Unit 2 – Process management

Chapter 3: Processes
 Process Concept
 Process Scheduling
 Operations on Processes
 Inter process Communication
 Process Concept
 An operating system executes a variety of programs:
 Batch system – jobs
 Time-shared systems – user programs or tasks
 Textbook uses the terms job and process almost interchangeably
 Process – a program in execution; process execution must progress in sequential fashion
 Multiple parts
 The program code, also called text section
 Current activity including program counter, processor registers
 Stack containing temporary data
 Function parameters, return addresses, local variables
 Data section containing global variables
 Heap containing memory dynamically allocated during run time
 Process Concept (Cont.)
 Program is passive entity stored on disk (executable file), process is active
 Program becomes process when executable file loaded into memory
 Execution of program started via GUI mouse clicks, command line entry of its name, etc
 One program can be several processes
 Consider multiple users executing the same program
Process in Memory
 Process State

 As a process executes, it changes state

 new: The process is being created
 running: Instructions are being executed
 waiting: The process is waiting for some event to occur
 ready: The process is waiting to be assigned to a processor
 terminated: The process has finished execution
 Process Control Block (PCB)
Information associated with each process
(also called task control block)
 Process state – running, waiting, etc
 Program counter – location of instruction to next execute
 CPU registers – contents of all process-centric registers
 CPU scheduling information- priorities, scheduling queue
pointers
 Memory-management information – memory allocated to the
process
 Accounting information – CPU used, clock time elapsed since
start, time limits
 I/O status information – I/O devices allocated to process, list of
open files
CPU Switch From Process to Process
 Threads
 So far, process has a single thread of
execution
 Consider having multiple program
counters per process
 Multiple locations can execute at once
 Multiple threads of control -> threads
 Must then have storage for thread details,
multiple program counters in PCB
 For example, when a process is running a
word-processor program, a single thread
of instructions is being executed.
 The user cannot simultaneously type in
characters and run the spell checker
within the same process
 Process Scheduling

 Maximize CPU use, quickly switch processes onto CPU for time sharing
 Process scheduler selects among available processes for next execution on
CPU
 Maintains scheduling queues of processes
 Job queue – set of all processes in the system
 Ready queue – set of all processes residing in main memory, ready and waiting to
execute.
 A ready-queue header contains pointers to the first and final PCBs in the list. Each
PCB includes a pointer field that points to the next PCB in the ready queue.
 Device queues – set of processes waiting for an I/O device
 Processes migrate among the various queues
The stages a process goes through are:
•A new process first goes in the Ready queue, where it waits for execution or to be
dispatched.
•The CPU gets allocated to one of the processes for execution.
•The process issues an I/O request, after which an OS places it in the I/O queue.
•The process then creates a new subprocess and waits for its termination.
•If removed forcefully, the process creates an interrupt. Thus, once this interrupt
completes, the process goes back to the ready queue.
Two-State Process Model
There are two states in the two-state process model, namely,
running state and non-running state.
1. Running: A new process enters into the system in running state,
after creation.
2. Not Running: The not running processes are stored in a queue
until their turn to get executed arrives and each entry in the queue
points to a particular process. The queue can be implemented using
a linked list.
If a process has been completed or aborted, the OS discards it and if
it is interrupted, then the OS transfers it to the waiting queue.
Irrespective of either case, the dispatcher then selects a process from
the queue to execute.
 Schedulers in OS
 A scheduler is a special type of system software that handles process
scheduling in numerous ways.
 It mainly selects the jobs that are to be submitted into the system and decides
whether the currently running process should keep running or not. If not then
which process should be the next one to run. A scheduler makes a decision:
 When the state of the current process changes from running to waiting due to
an I/O request or some unsatisfied OS.
 If the current process terminates.
 When the scheduler needs to move a process from running to ready state as it
has already run for its allotted interval of time.
 When the requested I/O operation is completed, a process moves from the
waiting state to the ready state. So, the scheduler can decide to replace the
currently-running process with a newly-ready one.
 Schedulers
 Short-term scheduler (or CPU scheduler) – selects which process should be executed next and
allocates CPU
 Sometimes the only scheduler in a system
 Short-term scheduler is invoked frequently (milliseconds)  (must be fast)
 Long-term scheduler (or job scheduler) – selects which processes should be brought into the ready
queue
 Long-term scheduler is invoked infrequently (seconds, minutes)  (may be slow)
 The long-term scheduler controls the degree of multiprogramming
 Processes can be described as either:
 I/O-bound process – spends more time doing I/O than computations, many short CPU bursts
 CPU-bound process – spends more time doing computations; few very long CPU bursts
 Long-term scheduler strives for good process mix
 Medium Term Scheduler:
 Medium-term scheduling removes processes from the memory and is a part of
swapping. It reduces the degree of multiprogramming and is in-charge of handling the
swapped out processes. Swapping is necessary to improve the process mix.
S.No. Long-Term Scheduler Short-Term Scheduler Medium-Term Scheduler
A process swapping
1. A job scheduler A CPU scheduler
scheduler
Speed is between the other
2. Slowest speed Fastest Speed
two

Controls the degree of Provides less control over the Reduces the degree of
3.
multiprogramming degree of multiprogramming multiprogramming

