Chapter -1: Administrivia

I start at -1 so that when we get to chapter 1, the numbering will agree with the text.

(-1).1: Contact Information

• my-last-name AT nyu DOT edu (best method)
• http://cs.nyu.edu/~gottlieb
• 715 Broadway, Room 712
• 212 998 3344

(-1).2: Course Web Page

There is a web site for the course. You can find it from my home page, which is http://cs.nyu.edu/~gottlieb

• You can also find these lecture notes on the course home page. Please let me know if you can't find it.
• The notes are updated as bugs are found or improvements made.
• I will also produce a separate page for each lecture after the lecture is given. These individual pages might not get updated as quickly as the large page.

(-1).3: Textbook

The course text is Tanenbaum, "Modern Operating Systems", 2nd Edition

• The first edition is not adequate as there have been many changes.
• Available in bookstore.
• We will cover nearly all of the first 7 chapters.

(-1).4: Computer Accounts and Mailman Mailing List

• You are entitled to a computer account on one of the departmental sun machines. If you do not have one already, please get it asap.
• Sign up for the Mailman mailing list for the course. You can do so by clicking here
• If you want to send mail just to me, use my-last-name AT nyu DOT edu not the mailing list.
• Questions on the labs should go to the mailing list. You may answer questions posed on the list as well. Note that replies are sent to the list.
• I will respond to all questions; if another student has answered the question before I get to it, I will confirm if the answer given is correct.
• Please use proper mailing list etiquette.
  • Send plain text messages rather than (or at least in addition to) html.
  • Use Reply to contribute to the current thread, but NOT to start another topic.
  • If quoting a previous message, trim off irrelevant parts.
  • Use a descriptive Subject: field when starting a new topic.
  • Do not use one message to ask two unrelated questions.
  • Do NOT make the mistake of sending your completed lab assignment to the mailing list. This is not a joke; several students have made this mistake in past semesters.

(-1).5: Grades

Grades will computed as 40%*LabAverage + 60%*FinalExam (but see homeworks below).

(-1).6: The Upper Left Board

I use the upper left board for lab/homework assignments and announcements. I should never erase that board. Viewed as a file it is group readable (the group is those in the room), appendable by just me, and (re-)writable by no one. If you see me start to erase an announcement, let me know.

I try very hard to remember to write all announcements on the upper left board and I am normally successful. If, during class, you see that I have forgotten to record something, please let me know. HOWEVER, if I forgot and no one reminds me, the assignment has still been given.

(-1).7: Homeworks and Labs

I make a distinction between homeworks and labs.

Labs are

• Required.
• Due several lectures later (date given on assignment).
• Graded and form part of your final grade.
• Penalized for lateness.
• Computer programs you must write.

Homeworks are

• Optional.
• Due the beginning of Next lecture.
• Not accepted late.
• Mostly from the book.
• Collected and returned.
• Able to help, but not hurt, your grade.

(-1).7.1: Homework Numbering

Homeworks are numbered by the class in which they are assigned. So any homework given today is homework #1. Even if I do not give homework today, the homework assigned next class will be homework #2. Unless I explicitly state otherwise, all homeworks assignments can be found in the class notes. So the homework present in the notes for lecture #n is homework #n (even if I inadvertently forgot to write it to the upper left board).

(-1).7.2: Doing Labs on non-NYU Systems

You may solve lab assignments on any system you wish, but ...

• You are responsible for any non-nyu machine. I extend deadlines if the nyu machines are down, not if yours are.
• Be sure to test your assignments on the nyu systems. In an ideal world, a program written in a high level language like Java, C, or C++ that works on your system would also work on the NYU system used by the grader. Sadly, this ideal is not always achieved despite marketing claims that it is achieved. So, although you may develop your lab on any system, you must ensure that it runs on the nyu system assigned to the course.
• If somehow your assignment is misplaced by me and/or a grader, we need a to have some timestamp ON AN NYU SYSTEM that can be used to verify the date the lab was completed.
• When you complete a lab and have it on an nyu system, email the lab to the grader and copy yourself on that message. This email must come from your CIMS account Keep the copy until you have received your grade on the assignment. The systems support staff can retrieve your mail from their logs given your copy and from that we can verify the dates. I should add that I am fairly paranoid about this. It is rare for labs to get misplaced, but they sometimes do and I really don't want to be in the middle of an I sent it ... I never received it debate. Thank you.

(-1).7.3: Obtaining Help with the Labs

Good methods for obtaining help include

1. Asking me during office hours (see web page for my hours).
2. Asking the mailing list.
3. Asking another student, but ...
   Your lab must be your own.
   That is, each student must submit a unique lab. Naturally, simply changing comments, variable names, etc. does not produce a unique lab.

(-1).7.4: Computer Language Used for Labs

You may write your lab in Java, C, or C++.

(-1).8: A Grade of “Incomplete”

The rules for incompletes and grade changes are set by the school and not the department or individual faculty member. The rules set by GSAS state:

The assignment of the grade Incomplete Pass(IP) or Incomplete Fail(IF) is at the discretion of the instructor. If an incomplete grade is not changed to a permanent grade by the instructor within one year of the beginning of the course, Incomplete Pass(IP) lapses to No Credit(N), and Incomplete Fail(IF) lapses to Failure(F).

Permanent grades may not be changed unless the original grade resulted from a clerical error.

(-1).9: An Introductory OS Course with a Programming Prerequisite

(-1).9.1: This is an introductory course ...

I do not assume you have had an OS course as an undergraduate, and I do not assume you have had extensive experience working with an operating system.

If you have already had an operating systems course, this course is probably not appropriate. For example, if you can explain the following concepts/terms, the course is probably too elementary for you.

• Process Scheduling
• Round Robbin Scheduling
• Shortest Job First
• Context Switching
• Demand Paging
• Segmentation
• Page Fault
• Memory Management Unit
• Processes and Threads
• Virtual Machine
• Virtual Memory
• Least Recently Used (page replacement)
• Device Driver
• Direct Memory Access (DMA)
• Interrupt
• Seek Time / Rotational Latency / (Disk) Transfer Rate

... with a Programming Prerequisite

I do assume you are an experienced programmer, at least to the extent that you are comfortable writing modest size (a few hundred lines) programs. You may write your programs in C, C++, or java.

(-1).10 Academic Integrity Policy

Our policy on academic integrity, which applies to all graduate courses in the department, can be found here.

Chapter 0: Interlude on Linkers

Originally called a linkage editor by IBM.

A linker is an example of a utility program included with an operating system distribution. Like a compiler, the linker is not part of the operating system per se, i.e. it does not run in supervisor mode. Unlike a compiler it is OS dependent (what object/load file format is used) and is not (normally) language dependent.

0.1: What does a Linker Do?

Link of course.

When the compiler and assembler have finished processing a module, they produce an object module that is almost runnable. There are two remaining tasks to be accomplished before object modules can be run. Both are involved with linking (that word, again) together multiple object modules. The tasks are relocating relative addresses and resolving external references.

0.1.1: Relocating Relative Addresses

• Each module is (mistakenly) treated as if it will be loaded at location zero.
• For example, the machine instruction
  jump 100
  is used to indicate a jump to location 100 of the current module.
• To convert this relative address to an absolute address, the linker adds the base address of the module to the relative address. The base address is the address at which this module will be loaded.
• Example: Module A is to be loaded starting at location 2300 and contains the instruction
  jump 120
  The linker changes this instruction to
  jump 2420
• How does the linker know that Module M5 is to be loaded starting at location 2300?
• It processes the modules one at a time. The first module is to be loaded at location zero. So relocating the first module is trivial (adding zero). We say that the relocation constant is zero.
• After processing the first module, the linker knows its length (say that length is L1).
• Hence the next module is to be loaded starting at L1, i.e., the relocation constant is L1.
• In general the linker keeps the sum of the lengths of all the modules it has already processed; this sum is the relocation constant for the next module.

0.1.2: Resolving External Reverences

• If a C (or Java, or Pascal) program contains a function call
  f(x)
  to a function f() that is compiled separately, the resulting object module must contain some kind of jump to the beginning of f.
• But this is impossible!
• When the C program is compiled. the compiler and assembler do not know the location of f() so there is no way they can supply the starting address.
• Instead a dummy address is supplied and a notation made that this address needs to be filled in with the location of f(). This is called a use of f.
• The object module containing the definition of f() contains a notation that f is being defined and gives the relative address of the definition, which the linker converts to an absolute address (as above).
• The linker then changes all uses of f() to the correct absolute address.

The output of a linker is called a load module because it is now ready to be loaded and run.

To see how a linker works lets consider the following example, which is the first dataset from lab #1. The description in lab1 is more detailed.

The target machine is word addressable and has a memory of 250 words, each consisting of 4 decimal digits. The first (leftmost) digit is the opcode and the remaining three digits form an address.

Each object module contains three parts, a definition list, a use list, and the program text itself. Each definition is a pair (sym, loc). Each entry in the use list is a symbol and a list of uses of that symbol.

The program text consists of a count N followed by N pairs (type, word), where word is a 4-digit instruction described above and type is a single character indicating if the address in the word is Immediate, Absolute, Relative, or External.

Input set #1

1 xy 2
1 z 4
5 R 1004  I 5678  E 2777  R 8002  E 7002
0
1 z 3
6 R 8001  E 1777  E 1001  E 3002  R 1002  A 1010
0
1 z 1
2 R 5001  E 4777
1 z 2
1 xy 2
3 A 8000  E 1777  E 2001

The first pass simply finds the base address of each module and produces the symbol table giving the values for xy and z (2 and 15 respectively). The second pass does the real work using the symbol table and base addresses produced in pass one.

              Symbol Table
                  xy=2
                  z=15

             Memory Map
 +0
 0:       R 1004      1004+0 = 1004
 1:       I 5678               5678
 2: xy:   E 2000 ->z           2015
 3:       R 8002      8002+0 = 8002
 4:       E 7001 ->z           7015
 +5
 0        R 8001      8001+5 = 8006
 1        E 1000 ->z           1015
 2        E 1000 ->z           1015
 3        E 3000 ->z           3015
 4        R 1002      1002+5 = 1007
 5        A 1010               1010
 +11
 0        R 5001      5001+11= 5012
 1        E 4000 ->z           4015
 +13
 0        A 8000               8000
 1        E 1001 ->z           1015
 2 z:     E 2000 ->xy          2002

The output above is more complex than I expect you to produce it is there to help me explain what the linker is doing. All I would expect from you is the symbol table and the rightmost column of the memory map.

You must process each module separately, i.e. except for the symbol table and memory map your space requirements should be proportional to the largest module not to the sum of the modules. This does NOT make the lab harder.

(Unofficial) Remark: It is faster (less I/O) to do a one pass approach, but is harder since you need “fix-up code” whenever a use occurs in a module that precedes the module with the definition.

The linker on unix was mistakenly called ld (for loader), which is unfortunate since it links but does not load.

Historical remark: Unix was originally developed at Bell Labs; the seventh edition of unix was made publicly available (perhaps earlier ones were somewhat available). The 7th ed man page for ld begins (see http://cm.bell-labs.com/7thEdMan).

.TH LD 1
.SH NAME
ld \- loader
.SH SYNOPSIS
.B ld
[ option ] file ...
.SH DESCRIPTION
.I Ld
combines several
object programs into one, resolves external
references, and searches libraries.

During the 2004-05 fall semester a student wrote to me “BTW - I have meant to tell you that I know the lady who wrote ld. She told me that they called it loader, because they just really didn't have a good idea of what it was going to be at the time.”

Lab #1: Implement a two-pass linker. The specific assignment is detailed on the class home page.

End of Interlude on Linkers

Chapter 1: Introduction

Homework: Read Chapter 1 (Introduction)

Levels of abstraction (virtual machines)

• Software (and hardware, but that is not this course) is often implemented in layers.
• The higher layers use the facilities provided by lower layers.
• Alternatively said, the upper layers are written using a more powerful and more abstract virtual machine than the lower layers.
• Alternatively said, each layer is written as though it runs on the virtual machine supplied by the lower layer and in turn provides a more abstract (pleasant) virtual machine for the higher layer to run on.
• Using a broad brush, the layers are.
  1. Applications and utilities
  2. Compilers, Editors, Command Interpreter (shell, DOS prompt)
  3. Libraries
  4. The OS proper (the kernel, runs in privileged/kernel/supervisor mode)
  5. Hardware
• Compilers, editors, shell, linkers. etc run in user mode.
• The kernel itself is itself normally layered, e.g.
  1. Filesystems
  2. Machine independent I/O
  3. Machine dependent device drivers
• The machine independent I/O part is written assuming “virtual (i.e. idealized) hardware”. For example, the machine independent I/O portion simply reads a block from a “disk”. But in reality one must deal with the specific disk controller.
• Often the machine independent part is more than one layer.
• The term OS is not well defined. Is it just the kernel? How about the libraries? The utilities? All these are certainly system software but not clear how much is part of the OS.

1.1: What is an operating system?

The kernel itself raises the level of abstraction and hides details. For example a user (of the kernel) can write to a file (a concept not present in hardware) and ignore whether the file resides on a floppy, a CD-ROM, or a hard disk. The user can also ignore issues such as whether the file is stored contiguously or is broken into blocks.

The kernel is a resource manager (so users don't conflict).

How is an OS fundamentally different from a compiler (say)?

Answer: Concurrency! Per Brinch Hansen in Operating Systems Principles (Prentice Hall, 1973) writes.

The main difficulty of multiprogramming is that concurrent activities can interact in a time-dependent manner, which makes it practically impossibly to locate programming errors by systematic testing. Perhaps, more than anything else, this explains the difficulty of making operating systems reliable.

Homework: 1, 2. (unless otherwise stated, problems numbers are from the end of the chapter in Tanenbaum.)

1.2 History of Operating Systems

1. Single user (no OS).
   
   
2. Batch, uniprogrammedR, run to completion.
   • The OS now must be protected from the user program so that it is capable of starting (and assisting) the next program in the batch.
   
   
   
3. Multiprogrammed
   • The purpose was to overlap CPU and I/O
     
     
   • Multiple batches
     • IBM OS/MFT (Multiprogramming with a Fixed number of Tasks)
       • OS for IBM system 360.
       • The (real) memory is partitioned and a batch is assigned to a fixed partition.
       • The memory assigned to a partition does not change.
       • Jobs were spooled from cards into the memory by a separate processor (an IBM 1401). Similarly output was spooled from the memory to a printer (a 1403) by the 1401.
     • IBM OS/MVT (Multiprogramming with a Variable number of Tasks) (then other names)
       • Each job gets just the amount of memory it needs. That is, the partitioning of memory changes as jobs enter and leave
       • MVT is a more “efficient” user of resources, but is more difficult.
       • When we study memory management, we will see that, with varying size partitions, questions like compaction and “holes” arise.
     
     
   • Time sharing
     • This is multiprogramming with rapid switching between jobs (processes). Deciding when to switch and which process to switch to is called scheduling.
     • We will study scheduling when we do processor management
   
   
4. Personal Computers
   • Serious PC Operating systems such as linux, Windows NT/2000/XP and (the newest) MacOS are multiprogrammed OSes.
   • GUIs have become important. Debate as to whether it should be part of the kernel.
   • Early PC operating systems were uniprogrammed and their direct descendants in some sense still are (e.g. Windows ME).

Homework: 3.

1.3: OS Zoo

There is not as much difference between mainframe, server, multiprocessor, and PC OSes as Tannenbaum suggests. For example Windows NT/2000/XP, Unix and Linux are used on all.

