CHAPTER 2

MEMORY AND PROCESS

MANAGEMENT

Part 1: Memory Management of OS

Topic :
• Define the function of memory manager.
• Describe the characteristics of the different levels in the hierarchy of
memory organization.
• Describe memory management strategies
• Identify between resident and transient routines.
• Describe the memory swapping technique during system processing.
• Describe fixed-partition memory management as applied in
multiprogramming systems.
• Describe how virtual memory works in relation to the following:
- Segmentation
- Paging
 MEMORY MANAGEMENT

• Memory management is the act of managing computer memory.

• This involves providing ways to allocate portions of memory to
programs at their request and freeing it for reuse when no longer
needed.
 FUNCTION OF MEMORY
MANAGER
• Memory management is done by memory manager.
• Function of memory manager :
• Keep track of which parts of memory are in use and which parts
are not in use
• Allocate memory to processes when they need it and deallocate it
when they are done
• Manage swapping between main memory and disk when main
memory is too small to hold all the processes
 CHARACTERISTICS OF THE DIFFERENT LEVELS
IN THE HIERARCHY OF MEMORY ORGANIZATION

• A 'memory hierarchy' in computer storage distinguishes each level in

the 'hierarchy' by response time. Since response time, complexity,
and capacity are related, the levels may also be distinguished by the
controlling technology.
• There are four major storage levels.
• Internal – Processor registers and cache.
• Main – the system RAM and controller cards.
• On-line mass storage – Secondary storage.
• Off-line bulk storage – Tertiary and Off-line storage.
 REGISTER

CACHE

MAIN MEMORY

SECONDARY STORAGE

TERTIARY STORAGE

Memory Hierarchy
 MEMORY MANAGEMENT
STRATEGIES
• fetch strategy
• The method used to determine which block is to be obtained next.
• Determine when to load and how much to load at a time.
• E.g., demand fetching, anticipated fetching (pre-fetching).
• placement strategy
• The method used to determine where to put a new block
• To determine where information is to be placed.
• E.g., Best-Fit, First-Fit, Worst-Fit
• replacement strategy
• The method used to determine which resident block is to be
displaced.
• Determine which memory area is to be removed under contention
conditions. E.g., FIFO
• 3 algorithm for searching free block for a specific amount of memory:
1) First fit
- Allocate the first free block that is large enough for the new process.
- This a fast algorithm.

2) Best fit
Allocate the smallest block among those that are large enough for the new process.

- OS search entire list, or it can keep it sorted and stop it when it has an entry which has
a size larger than the size of process.
- This algorithm produces the smallest left over block.
3) Worst fit
- Allocate the largest block among those that are large enough for
the new process.
- Search or sorting of the entire list is needed.
- This algorithm produces the largest left over block.
 QUESTION
• Given five (5) logical memory partitions of 100kb, 500kb,
200kb, 300kb, and 600kb (in order). Write a physical memory
partitions using best-fit, first-fit and worst-fit algorithm for
processes of 212kb, 417kb, 112kb and 426kb (in order).
 ANSWER
• Best fit • Worst fit
- 212kb is put in 300kb
- 212kb is put in 600kb
- 417kb is put in 500kb
- 417kb is put in 500kb
- 112kb is put in 200kb
- 426kb is put in 600kb - 112kb is put in 300kb
- 426kb must wait
• First fit
- 212kb is put in 500kb
- 417kb is put in 600kb
- 112kb is put in 200kb
- 426kb must wait
 RESIDENT ROUTINES
• OS is a collection of software routines
• Resident routines (Rutin Tetap)
• The part of a program that must remain in memory at all times.
• Instructions and data that remain in memory can be accessed instantly.
• A routine that stays in the memory eg routines that control physical I/O
and directly support application programs as they run
• One such program might be an anti-virus program. This has given rise to the
term resident protection.
 TRANSIENT ROUTINES
• Transient routines (Rutin Sementara)
• A routine that is stored on disk loaded as needed
• routines that format disks
 RESIDENT & TRANSIENT
ROUTINES
• The operating system is a collection of software routines.

