An Operating System (OS) is an interface between a computer user and computer hardware.

An
operating system is a software which performs all the basic tasks like file management, memory
management, process management, handling input and output, and controlling peripheral devices such as
disk drives and printers.
Some popular Operating Systems include Linux Operating System, Windows Operating System, VMS,
OS/400, AIX, z/OS, etc.

Definition

An operating system is a program that acts as an interface between the user and the computer hardware
and controls the execution of all kinds of programs.
Following are some of important functions of an operating System.

 Memory Management
 Processor Management
 Device Management
 File Management
 Security
 Control over system performance
 Job accounting
 Error detecting aids
 Coordination between other software and users

Memory Management

Memory management refers to management of Primary Memory or Main Memory. Main memory is a
large array of words or bytes where each word or byte has its own address.
Main memory provides a fast storage that can be accessed directly by the CPU. For a program to be
executed, it must in the main memory. An Operating System does the following activities for memory
management −
 Keeps tracks of primary memory, i.e., what part of it are in use by whom, what part are not in
use.
 In multiprogramming, the OS decides which process will get memory when and how much.
 Allocates the memory when a process requests it to do so.
 De-allocates the memory when a process no longer needs it or has been terminated.

Processor Management

In multiprogramming environment, the OS decides which process gets the processor when and for how
much time. This function is called process scheduling. An Operating System does the following
activities for processor management −
 Keeps tracks of processor and status of process. The program responsible for this task is known
as traffic controller.
  Allocates the processor (CPU) to a process.
 De-allocates processor when a process is no longer required.

Device Management

An Operating System manages device communication via their respective drivers. It does the following
activities for device management −
 Keeps tracks of all devices. Program responsible for this task is known as the I/O controller.
 Decides which process gets the device when and for how much time.
 Allocates the device in the efficient way.
 De-allocates devices.

File Management

A file system is normally organized into directories for easy navigation and usage. These directories may
contain files and other directions.
An Operating System does the following activities for file management −
 Keeps track of information, location, uses, status etc. The collective facilities are often known
as file system.
 Decides who gets the resources.
 Allocates the resources.
 De-allocates the resources.

Other Important Activities

Following are some of the important activities that an Operating System performs −
 Security − By means of password and similar other techniques, it prevents unauthorized access
to programs and data.
 Control over system performance − Recording delays between request for a service and
response from the system.
 Job accounting − Keeping track of time and resources used by various jobs and users.
 Error detecting aids − Production of dumps, traces, error messages, and other debugging and
error detecting aids.
 Coordination between other softwares and users − Coordination and assignment of compilers,
interpreters, assemblers and other software to the various users of the computer systems.
Operating systems are there from the very first computer generation and they keep evolving with time.
In this chapter, we will discuss some of the important types of operating systems which are most
commonly used.

Batch operating system

The users of a batch operating system do not interact with the computer directly. Each user prepares his
job on an off-line device like punch cards and submits it to the computer operator. To speed up
processing, jobs with similar needs are batched together and run as a group. The programmers leave their
programs with the operator and the operator then sorts the programs with similar requirements into
batches.
The problems with Batch Systems are as follows −

 Lack of interaction between the user and the job.

 CPU is often idle, because the speed of the mechanical I/O devices is slower than the CPU.
 Difficult to provide the desired priority.

Time-sharing operating systems

Time-sharing is a technique which enables many people, located at various terminals, to use a particular
computer system at the same time. Time-sharing or multitasking is a logical extension of
multiprogramming. Processor's time which is shared among multiple users simultaneously is termed as
time-sharing.
The main difference between Multiprogrammed Batch Systems and Time-Sharing Systems is that in
case of Multiprogrammed batch systems, the objective is to maximize processor use, whereas in Time-
Sharing Systems, the objective is to minimize response time.
Multiple jobs are executed by the CPU by switching between them, but the switches occur so frequently.
Thus, the user can receive an immediate response. For example, in a transaction processing, the
processor executes each user program in a short burst or quantum of computation. That is, if n users are
present, then each user can get a time quantum. When the user submits the command, the response time
is in few seconds at most.
The operating system uses CPU scheduling and multiprogramming to provide each user with a small
portion of a time. Computer systems that were designed primarily as batch systems have been modified
to time-sharing systems.
Advantages of Timesharing operating systems are as follows −

 Provides the advantage of quick response.

 Avoids duplication of software.
 Reduces CPU idle time.
Disadvantages of Time-sharing operating systems are as follows −

 Problem of reliability.
 Question of security and integrity of user programs and data.
 Problem of data communication.

Distributed operating System

Distributed systems use multiple central processors to serve multiple real-time applications and multiple
users. Data processing jobs are distributed among the processors accordingly.
The processors communicate with one another through various communication lines (such as high-speed
buses or telephone lines). These are referred as loosely coupled systems or distributed systems.
Processors in a distributed system may vary in size and function. These processors are referred as sites,
nodes, computers, and so on.
The advantages of distributed systems are as follows −

 With resource sharing facility, a user at one site may be able to use the resources available at
another.
 Speedup the exchange of data with one another via electronic mail.
 If one site fails in a distributed system, the remaining sites can potentially continue operating.
 Better service to the customers.
 Reduction of the load on the host computer.
 Reduction of delays in data processing.

Network operating System

A Network Operating System runs on a server and provides the server the capability to manage data,
users, groups, security, applications, and other networking functions. The primary purpose of the
network operating system is to allow shared file and printer access among multiple computers in a
network, typically a local area network (LAN), a private network or to other networks.
Examples of network operating systems include Microsoft Windows Server 2003, Microsoft Windows
Server 2008, UNIX, Linux, Mac OS X, Novell NetWare, and BSD.
The advantages of network operating systems are as follows −

 Centralized servers are highly stable.