1.3.1: Mainframe Operating Systems

Used in data centers, these systems ofter tremendous I/O capabilities and extensive fault tolerance.

1.3.2: Server Operating Systems

Perhaps the most important servers today are web servers. Again I/O (and network) performance are critical.

1.3.3: Multiprocessor Operating systems

These existed almost from the beginning of the computer age, but now are not exotic.

1.3.4: PC Operating Systems (client machines)

Some OSes (e.g. Windows ME) are tailored for this application. One could also say they are restricted to this application.

1.3.5: Real-time Operating Systems

• Often are Embedded Systems.
• Soft vs hard real time. In the latter missing a deadline is a fatal error--sometimes literally.
• Very important commercially, but not covered much in this course.

1.3.6: Embedded Operating Systems

• The OS is “part of” the device. For example, PDAs, microwave ovens, cardiac monitors.
• Often are real-time systems.
• Very important commercially, but not covered much in this course.

1.3.7: Smart Card Operating Systems

Very limited in power (both meanings of the word).

Multiple computers

• Network OS: Make use of the multiple PCs/workstations on a LAN.
• Distributed OS: A “seamless” version of above.
• Not part of this course (but often in G22.2251).

1.4: Computer Hardware Review

Tannenbaum's treatment is very brief and superficial. Mine is even more so. The picture above is very simplified. (For one thing, today separate buses are used to Memory and Video.)

A bus is a set of wires that connect two or more devices. Only one message can be on the bus at a time. All the devices “receive” the message: There are no switches in between to steer the message to the desired destination, but often some of the wires form an address that indicates which devices should actually process the message.

1.4.1: Processors

We will ignore processor concepts such as program counters and stack pointers. We will also ignore computer design issues such as pipelining and superscalar. We do, however, need the notion of a trap, that is an instruction that atomically switches the processor into privileged mode and jumps to a pre-defined physical address.

1.4.2: Memory

We will ignore caches, but will (later) discuss demand paging, which is very similar (although demand paging and caches use completely disjoint terminology). In both cases, the goal is to combine large slow memory with small fast memory to achieve the effect of large fast memory.

The central memory in a system is called RAM (Random Access Memory). A key point is that it is volatile, i.e. the memory loses its data if power is turned off.

Disk Hardware

I don't understand why Tanenbaum discusses disks here instead of in the next section entitled I/O devices, but he does. I don't.

ROM / PROM / EPROM / EEPROM / Flash Ram

ROM (Read Only Memory) is used to hold data that will not change, e.g. the serial number of a computer or the program use in a microwave. ROM is non-volatile. A modern, familiar ROM is CD-ROM (or the denser DVD).

But often this unchangable data needs to be changed (e.g., to fix bugs). This gives rise first to PROM (Programmable ROM), which, like a CD-R, can be written once (as opposed to being mass produced already written like a CD-ROM), and then to EPROM (Erasable PROM; not Erasable ROM as in Tanenbaum), which is like a CD-RW. An EPROM is especially convenient if it can be erased with a normal circuit (EEPROM, Electrically EPROM or Flash RAM).

Memory Protection and Context Switching

As mentioned above when discussing OS/MFT and OS/MVT, multiprogramming requires that we protect one process from another. That is we need to translate the virtual addresses of each program into distinct physical addresses. The hardware that performs this translation is called the MMU or Memory Management Unit.

When context switching from one process to another, the translation must change, which can be an expensive operation.

1.4.3: I/O Devices

When we do I/O for real, I will show a real disk opened up and illustrate the components

• Platter
• Surface
• Head
• Track
• Sector
• Cylinder
• Seek time
• Rotational latency
• Transfer time

Devices are often quite complicated to manage and a separate computer, called a controller, is used to translate simple commands (read sector 123456) into what the device requires (read cylinder 321, head 6, sector 765). Actually the controller does considerably more, e.g. calculates a checksum for error detection.

How does the OS know when the I/O is complete?

1. It can busy wait constantly asking the controller if the I/O is complete. This is the easiest (by far) but has low performance. This is also called polling or PIO (Programmed I/O).
   
2. It can tell the controller to start the I/O and then switch to other tasks. The controller must then interrupt the OS when the I/O is done. Less waiting, but harder (concurrency!). Also on modern processors a single interrupt is rather costly. Much more than a single memory reference, but much, much less than a disk I/O.
   
3. Some controllers can do DMA (Direct Memory Access) in which case they deal directly with memory after being started by the CPU. This takes work from the CPU and halves the number of bus accesses.

We discuss this more in chapter 5. In particular, we explain the last point about halving bus accesses.

1.4.4: Buses

I don't care very much about the names of the buses, but the diagram given in the book doesn't show a modern design. The one below does. On the right is a figure showing the specifications for a chip set introduced in 2000. The chip set has two different width PCI busses, which is not shown below. Instead of having the chip set supply USB, a PCI USB controller may be used. Finally, the use of ISA is decreasing. Indeed my last desktop didn't have an ISA bus and I had to replace my ISA sound card with a PCI version.

1.5: Operating System Concepts

This will be very brief. Much of the rest of the course will consist in “filling in the details”.

1.5.1: Processes

A program in execution. If you run the same program twice, you have created two processes. For example if you have two editors running in two windows, each instance of the editor is a separate process.

Often one distinguishes the state or context (memory image, open files) from the thread of control. Then if one has many threads running in the same task, the result is a “multithreaded processes”.

The OS keeps information about all processes in the process table. Indeed, the OS views the process as the entry. This is an example of an active entity being viewed as a data structure (cf. discrete event simulations). An observation made by Finkel in his (out of print) OS textbook.

The Process Tree

A process can send a signal to another process to cause the latter to execute a predefined function (the signal handler). This can be tricky to program since the programmer does not know when in his “main” program the signal handler will be invoked.

Each user is assigned User IDentification (UID) and all processes created by that user have this UID. One UID is special (the superuser or administrator) and has extra privileges. A child has the same UID as its parent. It is sometimes possible to change the UID of a running process. A group of users can be formed and given a Group IDentification, GID.

Access to files and devices can be limited to a given UID or GID.

1.5.2: Deadlocks

A set of processes each of which is blocked by a process in the set. The automotive equivalent, shown at right, is gridlock.

1.5.3: Memory Management

Each process requires memory. The linker produces a load module that assumes the process is loaded at location 0. The operating system ensures that the processes are actually given disjoint memory. Current operating systems permit each process to be given more (virtual) memory than the total amount of (real) memory on the machine.

1.5.4: Input/Output

There are a wide variety of I/O devices that the OS must manage. For example, if two processes are printing at the same time, the OS must not interleave the output. The OS contains device specific code (drivers) for each device as well as device-independent I/O code.

1.5.5: Files

Modern systems have a hierarchy of files. A file system tree.

• In MSDOS the hierarchy is a forest not a tree. There is no file, or directory that is an ancestor of both a:\ and c:\.
• In recent versions of Windows, “My Computer” is the parent of a:\ and c:\.
• In unix the existence of (hard) links weakens the tree to a DAG (directed acyclic graph).
• Unix also has symbolic links, which when used indiscriminately, permit directed cycles (i.e., the result is not a DAG).
• Windows has shortcuts, which are somewhat similar to symbolic links.

You can name a file via an absolute path starting at the root directory or via a relative path starting at the current working directory.

In addition to regular files and directories, Unix also uses the file system namespace for devices (called special files, which are typically found in the /dev directory. Often utilities that are normally applied to (ordinary) files can be applied as well to some special files. For example, when you are accessing a unix system using a mouse and do not have anything serious going on (e.g., right after you log in), type the following command

    cat /dev/mouse

Before a file can be accessed, it must be opened and a file descriptor obtained. Subsequent I/O system calls (e.g., read and write) use the file descriptor rather that the file name. This is an optimization that enables the OS to find the file once and save the information in a file table accessed by the file descriptor. Many systems have standard files that are automatically made available to a process upon startup. These (initial) file descriptors are fixed.

• standard input: fd=0
• standard output: fd=1
• standard error: fd=2

A convenience offered by some command interpretors is a pipe or pipeline. The pipeline

  dir | wc

1.5.6: Security

Files and directories have associated permissions.

• Most systems supply at least rwx (readable, writable, executable).
• User, group, world
• A more general mechanism is an access control lists.
• Often files have “attributes” as well. For example the linux ext2 and ext3 file systems support a “d” attribute that is a hint to the dump program not to backup this file.
• When a file is opened, permissions are checked and, if the open is permitted, a file descriptor is returned that is used for subsequent operations

Security has of course sadly become a very serious concern. The topic is very serious and I do not feel that the necessarily superficial coverage that time would permit is useful so we are not covering the topic at all.

1.5.7: The Shell or Command Interpreter (DOS Prompt)

The command line interface to the operating system. The shell permits the user to

• Invoke commands
• Pass arguments to the commands
• Redirect the output of a command to a file or device
• Pipe one command to another (as illustrated above via ls | wc)

Homework: 8

1.6: System Calls

System calls are the way a user (i.e., a program) directly interfaces with the OS. Some textbooks use the term envelope for the component of the OS responsible for fielding system calls and dispatching them to the appropriate component of the OS. On the right is a picture showing some of the OS components and the external events for which they are the interface.

Note that the OS serves two masters. The hardware (below) asynchronously sends interrupts and the user synchronously invokes system calls and generates page faults.

Homework: 14

What happens when a user executes a system call such as read()? We show a more detailed picture below, but at a high level what happens is

1. Normal function call (in C, Ada, Pascal, Java, etc.).
2. Library routine (probably in C).
3. Small assembler routine.
   1. Move arguments to predefined place (perhaps registers).
   2. Poof (a trap instruction) and then the OS proper runs in supervisor mode.
   3. Fix up result (move to correct place).

The following actions occur when the user executes the (Unix) system call

    count = read(fd,buffer,nbytes)
  

1. Push third parameter on to the stack.
2. Push second parameter on to the stack.
3. Push first parameter on to the stack.
4. Call the library routine, which involves pushing the return address on to the stack and jumping to the routine.
5. Machine/OS dependent actions. One is to put the system call number for read in a well defined place, e.g., a specific register. This requires assembly language.
6. Trap to the kernel. This enters the operating system proper and shifts the computer to privileged mode. Assembly language is again used.
7. The envelope uses the system call number to access a table of pointers to find the handler for this system call.
8. The read system call handler processes the request (see below).
9. Some magic instruction returns to user mode and jumps to the location right after the trap.
10. The library routine returns (there is more; e.g., the count must be returned).
11. The stack is popped (ending the function call read).

A major complication is that the system call handler may block. Indeed for read it is likely that a block will occur. In that case a switch occurs to another process. This is far from trivial and is discussed later in the course.

A Few Important Posix/Unix/Linux and Win32 System Calls

The table on the right shows some systems calls; the descriptions are accurate for Unix and close for win32. To show how the four process management calls enable much of process management, consider the following highly simplified shell. (The fork() system call returns true in the parent and false in the child.)

while (true)
    display_prompt()
    read_command(command)

    if (fork() != 0)
        waitpid(...)
    else
        execve(command)
    endif
endwhile

Simply removing the waitpid(...) gives background jobs.

Homework: 18.

1.6A: Addendum on Transfer of Control

The transfer of control between user processes and the operating system kernel can be quite complicated, especially in the case of blocking system calls, hardware interrupts, and page faults. Before tackling these issues later, we begin with the familiar example of a procedure call within a user-mode process.

An important OS objective is that, even in the more complicated cases of page faults and blocking system calls requiring device interrupts, simple procedure call semantics are observed from a user process viewpoint. The complexity is hidden inside the kernel itself, yet another example of the operating system providing a more abstract, i.e., simpler, virtual machine to the user processes.

More details will be added when we study memory management (and know officially about page faults) and more again when we study I/O (and know officially about device interrupts).

A number of the points below are far from standardized. Such items as where to place parameters, which routine saves the registers, exact semantics of trap, etc, vary as one changes language/compiler/OS. Indeed some of these are referred to as “calling conventions”, i.e. their implementation is a matter of convention rather than logical requirement. The presentation below is, we hope, reasonable, but must be viewed as a generic description of what could happen instead of an exact description of what does happen with, say, C compiled by the Microsoft compiler running on Windows XP.

1.6A.1: User-mode procedure calls

Actions by f prior to the call:

1. Save the registers by pushing them onto the stack (in some implementations this is done by g instead of f).
   
   
2. Push arguments c,b,a onto P's stack.
   Note: Stacks usually grow downward from the top of P's segment, so pushing an item onto the stack actually involves decrementing the stack pointer, SP.
   Note: Some compilers store arguments in registers not on the stack.

Executing the call itself

3. Execute PUSHJ <start-address of g>.
   This instruction pushes the program counter PC onto the stack, and then jumps to the start address of g. The value pushed is actually the updated program counter, i.e., the location of the next instruction (the instruction to be executed by f when g returns).
   

Actions by g upon being called:

4. Allocate space for g's local variables by suitably decrementing SP.
   
   
5. Start execution from the beginning of the program, referencing the parameters as needed. The execution may involve calling other procedures, possibly including recursive calls to f and/or g.

Actions by g when returning to f:

6. If g is to return a value, store it in the conventional place.
   
   
7. Undo step 4: Deallocate local variables by incrementing SP.
   
   
8. Undo step 3: Execute POPJ, i.e., pop the stack and set PC to the value popped, which is the return address pushed in step 4.

Actions by f upon the return from g:

9. We are now at the step in f immediately following the call to g.
   Undo step 2: Remove the arguments from the stack by incrementing SP.
   
   
10. Undo step 1: Restore the registers while popping them off the stack.
    
    
11. Continue the execution of f, referencing the returned value of g, if any.

Properties of (user-mode) procedure calls:

• Predictable (often called synchronous) behavior: The author of f knows where and hence when the call to g will occur. There are no surprises, so it is relatively easy for the programmer to ensure that f is prepared for the transfer of control.
• LIFO (“stack-like”structure of control transfer: we can be sure that control will return to f when this call to g exits. The above statement holds even if, via recursion, g calls f. (We are ignoring language features such as “throwing” and “catching” exceptions, and the use of unstructured assembly coding, in the latter case all bets are off.)
• Entirely in user mode and user space.

1.6A.2: Kernel-mode procedure calls

We mean one procedure running in kernel mode calling another procedure, which will also be run in kernel mode. Later, we will discuss switching from user to kernel mode and back.

There is not much difference between the actions taken during a kernel-mode procedure call and during a user-mode procedure call. The procedures executing in kernel-mode are permitted to issue privileged instructions, but the instructions used for transferring control are all unprivileged so there is no change in that respect.

One difference is that often a different stack is used in kernel mode, but that simply means that the stack pointer must be set to the kernel stack when switching from user to kernel mode. But we are not switching modes in this section; the stack pointer already points to the kernel stack. Often there are two stack pointers one for kernel mode and one for user mode.

1.6A.3: The Trap instruction

Process P, running in unprivileged (user) mode, executes a trap. The code being executed was written in assembler since there are no high level languages that generate a trap instruction. There is no need to name the function that is executing. Compare the following example to the explanation of “f calls g” given above.

Actions by P prior to the trap

1. Save the registers by pushing them onto the stack.
   
   
2. Store any arguments that are to be passed. The stack is not normally used to store these arguments since the kernel has a different stack. Often registers are used.

Executing the trap itself

3. Execute TRAP <trap-number>.
   Switch the processor to kernel (privileged) mode, jumps to a location in the OS determined by trap-number, and saves the return address. For example, the processor may be designed so that the next instruction executed after a trap is at physical address 8 times the trap-number. The trap-number should be thought of as the “name” of the code-sequence to which the processor will jump rather than as an argument to trap. Indeed arguments to trap, are established before the trap is executed.

