block – storage structure consisting of information about a file

Layered File System

File Control Block

File Allocation Methods

An allocation method refers to how disk blocks are allocated for files:

A. Contiguous Allocation

n Each file occupies a set of contiguous blocks on the disk

 n Simple – only starting location (block #) and length (number of
blocks) are required

n Random access

n Wasteful of space (dynamic storage-allocation problem)

n Files cannot grow

B. Linked Allocation

n Each file is a linked list of disk blocks: blocks may be scattered

anywhere on the disk.

n Simple – need only starting address

n Free-space management system – no waste of space

n No random access

n Mapping
C. Indexed Allocation

n Brings all pointers together into the index block.

n Need index table

n Random access
 n Dynamic access without external fragmentation, but have
overhead of index block.

Secondary Storage Structure

Magnetic Disk
 Magnetic disks provide bulk of secondary storage of modern computers
o Drives rotate at 60 to 200 times per second
o Transfer rate is rate at which data flow between drive and computer
o Positioning time (random-access time) is time to move disk arm
to desired cylinder (seek time) and time for desired sector to
rotate under the disk head (rotational latency)
o Head crash results from disk head making contact with the disk surface
 That’s bad
 Disks can be removable
 Drive attached to computer via I/O bus
o Busses vary, including EIDE, ATA, SATA, USB, Fibre Channel, SCSI
o Host controller in computer uses bus to talk to disk controller
built into drive or storage array
Magnetic Tap
 Was early secondary-storage medium

 Relatively permanent and holds large quantities of data

 Access time slow

 Random access ~1000 times slower than disk

 Mainly used for backup, storage of infrequently-used data,

transfer medium between systems

 Kept in spool and wound or rewound past read-write head

 Once data under head, transfer rates comparable to disk

 20-200GB typical storage

Disk Structure

 Disk drives are addressed as large 1-dimensional arrays of logical blocks,

where the logical block is the smallest unit of transfer.

 The 1-dimensional array of logical blocks is mapped into the sectors

of the disk sequentially.

o Sector 0 is the first sector of the first track on the outermost cylinder.

o Mapping proceeds in order through that track, then the rest of

the tracks in that cylinder, and then through the rest of the
cylinders from outermost to innermost.

Disk Scheduling

 The operating system is responsible for using hardware efficiently —

for the disk drives, this means having a fast access time and disk
bandwidth.

 Access time has two major components

o Seek time is the time for the disk are to move the heads to the
cylinder containing the desired sector.
 o Rotational latency is the additional time waiting for the disk to
rotate the desired sector to the disk head.

 Minimize seek time

 Seek time  seek distance

 Disk bandwidth is the total number of bytes transferred, divided by

the total time between the first request for service and the
completion of the last transfer.

Disk Scheduling Algorithms FCFS

 This algorithm is intrinsically fair, but it generally does not provide

the fastest service.

SSTF (Shortest Seek Time First)

n Selects the request with the minimum seek time from the current head position.

n SSTF scheduling is a form of SJF scheduling; may cause starvation

of some requests.
SCAN

 The disk arm starts at one end of the disk, and moves toward the
other end, servicing requests until it gets to the other end of the
disk, where the head movement is reversed and servicing
continues.

 Sometimes called the elevator algorithm.

C-SCAN

 Provides a more uniform wait time than SCAN.

 The head moves from one end of the disk to the other. servicing
requests as it goes. When it reaches the other end, however, it
immediately returns to the beginning of the disk, without servicing
any requests on the return trip.

 Treats the cylinders as a circular list that wraps around from the last
cylinder to the first one

C-LOOK

 Version of C-SCAN

 Arm only goes as far as the last request in each direction, then
reverses direction immediately, without first going all the way to the
end of the disk.
Disk Management
 Low-level formatting, or physical formatting — Dividing a disk into
sectors that the disk controller can read and write.

 To use a disk to hold files, the operating system still needs to record
its own data structures on the disk.

o Partition the disk into one or more groups of cylinders.

o Logical formatting or “making a file system”.

 Boot block initializes system.

o The bootstrap is stored in ROM.

o Bootstrap loader program.

 Methods such as sector sparing used to handle bad blocks.

 The controller can be told to replace each bad sector logically with
one of the spare sectors. This scheme is known as sector sparing or
forwarding.

Swap Space Management

 Swap-space — Virtual memory uses disk space as an extension

of main memory.
  Swap-space can be carved out of the normal file system or, more
commonly, it can be in a separate disk partition.