Absent or minimal in the time-sharing

4. Minimal in time-sharing OS Part of time-sharing OS
OS
Re-introduces processes
Selects a process from pool and loads Selects a process that is ready
5. into memory for continued
it into memory for execution for execution
execution
 Multitasking in Mobile Systems
 Some mobile systems (e.g., early version of iOS) allow only one process to run,
others suspended
 Due to screen real estate, user interface limits iOS provides for a
 Single foreground process- controlled via user interface
 Multiple background processes– in memory, running, but not on the display, and with
limits
 Limits include single, short task, receiving notification of events, specific long-running
tasks like audio playback
 Android runs foreground and background, with fewer limits
 Background process uses a service to perform tasks
 Service can keep running even if background process is suspended
 Service has no user interface, small memory use
 Context Switch
 When CPU switches to another process, the system must save the state of the old
process and load the saved state for the new process via a context switch
 Context of a process represented in the PCB
 Context-switch time is overhead; the system does no useful work while switching
 The more complex the OS and the PCB  the longer the context switch
 Time dependent on hardware support
 Some hardware provides multiple sets of registers per CPU  multiple contexts loaded
at once
 Operations on Processes
 System must provide mechanisms for:
 process creation,
 process termination,
 and so on as detailed next
 Process Creation
 Parent process create children processes, which, in turn
create other processes, forming a tree of processes
 Generally, process identified and managed via a process
identifier (pid)
 Resource sharing options
 Parent and children share all resources
 Children share subset of parent’s resources
 Parent and child share no resources
 Execution options
 Parent and children execute concurrently
 Parent waits until children terminate
A Tree of Processes in Linux
 Process Creation (Cont.)
 Address space
 Child duplicate of parent
 Child has a program loaded into it
 UNIX examples
 fork() system call creates new process
 exec() system call used after a fork() to replace the process’
memory space with a new program
C Program Forking Separate Process
Creating a Separate Process via Windows API
 Process Termination
 Process executes last statement and then asks the operating
system to delete it using the exit() system call.
 Returns status data from child to parent (via wait())
 Process’ resources are deallocated by operating system
 Parent may terminate the execution of children processes using
the abort() system call. Some reasons for doing so:
 Child has exceeded allocated resources
 Task assigned to child is no longer required
 The parent is exiting and the operating systems does not allow a
child to continue if its parent terminates
 Process Termination

 Some operating systems do not allow child to exists if its parent has
terminated. If a process terminates, then all its children must also be
terminated.
 cascading termination. All children, grandchildren, etc. are
terminated.
 The termination is initiated by the operating system.
 The parent process may wait for termination of a child process by
using the wait()system call. The call returns status information
and the pid of the terminated process
pid = wait(&status);
 If no parent waiting (did not invoke wait()) process is a zombie
 If parent terminated without invoking wait , process is an orphan
 Multiprocess Architecture – Chrome Browser

 Many web browsers ran as single process (some still do)

 If one web site causes trouble, entire browser can hang or crash
 Google Chrome Browser is multiprocess with 3 different types of processes:
 Browser process manages user interface, disk and network I/O
 Renderer process renders web pages, deals with HTML, Javascript. A new renderer
created for each website opened
 Runs in sandbox restricting disk and network I/O, minimizing effect of security exploits
 Plug-in process for each type of plug-in
 Interprocess Communication
 Processes within a system may be independent or cooperating
 Cooperating process can affect or be affected by other processes, including sharing data
 Reasons for cooperating processes:
 Information sharing
 Computation speedup
 Modularity
 Convenience
 Cooperating processes need interprocess communication (IPC)
 Two models of IPC
 Shared memory
 Message passing
 Communications Models
(a) Message passing. (b) shared memory.
 Cooperating Processes
 Independent process cannot affect or be affected by the execution of another process
 Cooperating process can affect or be affected by the execution of another process
 Advantages of process cooperation
 Information sharing
 Computation speed-up
 Modularity
 Convenience
 Interprocess Communication – Shared Memory

 An area of memory shared among the processes that wish to communicate

 The communication is under the control of the users processes not the
operating system.
 Major issues is to provide mechanism that will allow the user processes to
synchronize their actions when they access shared memory.
 Interprocess Communication – Message Passing

 Mechanism for processes to communicate and to synchronize their actions

 Message system – processes communicate with each other without resorting to shared
variables

 IPC facility provides two operations:

 send(message)
 receive(message)

 The message size is either fixed or variable

 Message Passing (Cont.)

 If processes P and Q wish to communicate, they need to:

 Establish a communication link between them
 Exchange messages via send/receive
 Implementation issues:
 How are links established?
 Can a link be associated with more than two processes?
 How many links can there be between every pair of communicating processes?
 What is the capacity of a link?
 Is the size of a message that the link can accommodate fixed or variable?
 Is a link unidirectional or bi-directional?
 Message Passing (Cont.)