 Security is server managed.
 Upgrades to new technologies and hardware can be easily integrated into the system.
 Remote access to servers is possible from different locations and types of systems.
The disadvantages of network operating systems are as follows −

 High cost of buying and running a server.

 Dependency on a central location for most operations.
 Regular maintenance and updates are required.

Real Time operating System

A real-time system is defined as a data processing system in which the time interval required to process
and respond to inputs is so small that it controls the environment. The time taken by the system to
respond to an input and display of required updated information is termed as the response time. So in
this method, the response time is very less as compared to online processing.
Real-time systems are used when there are rigid time requirements on the operation of a processor or the
flow of data and real-time systems can be used as a control device in a dedicated application. A real-time
operating system must have well-defined, fixed time constraints, otherwise the system will fail. For
example, Scientific experiments, medical imaging systems, industrial control systems, weapon systems,
robots, air traffic control systems, etc.
There are two types of real-time operating systems.

Hard real-time systems

Hard real-time systems guarantee that critical tasks complete on time. In hard real-time systems,
secondary storage is limited or missing and the data is stored in ROM. In these systems, virtual memory
is almost never found.

Soft real-time systems

Soft real-time systems are less restrictive. A critical real-time task gets priority over other tasks and
retains the priority until it completes. Soft real-time systems have limited utility than hard real-time
systems. For example, multimedia, virtual reality, Advanced Scientific Projects like undersea
exploration and planetary rovers, etc.
An Operating System provides services to both the users and to the programs.

 It provides programs an environment to execute.

 It provides users the services to execute the programs in a convenient manner.
Following are a few common services provided by an operating system −

 Program execution
 I/O operations
 File System manipulation
 Communication
 Error Detection
 Resource Allocation
 Protection

Program execution

Operating systems handle many kinds of activities from user programs to system programs like printer
spooler, name servers, file server, etc. Each of these activities is encapsulated as a process.
A process includes the complete execution context (code to execute, data to manipulate, registers, OS
resources in use). Following are the major activities of an operating system with respect to program
management −

 Loads a program into memory.

 Executes the program.
 Handles program's execution.
 Provides a mechanism for process synchronization.
 Provides a mechanism for process communication.
 Provides a mechanism for deadlock handling.

I/O Operation
An I/O subsystem comprises of I/O devices and their corresponding driver software. Drivers hide the
peculiarities of specific hardware devices from the users.
An Operating System manages the communication between user and device drivers.

 I/O operation means read or write operation with any file or any specific I/O device.
 Operating system provides the access to the required I/O device when required.

File system manipulation

A file represents a collection of related information. Computers can store files on the disk (secondary
storage), for long-term storage purpose. Examples of storage media include magnetic tape, magnetic disk
and optical disk drives like CD, DVD. Each of these media has its own properties like speed, capacity,
data transfer rate and data access methods.
A file system is normally organized into directories for easy navigation and usage. These directories may
contain files and other directions. Following are the major activities of an operating system with respect
to file management −

 Program needs to read a file or write a file.

 The operating system gives the permission to the program for operation on file.
 Permission varies from read-only, read-write, denied and so on.
 Operating System provides an interface to the user to create/delete files.
 Operating System provides an interface to the user to create/delete directories.
 Operating System provides an interface to create the backup of file system.

Communication

In case of distributed systems which are a collection of processors that do not share memory, peripheral
devices, or a clock, the operating system manages communications between all the processes. Multiple
processes communicate with one another through communication lines in the network.
The OS handles routing and connection strategies, and the problems of contention and security.
Following are the major activities of an operating system with respect to communication −

 Two processes often require data to be transferred between them

 Both the processes can be on one computer or on different computers, but are connected through
a computer network.
 Communication may be implemented by two methods, either by Shared Memory or by Message
Passing.

Error handling

Errors can occur anytime and anywhere. An error may occur in CPU, in I/O devices or in the memory
hardware. Following are the major activities of an operating system with respect to error handling −

 The OS constantly checks for possible errors.

 The OS takes an appropriate action to ensure correct and consistent computing.
Resource Management

In case of multi-user or multi-tasking environment, resources such as main memory, CPU cycles and
files storage are to be allocated to each user or job. Following are the major activities of an operating
system with respect to resource management −

 The OS manages all kinds of resources using schedulers.

 CPU scheduling algorithms are used for better utilization of CPU.

Protection

Considering a computer system having multiple users and concurrent execution of multiple processes,
the various processes must be protected from each other's activities.
Protection refers to a mechanism or a way to control the access of programs, processes, or users to the
resources defined by a computer system. Following are the major activities of an operating system with
respect to protection −

 The OS ensures that all access to system resources is controlled.

 The OS ensures that external I/O devices are protected from invalid access attempts.
 The OS provides authentication features for each user by means of passwords.

Batch processing

Batch processing is a technique in which an Operating System collects the programs and data together in
a batch before processing starts. An operating system does the following activities related to batch
processing −
 The OS defines a job which has predefined sequence of commands, programs and data as a
single unit.
 The OS keeps a number a jobs in memory and executes them without any manual information.
 Jobs are processed in the order of submission, i.e., first come first served fashion.
 When a job completes its execution, its memory is released and the output for the job gets copied
into an output spool for later printing or processing.

Advantages
 Batch processing takes much of the work of the operator to the computer.
 Increased performance as a new job get started as soon as the previous job is finished, without
any manual intervention.

Disadvantages

 Difficult to debug program.