Resident routines Transient routines

Routines that directly Stored on disk and read
support application into memory only when
programs as they run needed
Example: routine that control Example: routine that
physical I/O formats disks
 MEMORY SWAPPING
TECHNIQUE
• Swapping is a simple memory/process management technique used
by the operating system to increase the utilization of the processor by
moving some blocked process from the main memory to the
secondary memory(hard disk);
• Thus forming a queue of temporarily suspended process and the
execution continues with the newly arrived process.
• After performing the swapping process, the operating system has two
options in selecting a process for execution :
• Operating System can admit newly created process (OR)
• Operating system can activate suspended process from the swap
memory.
 Process A enters the main Process B is waiting for execution Process B has higher priority
memory for execution since the main memory is full since it must be executed the
soonest

Process B is swapped in from the The main memory now has Process A is swapped out from
disk to main memory empty spaces for other process the main memory to the disk

Process B has finished execution Process A enters the main

and is swapped out to disk memory again to continue
execution
 FIXED-PARTITION MEMORY
MANAGEMENT
• The simplest approach to managing memory for multiple, concurrent
programs.

On many systems,
multiple
programs are loaded into
memory and executed
concurrently.
 FIXED-PARTITION MEMORY
MANAGEMENT

• Divides the available space into fixed-length partitions, each of which

holds one program.
• Partition sizes are generally set when the system is initially started, so the
memory allocation decision is made before the actual amount of space
needed by a given program is known.
• Advantages:
- Its major advantage is simplicity
• Disadvantages:
- Because the size of a partition must be big enough to hold the largest
program that is likely to be loaded,
fixed-partition memory management wastes space
 FIXED-PARTITION MEMORY
MANAGEMENT
Fixed-partition memory
management divides
the
available space into
fixed length
partitions each of
which holds one
program.

Fixed-partition memory
management structure diagram
 VIRTUAL MEMORY

• The word virtual means “not in actual fact.”

• To the programmer or user, virtual memory acts just like real
memory, but it isn’t real memory.
• Virtual memory is a model that holds space for the operating system
and several application programs.
• The operating system and selected pages occupy real memory.
• Application programs are stored on an external paging device.
 SEGMENTATION
• With segmentation, programs are
divided into variable size segments,
instead of fixed size pages.
• Every logical address is formed of a
segment name and an offset within that
segment.
• In practice, segments are numbered.
• Programs are segmented automatically
by compiler or assembler.
 SEGMENTATION
• For logical to physical address mapping, a segment table is used.

• When a logical address <s, d> is generated by processor:

1) Base and limit values corresponding to segment s are determined
using the segment table.
2) The OS checks whether d is in the limit. ( 0=<limit)
3) If so, then the physical address is calculated as ( based + d), and
the memory is accessed.
SEGMENTATION
Dynamic address
translation.
To dynamically translate
a segment address to an
absolute address:
1) Break the address into
segment
and displacement
portions
2) Use the segment
number to find the
segment’s absolute entry
point address in a
program segment table
3) Add the displacement
to the entry point
address.
 PAGING
• A program’s segments can vary in length.

• Under paging, a program is broken into fixed-length pages. Page size is

generally small (perhaps 2K to 4K), and chosen with hardware efficiency
in mind.

• Like segments, a program’s pages are loaded into noncontiguous

memory.

• Addresses consist of two parts , a page number in the high-order

positions and a displacement in the low-order bits.

 Addresses are dynamically translated as the program runs. When an

instruction is fetched, its base-plus displacement addresses are
expanded to absolute addresses by hardware.

 Then the page’s base address is looked up in a program page table (like
the segment table, maintained by the operating system) and added to the
displacement.
 PAGING
• Advantages:
1. Address translation: each task has the same virtual address