Actions by the OS upon being TRAPped into

4. Jump to the real code.
   Recall that trap instructions with different trap numbers jump to locations very close to each other. There is not enough room between them for the real trap handler. Indeed one can think of the trap as having an extra level of indirection; it jumps to a location that then jumps to the real start address. If you learned about writing jump tables in assembler, this is very similar.
   
   
5. Check all arguments passed. The kernel must be paranoid and assume that the user mode program is evil and written by a bad guy.
   
   
6. Allocate space by decrementing the kernel stack pointer.
   The kernel and user stacks are separate.
   
   
7. Start execution from the jumped-to location, referencing the parameters as needed.

Actions by the OS when returning to user mode

8. Undo step 6: Deallocate space by incrementing the kernel stack pointer.
   
   
9. Undo step 3: Execute (in assembler) another special instruction, RTI or ReTurn from Interrupt, which returns the processor to user mode and transfers control to the return location saved by the trap. The word interrupt is used because an RTI is used when the kernel is returning from an interrupt as well as the present case when it is returning from an trap.

Actions by P upon the return from the OS

10. We are now in at the instruction right after the trap
    Undo step 1: Restore the registers by popping the stack.
    
    
11. Continue the execution of P, referencing the returned value(s) of the trap, if any.

Properties of TRAP/RTI:

• Synchronous behavior: The author of the assembly code in P knows where and hence when the trap will occur. There are no surprises, so it is relatively easy for the programmer to prepare for the transfer of control.
• Trivial control transfer when viewed from P: The next instruction of P that will be executed is the one following the trap. As we shall see later, other processes may execute between P's trap and the next P instructions.
• Starts and ends in user mode and user space, but executed in kernel mode and kernel space in the middle.

Remark: A good way to use the material in the addendum is to compare the first case (user-mode f calls user-mode g) to the TRAP/RTI case line by line so that you can see the similarities and differences.

1.7: OS Structure

I must note that Tanenbaum is a big advocate of the so called microkernel approach in which as much as possible is moved out of the (supervisor mode) kernel into separate processes. The (hopefully small) portion left in supervisor mode is called a microkernel.

In the early 90s this was popular. Digital Unix (now called True64) and Windows NT/2000/XP/Vista? are examples. Digital Unix is based on Mach, a research OS from Carnegie Mellon university. Lately, the growing popularity of Linux has called into question the belief that “all new operating systems will be microkernel based”.

1.7.1: Monolithic approach

The previous picture: one big program

The system switches from user mode to kernel mode during the poof and then back when the OS does a “return” (an RTI or return from interrupt).

But of course we can structure the system better, which brings us to.

1.7.2: Layered Systems

Some systems have more layers and are more strictly structured.

An early layered system was “THE” operating system by Dijkstra. The layers were.

1. The operator
2. User programs
3. I/O mgt
4. Operator-process communication
5. Memory and drum management

The layering was done by convention, i.e. there was no enforcement by hardware and the entire OS is linked together as one program. This is true of many modern OS systems as well (e.g., linux).

The multics system was layered in a more formal manner. The hardware provided several protection layers and the OS used them. That is, arbitrary code could not jump to or access data in a more protected layer.

1.7.3: Virtual Machines

Use a “hypervisor” (beyond supervisor, i.e. beyond a normal OS) to switch between multiple Operating Systems. Made popular by IBM's VM/CMS

• Each App/CMS runs on a virtual 370.
• CMS is a single user OS.
• A system call in an App (application) traps to the corresponding CMS.
• CMS believes it is running on the machine so issues I/O. instructions but ...
• ... I/O instructions in CMS trap to VM/370.
• This idea is still used. A modern version (used to “produce” a multiprocessor from many uniprocessors) is “Cellular Disco”, ACM TOCS, Aug. 2000.
• Another modern usage is JVM the “Java Virtual Machine”.
• Yet another is vmware.

1.7.4: Exokernels (unofficial)

Similar to VM/CMS but the virtual machines have disjoint resources (e.g., distinct disk blocks) so less remapping is needed.

1.7.5: Client-Server

When implemented on one computer, a client-server OS uses the microkernel approach in which the microkernel just handles communication between clients and servers, and the main OS functions are provided by a number of separate processes.

This does have advantages. For example an error in the file server cannot corrupt memory in the process server. This makes errors easier to track down.

But it does mean that when a (real) user process makes a system call there are more processes switches. These are not free.

A distributed system can be thought of as an extension of the client server concept where the servers are remote.

Today with plentiful memory, each machine would have all the different servers. So the only reason a message would go to another computer is if the originating process wished to communicate with a specific process on that computer (for example wanted to access a remote disk).

Homework: 23

Microkernels Not So Different In Practice

Dennis Ritchie, the inventor of the C programming language and co-inventor, with Ken Thompson, of Unix was interviewed in February 2003. The following is from that interview.

What's your opinion on microkernels vs. monolithic?

Dennis Ritchie: They're not all that different when you actually use them. "Micro" kernels tend to be pretty large these days, and "monolithic" kernels with loadable device drivers are taking up more of the advantages claimed for microkernels.

Chapter 2: Process and Thread Management

Homework solutions posted, give password.

TAs assigned

Tanenbaum's chapter title is “Processes and Threads”. I prefer to add the word management. The subject matter is processes, threads, scheduling, interrupt handling, and IPC (InterProcess Communication--and Coordination).

2.1: Processes

Definition: A process is a program in execution.

• We are assuming a multiprogramming OS that can switch from one process to another.
• Sometimes this is called pseudoparallelism since one has the illusion of a parallel processor.
• The other possibility is real parallelism in which two or more processes are actually running at once because the computer system is a parallel processor, i.e., has more than one processor.
• We do not study real parallelism (parallel processing, distributed systems, multiprocessors, etc) in this course.

2.1.1: The Process Model

Even though in actuality there are many processes running at once, the OS gives each process the illusion that it is running alone.

• Virtual time: The time used by just this processes. Virtual time progresses at a rate independent of other processes. Actually, this is false, the virtual time is typically incremented a little during systems calls used for process switching; so if there are more other processors more “overhead” virtual time occurs.
  
  
• Virtual memory: The memory as viewed by the process. Each process typically believes it has a contiguous chunk of memory starting at location zero. Of course this can't be true of all processes (or they would be using the same memory) and in modern systems it is actually true of no processes (the memory assigned is not contiguous and does not include location zero).
  
  Think of the individual modules that are input to the linker. Each numbers its addresses from zero; the linker eventually translates these relative addresses into absolute addresses. That is the linker provides to the assembler a virtual memory in which addresses start at zero.

Virtual time and virtual memory are examples of abstractions provided by the operating system to the user processes so that the latter “sees” a more pleasant virtual machine than actually exists.

2.1.2: Process Creation

From the users or external viewpoint there are several mechanisms for creating a process.

1. System initialization, including daemon (see below) processes.
2. Execution of a process creation system call by a running process.
3. A user request to create a new process.
4. Initiation of a batch job.

But looked at internally, from the system's viewpoint, the second method dominates. Indeed in unix only one process is created at system initialization (the process is called init); all the others are children of this first process.

Why have init? That is why not have all processes created via method 2?
Ans: Because without init there would be no running process to create any others.

Definition of daemon

Many systems have daemon process lurking around to perform tasks when they are needed. I was pretty sure the terminology was related to mythology, but didn't have a reference until a student found “The {Searchable} Jargon Lexicon” at http://developer.syndetic.org/query_jargon.pl?term=demon

daemon: /day'mn/ or /dee'mn/ n. [from the mythological meaning, later rationalized as the acronym `Disk And Execution MONitor'] A program that is not invoked explicitly, but lies dormant waiting for some condition(s) to occur. The idea is that the perpetrator of the condition need not be aware that a daemon is lurking (though often a program will commit an action only because it knows that it will implicitly invoke a daemon). For example, under {ITS}, writing a file on the LPT spooler's directory would invoke the spooling daemon, which would then print the file. The advantage is that programs wanting (in this example) files printed need neither compete for access to nor understand any idiosyncrasies of the LPT. They simply enter their implicit requests and let the daemon decide what to do with them. Daemons are usually spawned automatically by the system, and may either live forever or be regenerated at intervals. Daemon and demon are often used interchangeably, but seem to have distinct connotations. The term `daemon' was introduced to computing by CTSS people (who pronounced it /dee'mon/) and used it to refer to what ITS called a dragon; the prototype was a program called DAEMON that automatically made tape backups of the file system. Although the meaning and the pronunciation have drifted, we think this glossary reflects current (2000) usage.

As is often the case, wikipedia.org proved useful. Here is the first paragraph of a more thorough entry. The wikipedia also has entries for other uses of daemon.

In Unix and other computer multitasking operating systems, a daemon is a computer program that runs in the background, rather than under the direct control of a user; they are usually instantiated as processes. Typically daemons have names that end with the letter "d"; for example, syslogd is the daemon which handles the system log.

2.1.3: Process Termination

Again from the outside there appear to be several termination mechanism.

1. Normal exit (voluntary).
2. Error exit (voluntary).
3. Fatal error (involuntary).
4. Killed by another process (involuntary).

And again, internally the situation is simpler. In Unix terminology, there are two system calls kill and exit that are used. Kill (poorly named in my view) sends a signal to another process. If this signal is not caught (via the signal system call) the process is terminated. There is also an “uncatchable” signal. Exit is used for self termination and can indicate success or failure.

2.1.4: Process Hierarchies

Modern general purpose operating systems permit a user to create and destroy processes.

• In unix this is done by the fork system call, which creates a child process, and the exit system call, which terminates the current process.
• After a fork both parent and child keep running (indeed they have the same program text) and each can fork off other processes.
• A process tree results. The root of the tree is a special process created by the OS during startup.
• A process can choose to wait for children to terminate. For example, if C issued a wait() system call it would block until G finished.

Old or primitive operating system like MS-DOS are not fully multiprogrammed, so when one process starts another, the first process is automatically blocked and waits until the second is finished.

2.1.5: Process States and Transitions

The diagram on the right contains much information.

• Consider a running process P that issues an I/O request
  • The process blocks
  • At some later point, a disk interrupt occurs and the driver detects that P's request is satisfied.
  • P is unblocked, i.e. is moved from blocked to ready
  • At some later time the operating system scheduler looks for a ready job to run and picks P.
  
  
• A preemptive scheduler has the dotted line preempt;
  A non-preemptive scheduler doesn't.
  
  
• The number of processes changes only for two arcs: create and terminate.
  
  
• Suspend and resume are medium term scheduling
  • Done on a longer time scale.
  • Involves memory management as well. As a result we study it later.
  • Sometimes called two level scheduling.

Homework: 1.

One can organize an OS around the scheduler.

• Write a minimal “kernel” (a micro-kernel) consisting of the scheduler, interrupt handlers, and IPC (interprocess communication).
  
  
• The rest of the OS consists of kernel processes (e.g. memory, filesystem) that act as servers for the user processes (which of course act as clients).
  
  
• The system processes also act as clients (of other system processes).
  
  
• The above is called the client-server model and is one Tanenbaum likes. His “Minix” operating system works this way.
  
  
• Indeed, there was reason to believe that the client-server model would dominate OS design. But that hasn't happened.
  
  
• Such an OS is sometimes called server based.
  
  
• Systems like traditional unix or linux would then be called self-service since the user process serves itself.
  • That is, the user process switches to kernel mode and performs the system call.
  • To repeat: the same process changes back and forth from/to user<-->system mode and services itself.

2.1.6: Implementation of Processes

The OS organizes the data about each process in a table naturally called the process table. Each entry in this table is called a process table entry or process control block (PCB).

I normally refer to a process table entry as a PTE, but this is bad. I recently realized that I use PTE for two different things, Process Table Entry and Page Table Entry. Since the latter is very common, I must stop using the former. Please correct me if I slip up.

• One entry per process.
  
  
• The central data structure for process management.
  
  
• A process state transition (e.g., moving from blocked to ready) is reflected by a change in the value of one or more fields in the PCB.
  
  
• We have converted an active entity (process) into a data structure (PCB). Finkel calls this the level principle “an active entity becomes a data structure when looked at from a lower level”.
  
  
• The PCB contains a great deal of information about the process. For example,
  • Saved value of registers when process not running
  • Program counter (i.e., the address of the next instruction)
  • Stack pointer
  • CPU time used
  • Process id (PID)
  • Process id of parent (PPID)
  • User id (uid and euid)
  • Group id (gid and egid)
  • Pointer to text segment (memory for the program text)
  • Pointer to data segment
  • Pointer to stack segment
  • UMASK (default permissions for new files)
  • Current working directory
  • Many others

2.1.6A: An addendum on Interrupts

This should be compared with the addendum on transfer of control.

In a well defined location in memory (specified by the hardware) the OS stores an interrupt vector, which contains the address of the (first level) interrupt handler.

• Tanenbaum calls the interrupt handler the interrupt service routine.
• Actually one can have different priorities of interrupts and the interrupt vector contains one pointer for each level. This is why it is called a vector.

Assume a process P is running and a disk interrupt occurs for the completion of a disk read previously issued by process Q, which is currently blocked. Note that disk interrupts are unlikely to be for the currently running process (because the process that initiated the disk access is likely blocked).

Actions by P prior to the interrupt:

1. Who knows??
   This is the difficulty of debugging code depending on interrupts, the interrupt can occur (almost) anywhere. Thus, we do not know what happened just before the interrupt.

Executing the interrupt itself:

2. The hardware saves the program counter and some other registers (or switches to using another set of registers, the exact mechanism is machine dependent).
   
   
3. Hardware loads new program counter from the interrupt vector.
   • Loading the program counter causes a jump.
   • Steps 2 and 3 are similar to a procedure call. But the interrupt is asynchronous.
   
   
4. As with a trap, the hardware automatically switches the system into privileged mode. (It might have been in supervisor mode already, that is an interrupt can occur in supervisor mode).

Actions by the interrupt handler (et al) upon being activated

5. An assembly language routine saves registers.
   
   
6. The assembly routine sets up new stack. (These last two steps are often called setting up the C environment.)
   
   
7. The assembly routine calls a procedure in a high level language, often the C language (Tanenbaum forgot this step).
   
   
8. The C procedure does the real work.
   • Determines what caused the interrupt (in this case a disk completed an I/O)
     • How does it figure out the cause?
       • It might know the priority of the interrupt being activated.
       • The controller might write information in memory before the interrupt
       • The OS can read registers in the controller
   • Mark process Q as ready to run.
     • That is move Q to the ready list (note that again we are viewing Q as a data structure).
     • The state of Q is now ready (it was blocked before).
     • The code that Q needs to run initially is likely to be OS code. For example, Q probably needs to copy the data just read from a kernel buffer into user space.
   • Now we have at least two processes ready to run, namely P and Q. There may be arbitrarily many others.
   
   
9. The scheduler decides which process to run (P or Q or something else). This loosely corresponds to g calling other procedures in the simple f calls g case we discussed previously. Eventually the scheduler decides to run P.