 A job could enter an infinite loop.
 Due to lack of protection scheme, one batch job can affect pending jobs.
Multitasking

Multitasking is when multiple jobs are executed by the CPU simultaneously by switching between them.
Switches occur so frequently that the users may interact with each program while it is running. An OS
does the following activities related to multitasking −
 The user gives instructions to the operating system or to a program directly, and receives an
immediate response.
 The OS handles multitasking in the way that it can handle multiple operations/executes multiple
programs at a time.
 Multitasking Operating Systems are also known as Time-sharing systems.
 These Operating Systems were developed to provide interactive use of a computer system at a
reasonable cost.
 A time-shared operating system uses the concept of CPU scheduling and multiprogramming to
provide each user with a small portion of a time-shared CPU.
 Each user has at least one separate program in memory.
 A program that is loaded into memory and is executing is commonly referred to as a process.
 When a process executes, it typically executes for only a very short time before it either finishes
or needs to perform I/O.
 Since interactive I/O typically runs at slower speeds, it may take a long time to complete. During
this time, a CPU can be utilized by another process.
 The operating system allows the users to share the computer simultaneously. Since each action or
command in a time-shared system tends to be short, only a little CPU time is needed for each
user.
 As the system switches CPU rapidly from one user/program to the next, each user is given the
impression that he/she has his/her own CPU, whereas actually one CPU is being shared among
many users.

Multiprogramming

Sharing the processor, when two or more programs reside in memory at the same time, is referred
as multiprogramming. Multiprogramming assumes a single shared processor. Multiprogramming
increases CPU utilization by organizing jobs so that the CPU always has one to execute.
The following figure shows the memory layout for a multiprogramming system.

An OS does the following activities related to multiprogramming.

 The operating system keeps several jobs in memory at a time.
 This set of jobs is a subset of the jobs kept in the job pool.
  The operating system picks and begins to execute one of the jobs in the memory.
 Multiprogramming operating systems monitor the state of all active programs and system
resources using memory management programs to ensures that the CPU is never idle, unless
there are no jobs to process.

Advantages

 High and efficient CPU utilization.

 User feels that many programs are allotted CPU almost simultaneously.

Disadvantages

 CPU scheduling is required.

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

Interactivity

Interactivity refers to the ability of users to interact with a computer system. An Operating system does
the following activities related to interactivity −

 Provides the user an interface to interact with the system.

 Manages input devices to take inputs from the user. For example, keyboard.
 Manages output devices to show outputs to the user. For example, Monitor.
The response time of the OS needs to be short, since the user submits and waits for the result.

Real Time System

Real-time systems are usually dedicated, embedded systems. An operating system does the following
activities related to real-time system activity.

 In such systems, Operating Systems typically read from and react to sensor data.
 The Operating system must guarantee response to events within fixed periods of time to ensure
correct performance.

Distributed Environment

A distributed environment refers to multiple independent CPUs or processors in a computer system. An

operating system does the following activities related to distributed environment −
 The OS distributes computation logics among several physical processors.
 The processors do not share memory or a clock. Instead, each processor has its own local
memory.
 The OS manages the communications between the processors. They communicate with each
other through various communication lines.

Spooling
Spooling is an acronym for simultaneous peripheral operations on line. Spooling refers to putting data of
various I/O jobs in a buffer. This buffer is a special area in memory or hard disk which is accessible to
I/O devices.
An operating system does the following activities related to distributed environment −
 Handles I/O device data spooling as devices have different data access rates.
 Maintains the spooling buffer which provides a waiting station where data can rest while the
slower device catches up.
 Maintains parallel computation because of spooling process as a computer can perform I/O in
parallel fashion. It becomes possible to have the computer read data from a tape, write data to
disk and to write out to a tape printer while it is doing its computing task.

Advantages

 The spooling operation uses a disk as a very large buffer.

 Spooling is capable of overlapping I/O operation for one job with processor operations for
another job.
 Process
 A process is basically a program in execution. The execution of a process must progress in a
sequential fashion.
 A process is defined as an entity which represents the basic unit of work to be implemented in the
system.
 To put it in simple terms, we write our computer programs in a text file and when we execute this
program, it becomes a process which performs all the tasks mentioned in the program.
 When a program is loaded into the memory and it becomes a process, it can be divided into four
sections ─ stack, heap, text and data. The following image shows a simplified layout of a process
inside main memory −

S.N. Component & Description

1
Stack
The process Stack contains the temporary data such as method/function parameters, return address
and local variables.

2
Heap
This is dynamically allocated memory to a process during its run time.

3
Text
This includes the current activity represented by the value of Program Counter and the contents of the
processor's registers.
4
Data
This section contains the global and static variables.

 Program
 A program is a piece of code which may be a single line or millions of lines. A computer
program is usually written by a computer programmer in a programming language. For example,
here is a simple program written in C programming language −
 A computer program is a collection of instructions that performs a specific task when executed
by a computer. When we compare a program with a process, we can conclude that a process is a
dynamic instance of a computer program.
 A part of a computer program that performs a well-defined task is known as an algorithm. A
collection of computer programs, libraries and related data are referred to as a software.
 Process Life Cycle
 When a process executes, it passes through different states. These stages may differ in different
operating systems, and the names of these states are also not standardized.
 In general, a process can have one of the following five states at a time.

S.N. State & Description

1
Start
This is the initial state when a process is first started/created.

2
Ready
The process is waiting to be assigned to a processor. Ready processes are waiting to have the
processor allocated to them by the operating system so that they can run. Process may come into this
state after Start state or while running it by but interrupted by the scheduler to assign CPU to some
other process.

3
Running
Once the process has been assigned to a processor by the OS scheduler, the process state is set to
running and the processor executes its instructions.

4
Waiting
Process moves into the waiting state if it needs to wait for a resource, such as waiting for user input,
or waiting for a file to become available.

5
Terminated or Exit
Once the process finishes its execution, or it is terminated by the operating system, it is moved to the
terminated state where it waits to be removed from main memory.
 