2. Address translation: turns fragmented physical addresses into

contiguous virtual addresses

3. Memory protection

4. Demand loading (prevents big load on CPU when a task first starts
running, conserves memory)

5. Memory mapped files

6. Virtual memory swapping (lets system degrade gracefully when

memory required exceeds RAM size)
 SEGMENTATION AND PAGING
1) With segmentation and paging, addresses are divided into a
segment number, a page number within that segment, and a
displacement within that page.
2) After the instruction control unit expands the relative address,
dynamic address translation begins.
3) First, the program’s segment table is searched for the segment
number, which yields the address of the segment’s page table.
4) The page table is then searched for the page’s base address, which is
added to the displacement to get an absolute address.
SEGMENTATION AND PAGING
Part 2: Process Management in
OS
Topics:
 Explain the major system resource types within a computer system.
 Describe the various process states.
 Describe the life cycle of a process.
 Describe how the scheduling process is performed by an OS.
 Describe the role of interrupt in process management.
 Define the purpose of CPU scheduler.
 Differentiate between preemptive and non-preemptive technique in scheduling.
 Draw the following scheduling algorithms.
 Calculate the AWT of the following scheduling.
 Identify the appropriate scheduling criteria.
 Calculate the appropriate scheduling criteria.
 State the definition of threads.
 Describe the benefits of multithreading.
 Describe threads relationship to process.
 MAJOR SYSTEM RESOURCE TYPES
CPU
Time
The amount of time for
which a CPU was used for
processing instructions of
a computer program or OS
Measured in clock ticks or
seconds.
WITHIN A COMPUTER SYSTEM
Hard disk
Memory
space
Also known as “hard
Refers to RAM inside the drive”.
computer. RAM consists Disk space refers to how
of small chips also known much space have available
as memory modules. on hard disk for storing
files.
Computers uses RAM to When user save a
store actively running document or install a new
programs on the computer, program, it gets stored on
including the OS. user hard disk.
Network throughput
The rate of production or the rate at
which something can be processed.
In communication networks,
throughput is essentially
synonymous to digital bandwidth
consumption
Electrical power
Power management is a feature of
some electrical appliances,
especially copiers, computers and
computer peripherals such as
monitors and printers, that turns off
the power or switches the system to
a low-power state when inactive.
CONT…
External devices
Computer hardware is the physical
parts or components of a computer,
such as the monitor, mouse,
keyboard, computer data storage, ,
hard disk drive (HDD), graphic
cards, sound cards, memory,
motherboard and so on.
I/O operation
Is the communication between an
information processing system such
as a computer and the outside
world, possibly a human or another
information processing system.
 PROCESS STATE
• A program execution, process execution must
progress in sequential fashion
• Process include:
1)Program counter
2)Stack
3)Data section
• Process state:
- New: The process is being created
- Running: Instruction are being executed
- Waiting: The process is waiting for some event to
occur
- Ready: The process is waiting to be assigned to
process
- Terminated: The process finished execution
CONT…
 LIFE CYCLE OF
PROCESS
• A process goes through a series of discrete process states such
as below (basic states):

• Running state if it currently has the CPU

• Ready state if it could use a CPU if available
• Blocked state if it is waiting for some event to happen (eg an I/O
completion event)before it can proceed
 CONT…
• During process state transition, 2 types of list are established,
which are :

• Ready list
• Blocked list
 CONT…
• Ready list

• Consists of ready processes

• Is maintained in priority order
• The next process to receive the CPU is the first process in the list
 CONT…
• Blocked list

• Consists of blocked process

• Normally unordered
• Processes will become unblocked in the order in which the events
they are waiting for occur
 PROCESS STATE
TRANSITION
• Dispatching process is a process of assigning CPU to the first
process on the ready list
• (Refer next diagram)
 LIFE CYCLE OF
PROCESS

Running Block
Dispatch

Timer run out

Ready Blocked

Wakeup
 INTERRUPTS
• An interrupt is an electronic signal.
• Hardware senses the signal, saves key control information
for the currently executing program, and starts the operating
system’s interrupt handler routine. At that instant, the
interrupt ends.
• The operating system then handles the interrupt.
• Subsequently, after the interrupt is processed, the dispatcher
starts an application program.
• Eventually, the program that was executing at the time of
the interrupt resumes processing.
 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
 CPU SCHEDULING