 Implementation of communication link

 Physical:
 Shared memory
 Hardware bus
 Network
 Logical:
 Direct or indirect
 Synchronous or asynchronous
 Automatic or explicit buffering
 Direct Communication
 Processes must name each other explicitly:
 send (P, message) – send a message to process P
 receive(Q, message) – receive a message from process Q
 Properties of communication link
 Links are established automatically
 A link is associated with exactly one pair of communicating processes
 Between each pair there exists exactly one link
 The link may be unidirectional, but is usually bi-directional
 Indirect Communication
 Messages are directed and received from mailboxes (also referred to as ports)
 Each mailbox has a unique id
 Processes can communicate only if they share a mailbox
 Properties of communication link
 Link established only if processes share a common mailbox
 A link may be associated with many processes
 Each pair of processes may share several communication links
 Link may be unidirectional or bi-directional
 Indirect Communication
 Operations
 create a new mailbox (port)
 send and receive messages through mailbox
 destroy a mailbox
 Primitives are defined as:
send(A, message) – send a message to mailbox A
receive(A, message) – receive a message from mailbox A
 Indirect Communication
 Mailbox sharing
 P1, P2, and P3 share mailbox A
 P1, sends; P2 and P3 receive
 Who gets the message?
 Solutions
 Allow a link to be associated with at most two processes
 Allow only one process at a time to execute a receive
operation
 Allow the system to select arbitrarily the receiver. Sender is
notified who the receiver was.
 Synchronization
 Message passing may be either blocking or non-blocking
 Blocking is considered synchronous
 Blocking send -- the sender is blocked until the message is received
 Blocking receive -- the receiver is blocked until a message is
available
 Non-blocking is considered asynchronous
 Non-blocking send -- the sender sends the message and continue
 Non-blocking receive -- the receiver receives:
 A valid message, or
 Null message
 Different combinations possible
 If both send and receive are blocking, we have a rendezvous
 Synchronization (Cont.)
 Producer-consumer becomes trivial

message next_produced;
while (true) {
/* produce an item in next produced */
send(next_produced);
}

message next_consumed;
while (true) {
receive(next_consumed);

/* consume the item in next consumed */

}
 Buffering

 Queue of messages attached to the link.

 implemented in one of three ways
1. Zero capacity – no messages are queued on a link.
Sender must wait for receiver (rendezvous)
2. Bounded capacity – finite length of n messages
Sender must wait if link full
3. Unbounded capacity – infinite length
Sender never waits
 Examples of IPC Systems - POSIX
 POSIX Shared Memory
 Process first creates shared memory segment
shm_fd = shm_open(name, O CREAT | O RDWR, 0666);
 Also used to open an existing segment to share it
 Set the size of the object
ftruncate(shm fd, 4096);
 Now the process could write to the shared memory
sprintf(shared memory, "Writing to shared
memory");
IPC POSIX Producer
IPC POSIX Consumer
 Examples of IPC Systems - Mach
 Mach communication is message based
 Even system calls are messages
 Each task gets two mailboxes at creation- Kernel and Notify
 Only three system calls needed for message transfer
msg_send(), msg_receive(), msg_rpc()
 Mailboxes needed for commuication, created via
port_allocate()
 Send and receive are flexible, for example four options if mailbox full:
 Wait indefinitely
 Wait at most n milliseconds
 Return immediately
 Temporarily cache a message
 Examples of IPC Systems – Windows

 Message-passing centric via advanced local procedure call

(LPC) facility
 Only works between processes on the same system
 Uses ports (like mailboxes) to establish and maintain
communication channels
 Communication works as follows:
 The client opens a handle to the subsystem’s connection port object.
 The client sends a connection request.
 The server creates two private communication ports and returns the
handle to one of them to the client.
 The client and server use the corresponding port handle to send
messages or callbacks and to listen for replies.
Local Procedure Calls in Windows
 Communications in Client-Server Systems

 Sockets
 Remote Procedure Calls
 Pipes
 Remote Method Invocation (Java)
 Sockets
 A socket is defined as an endpoint for communication

 Concatenation of IP address and port – a number included at

start of message packet to differentiate network services on a
host

 The socket 161.25.19.8:1625 refers to port 1625 on host

161.25.19.8

 Communication consists between a pair of sockets

 All ports below 1024 are well known, used for standard services

 Special IP address 127.0.0.1 (loopback) to refer to system on

which process is running
Socket Communication
 Sockets in Java

 Three types of sockets

 Connection-oriented
(TCP)
 Connectionless (UDP)
 MulticastSocket
class– data can be sent to
multiple recipients

 Consider this “Date” server:

 Remote Procedure Calls
 Remote procedure call (RPC) abstracts procedure calls
between processes on networked systems
 Again uses ports for service differentiation
 Stubs – client-side proxy for the actual procedure on the
server
 The client-side stub locates the server and marshalls the
parameters
 The server-side stub receives this message, unpacks the
marshalled parameters, and performs the procedure on the
server
 On Windows, stub code compile from specification written in
Microsoft Interface Definition Language (MIDL)
 Remote Procedure Calls (Cont.)
 Data representation handled via External Data
Representation (XDL) format to account for different
architectures
 Big-endian and little-endian
 Remote communication has more failure scenarios than local
 Messages can be delivered exactly once rather than at most
once
 OS typically provides a rendezvous (or matchmaker)
service to connect client and server
Execution of RPC
 Pipes
 Acts as a conduit allowing two processes to communicate
 Issues:
 Is communication unidirectional or bidirectional?
 In the case of two-way communication, is it half or full-duplex?
 Must there exist a relationship (i.e., parent-child) between the
communicating processes?
 Can the pipes be used over a network?
 Ordinary pipes – cannot be accessed from outside the process
that created it. Typically, a parent process creates a pipe and
uses it to communicate with a child process that it created.
 Named pipes – can be accessed without a parent-child
relationship.
 Ordinary Pipes
 Ordinary Pipes allow communication in standard producer-consumer style
 Producer writes to one end (the write-end of the pipe)
 Consumer reads from the other end (the read-end of the pipe)
 Ordinary pipes are therefore unidirectional
 Require parent-child relationship between communicating processes