 Process Control Block (PCB)

 A Process Control Block is a data structure maintained by the Operating System for every
process. The PCB is identified by an integer process ID (PID). A PCB keeps all the information
needed to keep track of a process as listed below in the table −

S.N. Information & Description

1
Process State
The current state of the process i.e., whether it is ready, running, waiting, or whatever.

2
Process privileges
This is required to allow/disallow access to system resources.

3
Process ID
Unique identification for each of the process in the operating system.

4
Pointer
A pointer to parent process.

5
Program Counter
Program Counter is a pointer to the address of the next instruction to be executed for this process.

6
CPU registers
Various CPU registers where process need to be stored for execution for running state.

7
CPU Scheduling Information
 Process priority and other scheduling information which is required to schedule the process.

8
Memory management information
This includes the information of page table, memory limits, Segment table depending on memory
used by the operating system.

9
Accounting information
This includes the amount of CPU used for process execution, time limits, execution ID etc.

10
IO status information
This includes a list of I/O devices allocated to the process.

 The architecture of a PCB is completely dependent on Operating System and may contain
different information in different operating systems. Here is a simplified diagram of a PCB −
 The PCB is maintained for a process throughout its lifetime, and is deleted once the process
terminates.

Definition

The process scheduling is the activity of the process manager that handles the removal of the running
process from the CPU and the selection of another process on the basis of a particular strategy.
Process scheduling is an essential part of a Multiprogramming operating systems. Such operating
systems allow more than one process to be loaded into the executable memory at a time and the loaded
process shares the CPU using time multiplexing.

Process Scheduling Queues

The OS maintains all PCBs in Process Scheduling Queues. The OS maintains a separate queue for each
of the process states and PCBs of all processes in the same execution state are placed in the same queue.
When the state of a process is changed, its PCB is unlinked from its current queue and moved to its new
state queue.
The Operating System maintains the following important process scheduling queues −
 Job queue − This queue keeps all the processes in the system.
 Ready queue − This queue keeps a set of all processes residing in main memory, ready and
waiting to execute. A new process is always put in this queue.
 Device queues − The processes which are blocked due to unavailability of an I/O device
constitute this queue.
The OS can use different policies to manage each queue (FIFO, Round Robin, Priority, etc.). The OS
scheduler determines how to move processes between the ready and run queues which can only have one
entry per processor core on the system; in the above diagram, it has been merged with the CPU.
Two-State Process Model

Two-state process model refers to running and non-running states which are described below −

S.N. State & Description

1
Running
When a new process is created, it enters into the system as in the running state.

2
Not Running
Processes that are not running are kept in queue, waiting for their turn to execute. Each entry in the
queue is a pointer to a particular process. Queue is implemented by using linked list. Use of
dispatcher is as follows. When a process is interrupted, that process is transferred in the waiting
queue. If the process has completed or aborted, the process is discarded. In either case, the dispatcher
then selects a process from the queue to execute.

Schedulers

Schedulers are special system software which handle process scheduling in various ways. Their main
task is to select the jobs to be submitted into the system and to decide which process to run. Schedulers
are of three types −

 Long-Term Scheduler
 Short-Term Scheduler
 Medium-Term Scheduler

Long Term Scheduler

It is also called a job scheduler. A long-term scheduler determines which programs are admitted to the
system for processing. It selects processes from the queue and loads them into memory for execution.
Process loads into the memory for CPU scheduling.
The primary objective of the job scheduler is to provide a balanced mix of jobs, such as I/O bound and
processor bound. It also controls the degree of multiprogramming. If the degree of multiprogramming is
stable, then the average rate of process creation must be equal to the average departure rate of processes
leaving the system.
On some systems, the long-term scheduler may not be available or minimal. Time-sharing operating
systems have no long term scheduler. When a process changes the state from new to ready, then there is
use of long-term scheduler.

Short Term Scheduler

It is also called as CPU scheduler. Its main objective is to increase system performance in accordance
with the chosen set of criteria. It is the change of ready state to running state of the process. CPU
scheduler selects a process among the processes that are ready to execute and allocates CPU to one of
them.
Short-term schedulers, also known as dispatchers, make the decision of which process to execute next.
Short-term schedulers are faster than long-term schedulers.

Medium Term Scheduler

Medium-term scheduling is a part of swapping. It removes the processes from the memory. It reduces
the degree of multiprogramming. The medium-term scheduler is in-charge of handling the swapped out-
processes.
A running process may become suspended if it makes an I/O request. A suspended processes cannot
make any progress towards completion. In this condition, to remove the process from memory and make
space for other processes, the suspended process is moved to the secondary storage. This process is
called swapping, and the process is said to be swapped out or rolled out. Swapping may be necessary to
improve the process mix.

Comparison among Scheduler

S.N. Long-Term Scheduler Short-Term Scheduler Medium-Term Scheduler

1 It is a job scheduler It is a CPU scheduler It is a process swapping

scheduler.

2 Speed is lesser than short term Speed is fastest among other Speed is in between both short
scheduler two and long term scheduler.

3 It controls the degree of It provides lesser control It reduces the degree of

multiprogramming over degree of multiprogramming.
multiprogramming

4 It is almost absent or minimal in It is also minimal in time It is a part of Time sharing

time sharing system sharing system systems.

5 It selects processes from pool It selects those processes It can re-introduce the process
and loads them into memory for which are ready to execute into memory and execution can be
execution continued.

Context Switch

A context switch is the mechanism to store and restore the state or context of a CPU in Process Control
block so that a process execution can be resumed from the same point at a later time. Using this
technique, a context switcher enables multiple processes to share a single CPU. Context switching is an
essential part of a multitasking operating system features.
When the scheduler switches the CPU from executing one process to execute another, the state from the
current running process is stored into the process control block. After this, the state for the process to run
next is loaded from its own PCB and used to set the PC, registers, etc. At that point, the second process
can start executing.