• Types of scheduling:

 long-term scheduling

 Medium-term scheduling

 Short-term scheduling
 Long-term Scheduling
• Determine which programs admitted to system for
processing - controls degree of multiprogramming
• Once admitted, program becomes a process, either:
– added to queue for short-term scheduler
– swapped out (to disk), so added to queue for medium-term
scheduler
 Medium –Term Scheduling
• Part of swapping function between main memory and disk
- based on how many processes the OS wants available at any
one time
- must consider memory management if no virtual memory
(VM), so look at memory requirements of swapped out
processes
 Short –Term Scheduling
(Dispatcher)
• Executes most frequently, to decide which process to
execute next
– Invoked whenever event occurs that interrupts current
process or provides an opportunity to preempt current one in
favor of another
– Events: clock interrupt, I/O interrupt, OS call, signal
 CPU SCHEDULER
• Preemptive scheduling policy interrupts processing of a job and
transfers the CPU to another job.
- The process may be pre-empted by the operating system when:
1)a new process arrives (perhaps at a higher priority), or
2)an interrupt or signal occurs, or
3)a (frequent) clock interrupt occurs.

• Non-preemptive scheduling policy functions without external

interrupts.
- once a process is executing, it will continue to execute until
it terminates, or
- it makes an I/O request which would block the process, or
- it makes an operating system call.
 SCHEDULING
ALGORITHMS:

• First in first out(FIFO)

• Round robin scheduling (RR)
• Shortest job first (SJF)
• Priority (P)
• Multilevel queue (MLQ)
• Multilevel feedback queue (MLFQ)
 CPU SCHEDULING
• Types of scheduling algorithm:
Basic strategies
1)First In First Out (FIFO)
2)Shortest Job First (SJF)
3)Round Robin (RR)
4)Priority

Combined strategies
5)Multi-level queue
6)Multi-level feedback queue
 First In First Out(FIFO)
• The simplest scheduling discipline
• Processes are dispatched according to their arrival time on the
ready queue
• Process that has the CPU will run until complete
• Non preemptive scheduling algo.
 First In First Out(FIFO)
• Disadvantage:
• Long jobs make short jobs wait
• Unimportant jobs make important jobs wait
• Not useful in scheduling interactive users because it does not
guarantee good response times
 First In First Out(FIFO)
• Rarely used as a master scheduling algo but often embedded within
other algo.
• Eg many scheduling algo dispatch processes according to priority
but processes with the same priority are dispatched FIFO
 FIFO
Ready list

Completion
C B A CPU

Running
Block
Dispatch

Timerrunout

Ready Blocked

Wakeup
 First Come First Serve (FCFS)
• Non-preemptive.
• Handles jobs according to their arrival time -- the earlier they
arrive, the sooner they’re served.
• Simple algorithm to implement -- uses a FIFO queue.
• Good for batch systems; not so good for interactive ones.
• Turnaround time is unpredictable.
 Round Robin(RR)
• Process are dispatched FIFO but are given a limited amount of
CPU time(time-slice or quantum)
• If a process does not complete before its CPU time expires, the
CPU is preempted and given to the next waiting process
• The preempted process is placed at the back of the ready list
 Round Robin(RR)
• Advantage:
• Effective in timesharing environments in which the system needs to
guarantee reasonable response times for interactive users
 Round Robin(RR)
Ready list
Completion
(complete within