 A swap space can reside in one of two places: it can be carved out of
the 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 routines can be used to create it, name it, and allocate its
space.

 Alternatively, swap space can be created in a separate raw partition.

No file system or directory structure is placed in this space.

 A separate swap-space storage manager is used to allocate and

deallocate the blocks from the raw partition.

I/O Systems

I/O Hardware

 A device communicates with a computer system by sending signals

over a cable or even through the air. The device communicates with
the machine via a connection point, or port—for example, a serial port.

 If devices share a common set of wires, the connection is called a bus.

 A bus is a set of wires and a rigidly defined protocol that specifies a set
of messages that can be sent on the wires.

 When device A has a cable that plugs into device B, and device B has a
cable that plugs into device C, and device C plugs into a port on the
computer, this arrangement is called a daisy chain. A daisy chain
usually operates as a bus.

 A PCI bus (the common PC system bus) connects the processor–

memory subsystem to fast devices, and an expansion bus connects
relatively slow devices, such as the keyboard and serial and USB ports.

 Disks are connected together on a Small Computer System Interface (SCSI)

bus plugged into a SCSI controller.
  A controller is a collection of electronics that can operate a port, a bus,
or a device.

 A serial-port controller is a simple device controller. It is a single chip

(or portion of a chip) in the computer that controls the signals on the
wires of a serial port.

 But the SCSI protocol is complex, the SCSI bus controller is often
implemented as a separate circuit board (or a host adapter) that plugs
into the computer. It typically contains a processor, microcode, and
some private memory to enable it to process the SCSI protocol
messages.

Polling
 Determines state of device

o command-ready

o busy

o Error

 Busy-wait cycle to wait for I/O from device

Interrupt

 CPU Interrupt-request line triggered by I/O device

 Interrupt handler receives interrupts

 Maskable to ignore or delay some interrupts

 Interrupt vector to dispatch interrupt to correct handler

 Most CPUs have two interrupt request lines. One is the nonmaskable
interrupt, which is reserved for events such as unrecoverable memory
errors.

 The second interrupt line is maskable: it can be turned off by the CPU
before the execution of critical instruction sequences that must not be
interrupted.

 The maskable interrupt is used by device controllers to request service.

 Interrupt mechanism also used for exceptions

Direct Memory Access
 Used to avoid programmed I/O for large data movement
 Requires DMA controller
 Bypasses CPU to transfer data directly between I/O device and memory

Application I/O Interface

 I/O system calls encapsulate device behaviors in generic classes

 Device-driver layer hides differences among I/O controllers from kernel

 Devices vary in many dimensions

o Character-stream or block

o Sequential or random-access

o Sharable or dedicated

o Speed of operation
 o read-write, read only, or write

only Kernel I/O Structure

Characteristics of I/O Devices

Block and Character Devices

 Block devices include disk drives

o Commands include read, write, seek

o Raw I/O or file-system access

o Memory-mapped file access possible

 Character devices include keyboards, mice, serial ports

o Commands include get, put

o Libraries layered on top allow line editing

Network Devices

 Varying enough from block and character to have own interface

 Unix and Windows NT/9x/2000 include socket interface

o Separates network protocol from network operation

o Includes select functionality

 Approaches vary widely (pipes, FIFOs, streams, queues, mailboxes)

Clock and Timers

 Provide current time, elapsed time, timer

 Programmable interval timer used for timings, periodic interrupts

Blocking and Non-blocking I/O

 Blocking - process suspended until I/O completed

o Easy to use and understand

o Insufficient for some needs

 Nonblocking - I/O call returns as much as available

o User interface, data copy (buffered I/O)

o Implemented via multi-threading

 o Returns quickly with count of bytes read or written

 Asynchronous - process runs while I/O executes

o Difficult to use

o I/O subsystem signals process when I/O completed

Kernel I/O Subsystem

 Scheduling

o Some I/O request ordering via per-device queue

o Some OSs try fairness

 Buffering - store data in memory while transferring between devices

o To cope with device speed mismatch

o To cope with device transfer size mismatch

o To maintain “copy semantics”

 Caching - fast memory holding copy of data

o Always just a copy

o Key to performance

 Spooling - hold output for a device

o If device can serve only one request at a time

o i.e., Printing

 Device reservation - provides exclusive access to a device

o System calls for allocation and deallocation

l Watch out for deadlock

Reference
Abraham Silberschatz, Greg Gagne, and Peter Baer Galvin,
"Operating System Concepts, Ninth Edition ",