Context switches are computationally intensive since register and memory state must be saved and
restored. To avoid the amount of context switching time, some hardware systems employ two or more
sets of processor registers. When the process is switched, the following information is stored for later
use.

 Program Counter
 Scheduling information
 Base and limit register value
 Currently used register
 Changed State
 I/O State information
 Accounting information
A Process Scheduler schedules different processes to be assigned to the CPU based on particular
scheduling algorithms. There are six popular process scheduling algorithms which we are going to
discuss in this chapter −

 First-Come, First-Served (FCFS) Scheduling

 Shortest-Job-Next (SJN) Scheduling
 Priority Scheduling
 Shortest Remaining Time
 Round Robin(RR) Scheduling
 Multiple-Level Queues Scheduling
These algorithms are either non-preemptive or preemptive. Non-preemptive algorithms are designed
so that once a process enters the running state, it cannot be preempted until it completes its allotted time,
whereas the preemptive scheduling is based on priority where a scheduler may preempt a low priority
running process anytime when a high priority process enters into a ready state.

First Come First Serve (FCFS)

 Jobs are executed on first come, first serve basis.

 It is a non-preemptive, pre-emptive scheduling algorithm.
 Easy to understand and implement.
 Its implementation is based on FIFO queue.
 Poor in performance as average wait time is high.
Wait time of each process is as follows −

Process Wait Time : Service Time - Arrival Time

P0 0-0=0

P1 5-1=4

P2 8-2=6

P3 16 - 3 = 13

Average Wait Time: (0+4+6+13) / 4 = 5.75

Shortest Job Next (SJN)

 This is also known as shortest job first, or SJF

 This is a non-preemptive, pre-emptive scheduling algorithm.
 Best approach to minimize waiting time.
 Easy to implement in Batch systems where required CPU time is known in advance.
 Impossible to implement in interactive systems where required CPU time is not known.
 The processer should know in advance how much time process will take.
Given: Table of processes, and their Arrival time, Execution time
 Process Arrival Time Execution Time Service Time

P0 0 5 0

P1 1 3 5

P2 2 8 14

P3 3 6 8

Waiting time of each process is as follows −

Process Waiting Time

P0 0-0=0

P1 5-1=4

P2 14 - 2 = 12

P3 8-3=5

Average Wait Time: (0 + 4 + 12 + 5)/4 = 21 / 4 = 5.25

Priority Based Scheduling

 Priority scheduling is a non-preemptive algorithm and one of the most common scheduling
algorithms in batch systems.
 Each process is assigned a priority. Process with highest priority is to be executed first and so on.
 Processes with same priority are executed on first come first served basis.
 Priority can be decided based on memory requirements, time requirements or any other resource
requirement.
Given: Table of processes, and their Arrival time, Execution time, and priority. Here we are considering
1 is the lowest priority.
 Process Arrival Time Execution Time Priority Service Time

P0 0 5 1 0

P1 1 3 2 11

P2 2 8 1 14

P3 3 6 3 5

Waiting time of each process is as follows −

Process Waiting Time

P0 0-0=0

P1 11 - 1 = 10

P2 14 - 2 = 12

P3 5-3=2

Average Wait Time: (0 + 10 + 12 + 2)/4 = 24 / 4 = 6

Shortest Remaining Time

 Shortest remaining time (SRT) is the preemptive version of the SJN algorithm.
 The processor is allocated to the job closest to completion but it can be preempted by a newer
ready job with shorter time to completion.
 Impossible to implement in interactive systems where required CPU time is not known.
 It is often used in batch environments where short jobs need to give preference.

Round Robin Scheduling

  Round Robin is the preemptive process scheduling algorithm.
 Each process is provided a fix time to execute, it is called a quantum.
 Once a process is executed for a given time period, it is preempted and other process executes for
a given time period.
 Context switching is used to save states of preempted processes.

Wait time of each process is as follows −

Process Wait Time : Service Time - Arrival Time

P0 (0 - 0) + (12 - 3) = 9

P1 (3 - 1) = 2

P2 (6 - 2) + (14 - 9) + (20 - 17) = 12

P3 (9 - 3) + (17 - 12) = 11

Average Wait Time: (9+2+12+11) / 4 = 8.5

Multiple-Level Queues Scheduling

Multiple-level queues are not an independent scheduling algorithm. They make use of other existing
algorithms to group and schedule jobs with common characteristics.

 Multiple queues are maintained for processes with common characteristics.

 Each queue can have its own scheduling algorithms.
 Priorities are assigned to each queue.
For example, CPU-bound jobs can be scheduled in one queue and all I/O-bound jobs in another queue.
The Process Scheduler then alternately selects jobs from each queue and assigns them to the CPU based
on the algorithm assigned to the queue.
What is Thread?

A thread is a flow of execution through the process code, with its own program counter that keeps track
of which instruction to execute next, system registers which hold its current working variables, and a
stack which contains the execution history.
A thread shares with its peer threads few information like code segment, data segment and open files.
When one thread alters a code segment memory item, all other threads see that.
A thread is also called a lightweight 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.
Each thread belongs to exactly one process and no thread can exist outside a process. Each thread
represents a separate flow of control. Threads have been successfully used in implementing network
servers and web server. They also provide a suitable foundation for parallel execution of applications on
shared memory multiprocessors. The following figure shows the working of a single-threaded and a
multithreaded process.

Difference between Process and Thread

S.N. Process Thread

1 Process is heavy weight or resource intensive. Thread is

 light
weight,
taking
lesser
resources
than a
process.

2 Process switching needs interaction with operating system. Thread

switching
does not
need to
interact
with
operating
system.

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

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

5 Multiple processes without using threads use more resources. Multiple

threaded
processes
 use fewer
resources.

6 In multiple processes each process operates independently of the others. One

thread
can read,
write or
change
another
thread's
data.

Advantages of Thread

 Threads minimize the context switching time.