 Windows calls these anonymous pipes

 See Unix and Windows code samples in textbook
 Named Pipes

 Named Pipes are more powerful than ordinary pipes

 Communication is bidirectional
 No parent-child relationship is necessary between the
communicating processes
 Several processes can use the named pipe for communication
 Provided on both UNIX and Windows systems
 CPU SCHEDULING
BASIC CONCEPTS
 Multiprogramming – maximize CPU
utilization
 CPU AND I/O BURST CYCLE
CPU BURST CYCLE
 Process execution consists
of cycle of CPU execution
and I/O wait.
 Processes alternate
between these two states.
 LONG TERM SCHEDULAR -
CPU SCHEDULAR
 It brings the new process to the ‘Ready State’.
 It controls the Degree of Multi-programming,
 SHORT TERM SCHEDULAR:
 It is responsible for selecting one process from the ready
state for scheduling it on the running state.
 The dispatcher is responsible for loading the process
selected by the Short-term scheduler on the CPU
(Ready to Running State).
 Context switching is done by the dispatcher only. A
dispatcher does the following:
 Switching context.
 Switching to user mode.
 Jumping to the proper location in the newly loaded
program.
 MID TERM SCHEDULAR:
 It is responsible for suspending and resuming the process.
 PREEMPTIVE SCHEDULING
 Scheduling takes place under these circumstances :

Non-Preemptive

Pre-emptive

Pre-emptive

Non-Preemptive

Pre-emptive : Non-preemptive:
In this case, the OS assigns resources to a process for a In this case, a process’s resource cannot be taken before the
predetermined period of time. process has finished running.
The process switches from running state to ready state or When a running process finishes and transitions to a waiting
from waiting state to ready state during resource allocation. state, resources are switched.
This switching happens because the CPU may give other
processes priority and substitute the currently active process for
the higher priority process.
 Scheduling criteria
 Maximize:
 CPU utilization - It makes sure that the CPU is operating at
its peak and is busy.
 Throughput - It is the number of processes that complete
their execution per unit of time.
 Minimize:
 Waiting time- It is the amount of waiting time in the queue.
 Response time- Time retired for generating the first request
after submission.
 Turnaround time- It is the amount of time required to
execute a specific process.
 TurnAround Time=Compilation time − Arrival time.
Types of scheduling algorithms
 FIRST COME FIRST SERVED SCHEDULING
• The process requests the CPU first is allocated the CPU first.
PROCESS BURST TIME
• FIFO QUEUE. P1 24
• When the CPU is free it is allocated to the process at the head of the
queue. P2 3
In case of a tie, process with smaller process id is executed first. P3 3
It is always non-preemptive in nature.
It suffers from convoy effect.

P1 P2
P3

0 24 27 30
 FCFS SCHEDULING
ADVANTAGES
 It is an easy algorithm to implement since it
does not include any complex way.
 Every task should be executed
simultaneously as it follows FIFO queue.
 FCFS does not give priority to any random
important tasks first so it’s a fair
scheduling.
DISADVANTAGES
 FCFS results in convoy effect which means if a
process with higher burst time comes first in the
ready queue then the processes with lower burst
time may get blocked and that processes with
lower burst time may not be able to get the CPU
if the higher burst time task takes time forever.
 If a process with long burst time comes in the line
first then the other short burst time process have
to wait for a long time, so it is not much good as
time-sharing systems.
 Since it is non-preemptive, it does not release the
CPU before it completes its task execution
completely.
 SHORTEST JOB FIRST
 This algorithm associates with each process the length of the process’s next CPU burst.
 When the CPU is available, it is assigned to the process that has the smallest next CPU burst.
 If the next CPU bursts of two processes are the same, FCFS scheduling is used to break the tie.

PROCESS BURST TIME

P1 6
P2 8
P3 7
P4 3
 TYPES

•Preemptive mode of Shortest Job First is called as Shortest

Remaining Time First (SRTF).
 PROBLEM 2-NON –PREEMPTIVE
Arrival Process Id Exit time Turn Around time Waiting time
Process Id Burst time
time
P1 7 7–3=4 4–1=3
P1 3 1
P2 16 16 – 1 = 15 15 – 4 = 11
P2 1 4
P3 9 9–4=5 5–2=3
P4 6 6–0=6 6–6=0
P3 4 2

P5 12 12 – 2 = 10 10 – 3 = 7
P4 0 6

P5 2 3

•Average Turn Around time =

• (4 + 15 + 5 + 6 + 10) / 5 = 40 / 5 = 8 unit
•Average waiting time =
• (3 + 11 + 3 + 0 + 7) / 5 = 24 / 5 = 4.8 unit
 Consider the set of 3 processes whose arrival time and burst time are given
below-If the CPU scheduling policy is SJF preemptive, calculate the average
waiting time and average turn around time.

Pr
oc
es
Arrival
Burst time TAT WT
s
time CT CT-AT TAT-BT
Id

P1 0 9

P2 1 4

P3 2 9
 Consider the set of 5 processes whose arrival time and burst time are given
below- If the CPU scheduling policy is SJF preemptive, calculate the average
waiting time and average turn around time.