CPU
CPU time)
A C B A

Preemption
(does not complete
before CPU time
expires)
 Round Robin (RR)
• FCFS with Preemption.
• Used extensively in interactive systems because it’s easy to
implement.
• Isn’t based on job characteristics but on a predetermined
slice of time that’s given to each job.
• Ensures CPU is equally shared among all active
processes and isn’t monopolized by any one job.
• Time slice is called a time quantum
• size crucial to system performance (100 ms to 1-2 secs)
 Shortest Job First(SJF)
• Non preemptive scheduling algorithm
• Process with the smallest estimated run-time-to-completion is run
next
• Advantage :
• Minimize the average waiting time of jobs
• Disadvantage :
• Not useful in timesharing environment
 Shortest Job First (SJF)
• Non-preemptive.
• Handles jobs based on length of their CPU cycle time.
• Use lengths to schedule process with shortest time.
• Optimal – gives minimum average waiting time for a given
set of processes.
• optimal only when all of jobs are available at same time
and the CPU estimates are available and accurate.
• Doesn’t work in interactive systems because users don’t
estimate in advance CPU time required to run their jobs.
 Priority Scheduling(P)
• Non-preemptive.
• Gives preferential treatment to important jobs.
• Programs with highest priority are processed first.
• Aren’t interrupted until CPU cycles are completed or a
natural wait occurs.
• If 2+ jobs with equal priority are in READY queue,
processor is allocated to one that arrived first (first come
first served within priority).
• Many different methods of assigning priorities by system
administrator or by Processor Manager.
 Priority
• A preemptive priority scheduling algorithm will preempt the CPU
if the priority of the newly arrived process is higher than the
priority of the currently running process.
 Priority
• A non preemptive priority scheduling algorithm will simply put the
newly arrived process at the head of the ready queue.
 Priority
• Disadvantage :
• indefinite blocking or process starvation. This can be solved by a
technique called aging wherein we gradually increase the priority of
a long waiting process.
 Multilevel Queue(MLQ)
• Partitions the ready queue into several separate queues.
• The processes are permanently assigned to one queue based on
some property of the process. Eg :
• Interactive process
• Batch process
 Multilevel Queue(MLQ)
• Each queue has its own scheduling algorithm.
• In addition, there must be scheduling between the queues which is
mostly implemented as fixed priority preemptive scheduling
 Multilevel Queue

Ready Queue 1
System Processes
SJF Processor

Ready Queue 2
Interactive Processes Inter queue scheduling (mostly
implemented as fixed priority
RR preemptive scheduling)

Ready Queue 3
Batch Processes

FIFO
Multi-level Queue
Multi-level Queue
 Multilevel Feedback Queue
(MLFQ)
• Has a number of queues, each assigned a different priority level.
• A job that is ready to run can only be on a single queue.
 MULTILEVEL FEEDBACK
QUEUE (MLFQ)
• Uses priorities to decide which job should run at a given time:
• a job with higher priority (i.e., a job on a higherqueue) is the one that
will run.
• If there is more than 1 job with the same priority at a given queue
at the same time.
• roundrobin scheduling is used among those jobs
 Multilevel Feedback Queue
(MLFQ)
• MLFQ varies the priority of a job based on its observed behavior.
Eg:
• If, for example, a job repeatedly release the CPU while waiting for
input from the keyboard, MLFQ will keep its priority high.
• If a job uses the CPU intensively, MLFQ will reduce its priority.
• In this way, MLFQ will try to learn about processes as they run,
and thus use the history of the job to predict its future behavior.
 Multilevel Feedback Queue
(MLFQ)
• Rules of MLFQ:
• Rule 1: If Priority(A) > Priority(B), A will run and B
won’t
• Rule 2: If Priority(A) = Priority(B), both A and B will
be run in round-robin fashion
• Rule 3: When a job enters the system, it is placed at
the highest priority (the topmost queue).
• Rule 4: Once a job uses up its quantum at a given
level (regardless of how many times it has given up
the CPU), its priority is reduced (it moves down one
queue).
• Rule 5: After some time period S, move all the jobs in
the system to the topmost queue
 Multilevel Feedback Queue
Queue 1, quantum = 10 milisec.
Priority 1

Queue 2, quantum = 40 milisec.

Priority 2

Queue 3, FIFO
Priority 3
Multi-level Feedback Queue
(MLFQ)
Multi-level Feedback Queue
(MLFQ) : EXAMPLE
  Scheduling
 A new job enters queue Q0 (RR) and is placed at the end. When it gains the
CPU, the job receives 8 milliseconds. If it does not finish in 8 milliseconds,
the job is moved to the end of queue Q1.

 A Q1 (RR) job receives 16 milliseconds. If it still does not complete, it is

preempted and moved to queue Q2 (FCFS).

Example of
Multilevel
Feedback
Queue
  A thread is a basic unit of CPU utilization; it comprises a thread
ID, a program counter, a register set, and a stack.
 It shares with other threads belonging to the same process its
code section, data section, and other OS resources, such as open
files and signals.
 A traditional process has a single thread of control.
 If a process has multiple threads of control, it can perform more
than one task at a time.