Actions by P when control returns

10. The C procedure (that did the real work in the interrupt processing) continues and returns to the assembly code.
    
    
11. Assembly language restores P's state (e.g., registers) and starts P at the point it was when the interrupt occurred.

Properties of interrupts

• Phew.
• Unpredictable (to an extent). We cannot tell what was executed just before the interrupt occurred. That is, the control transfer is asynchronous; it is difficult to ensure that everything is always prepared for the transfer.
• The user code is unaware of the difficulty and cannot (easily) detect that it occurred. This is another example of the OS presenting the user with a virtual machine environment that is more pleasant than reality (in this case synchronous rather asynchronous behavior).
• Interrupts can also occur when the OS itself is executing. This can cause difficulties since both the main line code and the interrupt handling code are from the same “program”, namely the OS, and hence might well be using the same variables. We will soon see how this can cause great problems even in what appear to be trivial cases.
• The interprocess control transfer is neither stack-like nor queue-like. That is if first P was running, then Q was running, then R was running, then S was running, the next process to be run might be any of P, Q, or R (or some other process).
• The system might have been in user-mode or supervisor mode when the interrupt occurred. The interrupt processing starts in supervisor mode.

2.2: Threads

The idea is to have separate threads of control (hence the name) running in the same address space. An address space is a memory management concept. For now think of an address space as the memory in which a process runs and the mapping from the virtual addresses (addresses in the program) to the physical addresses (addresses in the machine). Each thread is somewhat like a process (e.g., it is scheduled to run) but contains less state (e.g., the address space belongs to the process in which the thread runs.

2.2.1: The Thread Model

A process contains a number of resources such as address space, open files, accounting information, etc. In addition to these resources, a process has a thread of control, e.g., program counter, register contents, stack. The idea of threads is to permit multiple threads of control to execute within one process. This is often called multithreading and threads are often called lightweight processes. Because threads in the same process share so much state, switching between them is much less expensive than switching between separate processes.

Individual threads within the same process are not completely independent. For example there is no memory protection between them. This is typically not a security problem as the threads are cooperating and all are from the same user (indeed the same process). However, the shared resources do make debugging harder. For example one thread can easily overwrite data needed by another and if one thread closes a file other threads can't read from it.

2.2.2: Thread Usage

Often, when a process A is blocked (say for I/O) there is still computation that can be done. Another process B can't do this computation since it doesn't have access to the A's memory. But two threads in the same process do share memory so that problem doesn't occur.

An important modern example is a multithreaded web server. Each thread is responding to a single WWW connection. While one thread is blocked on I/O, another thread can be processing another WWW connection.
Question: Why not use separate processes, i.e., what is the shared memory?
Ans: The cache of frequently referenced pages.

A common organization is to have a dispatcher thread that fields requests and then passes this request on to an idle thread.

Another example is a producer-consumer problem (c.f. below) in which we have 3 threads in a pipeline. One thread reads data from an I/O device into a buffer, the second thread performs computation on the input buffer and places results in an output buffer, and the third thread outputs the data found in the output buffer. Again, while one thread is blocked the others can execute.

Question: Why does each thread block?

Answer:

1. The first thread blocks while waiting for the device to supply the data. It also blocks if the input buffer is full.
   
   
2. The second thread blocks when either the input buffer is empty or the output buffer is full.
   
   
3. The third thread blocks when the output device is busy (it might also block waiting for the output request to complete, but this is not necessary). It also blocks if the output buffer is empty.

Homework: 9.

A final (related) example is that an application that wishes to perform automatic backups can have a thread to do just this. In this way the thread that interfaces with the user is not blocked during the backup. However some coordination between threads may be needed so that the backup is of a consistent state.

2.2.3: Implementing threads in user space

Write a (threads) library that acts as a mini-scheduler and implements thread_create, thread_exit, thread_wait, thread_yield, etc. The central data structure maintained and used by this library is the thread table, the analogue of the process table in the operating system itself.

Advantages

• Requires no OS modification.
• Requires no OS modification.
• Requires no OS modification.
• Very fast since no context switching.
• Can customize the scheduler for each application.

Disadvantages

• Blocking system calls can't be executed directly since that would block the entire process. For example the producer consumer example, if implemented in the natural manner would not work well as whenever an I/O was issued that caused the process to block, all the threads would be unable to run (but see just below).
• Similarly a page fault would block the entire process (i.e., all the threads).
• A thread with an infinite loop prevents all other threads in this process from running.
• Re-doing the effort of writing a scheduler.

Possible methods of dealing with blocking system calls

• Perhaps the OS supplies a non-blocking version of the system call, e.g. non-blocking read.
• Perhaps the OS supplies another system call that tell if the blocking system call will in fact block. For example, a unix select() can be used to tell if a read would block. It might not block if
  • The requested disk block is in the buffer cache (see I/O chapter).
  • The request was for a keyboard or mouse or network event that has already happened.

2.2.4: Implementing Threads in the Kernel

Move the thread operations into the operating system itself. This naturally requires that the operating system itself be (significantly) modified and is thus not a trivial undertaking.

• Thread-create and friends are now system calls and hence much slower than with user-mode threads. They are, however, still much faster than creating/switching/etc processes since there is so much shared state that does not need to be recreated.
• A thread that blocks causes no particular problem. The kernel can run another thread from this process or can run another process.
• Similarly a page fault, or infinite loop in one thread does not automatically block the other threads in the process.

2.2.5: Hybrid Implementations

One can write a (user-level) thread library even if the kernel also has threads. This is sometimes called the M:N model since M user mode threads run on each of N kernel threads. Then each kernel thread can switch between user level threads. Thus switching between user-level threads within one kernel thread is very fast (no context switch) and we maintain the advantage that a blocking system call or page fault does not block the entire multi-threaded application since threads in other processes of this application are still runnable.

2.2.6: Scheduler Activations

Skipped

2.2.7: Popup Threads

The idea is to automatically issue a thread-create system call upon message arrival. (The alternative is to have a thread or process blocked on a receive system call.) If implemented well, the latency between message arrival and thread execution can be very small since the new thread does not have state to restore.

Making Single-threaded Code Multithreaded

Definitely NOT for the faint of heart.

• There often is state that should not be shared. A well-cited example is the unix errno variable that contains the error number (zero means no error) of the error encountered by the last system call. Errno is hardly elegant (even in normal, single-threaded, applications), but its use is widespread. If multiple threads issue faulty system calls the errno value of the second overwrites the first and thus the first errno value may be lost.
• Much existing code, including many libraries, are not re-entrant.
• Managing the shared memory inherent in multi-threaded applications opens up the possibility of race conditions that we will be studying next.
• What should be done with a signal sent to a process. Does it go to all or one thread?
• How should stack growth be managed. Normally the kernel grows the (single) stack automatically when needed. What if there are multiple stacks?

2.3: Interprocess Communication (IPC) and Coordination/Synchronization

2.3.1: Race Conditions

A race condition occurs when two (or more) processes are about to perform some action. Depending on the exact timing, one or other goes first. If one of the processes goes first, everything works, but if another one goes first, an error, possibly fatal, occurs.

Imagine two processes both accessing x, which is initially 10.

• One process is to execute x <-- x+1
• The other is to execute x <-- x-1
• When both are finished x should be 10
• But we might get 9 and might get 11!
• Show how this can happen (x <-- x+1 is not atomic)
• Tanenbaum shows how this can lead to disaster for a printer spooler

2.3.2: Critical sections

We must prevent interleaving sections of code that need to be atomic with respect to each other. That is, the conflicting sections need mutual exclusion. If process A is executing its critical section, it excludes process B from executing its critical section. Conversely if process B is executing is critical section, it excludes process A from executing its critical section.

Requirements for a critical section implementation.

1. No two processes may be simultaneously inside their critical section.
   
   
2. No assumption may be made about the speeds or the number of CPUs.
   
   
3. No process outside its critical section (including the entry and exit code) may block other processes.
   
   
4. No process should have to wait forever to enter its critical section.
   • I do NOT make this last requirement.
   • I just require that the system as a whole make progress (so not all processes are blocked).
   • I refer to solutions that do not satisfy Tanenbaum's last condition as unfair, but nonetheless correct, solutions.
   • Stronger fairness conditions have also been defined.

2.3.3 Mutual exclusion with busy waiting

The operating system can choose not to preempt itself. That is, we do not preempt system processes (if the OS is client server) or processes running in system mode (if the OS is self service). Forbidding preemption for system processes would prevent the problem above where x<--x+1 not being atomic crashed the printer spooler if the spooler is part of the OS.

But simply forbidding preemption while in system mode is not sufficient.

• Does not work for user-mode programs. So the Unix print spooler would not be helped.
  
  
• Does not prevent conflicts between the main line OS and interrupt handlers.
  • This conflict could be prevented by disabling interrupts while the main line is in its critical section.
  • Indeed, disabling (a.k.a. temporarily preventing) interrupts is often done for exactly this reason.
  • Do not want to block interrupts for too long or the system will seem unresponsive.
  
  
• Does not work if the system has several processors.
  • The main line can be executing on both processors simultaneously and can conflict.
  • One processor cannot block interrupts on the other.

Software solutions for two processes

    Initially P1wants=P2wants=false

    Code for P1                             Code for P2

    Loop forever {                          Loop forever {
        P1wants <-- true         ENTRY          P2wants <-- true
        while (P2wants) {}       ENTRY          while (P1wants) {}
        critical-section                        critical-section
        P1wants <-- false        EXIT           P2wants <-- false
        non-critical-section }                  non-critical-section }

Explain why this works.

But it is wrong! Why?

Let's try again. The trouble was that setting want before the loop permitted us to get stuck. We had them in the wrong order!

Initially P1wants=P2wants=false

Code for P1                             Code for P2

Loop forever {                          Loop forever {
    while (P2wants) {}       ENTRY          while (P1wants) {}
    P1wants <-- true         ENTRY          P2wants <-- true
    critical-section                        critical-section
    P1wants <-- false        EXIT           P2wants <-- false
    non-critical-section }                  non-critical-section }

Explain why this works.

But it is wrong again! Why?

So let's be polite and really take turns. None of this wanting stuff.

Initially turn=1

Code for P1                      Code for P2

Loop forever {                   Loop forever {
    while (turn = 2) {}              while (turn = 1) {}
    critical-section                 critical-section
    turn <-- 2                       turn <-- 1
    non-critical-section }           non-critical-section }

This one forces alternation, so is not general enough. Specifically, it does not satisfy condition three, which requires that no process in its non-critical section can stop another process from entering its critical section. With alternation, if one process is in its non-critical section (NCS) then the other can enter the CS once but not again.

The first example violated rule 4 (the whole system blocked). The second example violated rule 1 (both in the critical section. The third example violated rule 3 (one process in the NCS stopped another from entering its CS).

In fact, it took years (way back when) to find a correct solution. Many earlier “solutions” were found and several were published, but all were wrong. The first correct solution was found by a mathematician named Dekker, who combined the ideas of turn and wants. The basic idea is that you take turns when there is contention, but when there is no contention, the requesting process can enter. It is very clever, but I am skipping it (I cover it when I teach distributed operating systems in V22.0480 or G22.2251). Subsequently, algorithms with better fairness properties were found (e.g., no task has to wait for another task to enter the CS twice).

What follows is Peterson's solution, which also combines turn and wants to force alternation only when there is contention. When Peterson's solution was published, it was a surprise to see such a simple soluntion. In fact Peterson gave a solution for any number of processes. A proof that the algorithm satisfies our properties (including a strong fairness condition) for any number of processes can be found in Operating Systems Review Jan 1990, pp. 18-22.

Initially P1wants=P2wants=false  and  turn=1

Code for P1                        Code for P2

Loop forever {                     Loop forever {
    P1wants <-- true                   P2wants <-- true
    turn <-- 2                         turn <-- 1
    while (P2wants and turn=2) {}      while (P1wants and turn=1) {}
    critical-section                   critical-section
    P1wants <-- false                  P2wants <-- false
    non-critical-section               non-critical-section

Hardware assist (test and set)

The word atomically means that the two actions performed by TAS(x), testing (i.e., returning the old value of x) and setting (i.e., assigning true to x) are inseparable. Specifically it is not possible for two concurrent TAS(x) operations to both return false (unless there is also another concurrent statement that sets x to false).

With TAS available implementing a critical section for any number of processes is trivial.

    loop forever {
        while (TAS(s)) {}   ENTRY
        CS
        s<--false           EXIT
        NCS

2.3.4: Sleep and Wakeup

Remark: Tanenbaum does both busy waiting (as above) and blocking (process switching) solutions. We will only do busy waiting, which is easier. Sleep and Wakeup are the simplest blocking primitives. Sleep voluntarily blocks the process and wakeup unblocks a sleeping process. We will not cover these.

Homework: Explain the difference between busy waiting and blocking process synchronization.

2.3.5: Semaphores

Remark: Tannenbaum use the term semaphore only for blocking solutions. I will use the term for our busy waiting solutions. Others call our solutions spin locks.

P and V and Semaphores

The entry code is often called P and the exit code V. Thus the critical section problem is to write P and V so that

loop forever
    P
    critical-section
    V
    non-critical-section

1. Mutual exclusion.
2. No speed assumptions.
3. No blocking by processes in NCS.
4. Forward progress (my weakened version of Tanenbaum's last condition).

Note that I use indenting carefully and hence do not need (and sometimes omit) the braces {} used in languages like C or java.

A binary semaphore abstracts the TAS solution we gave for the critical section problem.

• A binary semaphore S takes on two possible values “open” and “closed”.
• Two operations are supported
• P(S) is

      while (S=closed) {}
      S<--closed     <== This is NOT the body of the while
  

  where finding S=open and setting S<--closed is atomic
• That is, wait until the gate is open, then run through and atomically close the gate
• Said another way, it is not possible for two processes doing P(S) simultaneously to both see S=open (unless a V(S) is also simultaneous with both of them).
• V(S) is simply S<--open

The above code is not real, i.e., it is not an implementation of P. It is, instead, a definition of the effect P is to have.

To repeat: for any number of processes, the critical section problem can be solved by

loop forever
    P(S)
    CS
    V(S)
    NCS

The only specific solution we have seen for an arbitrary number of processes is the one just above with P(S) implemented via test and set.

Remark: Peterson's solution requires each process to know its processor number. The TAS soluton does not. Moreover the definition of P and V does not permit use of the processor number. Thus, strictly speaking Peterson did not provide an implementation of P and V. He did solve the critical section problem.

To solve other coordination problems we want to extend binary semaphores.

• With binary semaphores, two consecutive Vs do not permit two subsequent Ps to succeed (the gate cannot be doubly opened).
• We might want to limit the number of processes in the section to 3 or 4, not always just 1.

Both of the shortcomings can be overcome by not restricting ourselves to a binary variable, but instead define a generalized or counting semaphore.

• A counting semaphore S takes on non-negative integer values
• Two operations are supported
• P(S) is

      while (S=0) {}
      S--
  

  where finding S>0 and decrementing S is atomic
• That is, wait until the gate is open (positive), then run through and atomically close the gate one unit
• Another way to describe this atomicity is to say that it is not possible for the decrement to occur when S=0 and it is also not possible for two processes executing P(S) simultaneously to both see the same necessarily (positive) value of S unless a V(S) is also simultaneous.
• V(S) is simply S++

These counting semaphores can solve what I call the semi-critical-section problem, where you premit up to k processes in the section. When k=1 we have the original critical-section problem.

initially S=k

loop forever
    P(S)
    SCS   <== semi-critical-section
    V(S)
    NCS

Producer-consumer problem

• Two classes of processes
  • Producers, which produce times and insert them into a buffer.
  • Consumers, which remove items and consume them.
• What if the producer encounters a full buffer?
  Answer: It waits for the buffer to become non-full.
• What if the consumer encounters an empty buffer?
  Answer: It waits for the buffer to become non-empty.
• Also called the bounded buffer problem.
  • Another example of active entities being replaced by a data structure when viewed at a lower level (Finkel's level principle).