 Use of threads provides concurrency within a process.
 Efficient communication.
 It is more economical to create and context switch threads.
 Threads allow utilization of multiprocessor architectures to a greater scale and efficiency.

Types of Thread

Threads are implemented in following two ways −

 User Level Threads − User managed threads.
 Kernel Level Threads − Operating System managed threads acting on kernel, an operating
system core.

User Level Threads

In this case, the thread management kernel is not aware of the existence of threads. The thread library
contains code for creating and destroying threads, for passing message and data between threads, for
scheduling thread execution and for saving and restoring thread contexts. The application starts with a
single thread.

Advantages

 Thread switching does not require Kernel mode privileges.

 User level thread can run on any operating system.
 Scheduling can be application specific in the user level thread.
 User level threads are fast to create and manage.

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

Kernel Level Threads

In this case, thread management is done by the Kernel. There is no thread management code in the
application area. Kernel threads are supported directly by the operating system. Any application can be
programmed to be multithreaded. All of the threads within an application are supported within a single
process.
The Kernel maintains context information for the process as a whole and for individuals threads within
the process. Scheduling by the Kernel is done on a thread basis. The Kernel performs thread creation,
scheduling and management in Kernel space. Kernel threads are generally slower to create and manage
than the user threads.

Advantages

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

Disadvantages

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

Multithreading Models

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

 Many to many relationship.

 Many to one relationship.
 One to one relationship.

Many to Many Model

The many-to-many model multiplexes any number of user threads onto an equal or smaller number of
kernel threads.
The following diagram shows the many-to-many threading model where 6 user level threads are
multiplexing with 6 kernel level threads. In this model, developers can create as many user threads as
necessary and the corresponding Kernel threads can run in parallel on a multiprocessor machine. This
model provides the best accuracy on concurrency and when a thread performs a blocking system call, the
kernel can schedule another thread for execution.
Many to One Model

Many-to-one model maps many user level threads to one Kernel-level thread. Thread management is
done in user space by the thread library. When thread makes a blocking system call, the entire process
will be blocked. Only one thread can access the Kernel at a time, so multiple threads are unable to run in
parallel on multiprocessors.
If the user-level thread libraries are implemented in the operating system in such a way that the system
does not support them, then the Kernel threads use the many-to-one relationship modes.

One to One Model

There is one-to-one relationship of user-level thread to the kernel-level thread. This model provides
more concurrency than the many-to-one model. It also allows another thread to run when a thread makes
a blocking system call. It supports multiple threads to execute in parallel on microprocessors.
Disadvantage of this model is that creating user thread requires the corresponding Kernel thread. OS/2,
windows NT and windows 2000 use one to one relationship model.

Difference between User-Level & Kernel-Level Thread

S.N. User-Level Threads Kernel-Level Thread

1 User-level threads are faster to create and manage. Kernel-level threads are slower to create
and manage.

2 Implementation is by a thread library at the user level. Operating system supports creation of
Kernel threads.

3 User-level thread is generic and can run on any Kernel-level thread is specific to the
operating system. operating system.

4 Multi-threaded applications cannot take advantage of Kernel routines themselves can be

multiprocessing. multithreaded.

Memory management is the functionality of an operating system which handles or manages primary
memory and moves processes back and forth between main memory and disk during execution. Memory
management keeps track of each and every memory location, regardless of either it is allocated to some
process or it is free. It checks how much memory is to be allocated to processes. It decides which
process will get memory at what time. It tracks whenever some memory gets freed or unallocated and
correspondingly it updates the status.
This tutorial will teach you basic concepts related to Memory Management.

Process Address Space

The process address space is the set of logical addresses that a process references in its code. For
example, when 32-bit addressing is in use, addresses can range from 0 to 0x7fffffff; that is, 2^31
possible numbers, for a total theoretical size of 2 gigabytes.
The operating system takes care of mapping the logical addresses to physical addresses at the time of
memory allocation to the program. There are three types of addresses used in a program before and after
memory is allocated −

S.N. Memory Addresses & Description

1
Symbolic addresses
The addresses used in a source code. The variable names, constants, and instruction labels are the
basic elements of the symbolic address space.

2
Relative addresses
At the time of compilation, a compiler converts symbolic addresses into relative addresses.

3
Physical addresses
The loader generates these addresses at the time when a program is loaded into main memory.

Virtual and physical addresses are the same in compile-time and load-time address-binding schemes.
Virtual and physical addresses differ in execution-time address-binding scheme.
The set of all logical addresses generated by a program is referred to as a logical address space. The set
of all physical addresses corresponding to these logical addresses is referred to as a physical address
space.
The runtime mapping from virtual to physical address is done by the memory management unit (MMU)
which is a hardware device. MMU uses following mechanism to convert virtual address to physical
address.
 The value in the base register is added to every address generated by a user process, which is
treated as offset at the time it is sent to memory. For example, if the base register value is 10000,
then an attempt by the user to use address location 100 will be dynamically reallocated to
location 10100.
 The user program deals with virtual addresses; it never sees the real physical addresses.

Static vs Dynamic Loading

The choice between Static or Dynamic Loading is to be made at the time of computer program being
developed. If you have to load your program statically, then at the time of compilation, the complete
programs will be compiled and linked without leaving any external program or module dependency. The
linker combines the object program with other necessary object modules into an absolute program,
which also includes logical addresses.
If you are writing a Dynamically loaded program, then your compiler will compile the program and for
all the modules which you want to include dynamically, only references will be provided and rest of the
work will be done at the time of execution.
At the time of loading, with static loading, the absolute program (and data) is loaded into memory in
order for execution to start.
If you are using dynamic loading, dynamic routines of the library are stored on a disk in relocatable
form and are loaded into memory only when they are needed by the program.