DEFINITION
OF
THREADS
 SINGLE AND
MULTITHREADED PROCESSES
 BENEFITS OF MULTITHREADING

• Responsiveness

• Resource Sharing

• Economy

• Utilization of multiprocessor architectures

 MULTITHREADING
MODELS
• Many-to-One

• One-to-One

• Many-to-Many
 Many-to-one
• Many user-level threads mapped to single kernel thread
• Examples:
• Solaris Green Threads
Many-to-one Model
 One-to-one
• Each user-level thread maps to kernel thread
• Examples
• Windows NT/XP/2000
• Linux
• Solaris 9 and later
One-to-one Model
 Many-to-many Model
• Allows many user level threads to be mapped to many kernel
threads
• Allows the operating system to create a sufficient number of kernel
threads
• Solaris prior to version 9
• Windows NT/2000 with the ThreadFiber package
Many-to-many Model
Part 3: Deadlock Situation In OS
Topic:
Define deadlock.
Describe 4 necessary conditions for a deadlock to occur.
Identify the methods for handling deadlock.
 DEFINITION
• The cause of deadlocks:
- Each process needing what another process has.
- This results from sharing resources such as memory,
devices, links.

• Under normal operation, a resource allocations proceed like

this:
1. Request a resource (suspend until available if necessary )
2. Use the resource.
3. Release the resource.
 BRIDGE CROSSING EXAMPLE

• Traffic only in one direction.

• Each section of a bridge can be viewed as a resource.
• If a deadlock occurs, it can be resolved if one car backs up
(preempt resources and rollback).
• Several cars may have to be backed up if a deadlock occurs.
• Starvation is possible
 DEADLOCK
CHARACTERIZATION
NECESSARY CONDITIONS
ALL of these four must happen simultaneously for a deadlock to occur:

1) Mutual exclusion
One or more than one resource must be held by a process in a non-sharable
(exclusive) mode.
 
2) Hold and Wait
A process holds a resource while waiting for another resource.
 
3) No Preemption
There is only voluntary release of a resource - nobody else can make a
process give up a resource.
 
4) Circular Wait
Process A waits for Process B waits for Process C .... waits for Process A.
 HANDLING DEADLOCK-
GENERAL STRATEGY
There are three methods:
 
Ignore Deadlocks: Most Operating systems do this!!

Ensure deadlock never occurs using either

 
Prevention Prevent any one of the 4 conditions from happening.
 
Avoidance Allow all deadlock conditions, but calculate cycles about to happen and
stop dangerous operations..
 
 
Allow deadlock to happen. This requires using both:
 
Detection Know a deadlock has occurred.
 
Recovery Regain the resources.
 DEADLOCK
PREVENTION
 Do not allow one of the four conditions to occur.

1) Mutual exclusion:
a) Automatically holds for printers and other non-sharables.
b) Shared entities (read only files) don't need mutual exclusion (and aren’t
susceptible to deadlock.)
c) Prevention not possible, since some devices are intrinsically non-
sharable.
 
2) Hold and wait:
a) Collect all resources before execution.
b) A particular resource can only be requested when no others are being
held. A sequence of resources is always collected beginning with the
same one.
c) Utilization is low, starvation possible.
 
Deadlock Prevention
3) No preemption:
 
a) Release any resource already being held if the process can't get an additional
resource.
b) Allow preemption - if a needed resource is held by another process, which is also
waiting on some resource, steal it. Otherwise wait.
 
4) Circular wait:
 
a) Number resources and only request in ascending order.
b) EACH of these prevention techniques may cause a decrease in utilization and/or
resources. For this reason, prevention isn't necessarily the best technique.
c) Prevention is generally the easiest to implement.
 DEADLOCK AVOIDANCE
If we have prior knowledge of how resources will be requested, it's possible to determine if we are
entering an "unsafe" state.
 
Possible states are:
 
Deadlock No forward progress can be made.
 
Unsafe state A state that may allow deadlock.
 
Safe state A state is safe if a sequence of processes exist such that there are enough
resources for the first to finish, and as each finishes and releases its resources
there are enough for the next to finish.
 
The rule is simple: If a request allocation would cause an unsafe state, do not honor that request.
 
NOTE: All deadlocks are unsafe, but all unsafes are NOT deadlocks.
 METHODS FOR
HANDLING DEADLOCKS
• 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.