Pr
oc
es
Arrival
Burst time TAT WT
s
time CT CT-AT TAT-BT
Id

P1 3 1

P2 1 4

P3 4 2

P4 0 6

P5 2 3
 SJF
ADVANTAGES
 SRTF is optimal and guarantees the minimum
average waiting time.
 It provides a standard for other algorithms
since no other algorithm performs better than
it.
DISADVANTAGES
 It can not be implemented practically since
burst time of the processes can not be known in
advance.
 It leads to starvation for processes with larger
burst time.
 Priorities can not be set for the processes.
 Processes with larger burst time have poor
response time.
 Round Robin scheduling algorithm
 Round Robin is a CPU scheduling algorithm where each process is assigned a fixed time slot
in a cyclic way. It is basically the preemptive version of First come First Serve CPU Scheduling
algorithm.
 Round Robin CPU Algorithm generally focuses on Time Sharing technique.
 The period of time for which a process or job is allowed to run in a pre-emptive method is
called time quantum.
 Each process or job present in the ready queue is assigned the CPU for that time quantum, if the
execution of the process is completed during that time then the process will end else the process
will go back to the waiting table and wait for its next turn to complete the execution.
 Characteristics of Round Robin CPU Scheduling

 It is simple, easy to implement, and starvation-free as all processes get fair share of CPU.
 One of the most commonly used technique in CPU scheduling as a core.
 It is preemptive as processes are assigned CPU only for a fixed slice of time at most.
 The disadvantage of it is more overhead of context switching.
 Advantages of Round Robin CPU Scheduling Algorithm:
 There is fairness since every process gets equal share of CPU.
 The newly created process is added to end of ready queue.
 A round-robin scheduler generally employs time-sharing, giving each job a time slot or
quantum.
 While performing a round-robin scheduling, a particular time quantum is allotted to different
jobs.
 Each process get a chance to reschedule after a particular quantum time in this scheduling.
 Disadvantages of Round Robin CPU Scheduling Algorithm:
 There is Larger waiting time and Response time.
 There is Low throughput.
 There is Context Switches.
 Gantt chart seems to come too big (if quantum time is less for scheduling. For Example:1 ms
for big scheduling.)
 Time consuming scheduling for small quantum.
 If the CPU scheduling policy is Round Robin with time quantum = 2 unit, calculate the average waiting time and average turn around time.

Process Id Arrival time Burst time

P1 0 5
P2 1 3
P3 2 1
P4 3 2
P5 4 3

Ready Queue-
P5, P1, P2, P5, P4, P1, P3, P2, P1
 PRIORITY SCHDEULING
 Priority scheduling is a preemptive algorithm or 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.
1. Title
2. Introduction
3. Methodology
4. Description
5. Background information
6. Findings
7. Conclusion
SUBMIT BEFORE 25-09-2023
8. Reference
9. Appendix
 Priority Scheduling
Preemptive Non - Preemptive
Arrival Burst
Process Priority
Time Time
P1 0 8 3
P2 1 1 1
P3 2 3 2
P4 3 2 3
P5 4 6 4
 PRIORITY NON PREEMPTIVE
PRIORITY PREEMPTIVE SCHEDULING
SCHEDULING

If a process with higher priority than the process currently Once resources are allocated to a process, the process
being executed arrives, the CPU is preemeted and given to holds it till it completes its burst time even if a process
the higher priority process. with higher priority is added to the queue.

Preemptive scheduling is more flexible. Non-preemptive scheduling is rigid.

The waiting time for the process having the highest The waiting time for the process having the highest
priority will always be zero. priority may not be zero.

It is more expensive and difficult to implement. Also a lot It is cheaper to implement and faster as less switching is
of time is wasted in switching. required.

It is useful in applications where high priority processes It can be used in various hardware applications where
cannot be kept waiting. waiting will not cause any serious issues.
 Deadlock
 Every process needs some resources to complete its execution. However, the resource is granted in a
sequential order.
 The process requests for some resource.
 OS grant the resource if it is available otherwise let the process waits.
 The process uses it and release on the completion.
 A Deadlock is a situation where each of the computer process waits for a resource which is
being assigned to some another process. In this situation, none of the process gets executed
since the resource it needs, is held by some other process which is also waiting for some other
resource to be released.
Deadlock Starvation
Deadlock is a situation where no process got blocked and Starvation is a situation where the low priority process
no process proceeds got blocked and the high priority processes proceed.

Deadlock is an infinite waiting. Starvation is a long waiting but not infinite.

Every Deadlock is always a starvation. Every starvation need not be deadlock.

The requested resource is blocked by the other process. The requested resource is continuously be used by the
higher priority processes.