Static vs Dynamic Linking

As explained above, when static linking is used, the linker combines all other modules needed by a
program into a single executable program to avoid any runtime dependency.
When dynamic linking is used, it is not required to link the actual module or library with the program,
rather a reference to the dynamic module is provided at the time of compilation and linking. Dynamic
Link Libraries (DLL) in Windows and Shared Objects in Unix are good examples of dynamic libraries.

Swapping

Swapping is a mechanism in which a process can be swapped temporarily out of main memory (or
move) to secondary storage (disk) and make that memory available to other processes. At some later
time, the system swaps back the process from the secondary storage to main memory.
Though performance is usually affected by swapping process but it helps in running multiple and big
processes in parallel and that's the reason Swapping is also known as a technique for memory
compaction.

The total time taken by swapping process includes the time it takes to move the entire process to a
secondary disk and then to copy the process back to memory, as well as the time the process takes to
regain main memory.
Let us assume that the user process is of size 2048KB and on a standard hard disk where swapping will
take place has a data transfer rate around 1 MB per second. The actual transfer of the 1000K process to
or from memory will take
2048KB / 1024KB per second
= 2 seconds
= 2000 milliseconds
Now considering in and out time, it will take complete 4000 milliseconds plus other overhead where the
process competes to regain main memory.

Memory Allocation

Main memory usually has two partitions −

 Low Memory − Operating system resides in this memory.
  High Memory − User processes are held in high memory.
Operating system uses the following memory allocation mechanism.

S.N. Memory Allocation & Description

1
Single-partition allocation
In this type of allocation, relocation-register scheme is used to protect user processes from each other,
and from changing operating-system code and data. Relocation register contains value of smallest
physical address whereas limit register contains range of logical addresses. Each logical address must
be less than the limit register.

2
Multiple-partition allocation
In this type of allocation, main memory is divided into a number of fixed-sized partitions where each
partition should contain only one process. When a partition is free, a process is selected from the
input queue and is loaded into the free partition. When the process terminates, the partition becomes
available for another process.

Fragmentation

As processes are loaded and removed from memory, the free memory space is broken into little pieces. It
happens after sometimes that processes cannot be allocated to memory blocks considering their small
size and memory blocks remains unused. This problem is known as Fragmentation.
Fragmentation is of two types −

S.N. Fragmentation & Description

1
External fragmentation
Total memory space is enough to satisfy a request or to reside a process in it, but it is not contiguous,
so it cannot be used.

2
Internal fragmentation
Memory block assigned to process is bigger. Some portion of memory is left unused, as it cannot be
used by another process.

The following diagram shows how fragmentation can cause waste of memory and a compaction
technique can be used to create more free memory out of fragmented memory −
External fragmentation can be reduced by compaction or shuffle memory contents to place all free
memory together in one large block. To make compaction feasible, relocation should be dynamic.
The internal fragmentation can be reduced by effectively assigning the smallest partition but large
enough for the process.

Paging

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

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

Advantages and Disadvantages of Paging

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

Segmentation is a memory management technique in which each job is divided into several segments of
different sizes, one for each module that contains pieces that perform related functions. Each segment is
actually a different logical address space of the program.
When a process is to be executed, its corresponding segmentation are loaded into non-contiguous
memory though every segment is loaded into a contiguous block of available memory.
Segmentation memory management works very similar to paging but here segments are of variable-
length where as in paging pages are of fixed size.
A program segment contains the program's main function, utility functions, data structures, and so on.
The operating system maintains a segment map table for every process and a list of free memory blocks
along with segment numbers, their size and corresponding memory locations in main memory. For each
segment, the table stores the starting address of the segment and the length of the segment. A reference
to a memory location includes a value that identifies a segment and an offset.

A computer can address more memory than the amount physically installed on the system. This extra
memory is actually called virtual memory and it is a section of a hard disk that's set up to emulate the
computer's RAM.
The main visible advantage of this scheme is that programs can be larger than physical memory. Virtual
memory serves two purposes. First, it allows us to extend the use of physical memory by using disk.
Second, it allows us to have memory protection, because each virtual address is translated to a physical
address.
Following are the situations, when entire program is not required to be loaded fully in main memory.
 User written error handling routines are used only when an error occurred in the data or
computation.
 Certain options and features of a program may be used rarely.
 Many tables are assigned a fixed amount of address space even though only a small amount of
the table is actually used.
 The ability to execute a program that is only partially in memory would counter many benefits.
 Less number of I/O would be needed to load or swap each user program into memory.
 A program would no longer be constrained by the amount of physical memory that is available.
 Each user program could take less physical memory, more programs could be run the same time,
with a corresponding increase in CPU utilization and throughput.
Modern microprocessors intended for general-purpose use, a memory management unit, or MMU, is
built into the hardware. The MMU's job is to translate virtual addresses into physical addresses. A basic
example is given below −
Virtual memory is commonly implemented by demand paging. It can also be implemented in a
segmentation system. Demand segmentation can also be used to provide virtual memory.

Demand Paging
A demand paging system is quite similar to a paging system with swapping where processes reside in
secondary memory and pages are loaded only on demand, not in advance. When a context switch occurs,
the operating system does not copy any of the old program’s pages out to the disk or any of the new
program’s pages into the main memory Instead, it just begins executing the new program after loading
the first page and fetches that program’s pages as they are referenced.

While executing a program, if the program references a page which is not available in the main memory
because it was swapped out a little ago, the processor treats this invalid memory reference as a page
fault and transfers control from the program to the operating system to demand the page back into the
memory.

Advantages
Following are the advantages of Demand Paging −

 Large virtual memory.

 More efficient use of memory.
 There is no limit on degree of multiprogramming.

Disadvantages
 Number of tables and the amount of processor overhead for handling page interrupts are greater
than in the case of the simple paged management techniques.