Initially e=k, f=0 (counting semaphore); b=open (binary semaphore)

Producer                         Consumer

loop forever                     loop forever
    produce-item                     P(f)
    P(e)                             P(b); take item from buf; V(b)
    P(b); add item to buf; V(b)      V(e)
    V(f)                             consume-item

• k is the size of the buffer
• e represents the number of empty buffer slots
• f represents the number of full buffer slots
• We assume the buffer itself is only serially accessible. That is, only one operation at a time.
  • This explains the P(b) V(b) around buffer operations
  • I use ; and put three statements on one line to suggest that a buffer insertion or removal is viewed as one atomic operation.
  • Of course this writing style is only a convention, the enforcement of atomicity is done by the P/V.
• The P(e), V(f) motif is used to force “bounded alternation”. If k=1 it gives strict alternation.

2.3.6: Mutexes

2.3.7: Monitors

2.3..8: Message Passing

2.4: Classical IPC Problems

2.4.0: The Producer-Consumer (or Bounded Buffer) Problem

We did this previously.

2.4.1: The Dining Philosophers Problem

A classical problem from Dijkstra

• 5 philosophers sitting at a round table
• Each has a plate of spaghetti
• There is a fork between each two
• Need two forks to eat

• The obvious solution (pick up right; pick up left) deadlocks.
• Big lock around everything serializes.
• Good code in the book.

The purpose of mentioning the Dining Philosophers problem without giving the solution is to give a feel of what coordination problems are like. The book gives others as well. We are skipping these (again this material would be covered in a sequel course). If you are interested look, for example, here.

Homework: 31 and 32 (these have short answers but are not easy). Note that the problem refers to fig. 2-20, which is incorrect. It should be fig 2-33.

2.4.2: The Readers and Writers Problem

• Two classes of processes.
  • Readers, which can work concurrently.
  • Writers, which need exclusive access.
• Must prevent 2 writers from being concurrent.
• Must prevent a reader and a writer from being concurrent.
• Must permit readers to be concurrent when no writer is active.
• Perhaps want fairness (e.g., freedom from starvation).
• Variants
  1. Writer-priority readers/writers.
  2. Reader-priority readers/writers.

Quite useful in multiprocessor operating systems and database systems. The “easy way out” is to treat all processes as writers in which case the problem reduces to mutual exclusion (P and V). The disadvantage of the easy way out is that you give up reader concurrency. Again for more information see the web page referenced above.

2.4.3: The Sleeping Barber Problem

Critical Sections versus Transactions

Critical Sections have a form of atomicity, in some ways similar to transactions. But there is a key difference: With critical sections you have certain blocks of code, say A, B, and C, that are mutually exclusive (i.e., are atomic with respect to each other) and other blocks, say D and E, that are mutually exclusive; but blocks from different critical sections, say A and D, are not mutually exclusive.

The day after giving this lecture in 2006-07-spring, I found a modern reference to the same question. The quote below is from Subtleties of Transactional Memory Atomicity Semantics by Blundell, Lewis, and Martin in Computer Architecture Letters (volume 5, number 2, July-Dec. 2006, pp. 65-66). As mentioned above, busy-waiting (binary) semaphores are often called locks (or spin locks).

... conversion (of a critical section to a transaction) broadens the scope of atomicity, thus changing the program's semantics: a critical section that was previously atomic only with respect to other critical sections guarded by the same lock is not atomic with respect to all other critical sections.

2.4A: Summary of 2.3 and 2.4

We then defined (binary) Semaphores and showed that a Semaphore easily solves the critical section problem and doesn't require knowledge of how many processes are competing for the critical section. We gave an implementation using Test-and-Set.

We then gave an operational definition of Semaphore (which is not an implementation) and morphed this definition to obtain a Counting (or Generalized) Semaphore, for which we gave NO implementation. I asserted that a counting semaphore can be implemented using 2 binary semaphores and gave a reference.

We defined the Readers/Writers (or Bounded Buffer) Problem and showed that it can be solved using counting semaphores (and binary semaphores, which are a special case).

Finally we briefly discussed some classical problem, but did not give (full) solutions.

2.5: Process Scheduling

Scheduling processes on the processor is often called “process scheduling” or simply “scheduling”.

The objectives of a good scheduling policy include

• Fairness.
• Efficiency.
• Low response time (important for interactive jobs).
• Low turnaround time (important for batch jobs).
• High throughput [the above are from Tanenbaum].
• More “important” processes are favored.
• Interactive processes are favored.
• Repeatability. Dartmouth (DTSS) “wasted cycles” and limited logins for repeatability.
• Fair across projects.
  • “Cheating” in unix by using multiple processes.
  • TOPS-10.
  • Fair share research project.
• Degrade gracefully under load.

Recall the basic diagram describing process states

For now we are discussing short-term scheduling, i.e., the arcs connecting running <--> ready.

Medium term scheduling is discussed later.

Preemption

It is important to distinguish preemptive from non-preemptive scheduling algorithms.

• Preemption means the operating system moves a process from running to ready without the process requesting it.
• Without preemption, the system implements “run to completion (or yield or block)”.
• The “preempt” arc in the diagram.
• We do not consider yield (a solid arrow from running to ready).
• Preemption needs a clock interrupt (or equivalent).
• Preemption is needed to guarantee fairness.
• Preemption is found in all modern general purpose operating systems.
• Even non preemptive systems can be multiprogrammed (e.g., when processes block for I/O).

Deadline scheduling

This is used for real time systems. The objective of the scheduler is to find a schedule for all the tasks (there are a fixed set of tasks) so that each meets its deadline. The run time of each task is known in advance.

Actually it is more complicated.

• Periodic tasks
• What if we can't schedule all task so that each meets its deadline (i.e., what should be the penalty function)?
• What if the run-time is not constant but has a known probability distribution?

We do not cover deadline scheduling in this course.

The name game

There is an amazing inconsistency in naming the different (short-term) scheduling algorithms. Over the years I have used primarily 4 books: In chronological order they are Finkel, Deitel, Silberschatz, and Tanenbaum. The table just below illustrates the name game for these four books. After the table we discuss each scheduling policy in turn.

Finkel  Deitel  Silbershatz Tanenbaum
-------------------------------------
FCFS    FIFO    FCFS        FCFS
RR      RR      RR          RR
PS      **      PS          PS
SRR     **      SRR         **    not in tanenbaum
SPN     SJF     SJF         SJF
PSPN    SRT     PSJF/SRTF   --    unnamed in tanenbaum
HPRN    HRN     **          **    not in tanenbaum
**      **      MLQ         **    only in silbershatz
FB      MLFQ    MLFQ        MQ

Remark: For an alternate organization of the scheduling algorithms (due to Eric Freudenthal and presented by him Fall 2002) click here.

First Come First Served (FCFS, FIFO, FCFS, --)

If the OS “doesn't” schedule, it still needs to store the list of ready processes in some manner. If it is a queue you get FCFS. If it is a stack (strange), you get LCFS. Perhaps you could get some sort of random policy as well.

• Only FCFS is considered.
• Non-preemptive.
• The simplist scheduling policy.
• In some sense the fairest since it is first come first served. But perhaps that is not so fair--Consider a 1 hour job submitted one second before a 3 second job.
• The most efficient usage of cpu since the scheduler is very fast.

Round Robin (RR, RR, RR, RR)

• An important preemptive policy.
• Essentially the preemptive version of FCFS.
• Note that RR works well if you have a 1 hr job and then a 3 second job.
• The key parameter is the quantum size q.
• When a process is put into the running state a timer is set to q.
• If the timer goes off and the process is still running, the OS preempts the process.
  • This process is moved to the ready state (the preempt arc in the diagram), where it is placed at the rear of the ready list.
  • The process at the front of the ready list is removed from the ready list and run (i.e., moves to state running).
  • Note that the ready list is being treated as a queue. Indeed it is sometimes called the ready queue, but not by me since for other scheduling algorithms it is not accessed in a FIFO manner.
• When a process is created, it is placed at the rear of the ready list.
• As q gets large, RR approaches FCFS. Indeed if q is larger that the longest time a process can run before terminating or blocking, then RR IS FCFS. A good way to see this is to look at my favorite diagram and note the three arcs leaving running. They are “triggered” by three conditions: process terminating, process blocking, and process preempted. If the first condition to trigger is never preemption, we can erase the arc and then RR becomes FCFS.
• As q gets small, RR approaches PS (Processor Sharing, described next)
• What value of q should we choose?
  • Trade-off
  • Small q makes system more responsive, a long compute-bound job cannot starve a short job.
  • Large q makes system more efficient since less process switching.
  • A reasonable time for q is about 1ms (millisecond = 1/1000 second). This means each other job can delay your job by at most 1ms (plus the context switch time CS, which is much less than 1ms). Also the overhead is CS/(CS+q), which is small.
• A student found the following reference for the name Round Robin.

  The round robin was originally a petition, its signatures arranged in a circular form to disguise the order of signing. Most probably it takes its name from the "ruban rond," "round ribbon," in 17th-century France, where government officials devised a method of signing their petitions of grievances on ribbons that were attached to the documents in a circular form. In that way no signer could be accused of signing the document first and risk having his head chopped off for instigating trouble. "Ruban rond" later became "round robin" in English and the custom continued in the British navy, where petitions of grievances were signed as if the signatures were spokes of a wheel radiating from its hub. Today "round robin" usually means a sports tournament where all of the contestants play each other at least once and losing a match doesn't result in immediate elimination.
  
  Encyclopedia of Word and Phrase Origins by Robert Hendrickson (Facts on File, New York, 1997).

Homework: 26, 35, 38.

Homework: Give an argument favoring a large quantum; give an argument favoring a small quantum.

• Consider the set of processes in the table to the right.
• When does each process finish if RR scheduling is used with q=1, if q=2, if q=3, if q=100?
• First assume (unrealistically) that context switch time is zero.
• Then assume it is .1. Each process performs no I/O (i.e., no process ever blocks).
• All times are in milliseconds.
• The CPU time is the total time required for the process (excluding any context switch time).
• The creation time is the time when the process is created. So P1 is created when the problem begins and P3 is created 5 milliseconds later.
• If two processes have equal priority (in RR this means if thy both enter the ready state at the same cycle), we give priority (in RR this means place first on the queue) to the process with the earliest creation time. If they also have the same creation time, then we give priority to the process with the lower number.
• Remind me to discuss this last one in class next time.

Homework: Redo the previous homework for q=2 with the following change. After process P1 runs for 3ms (milliseconds), it blocks for 2ms. P1 never blocks again. P2 never blocks. After P3 runs for 1 ms it blocks for 1ms. Remind me to answer this one in class next lecture.

Processor Sharing (PS, **, PS, PS)

Merge the ready and running states and permit all ready jobs to be run at once. However, the processor slows down so that when n jobs are running at once, each progresses at a speed 1/n as fast as it would if it were running alone.

• Clearly impossible as stated due to the overhead of process switching.
• Of theoretical interest (easy to analyze).
• Approximated by RR when the quantum is small. Make sure you understand this last point. For example, consider the last homework assignment (with zero context switch time and no blocking) and consider q=1, q=.1, q=.01, etc.
• Show what happens for 3 processes, A, B, C, each requiring 3 seconds of CPU time. A starts at time 0, B at 1 second, C at 2.
• Also do three processes all starting at 0. One requires 1ms, one 100ms and one 10 seconds. Redo this for FCFS and RR with quantum 1 ms and 10 ms. Note that this depends on the order the processes happen to be processed in. The effect is huge for FCFS, modest for RR with modest quantum, and non-existent for PS.
• We will do this again for PSJF so please remember the answers we got now.

Homework: 34.

Variants of Round Robin

• State dependent RR
  • Same as RR but q is varied dynamically depending on the state of the system.
  • Favor processes holding important resources.
    • For example, non-swappable memory.
    • Perhaps this should be considered medium term scheduling since you probably do not recalculate q each time.
• External priorities: RR but a user can pay more and get bigger q. That is one process can be given a higher priority than another. But this is not an absolute priority: the lower priority (i.e., less important) process does get to run, but not as much as the higher priority process.

Remark: Last time there was a question concerning whether critical sections made a section of code atomic with respect to just another section or to all code. The very next day I found a modern reference to the same question.

The quote below is from Subtleties of Transactional Memory Atomicity Semantics by Blundell, Lewis, and Martin in Computer Architecture Letters (volume 5, number 2, July-Dec. 2006, pp. 65-66). As mentioned in class, busy-waiting (binary) semaphores are often called locks (or spin locks).

... conversion (of a critical section to a transaction) broadens the scope of atomicity, thus changing the program's semantics: a critical section that was previously atomic only with respect to other critical sections guarded by the same lock is not atomic with respect to all other critical sections.

Priority Scheduling

Each job is assigned a priority (externally, perhaps by charging more for higher priority) and the highest priority ready job is run.

• Similar to “External priorities” above
• If many processes have the highest priority, use RR among them.
• Can easily starve processes (see aging below for fix).
• Can have the priorities changed dynamically to favor processes holding important resources (similar to state dependent RR).
• Many policies can be thought of as priority scheduling in which we run the job with the highest priority (with different notions of priority for different policies). For example, FIFO and RR are priority scheduling where the priority is the time spent on the ready list/queue.

Priority aging

As a job is waiting, raise its priority so eventually it will have the maximum priority.

• This prevents starvation (assuming all jobs terminate or the policy is preemptive).
• Starvation means that some process is never run, because it never has the highest priority. It is also starvation, if process A runs for a while, but then is never able to run again, even though it is ready. The formal way to say this is “No job can remain in the ready state forever”.
• There may be many processes with the maximum priority.
• If so, can use FIFO among those with max priority (risks starvation if a job doesn't terminate) or can use RR.
• Can apply priority aging to many policies, in particular to priority scheduling described above.

Selfish RR (SRR, **, SRR, **)

• Preemptive.
• Perhaps it should be called “snobbish RR”.
• “Accepted processes” run RR.
• Accepted process have their priority increase at rate b≥0.
• A new process starts at priority 0; its priority increases at rate a≥0.
• An unaccepted process becomes an accepted process when its priority reaches that of an accepted process (or when there are no accepted processes).
• From this it follows that, once a process is accepted, it remains accepted until it terminates.
• Note that at any time all accepted processes have same priority.
• Note that, when the only accepted process terminates, all the process with the next highest priority become accepted.
• It is not clear what is supposed to happen when a process blocks. Should it priority get reset (as when it terminates) and have unblock act like create? Should the priority continue to grow (at rate a or b)? Should its priority be frozen during the blockage. Let us assume the second case (continue to grow) since it seems the simplest.
• If b≥a, get FCFS.
• If b=0, get RR.
• If a>b>0, it is interesting.
• If b>a=0, you get RR in "batches". This is similar to n-step scan for disk I/O.

Shortest Job First (SPN, SJF, SJF, SJF)

Sort jobs by total execution time needed and run the shortest first.

• Nonpreemptive
• First consider a static situation where all jobs are available in the beginning and we know how long each one takes to run. For simplicity lets consider “run-to-completion”, also called “uniprogrammed” (i.e., we don't even switch to another process on I/O). In this situation, uniprogrammed SJF has the shortest average waiting time.
  • Assume you have a schedule with a long job right before a short job.
  • Consider swapping the two jobs.
  • This decreases the wait for the short by the length of the long job and increases the wait of the long job by the length of the short job.
  • This decreases the total waiting time for these two.
  • Hence decreases the total waiting for all jobs and hence decreases the average waiting time as well.
  • Hence, whenever a long job is right before a short job, we can swap them and decrease the average waiting time.
  • Thus the lowest average waiting time occurs when there are no short jobs right before long jobs.
  • This is uniprogrammed SJF.
• The above argument illustrates an advantage of favoring short jobs (e.g., RR with small quantum): the average waiting time is reduced.
• In the more realistic case of true SJF where the scheduler switches to a new process when the currently running process blocks (say for I/O), we should call the policy shortest next-CPU-burst first.
• The difficulty is predicting the future (i.e., knowing in advance the time required for the job or next-CPU-burst).
• This is an example of priority scheduling.