Deadlock happens when Mutual exclusion, hold and It occurs due to the uncontrolled priority and resource
wait, No preemption and circular wait occurs management.
simultaneously.
 Necessary conditions for Deadlocks

 Mutual Exclusion
 A resource can only be shared in mutually exclusive manner. It implies, if two process cannot use
the same resource at the same time.
 Hold and Wait
 A process waits for some resources while holding another resource at the same time.
 No preemption
 The process which once scheduled will be executed till the completion. No other process can be
scheduled by the scheduler meanwhile.
 Circular Wait
 All the processes must be waiting for the resources in a cyclic manner so that the last process is
waiting for the resource which is being held by the first process.
 MUTUAL EXCLUSION
 Consider the following scenario in which
process P1 and P2 both are having at least one
resource.
 (P1 is having tape drive and P2 is having
printer) and both resources are non-
shareable.
 If process P1 requires printer to complete its
task then it must have to wait till printer is
released but printer is allocated to process P2
which is also waiting for tapee drive to finish
its job so both process are waiting for each
other to finish so it will lead to the creation of
DEADLOCK.
 HOLD AND WAIT
 A process must have at least one resource and waiting for other
resources which are allocated to other waiting processes.
 In our example P1 has tape drive and is waiting for printer
which is held by P2.
 P1 can only finish if printer released by P2 which is not
possible as P2 is waiting for tape drive so here, hold and wait
condition becomes true and we can say system is in a deadlock
state.
 If any process holds any resource but does not waiting for
any resource than that process can complete its execution
and will release its all resources that can be assigned to
other waiting processes later and hence all process will be
completed and no deadlock will be created.
 So for the deadlock to occur both hold and wait condition must
be true simultaneously.
 NO PREEMPTION
 Resources cannot be preempted; that means
a resource cannot be force fully deallocated
and it can be released only by the process
voluntarily after completing its task.
 If resources are preempted then it can be
forcefully deal located and given to the
process waiting for that and hence no
deadlock will exist in the system.
 CIRCULAR WAIT
 There must exist a set of waiting processes
(P0,P1,P2,…Pn) such that P0 is waiting for
resource held by P1, p1 is waiting for a resource
held by p2,…..Pn-1 is waiting for a resource held
by Pn and Pn is waiting for resource held by P0.
 In our example, we can see that circular wait is
exist as P1 is waiting for P2 and P2 is waiting for
P1 to complete.
 All four conditions must be true simultaneously
to occur a deadlock.
 The circular wait condition also implies the hold
and wait condition so all four conditions are
interdependent.
METHODS HANDLING DEADLOCK
 UNIT 4
FILE HANDLING SYSTEM
 WHAT IS A FILE?
 A file is the most important and basic entity for data storage.
 Going to learn:
 concept of a file
 different attributes of file
 types of file
 how a file is useful for the operating system.
 Introduction to file
 File is a logical storage unit.
 Computer store information on different storage area such as magnetic disk, tap drives etc.
 These storage devices are usually of non-volatile type that means contents are stored despite of power failure.
 It is a named collection of related information that is recorded on secondary storage. It is the smallest allotment of logical secondary
storage as per the user’s point of view.
 File may represent programs or data.
 Data files may be numeric, alphabetic, alphanumeric or binary.
 In general a file is a sequence of bits, bytes, lines or records whose meaning is defined by the file creator.
 A file can store different information such as source program, object program, executable program, numeric data/text, database
records, Graphic Image etc.
 Each file has certain structure according to its type.
 A text file is represented as a sequence of characters organized into lines.
 A source file is a sequence of sub routines and functions.
 An object file is a sequence of bytes organized into block which is understandable by system linker. Usually it has
the .obj extension.
 Executable file is a series of binary code that can be executed by the CPU. It has the .exe extension.
 Types of file
 A text file is a sequence of characters organized into lines (and possibly pages).
 A source file is a sequence of functions, each of which is further organized as declarations
followed by executable statements.
 An executable file is a series of code sections that the loader can bring into memory and execute
 More types of files
FILES EXTENSION FUNCTIONS
Executable .exe, .com, bin, none. Need to run m/c lang .prg

Object .o, .obj Compile, m/c Lang; non linked

Source code .c, .cc, .java, .asm, .a, .pas Source code in various Lang

Batch file .bat, .sh Commands used for interpreting by o/s

Text .txt, .rtf, .doc Textual data documents

Word file .wp, .tex, .ry, .doc Various word processor formats

Library .lib, .a, .so, .dll, .mpeg, .mov, .rm Libraries routine for programs
Archive .arc, .zip, rar Related files
Binary file with audio, video
Multimedia .mpeg, .mov, .rm, mp4, mkv
information
 File attributes
 File Attributes
 File attributes specifies properties of the file
 It also defines behavior of any file.
 A file can be referred by its name.
 A name is usually a string of characters such as example.c
 Some system treats upper and lower case character names differently while other systems
consider them to be equivalent.
 A file has certain attributes that vary from the o/s to o/s.
 Common attributes
 Name: Symbolic file name is the only information which is in human readable form.
 Type: It indicates the type of the file such as text, binary, object etc.
 Location: It is a pointer to the location of the file where a file is stored.
 Size: It determines the current size of the file. (bytes, blocks)
 Protection: It provides access control information to a user who can read write and execute it.
 Date, Time and User Identifier: It provides the information about the file creation date/time,
last modification and last used date/time. It is helpful for security and usage monitoring.
 File operations
 A file is an abstract data type. To define a file properly, we need to consider the operation
performed on the file.
 Operating System can provide system calls to