Page Replacement Algorithm

Page replacement algorithms are the techniques using which an Operating System decides which
memory pages to swap out, write to disk when a page of memory needs to be allocated. Paging happens
whenever a page fault occurs and a free page cannot be used for allocation purpose accounting to reason
that pages are not available or the number of free pages is lower than required pages.
When the page that was selected for replacement and was paged out, is referenced again, it has to read in
from disk, and this requires for I/O completion. This process determines the quality of the page
replacement algorithm: the lesser the time waiting for page-ins, the better is the algorithm.
A page replacement algorithm looks at the limited information about accessing the pages provided by
hardware, and tries to select which pages should be replaced to minimize the total number of page
misses, while balancing it with the costs of primary storage and processor time of the algorithm itself.
There are many different page replacement algorithms. We evaluate an algorithm by running it on a
particular string of memory reference and computing the number of page faults,

Reference String

The string of memory references is called reference string. Reference strings are generated artificially or
by tracing a given system and recording the address of each memory reference. The latter choice
produces a large number of data, where we note two things.
 For a given page size, we need to consider only the page number, not the entire address.
  If we have a reference to a page p, then any immediately following references to page p will
never cause a page fault. Page p will be in memory after the first reference; the immediately
following references will not fault.
 For example, consider the following sequence of addresses − 123,215,600,1234,76,96
 If page size is 100, then the reference string is 1,2,6,12,0,0

First In First Out (FIFO) algorithm

 Oldest page in main memory is the one which will be selected for replacement.
 Easy to implement, keep a list, replace pages from the tail and add new pages at the head.

Optimal Page algorithm

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

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

Page Buffering algorithm

 To get a process start quickly, keep a pool of free frames.

 On page fault, select a page to be replaced.
  Write the new page in the frame of free pool, mark the page table and restart the process.
 Now write the dirty page out of disk and place the frame holding replaced page in free pool.

Least frequently Used(LFU) algorithm

 The page with the smallest count is the one which will be selected for replacement.
 This algorithm suffers from the situation in which a page is used heavily during the initial phase
of a process, but then is never used again.

Most frequently Used(MFU) algorithm

 This algorithm is based on the argument that the page with the smallest count was probably just
brought in and has yet to be used.
 Direct Memory Access (DMA)
 Slow devices like keyboards will generate an interrupt to the main CPU after each byte is
transferred. If a fast device such as a disk generated an interrupt for each byte, the operating
system would spend most of its time handling these interrupts. So a typical computer uses direct
memory access (DMA) hardware to reduce this overhead.
 Direct Memory Access (DMA) means CPU grants I/O module authority to read from or write to
memory without involvement. DMA module itself controls exchange of data between main
memory and the I/O device. CPU is only involved at the beginning and end of the transfer and
interrupted only after entire block has been transferred.
 Direct Memory Access needs a special hardware called DMA controller (DMAC) that manages
the data transfers and arbitrates access to the system bus. The controllers are programmed with
source and destination pointers (where to read/write the data), counters to track the number of
transferred bytes, and settings, which includes I/O and memory types, interrupts and states for
the CPU cycles.
 The operating system uses the DMA hardware as follows −

Step Description

1 Device driver is instructed to transfer disk data to a buffer address X.

2 Device driver then instruct disk controller to transfer data to buffer.

3 Disk controller starts DMA transfer.

4 Disk controller sends each byte to DMA controller.

5 DMA controller transfers bytes to buffer, increases the memory address, decreases the counter C
until C becomes zero.
6 When C becomes zero, DMA interrupts CPU to signal transfer completion.

Interrupts I/O
An alternative scheme for dealing with I/O is the interrupt-driven method. An interrupt is a signal to the
microprocessor from a device that requires attention.
A device controller puts an interrupt signal on the bus when it needs CPU’s attention when CPU receives
an interrupt, It saves its current state and invokes the appropriate interrupt handler using the interrupt
vector (addresses of OS routines to handle various events). When the interrupting device has been dealt
with, the CPU continues with its original task as if it had never been interrupted.

Introduction of Deadlock in Operating System

Last Updated: 30-09-2019

A process in operating systems uses different resources and uses resources in following way.
1) Requests a resource
2) Use the resource
2) Releases the resource

Deadlock is a situation where a set of processes are blocked because each process is holding a resource
and waiting for another resource acquired by some other process.
Consider an example when two trains are coming toward each other on same track and there is only one
track, none of the trains can move once they are in front of each other. Similar situation occurs in
operating systems when there are two or more processes hold some resources and wait for resources held
by other(s). For example, in the below diagram, Process 1 is holding Resource 1 and waiting for resource
2 which is acquired by process 2, and process 2 is waiting for resource 1.

Deadlock can arise if following four conditions hold simultaneously (Necessary Conditions)
Mutual Exclusion: One or more than one resource are non-sharable (Only one process can use at a time)
Hold and Wait: A process is holding at least one resource and waiting for resources.
No Preemption: A resource cannot be taken from a process unless the process releases the resource.
Circular Wait: A set of processes are waiting for each other in circular form.

Methods for handling deadlock

There are three ways to handle deadlock
1) Deadlock prevention or avoidance: The idea is to not let the system into deadlock state.
One can zoom into each category individually, Prevention is done by negating one of above mentioned
necessary conditions for deadlock.
Avoidance is kind of futuristic in nature. By using strategy of “Avoidance”, we have to make an
assumption. We need to ensure that all information about resources which process WILL need are known
to us prior to execution of the process. We use Banker’s algorithm (Which is in-turn a gift from Dijkstra)
in order to avoid deadlock.
2) Deadlock detection and recovery: Let deadlock occur, then do preemption to handle it once occurred.
3) Ignore the problem all together: If deadlock is very rare, then let it happen and reboot the system. This
is the approach that both Windows and UNIX take.