Homework: 39, 40. Note that when the book says RR with each process getting its fair share, it means Processor Sharing.

Preemptive Shortest Job First (PSPN, SRT, PSJF/SRTF, --)

Preemptive version of above

• Permit a process that enters the ready list to preempt the running process if the time for the new process (or for its next burst) is less than the remaining time for the running process (or for its current burst).
• It will never happen that a process in the ready list will require less time than the remaining time for the currently running process. Why?
  Ans: When the process joined the ready list it would have started running if the current process had more time remaining. Since that didn't happen the current job had less time remaining and now it has even less.
• Can starve a process that require a long burst.
  • This is fixed by the standard technique.
  • What is that technique?
    Ans: Priority aging.
• Another example of priority scheduling.
• Consider three processes all starting at time 0. One requires 1ms, the second 100ms, the third 10sec (seconds). Compute the total/average waiting time and compare to RR q=1ms, FCFS, and PS.

Highest Penalty Ratio Next (HPRN, HRN, **, **)

Run the process that has been “hurt” the most.

• For each process, let r = T/t; where T is the wall clock time this process has been in system and t is the running time of the process to date.
• If r=2.5, that means the job has been running 1/2.5 = 40% of the time it has been in the system.
• We call r the penalty ratio and run the process having the highest r value.
• We must worry about a process that just enters the system since t=0 and hence the ratio is undefined. Define t to be the max of 1 and the running time to date. Since now t is at least 1, the ratio is always defined.
• HPRN is normally defined to be non-preemptive (i.e., the system only checks r when a burst ends), but there is an preemptive analogue
  • When putting process into the run state compute the time at which it will no longer have the highest ratio and set a timer.
  • When a process is moved into the ready state, compute its ratio and preempt if needed.
• HRN stands for highest response ratio next and means the same thing.
• This policy is yet another example of priority scheduling

Remark: Recall that SFJ/PSFJ do a good job of minimizing the average waiting time. The problem with them is the difficulty in finding the job whose next CPU burst is minimal. We now learn two scheduling algorithms that attempt to do this (approximately). The first one does this statically, presumably with some manual help; the second is dynamic and fully automatic.

Multilevel Queues (**, **, MLQ, **)

Put different classes of processs in different queues

• Processs do not move from one queue to another.
• Can have different policies on the different queues.
  For example, might have a background (batch) queue that is FCFS and one or more foreground queues that are RR.
• Must also have a policy among the queues.
  For example, might have two queues, foreground and background, and give the first absolute priority over the second
  • Might apply aging to prevent background starvation.
  • But might not, i.e., no guarantee of service for background processes. View a background process as a “cycle soaker”.
  • Might have 3 queues, foreground, background, cycle soaker.

Multilevel Feedback Queues (FB, MFQ, MLFBQ, MQ)

As with multilevel queues above we have many queues, but now processs move from queue to queue in an attempt to dynamically separate “batch-like” from interactive processs so that we can favor the latter.

• Remember that average waiting time is achieved by SJF, and this is an attempt to determine dynamically those processes that are interactive, which means have a very short cpu burst.
• Run processs from the highest priority nonempty queue in a RR manner.
• When a process uses its full quanta (looks a like batch process), move it to a lower priority queue.
• When a process doesn't use a full quanta (looks like an interactive process), move it to a higher priority queue.
• A long process with frequent (perhaps spurious) I/O will remain in the upper queues.
• Might have the bottom queue FCFS.
• Many variants.
  For example, might let process stay in top queue 1 quantum, next queue 2 quanta, next queue 4 quanta (i.e., sometimes return a process to the rear of the same queue it was in if the quantum expires).

Theoretical Issues

Considerable theory has been developed.

• NP completeness results abound.
• Much work in queuing theory to predict performance.
• Not covered in this course.

Medium-Term Scheduling

In addition to the short-term scheduling we have discussed, we add medium-term scheduling in which decisions are made at a coarser time scale.

• Called memory scheduling by Tanenbaum (part of his three level scheduling).
• Suspend (swap out) some process if memory is over-committed.
• Criteria for choosing a victim.
  • How long since previously suspended.
  • How much CPU time used recently.
  • How much memory does it use.
  • External priority (pay more, get swapped out less).
• We will discuss medium term scheduling again when we study memory management.

Long Term Scheduling

• “Job scheduling”. Decide when to start jobs, i.e., do not necessarily start them when submitted.
• Force user to log out and/or block logins if over-committed.
  • CTSS (an early time sharing system at MIT) did this to insure decent interactive response time.
  • Unix does this if out of processes (i.e., out of PTEs).
  • “LEM jobs during the day” (Grumman).
• Called admission scheduling by Tanenbaum (part of three level scheduling).
• Many supercomputer sites.

2.5.4: Scheduling in Real Time Systems

Skipped

2.5.5: Policy versus Mechanism

Skipped.

2.5.6: Thread Scheduling

Skipped.

Research on Processes and Threads

Skipped.

Chapter 3: Deadlocks

A deadlock occurs when every member of a set of processes is waiting for an event that can only be caused by a member of the set.

Often the event waited for is the release of a resource.

In the automotive world deadlocks are called gridlocks.

• The processes are the cars.
• The resources are the spaces occupied by the cars

Old Reward: I used to give one point extra credit on the final exam for anyone who brings a real (e.g., newspaper) picture of an automotive deadlock. Note that it must really be a gridlock, i.e., motion is not possible without breaking the traffic rules. A huge traffic jam is not sufficient. This was solved last semester so no reward any more. One of the winners in on my office door.

For a computer science example consider two processes A and B that each want to print a file currently on tape.

1. A has obtained ownership of the printer and will release it after printing one file.
2. B has obtained ownership of the tape drive and will release it after reading one file.
3. A tries to get ownership of the tape drive, but is told to wait for B to release it.
4. B tries to get ownership of the printer, but is told to wait for A to release the printer.

Bingo: deadlock!

3.1: Resources

The resource is the object granted to a process.

3.1.1: Preemptable and Nonpreemptable Resources

• Resources come in two types
  1. Preemptable, meaning that the resource can be taken away from its current owner (and given back later). An example is memory.
  2. Non-preemptable, meaning that the resource cannot be taken away. An example is a printer.
• The interesting issues arise with non-preemptable resources so those are the ones we study.
• Life history of a resource is a sequence of
  1. Request
  2. Allocate
  3. Use
  4. Release
• Processes make requests, use the resource, and release the resource. The allocate decisions are made by the system and we will study policies used to make these decisions.

3.1.2: Resource Acquisition

Simple example of the trouble you can get into.

• Two resources and two processes.
• Each process wants both resources.
• Use a semaphore for each. Call them S and T.
• If both processes execute P(S); P(T); --- V(T); V(S)
  all is well.
• But if one executes instead P(T); P(S); -- V(S); V(T)
  disaster! This was the printer/tape example just above.

Recall from the semaphore/critical-section treatment last chapter, that it is easy to cause trouble if a process dies or stays forever inside its critical section; we assume processes do not do this. Similarly, we assume that no process retains a resource forever. It may obtain the resource an unbounded number of times (i.e. it can have a loop forever with a resource request inside), but each time it gets the resource, it must release it eventually.

3.2: Introduction to Deadlocks

To repeat: A deadlock occurs when a every member of a set of processes is waiting for an event that can only be caused by a member of the set.

Often the event waited for is the release of a resource.

3.2.1: (Necessary) Conditions for Deadlock

The following four conditions (Coffman; Havender) are necessary but not sufficient for deadlock. Repeat: They are not sufficient.

1. Mutual exclusion: A resource can be assigned to at most one process at a time (no sharing).
2. Hold and wait: A processing holding a resource is permitted to request another.
3. No preemption: A process must release its resources; they cannot be taken away.
4. Circular wait: There must be a chain of processes such that each member of the chain is waiting for a resource held by the next member of the chain.

The first three are characteristics of the system and resources. That is, for a given system with a fixed set of resources, the first three conditions are either true or false: They don't change with time. The truth or falsehood of the last condition does indeed change with time as the resources are requested/allocated/released.

3.2.2: Deadlock Modeling

On the right are several examples of a Resource Allocation Graph, also called a Reusable Resource Graph.

• The processes are circles.
• The resources are squares.
• An arc (directed line) from a process P to a resource R signifies that process P has requested (but not yet been allocated) resource R.
• An arc from a resource R to a process P indicates that process P has been allocated resource R.

Homework: 5.

Consider two concurrent processes P1 and P2 whose programs are.

P1: request R1       P2: request R2
    request R2           request R1
    release R2           release R1
    release R1           release R2

On the board draw the resource allocation graph for various possible executions of the processes, indicating when deadlock occurs and when deadlock is no longer avoidable.

There are four strategies used for dealing with deadlocks.

1. Ignore the problem
2. Detect deadlocks and recover from them
3. Avoid deadlocks by carefully deciding when to allocate resources.
4. Prevent deadlocks by violating one of the 4 necessary conditions.

3.3: Ignoring the problem--The Ostrich Algorithm

The “put your head in the sand approach”.

• If the likelihood of a deadlock is sufficiently small and the cost of avoiding a deadlock is sufficiently high it might be better to ignore the problem. For example if each PC deadlocks once per 100 years, the one reboot may be less painful that the restrictions needed to prevent it.
  
  
• Clearly not a good philosophy for nuclear missile launchers.
  
  
• For embedded systems (e.g., missile launchers) the programs run are fixed in advance so many of the questions Tanenbaum raises (such as many processes wanting to fork at the same time) don't occur.

3.4: Detecting Deadlocks and Recovering From Them

3.4.1: Detecting Deadlocks with Single Unit Resources

Consider the case in which there is only one instance of each resource.

• Thus a request can be satisfied by only one specific resource.
  
  
• In this case the 4 necessary conditions for deadlock are also sufficient.
  
  
• Remember we are making an assumption (single unit resources) that is often invalid. For example, many systems have several printers and a request is given for “a printer” not a specific printer. Similarly, one can have many tape drives.
  
  
• So the problem comes down to finding a directed cycle in the resource allocation graph. Why?
  Answer: Because the other three conditions are either satisfied by the system we are studying or are not in which case deadlock is not a question. That is, conditions 1,2,3 are conditions on the system in general not on what is happening right now.

To find a directed cycle in a directed graph is not hard. The algorithm is in the book. The idea is simple.

1. For each node in the graph do a depth first traversal to see if the graph is a DAG (directed acyclic graph), building a list as you go down the DAG (and pruning it as you backtrack back up).
   
   
2. If you ever find the same node twice on your list, you have found a directed cycle, the graph is not a DAG, and deadlock exists among the processes in your current list.
   
   
3. If you never find the same node twice, the graph is a DAG and no deadlock occurs.
   
   
4. The searches are finite since there are a finite number of nodes.

3.4.2: Detecting Deadlocks with Multiple Unit Resources

This is more difficult.

• The figure on the right shows a resource allocation graph with multiple unit resources.
  
  
• Each unit is represented by a dot in the box.
  
  
• Request edges are drawn to the box since they represent a request for any dot in the box.
  
  
• Allocation edges are drawn from the dot to represent that this unit of the resource has been assigned (but all units of a resource are equivalent and the choice of which one to assign is arbitrary).
  
  
• Note that there is a directed cycle in red, but there is no deadlock. Indeed the middle process might finish, erasing the green arc and permitting the blue dot to satisfy the rightmost process.
  
  
• The book gives an algorithm for detecting deadlocks in this more general setting. The idea is as follows.
  1. look for a process that might be able to terminate (i.e., all its request arcs can be satisfied).
  2. If one is found pretend that it does terminate (erase all its arcs), and repeat step 1.
  3. If any processes remain, they are deadlocked.
  
  
• We will soon do in detail an algorithm (the Banker's algorithm) that has some of this flavor.
  
  
• The algorithm just given makes the most optimistic assumption about a running process: it will return all its resources and terminate normally. If we still find processes that remain blocked, they are deadlocked.
  
  
• In the bankers algorithm we make the most pessimistic assumption about a running process: it immediately asks for all the resources it can (details later on “can”). If, even with such demanding processes, the resource manager can assure that all process terminates, then we can assure that deadlock is avoided.

3.4.3: Recovery from deadlock

Preemption

Perhaps you can temporarily preempt a resource from a process. Not likely.

Rollback

Database (and other) systems take periodic checkpoints. If the system does take checkpoints, one can roll back to a checkpoint whenever a deadlock is detected. Somehow must guarantee forward progress.

Kill processes

Can always be done but might be painful. For example some processes have had effects that can't be simply undone. Print, launch a missile, etc.

Remark: We are doing 3.6 before 3.5 since 3.6 is easier.

3.6: Deadlock Prevention

Attack one of the coffman/havender conditions

3.6.1: Attacking Mutual Exclusion

Idea is to use spooling instead of mutual exclusion. Not possible for many kinds of resources

3.6.2: Attacking Hold and Wait

Require each processes to request all resources at the beginning of the run. This is often called One Shot.

3.6.3: Attacking No Preempt

Normally not possible. That is, some resources are inherently preemptable (e.g., memory). For those deadlock is not an issue. Other resources are non-preemptable, such as a robot arm. It is normally not possible to find a way to preempt one of these latter resources.

3.6.4: Attacking Circular Wait

Establish a fixed ordering of the resources and require that they be requested in this order. So if a process holds resources #34 and #54, it can request only resources #55 and higher.

It is easy to see that a cycle is no longer possible.

Homework: 7.

3.5: Deadlock Avoidance

Let's see if we can tiptoe through the tulips and avoid deadlock states even though our system does permit all four of the necessary conditions for deadlock.

An optimistic resource manager is one that grants every request as soon as it can. To avoid deadlocks with all four conditions present, the manager must be smart not optimistic.

3.5.1 Resource Trajectories

We plot progress of each process along an axis. In the example we show, there are two processes, hence two axes, i.e., planar. This procedure assumes that we know the entire request and release pattern of the processes in advance so it is not a practical solution. I present it as it is some motivation for the practical solution that follows, the Banker's Algorithm.

• We have two processes H (horizontal) and V.
• The origin represents them both starting.
• Their combined state is a point on the graph.
• The parts where the printer and plotter are needed by each process are indicated.
• The dark green is where both processes have the plotter and hence execution cannot reach this point.
• Light green represents both having the printer; also impossible.
• Pink is both having both printer and plotter; impossible.
• Gold is possible (H has plotter, V has printer), but the system can't get there.
• The upper right corner is the goal; both processes have finished.
• The red dot is ... (cymbals) deadlock. We don't want to go there.
• The cyan is safe. From anywhere in the cyan we have horizontal and vertical moves to the finish point (the upper right corner) without hitting any impossible area.
• The magenta interior is very interesting. It is
  • Possible: each processor has a different resource
  • Not deadlocked: each processor can move within the magenta
  • Deadly: deadlock is unavoidable. You will hit a magenta-green boundary and then will no choice but to turn and go to the red dot.
• The cyan-magenta border is the danger zone.
• The dashed line represents a possible execution pattern.
• With a uniprocessor no diagonals are possible. We either move to the right meaning H is executing or move up indicating V is executing.
• The trajectory shown represents.
  1. H excuting a little.
  2. V excuting a little.
  3. H executes; requests the printer; gets it; executes some more.
  4. V executes; requests the plotter.
• The crisis is at hand!
• If the resource manager gives V the plotter, the magenta has been entered and all is lost. “Abandon all hope ye who enter here” --Dante.
• The right thing to do is to deny the request, let H execute moving horizontally under the magenta and dark green. At the end of the dark green, no danger remains, both processes will complete successfully. Victory!
• This procedure is not practical for a general purpose OS since it requires knowing the programs in advance. That is, the resource manager, knows in advance what requests each process will make and in what order.