 create, write, read, reposition, delete and truncate

files.
 Creating a File
Creation of a file is the first operation. For creating a file two steps are necessary.
Required space must be allocated.
An entry for new file must be made in the directory.
The directory entry records the name of the file and the location in the file system.
 Writing a File
For file writing operation, we make a system call specifying both the name of a file and the information to be
written into the file.
System searches the entire directory structure to find the location of the specified file.
System keeps a write pointer that keeps track of writing at the location in the file.
The system updates write pointer each time whenever a file write operation occurs.
 Reading a File
To perform file read operation, we use a system call that specifies name of the file and the block of the file to read
from it.
Again the directory is searched for the specified file.
System keeps a read pointer that keeps track of reading location in the file.
 Repositioning Within a File
Repositioning within a file operation does not involve any actual input output.
The directory is searched for the appropriate entry and the current file position is set to a given value.
It is also known as files seek operation.
 Deleting a File
File deletion operation also requires searching of a specified file entry within the directory structure.
As soon as the file is deleted, space allocated to that file becomes available for further use.
 Truncating a File
In some cases the user may want to erase the file contents but keep its attributes as it is. This operation is
called truncating a file.
Instead of delete a file and recreating it with same attributes, this function allows all attributes to remain
unchanged except the file content.
File length attribute is reset to a length zero and its file space is released.
 File Access Methods

 Sequential Access
 Most of the operating systems access the file sequentially. In other words,
we can say that most of the files need to be accessed sequentially by the
operating system.
 In sequential access, the OS read the file word by word.
 A pointer is maintained which initially points to the base address of the
file. If the user wants to read first word of the file then the pointer
provides that word to the user and increases its value by 1 word. This
process continues till the end of the file.

 Modern word systems do provide the concept of direct access and indexed
access but the most used method is sequential access due to the fact that
most of the files such as text files, audio files, video files, etc need to be
sequentially accessed.
 Direct Access
 The Direct Access is mostly required in the case of database systems. In
most of the cases, we need filtered information from the database. The
sequential access can be very slow and inefficient in such cases.

 Suppose every block of the storage stores 4 records and we know that the
record we needed is stored in 10th block. In that case, the sequential
access will not be implemented because it will traverse all the blocks in
order to access the needed record.

 Direct access will give the required result despite of the fact that the
operating system has to perform some complex tasks such as determining
the desired block number. However, that is generally implemented in
database applications.
 DIRECTORY STRUCTURE
 What is a directory?
 Directory can be defined as the listing of the related files on the disk. The
directory may store some or the entire file attributes.
 To get the benefit of different file systems on the different operating
systems, A hard disk can be divided into the number of partitions of
different sizes. The partitions are also called volumes or mini disks.
 Each partition must have at least one directory in which, all the files of the
partition can be listed. A directory entry is maintained for each file in the
directory which stores all the information related to that file.
Every Directory supports a number of common operations on the file:

 File Creation
 Search for the file
 File deletion
 Renaming the file
 Traversing Files
 Listing of files
 SINGLE LEVEL DIRECTORY
Single Level Directory
The simplest method is to have one big list of all the files on the disk.
The entire system will contain only one directory which is supposed to mention all the files present in the
file system.
The directory contains one entry per each file present on the file system.
 SINGLE LEVEL DIRECTORY
Two Level Directory
In two level directory systems, we can create a separate directory for each user.
There is one master directory which contains separate directories dedicated to each user.
For each user, there is a different directory present at the second level, containing group of user's file.
The system doesn't let a user to enter in the other user's directory without permission.
 File Systems
 File system is the part of the operating system which is responsible for file management. It provides a mechanism to
store the data and access to the file contents including data and programs. Some Operating systems treats everything
as a file for example Ubuntu.
 The File system takes care of the following issues
 File Structure
 We have seen various data structures in which the file can be stored. The task of the file system is to maintain an
optimal file structure.
 Recovering Free space
 Whenever a file gets deleted from the hard disk, there is a free space created in the disk. There can be many such
spaces which need to be recovered in order to reallocate them to other files.
 disk space assignment to the files
 The major concern about the file is deciding where to store the files on the hard disk. There are various disks
scheduling algorithm which will be covered later in this tutorial.
 tracking data location
 A File may or may not be stored within only one block. It can be stored in the non contiguous blocks on the disk. We
 Protection
 Protection can be provided in many ways. For a single-user laptop system, we might provide
protection by locking the computer in a desk drawer or file cabinet. In a larger multiuser
system, however, other mechanisms are needed.
 Types of Access
 Read. Read from the file.
 Write. Write or rewrite the file.
 Execute. Load the file into memory and execute it.
 Append. Write new information at the end of the file.
 Delete. Delete the file and free its space for possible reuse.
 List. List the name and attributes of the file
 Goals of Protection in Operating System

 Various goals of protection in the operating system are as follows:

 The policies define how processes access the computer system's resources, such as the CPU,
memory, software, and even the operating system. It is the responsibility of both the operating
system designer and the app programmer. Although, these policies are modified at any time.
 Protection is a technique for protecting data and processes from harmful or intentional
infiltration. It contains protection policies either established by itself, set by management
or imposed individually by programmers to ensure that their programs are protected to
the greatest extent possible.
 It also provides a multiprogramming OS with the security that its users expect when sharing
common space such as files or directories.
 Domains of protection in OS
1.The protection policies restrict each process's access to its resource handling.
2.A process is obligated to use only the resources necessary to fulfil its task within the time constraints and in the mode in which it
is required. It is a process's protected domain.
2.Processes and objects are abstract data types in a computer system, and these objects have operations that are unique to them. A
domain component is defined as <object, {set of operations on object}>.