Homework: 10, 11, 12.

3.5.2: Safe States

Avoiding deadlocks given some extra knowledge.

• Not surprisingly, the resource manager knows how many units of each resource it had to begin with.
  
  
• Also it knows how many units of each resource it has given to each process.
  
  
• It would be great to see all the programs in advance and thus know all future requests, but that is asking for too much.
  
  
• Instead, when each process starts, it announces its maximum usage. That is each process, before making any resource requests, tells the resource manager the maximum number of units of each resource the process can possible need. This is called the claim of the process.
  • If the claim is greater than the total number of units in the system the resource manager kills the process when receiving the claim (or returns an error code so that the process can make a new claim).
  • If during the run the process asks for more than its claim, the process is aborted (or an error code is returned and no resources are allocated).
  • If a process claims more than it needs, the result is that the resource manager will be more conservative than need be and there will be more waiting.

Definition: A state is safe if there is an ordering of the processes such that: if the processes are run in this order, they will all terminate (assuming none exceeds its claim).

Recall the comparison made above between detecting deadlocks (with multi-unit resources) and the banker's algorithm (which stays in safe states).

• The deadlock detection algorithm given makes the most optimistic assumption about a running process: it will return all its resources and terminate normally. If we still find processes that remain blocked, they are deadlocked.
  
  
• The banker's algorithm makes the most pessimistic assumption about a running process: it immediately asks for all the resources it can (details later on “can”). If, even with such demanding processes, the resource manager can assure that all process terminates, then we can assure that deadlock is avoided.

In the definition of a safe state no assumption is made about the running processes; that is, for a state to be safe termination must occur no matter what the processes do (providing the all terminate and to not exceed their claims). Making no assumption is the same as making the most pessimistic assumption.

Give an example of each of the four possibilities. A state that is

1. Safe and deadlocked--not possible.
   
   
2. Safe and not deadlocked--trivial (e.g., no arcs).
   
   
3. Not safe and deadlocked--easy (any deadlocked state).
   
   
4. Not safe and not deadlocked--interesting.

Is the figure on the right safe or not?

• You can NOT tell until I give you the initial claims of the process.
  
  
• Please do not make the unfortunately common exam mistake to give an example involving safe states without giving the claims.
  
  
• For the figure on the right, if the initial claims are:
  P: 1 unit of R and 2 units of S (written (1,2))
  Q: 2 units of R and 1 units of S (written (2,1))
  the state is NOT safe.
  
  
• But if the initial claims are instead:
  P: 2 units of R and 1 units of S (written (2,1))
  Q: 1 unit of R and 2 units of S (written (1,2))
  the state IS safe.
  
  
• Explain why this is so.

A manager can determine if a state is safe.

• Since the manager know all the claims, it can determine the maximum amount of additional resources each process can request.
• The manager knows how many units of each resource it has left.

The manager then follows the following procedure, which is part of Banker's Algorithms discovered by Dijkstra, to determine if the state is safe.

1. If there are no processes remaining, the state is safe.
   
   
2. Seek a process P whose max additional requests is less than what remains (for each resource type).
   • If no such process can be found, then the state is not safe.
   • The banker (manager) knows that if it refuses all requests excepts those from P, then it will be able to satisfy all of P's requests. Why?
     Ans: Look at how P was chosen.
   
   
3. The banker now pretends that P has terminated (since the banker knows that it can guarantee this will happen). Hence the banker pretends that all of P's currently held resources are returned. This makes the banker richer and hence perhaps a process that was not eligible to be chosen as P previously, can now be chosen.
   
   
4. Repeat these steps.

Example 1

• One resource type R with 22 unit
• Three processes X, Y, and Z with initial claims 3, 11, and 19 respectively.
• Currently the processes have 1, 5, and 10 units respectively.
• Hence the manager currently has 6 units left.
• Also note that the max additional needs for the processes are 2, 6, 9 respectively.
• So the manager cannot assure (with its current remaining supply of 6 units) that Z can terminate. But that is not the question.
• This state is safe
  1. Use 2 units to satisfy X; now the manager has 7 units.
  2. Use 6 units to satisfy Y; now the manager has 12 units.
  3. Use 9 units to satisfy Z; done!

Example 2

Start with example 1 and assume that Z now requests 2 units and the manager grants them.

• Currently the processes have 1, 5, and 12 units respectively.
• The manager has 4 units.
• The max additional needs are 2, 6, and 7.
• This state is unsafe
  1. Use 2 unit to satisfy X; now the manager has 5 units.
  2. Y needs 6 and Z needs 7 so we can't guarantee satisfying either
• Note that we were able to find a process that can terminate (X) but then we were stuck. So it is not enough to find one process. We must find a sequence of all the processes.

Remark: Discuss the diagram above (before the examples) explaining why can't tell safety without initial claims.

Remark: Lab 3 (banker) assigned. It is due in 2 weeks.

Remark: An unsafe state is not necessarily a deadlocked state. Indeed, if one gets lucky all processes in an unsafe state may terminate successfully. A safe state means that the manager can guarantee that no deadlock will occur.

3.5.3: The Banker's Algorithm (Dijkstra) for a Single Resource

The algorithm is simple: Stay in safe states. Initially, we assume all the processes are present before execution begins and that all initial claims are given before execution begins. We will relax these assumptions very soon.

• Before execution begins, check that the system is safe. That is, check that no process claims more than the manager has). If not, then the offending process is trying to claim more of some resource than exist in the system has and hence cannot be guaranteed to complete even if run by itself. You might say that it can become deadlocked all by itself.
  
  
• When the manager receives a request, it pretends to grant it and checks if the resulting state is safe. If it is safe the request is granted, if not the process is blocked.
  
  
• When a resource is returned, the manager (politely thanks the process and then) checks to see if “the first” pending requests can be granted (i.e., if the result would now be safe). If so the request is granted. Whether or not the request was granted, the manager checks to see if the next pending request can be granted, etc..

Homework: 13.

3.5.4: The Banker's Algorithm for Multiple Resources

At a high level the algorithm is identical: Stay in safe states.

• What is a safe state?
  
  
• The same definition (if processes are run in a certain order they will all terminate).
  
  
• Checking for safety is the same idea as above. The difference is that to tell if there are enough free resources for a processes to terminate, the manager must check that for all resources, the number of free units is at least equal to the max additional need of the process.

Limitations of the banker's algorithm

• Often users don't know the maximum requests a process will make. They can estimate conservatively (i.e., use big numbers for the claim) but then the manager becomes very conservative.
  
  
• New processes arriving cause a problem (but not so bad as Tanenbaum suggests).
  • The process's claim must be less than the total number of units of the resource in the system. If not, the process is not accepted by the manager.
  • Since the state without the new process is safe, so is the state with the new process! Just use the order you had originally and put the new process at the end.
  • Insuring fairness (starvation freedom) needs a little more work, but isn't too hard either (once an hour stop taking new processes until all current processes finish).
  
  
• A resource can become unavailable (e.g., a tape drive might break). This can result in an unsafe state.

Homework: 21, 27, and 20. There is an interesting typo in 20: A has claimed 3 units of resource 5, but there are only 2 units in the entire system. Change the problem by having B both claim and be allocated 1 unit of resource 5.

3.7: Other Issues

3.7.1: Two-phase locking

This is covered (MUCH better) in a database text. We will skip it.

3.7.2: Non-resource deadlocks

You can get deadlock from semaphores as well as resources. This is trivial. Semaphores can be considered resources. P(S) is request S and V(S) is release S. The manager is the module implementing P and V. When the manager returns from P(S), it has granted the resource S.

3.7.3: Starvation

As usual FCFS is a good cure. Often this is done by priority aging and picking the highest priority process to get the resource. Also can periodically stop accepting new processes until all old ones get their resources.

3.8: Research on Deadlocks

Skipped.

3.9: Summary

Read.

Chapter 4: Memory Management

Also called storage management or space management.

Memory management must deal with the storage hierarchy present in modern machines.

• Registers, cache, central memory, disk, tape (backup)
• Move data from level to level of the hierarchy.
• How should we decide when to move data up to a higher level?
  • Fetch on demand (e.g. demand paging, which is dominant now).
  • Prefetch
    • Read-ahead for file I/O.
    • Large cache lines and pages.
    • Extreme example. Entire job present whenever running.

We will see in the next few weeks that there are three independent decision:

1. Segmentation (or no segmentation)
2. Paging (or no paging)
3. Fetch on demand (or no fetching on demand)

Memory management implements address translation.

• Convert virtual addresses to physical addresses
  • Also called logical to real address translation.
  • A virtual address is the address expressed in the program.
  • A physical address is the address understood by the computer hardware.
• The translation from virtual to physical addresses is performed by the Memory Management Unit or (MMU).
• Another example of address translation is the conversion of relative addresses to absolute addresses by the linker.
• The translation might be trivial (e.g., the identity) but not in a modern general purpose OS.
• The translation might be difficult (i.e., slow).
  • Often includes addition/shifts/mask--not too bad.
  • Often includes memory references.
    • VERY serious.
    • Solution is to cache translations in a Translation Lookaside Buffer (TLB). Sometimes called a translation buffer (TB).

Homework: 6.

When is address translation performed?

1. At compile time
   • Compiler generates physical addresses.
   • Requires knowledge of where the compilation unit will be loaded.
   • No linker.
   • Loader is trivial.
   • Primitive.
   • Rarely used (MSDOS .COM files).
   
   
2. At link-edit time (the “linker lab”)
   • Compiler
     • Generates relative (a.k.a. relocatable) addresses for each compilation unit.
     • References external addresses.
   • Linkage editor
     • Converts the relocatable addr to absolute.
     • Resolves external references.
     • Misnamed ld by unix.
     • Must also converts virtual to physical addresses by knowing where the linked program will be loaded. Linker lab “does” this, but it is trivial since we assume the linked program will be loaded at 0.
   • Loader is still trivial.
   • Hardware requirements are small.
   • A program can be loaded only where specified and cannot move once loaded.
   • Not used much any more.
   
   
3. At load time
   • Similar to at link-edit time, but do not fix the starting address.
   • Program can be loaded anywhere.
   • Program can move but cannot be split.
   • Need modest hardware: base/limit registers.
   • Loader sets the base/limit registers.
   • No longer common.
   
   
4. At execution time
   • Addresses translated dynamically during execution.
   • Hardware needed to perform the virtual to physical address translation quickly.
   • Currently dominates.
   • Much more information later.

Extensions

1. Dynamic Loading
   • When executing a call, check if module is loaded.
   • If not loaded, call linking loader to load it and update tables.
   • Slows down calls (indirection) unless you rewrite code dynamically.
   • Not used much.
   
   
2. Dynamic Linking
   • The traditional linking described above is today often called static linking.
   • With dynamic linking, frequently used routines are not linked into the program. Instead, just a stub is linked.
   • When the routine is called, the stub checks to see if the real routine is loaded (it may have been loaded by another program).
     • If not loaded, load it.
     • If already loaded, share it. This needs some OS help so that different jobs sharing the library don't overwrite each other's private memory.
   • Advantages of dynamic linking.
     • Saves space: Routine only in memory once even when used many times.
     • Bug fix to dynamically linked library fixes all applications that use that library, without having to relink the application.
   • Disadvantages of dynamic linking.
     • New bugs in dynamically linked library infect all applications.
     • Applications “change” even when they haven't changed.

Remark: Lab 3 (banker) is on the web. It is due in 2 nyu weeks (3 calendar weeks) 21 march 2007. Note: I will place ** before each memory management scheme.

4.1: Basic Memory Management (Without Swapping or Paging)

Entire process remains in memory from start to finish and does not move.

The sum of the memory requirements of all jobs in the system cannot exceed the size of physical memory.

** 4.1.1: Monoprogramming without swapping or paging (Single User)

The “good old days” when everything was easy.

• No address translation done by the OS (i.e., address translation is not performed dynamically during execution).
• Either reload the OS for each job (or don't have an OS, which is almost the same), or protect the OS from the job.
  • One way to protect (part of) the OS is to have it in ROM.
  • Of course, must have the OS (read-write) data in RAM.
  • Can have a separate OS address space only accessible in supervisor mode.
  • Might just put some drivers in ROM (BIOS).
• The user employs overlays if the memory needed by a job exceeds the size of physical memory.
  • Programmer breaks program into pieces.
  • A “root” piece is always memory resident.
  • The root contains calls to load and unload various pieces.
  • Programmer's responsibility to ensure that a piece is already loaded when it is called.
  • No longer used, but we couldn't have gotten to the moon in the 60s without it (I think).
  • Overlays have been replaced by dynamic address translation and other features (e.g., demand paging) that have the system support logical address sizes greater than physical address sizes.
  • Fred Brooks (leader of IBM's OS/360 project and author of “The mythical man month”) remarked that the OS/360 linkage editor was terrific, especially in its support for overlays, but by the time it came out, overlays were no longer used.

**4.1.2: Multiprogramming with fixed partitions

Two goals of multiprogramming are to improve CPU utilization, by overlapping CPU and I/O, and to permit short jobs to finish quickly.

• This scheme was used by IBM for system 360 OS/MFT (multiprogramming with a fixed number of tasks).
• Can have a single input queue instead of one for each partition.
  • So that if there are no big jobs, one can use the big partition for little jobs.
  • But I don't think IBM did this.
  • Can think of the input queue(s) as the ready list(s) with a scheduling policy of FCFS in each partition.
• Each partition was monoprogrammed, the multiprogramming occurred across partitions.
• The partition boundaries are not movable (must reboot to move a job).
  • So the partitions are of fixed size.
  • MFT can have large internal fragmentation, i.e., wasted space inside a region of memory assigned to a process.
• Each process has a single “segment” (i.e., the virtual address space is contiguous). We will discuss segments later.
• The physical address space is also contiguous (i.e., the program is stored as one piece).
• No sharing of memory between process.
• No dynamic address translation.
• At load time must “establish addressability”.
  • That is, must set a base register to the location at which the process was loaded (the bottom of the partition).
  • The base register is part of the programmer visible register set.
  • This is an example of address translation during load time.
  • Also called relocation.
• Storage keys are adequate for protection (IBM method).
• Alternative protection method is base/limit registers.
• An advantage of base/limit is that it is easier to move a job.
• But MFT didn't move jobs so this disadvantage of storage keys is moot.
• Tanenbaum says a job was “run until it terminates. This must be wrong as that would mean monoprogramming.
• He probably means that jobs not swapped out and each queue is FCFS without preemption.

4.1.3: Modeling Multiprogramming (crudely)

• Consider a job that is unable to compute (i.e., it is waiting for I/O) a fraction p of the time.
• Then, with monoprogramming, the CPU utilization is 1-p.
• Note that p is often > .5 so CPU utilization is poor.
• But, if the probability that a job is waiting for I/O is p and n jobs are in memory, then the probability that all n are waiting for I/O is approximately pⁿ.
• So, with a multiprogramming level (MPL) of n, the CPU utilization is approximately 1-pⁿ.
• If p=.5 and n=4, then 1-pⁿ = 15/16, which is much better than 1/2, which would occur for monoprogramming (n=1).
• This is a crude model, but it is correct that increasing MPL does increase CPU utilization up to a point.
• The limitation is memory, which is why we discuss it here instead of process management. That is, we must have many jobs loaded at once, which means we must have enough memory for them. There are other issues as well and we will discuss them.
• Some of the CPU utilization is time spent in the OS executing context switches so the gains are not a great as the crude model predicts.