3.Each domain comprises a collection of objects and the operations that may be implemented on them. A domain could be made
up of only one process, procedure, or user. If a domain is linked with a procedure, changing the domain would mean changing the
procedure ID. Objects may share one or more common operations.
Security
 What is Operating System Security?

 The process of ensuring OS availability, confidentiality,

integrity is known as operating system security.
 OS security refers to the processes or measures taken to protect
the operating system from dangers, including viruses, worms,
malware, and remote hacker intrusions.
 Operating system security comprises all preventive-control
procedures that protect any system assets that could be stolen,
modified, or deleted if OS security is breached.
 Security refers to providing safety for computer system resources like software, CPU, memory,
disks, etc.
 It can protect against all threats, including viruses and unauthorized access.
 It can be enforced by assuring the operating system's confidentiality, integrity and availability.
(CIA) If an illegal user runs a computer application, the computer or data stored may be
seriously damaged.
 System security may be threatened through two violations, and these are as follows:
 1. Threat
 A program that has the potential to harm the system seriously.
 2. Attack
 A breach of security that allows unauthorized access to a resource.
 There are two types of security breaches that can harm the system: malicious and accidental.
Malicious threats are a type of destructive computer code or web script that is designed to cause
system vulnerabilities that lead to back doors and security breaches. On the other hand,
Accidental Threats are comparatively easier to protect against.
 Breach of confidentiality. This type of violation involves unauthorized reading of data (or theft of
information). Typically, a breach of confidentiality is the goal of an intruder. Capturing secret data
from a system or a data stream, such as credit-card information or identity information for
identity theft, can result directly in money for the intruder.
 Breach of integrity. This violation involves unauthorized modification of data. Such attacks can,
for example, result in passing of liability to an innocent party or modification of the source
code of an important commercial application.
 Breach of availability. This violation involves unauthorized destruction of data. Some crackers
would rather wreak havoc and gain status or bragging rights than gain financially. Website
defacement is a common example of this type of security breach.
 • Theft of service. This violation involves unauthorized use of resources. For example, an intruder
(or intrusion program) may install a daemon on a system that acts as a file server.
 Denial of service. This violation involves preventing legitimate use of the system. Denial-of-service
(DOS) attacks are sometimes accidental. The original Internet worm turned into a DOS attack when
a bug failed to delay its rapid spread.
To protect a system, we must take security measures at four levels
 Physical Security: Protecting computer systems' physical locations and terminals from
intruders.
 Human Security: Carefully managing user authorization, considering risks of bribery, social
engineering, and techniques like phishing or dumpster diving.
 Operating System Security: Preventing security breaches within the OS, including denial-of-
service attacks, password exposure, and unauthorized process execution.
 Network Security: Securing data traveling over various networks to prevent interception and
remote denial-of-service attacks.
 Program Threats
 Viruses: Viruses are malicious programs that attach themselves to legitimate files or programs.
When executed, they can replicate and spread to other files or systems. Viruses can corrupt or
destroy data, and they often require user interaction to spread.
 Worms: Worms are self-replicating malware that can spread across networks and systems
without user intervention. They exploit vulnerabilities to gain unauthorized access and can
cause widespread damage by overloading networks or stealing sensitive information.
 Trojans (Trojan Horses): Trojans are deceptive programs that appear legitimate but contain
hidden malicious code. They can be used to steal data, create backdoors for attackers, or
perform other harmful actions once executed by a user.
 Trap Door (Backdoor):
 A trap door, often referred to as a backdoor, is a hidden
and unauthorized entry point or vulnerability intentionally
inserted into a software system or application by a
programmer.
 It provides a secret way for the creator or other individuals
to gain access to a system, even if they shouldn't have
permission.
 Trap doors can be used for legitimate purposes, such as
system maintenance or debugging, but can also be
exploited by malicious actors for unauthorized access.
 Detecting and removing trap doors is crucial for
maintaining system security.
 Logic Bomb:

 A logic bomb is a piece of malicious code or software that is

set to execute a harmful action when a specific condition or
trigger event occurs.
 Unlike viruses or worms, logic bombs don't replicate
themselves or spread independently. Instead, they lie
dormant until their predefined conditions are met.
 Logic bombs are often used for nefarious purposes, such as
data destruction or system disruption.
 These malicious programs are typically hidden within
legitimate software and can be challenging to detect until
they activate.
 To mitigate the threat of logic bombs, it's essential to
employ robust security measures and regularly scan for
suspicious code or behavior in software and systems.
 Denial-of-Service (DoS) and Distributed Denial-of-Service (DDoS) Attacks: These attacks
overload a program or system with excessive traffic, rendering it unavailable to users. This
disrupts services and can lead to financial losses.
 Masquerading (Impersonation)

 Definition: Masquerading is a type of attack where an attacker pretends to be someone or

something they are not. This impersonation can take various forms, such as impersonating
another host on a network or pretending to be another person, often with the aim of deceiving a
system or user.
 Objective: The primary goal of masquerading is to breach authentication and identity
verification mechanisms. By successfully masquerading as an authorized user or entity,
attackers can gain unauthorized access to systems, networks, or resources.
 Consequences: Once masqueraders gain access, they can potentially perform actions they are
not normally allowed to do or escalate their privileges to obtain higher-level access rights than
they should have.