Homework: 1, 2 (typo in book; figure 4.21 seems irrelevant).

4.1.4: Analysis of Multiprogramming System Performance

Skipped

4.1.5: Relocation and Protection

Relocation was discussed as part of linker lab and at the beginning of this chapter. When done dynamically, a simple method is to have a base register whose value is added to every address by the hardware.

Similarly a limit register is checked by the hardware to be sure that the address (before the base register is added) is not bigger than the size of the program.

The base and limit register are set by the OS when the job starts.

4.2: Swapping

Moving the entire processes between disk and memory is called swapping.

Multiprogramming with Variable Partitions

Both the number and size of the partitions change with time.

• OS/MVT (multiprogramming with a varying number of tasks).
  
  
• Also early PDP-10 OS.
  
  
• Job still has only one segment (as with MFT). That is, the virtual address space is contiguous.
  
  
• The physical address is also contiguous, that is, the process is stored as one piece in memory.
  
  
• The job can be of any size up to the size of the machine and the job size can change with time.
  
  
• A single ready list.
  
  
• A job can move (might be swapped back in a different place).
  
  
• This is dynamic address translation (during run time).
  
  
• Must perform an addition on every memory reference (i.e. on every address translation) to add the start address of the partition.
  
  
• Eliminates internal fragmentation.
  • Find a region the exact right size (leave a hole for the remainder).
  • Not quite true, can't get a piece with 108755 bytes. Would get say 108760. But internal fragmentation is much reduced compared to MFT. Indeed, we say that internal fragmentation has been eliminated.
  
  
• Introduces external fragmentation, i.e., holes outside any region of memory assigned to a process.
  
  
• What do you do if no hole is big enough for the request?
  • Can compactify
    • Transition from bar 3 to bar 4 in diagram below.
    • This is expensive.
    • Not suitable for real time (MIT ping pong).
  • Can swap out one process to bring in another, e.g., bars 5-6 and 6-7 in the diagram.
  
  
• There are more processes than holes. Why?
  • Because next to a process there might be a process or a hole but next to a hole there must be a process
  • So can have “runs” of processes but not of holes
  • If after a process one is equally likely to have a process or a hole, you get about twice as many processes as holes.
  
  
• Base and limit registers are used.
  • Storage keys not good since compactifying or moving would require changing many keys.
  • Storage keys might need a fine granularity to permit the boundaries to move by small amounts (to reduce internal fragmentation). Hence many keys would need to be changed.

Homework: 3

MVT Introduces the “Placement Question”

That is, which hole (partition) should one choose?

• Best fit, worst fit, first fit, circular first fit, quick fit, Buddy
  • Best fit doesn't waste big holes, but does leave slivers and is expensive to run.
  • Worst fit avoids slivers, but eliminates all big holes so a big job will require compaction. Even more expensive than best fit (best fit stops if it finds a perfect fit).
  • Quick fit keeps lists of some common sizes (but has other problems, see Tanenbaum).
  • Buddy system
    • Round request to next highest power of two (causes internal fragmentation).
    • Look in list of blocks this size (as with quick fit).
    • If list empty, go higher and split into buddies.
    • When returning coalesce with buddy.
    • Do splitting and coalescing recursively, i.e. keep coalescing until can't and keep splitting until successful.
    • See Tanenbaum for more details (or an algorithms book).
  
  
• A current favorite is circular first fit, also known as next fit.
  • Use the first hole that is big enough (first fit) but start looking where you left off last time.
  • Doesn't waste time constantly trying to use small holes that have failed before, but does tend to use many of the big holes, which can be a problem.
  
  
• Buddy comes with its own implementation. How about the others?

Homework: 5.

4.2.1: Memory Management with Bitmaps

Divide memory into blocks and associate a bit with each block, used to indicate if the corresponding block is free or allocated. To find a chunk of size N blocks need to find N consecutive bits indicating a free block.

The only design question is how much memory does one bit represent.

• Big: Serious internal fragmentation.
• Small: Many bits to store and process.

4.2.2: Memory Management with Linked Lists

• Each item on list gives the length and starting location of the corresponding region of memory and says whether it is a Hole or Process.
• The items on the list are not taken from the memory to be used by processes.
• Keep in order of starting address.
• Merge adjacent holes.
• Singly linked.

Memory Management using Boundary Tags

• Use the same memory for list items as for processes.
• Don't need an entry in linked list for blocks in use, just the avail blocks are linked.
• The avail blocks themselves are linked, not a node that points to an avail block.
• When a block is returned, we can look at the boundary tag of the adjacent blocks and see if they are avail. If so they must be merged with the returned block.
• For the blocks currently in use, just need a hole/process bit at each end and the length. Keep this in the block itself.
• We do not need to traverse the list when returning a block can use boundary tags to find predecessor.
• See Knuth, The Art of Computer Programming vol 1.

MVT also introduces the “Replacement Question”

That is, which victim should we swap out? Note that this is an example of the suspend arc mentioned in process scheduling.

We will study this question more when we discuss demand paging in which case we swap out part of a process.

Considerations in choosing a victim

• Cannot replace a job that is pinned, i.e. whose memory is tied down. For example, if Direct Memory Access (DMA) I/O is scheduled for this process, the job is pinned until the DMA is complete.
• Victim selection is a medium term scheduling decision
  • A job that has been in a wait state for a long time is a good candidate.
  • Often choose as a victim a job that has been in memory for a long time.
  • Another question is how long should it stay swapped out.
• For demand paging, where swaping out a page is not as drastic as swapping out a job, choosing the victim is an important memory management decision and we shall study several policies,

1. So far the schemes presented so far have had two properties:
   1. Each job is stored contiguously in memory. That is, the job is contiguous in physical addresses.
   2. Each job cannot use more memory than exists in the system. That is, the virtual addresses space cannot exceed the physical address space.
   
   
2. Tanenbaum now attacks the second item. I wish to do both and start with the first.
   
   
3. Tanenbaum (and most of the world) uses the term “paging” to mean what I call demand paging. This is unfortunate as it mixes together two concepts.
   1. Paging (dicing the address space) to solve the placement problem and essentially eliminate external fragmentation.
   2. Demand fetching, to permit the total memory requirements of all loaded jobs to exceed the size of physical memory.
   
   
4. Tanenbaum (and most of the world) uses the term virtual memory as a synonym for demand paging. Again I consider this unfortunate.
   1. Demand paging is a fine term and is quite descriptive.
   2. Virtual memory “should” be used in contrast with physical memory to describe any virtual to physical address translation.

** (non-demand) Paging

Simplest scheme to remove the requirement of contiguous physical memory.

• Chop the program into fixed size pieces called pages (invisible to the programmer).
  
  
• Chop the real memory into fixed size pieces called page frames or simply frames.
  
  
• Size of a page (the page size) = size of a frame (the frame size).
  
  
• Sprinkle the pages into the frames.
  
  
• Keep a table (called the page table) having an entry for each page. The page table entry or PTE for page p contains the number of the frame f that contains page p.

Example: Assume a decimal machine with page size = frame size = 1000.
Assume PTE 3 contains 459.
Then virtual address 3372 corresponds to physical address 459372.

Properties of (non-demand) paging (without segmentation).

• Entire job must be memory resident to run.
• No holes, i.e. no external fragmentation.
• If there are 50 frames available and the page size is 4KB than a job requiring ≤ 200KB will fit, even if the available frames are scattered over memory.
• Hence (non-demand) paging is useful.
• Introduces internal fragmentation approximately equal to 1/2 the page size for every process (really every segment).
• Can have a job unable to run due to insufficient memory and have some (but not enough) memory available. This is not called external fragmentation since it is not due to memory being fragmented.
• Eliminates the placement question. All pages are equally good since don't have external fragmentation.
• The replacement question remains.
• Since page boundaries occur at “random” points and can change from run to run (the page size can change with no effect on the program--other than performance), pages are not appropriate units of memory to use for protection and sharing. But if all you have is a hammer, everything looks like a nail. Segmentation, which is discussed later, is more appropriate for protection and sharing.
• Virtual address space remains contiguous.

Homework: 16.

Address translation

• Each memory reference turns into 2 memory references
  1. Reference the page table
  2. Reference central memory
• This would be a disaster!
• Hence the MMU caches page#→frame# translations. This cache is kept near the processor and can be accessed rapidly.
• This cache is called a translation lookaside buffer (TLB) or translation buffer (TB).
• For the above example, after referencing virtual address 3372, there would be an entry in the TLB containing the mapping 3→459.
• Hence a subsequent access to virtual address 3881 would be translated to physical address 459881 without an extra memory reference. Naturally, a memory reference for location 459881 itself would be required.

Choice of page size is discuss below.

Homework: 8.

4.3: Virtual Memory (meaning fetch on demand)

Idea is that a program can execute even if only the active portion of its address space is memory resident. That is, we are to swap in and swap out portions of a program. In a crude sense this could be called “automatic overlays”.

Advantages

• Can run a program larger than the total physical memory.
• Can increase the multiprogramming level since the total size of the active, i.e. loaded, programs (running + ready + blocked) can exceed the size of the physical memory.
• Since some portions of a program are rarely if ever used, it is an inefficient use of memory to have them loaded all the time. Fetch on demand will not load them if not used and will unload them during replacement if they are not used for a long time (hopefully).
• Simpler for the user than overlays or variable aliasing (older techniques to run large programs using limited memory).

Disadvantages

• More complicated for the OS.
• Execution time less predictable (depends on other jobs).
• Can over-commit memory.

** 4.3.1: Paging (meaning demand paging)

Fetch pages from disk to memory when they are referenced, with a hope of getting the most actively used pages in memory.

• Very common: (more complicated variants, two-level paging and paging + segmentation, both of which we will discuss) dominates modern operating systems.
  
  
• Started by the Atlas system at Manchester University in the 60s (Fortheringham).
  
  
• Each PTE continues to contain the frame number if the page is loaded.
  
  
• But what if the page is not loaded (exists only on disk)?
  • The PTE has a flag indicating if the page is loaded (can think of the X in the diagram on the right as indicating that this flag is not set).
  • If the page is not loaded, the location on disk could be kept in the PTE, but normally it is not (discussed below).
  • When a reference is made to a non-loaded page (sometimes called a non-existent page, but that is a bad name), the system has a lot of work to do. We give more details below.
    1. Choose a free frame, if one exists.
    2. If not
       1. Choose a victim frame.
          • More later on how to choose a victim.
          • This is the replacement question
       2. Write victim back to disk if dirty,
       3. Update the victim PTE to show that it is not loaded.
    3. Copy the referenced page from disk to the free frame.
    4. Update the PTE of the referenced page to show that it is loaded and give the frame number.
    5. Do the standard paging address translation (p#,off)-->(f#,off).
  
  
• Really not done quite this way
  • There is “always” a free frame because ...
  • ... there is a deamon active that checks the number of free frames and if this is too low, chooses victims and “pages them out” (writing them back to disk if dirty).
  • Deamon reactivated when low water mark passed and suspended when high water mark passed.
  
  
• Choice of page size is discussed below.

Homework: 12.

4.3.2: Page tables

A discussion of page tables is also appropriate for (non-demand) paging, but the issues are more acute with demand paging since the tables can be much larger. Why?

1. The total size of the active processes is no longer limited to the size of physical memory. Since the total size of the processes is greater, the total size of the page tables is greater and hence concerns over the size of the page table are more acute.
   
   
2. With demand paging an important question is the choice of a victim page to page out. Data in the page table can be useful in this choice.

We must be able access to the page table very quickly since it is needed for every memory access.

Unfortunate laws of hardware.

• Big and fast are essentially incompatible.
• Big and fast and low cost is hopeless.

So we can't just say, put the page table in fast processor registers, and let it be huge, and sell the system for $1000.

The simplest solution is to put the page table in main memory. However it seems to be both too slow and two big.

1. Seems too slow since all memory references require two reference.
   • This can be largely repaired by using a TLB, which is fast and, although small, often captures almost all references to the page table.
   • We are actually discussing caching, but using different terminology.
     • Page frames are a cache for pages (one could say that central memory is a cache of the disk).
     • The TLB is a cache of the page table.
     • Also the processor almost surely has a cache (most likely several) of central memory.
     • In all the cases, we have small-and-fast acting as a cache of big-and-slow. However what is big-and-slow in one level of caching, can be small-and-fast in another level.
   • When I do a translation on the board, I will often omit the TLB. In reality, what happens is that the TLB is consulted and at the same time the slower process of accessing the page table(s) begins (I will illustrate the latter). If the needed information is in the TLB, it will be retrieved very quickly and the slower main memory access is aborted. If the information is not in the TLB the retrieval from main memory is allowed to complete and most likely the result will be placed in the TLB to speed future references (leading to a replacement questions).
   
   
2. The page table might be too big.
   • Currently we are considering contiguous virtual addresses ranges (i.e. the virtual addresses have no holes).
   • Typically put the stack at one end of virtual address and the global (or static) data at the other end and let them grow towards each other.
   • The virtual memory in between is unused.
   • That does not sound so bad. Why should we care about virtual memory?
   • This unused virtual memory can be huge (in address range) and hence the page table (which is stored in real memory will mostly contain unneeded PTEs.
   • Works fine if the maximum virtual address size is small, which was once true (e.g., the PDP-11 of the 1970s) but is no longer the case.
   • The “fix” is to use multiple levels of mapping. We will see two examples below: two-level paging and segmentation plus paging.

Contents of a PTE

Each page has a corresponding page table entry (PTE). The information in a PTE is for use by the hardware.
Why must it be tailored for the hardware and not the OS?
Because it is accessed frequently.
The page table format is determined by the hardware, so access routines are not portable. Information set by and used by the OS is normally kept in other OS tables.

(Actually some systems, those with software TLB reload, do not have hardware access.)

The following fields are often present in a PTE

1. The valid bit. This tells if the page is currently loaded (i.e., is in a frame). If set, the frame number is valid. It is also called the presence or presence/absence bit. If a page is accessed with the valid bit unset, a page fault is generated by the hardware.
   
   
2. The frame number. This field is the main reason for the table. It gives the virtual to physical address translation.
   
   
3. The Modified bit. Indicates that some part of the page has been written since it was loaded. This is needed if the page is evicted so that the OS can tell if the page must be written back to disk.
   
   
4. The referenced bit. Indicates that some word in the page has been referenced. Used to select a victim: unreferenced pages make good victims by the locality property (discussed below).
   
   
5. Protection bits. For example one can mark text pages as execute only. This requires that boundaries between regions with different protection are on page boundaries. Normally many consecutive (in logical address) pages have the same protection so many page protection bits are redundant. Protection is more naturally done with segmentation, but in many current systems, it is done with paging (since the systems don't utilize segmentation, even though the hardware supports it).

Multilevel page tables

Recall the previous diagram. Most of the virtual memory is the unused space between the data and stack regions. However, with demand paging this space does not waste real memory. But the single large page table does waste real memory.

The idea of multi-level page tables (a similar idea is used in Unix i-node-based file systems, which we study later when we do I/O) is to add a level of indirection and have a page table containing pointers to page tables.

• Imagine one big page table, which we will (eventually) call the second level page table.
  
  
• We want to apply paging to this large table, viewing it as simply memory not as a page table. So we (logically) cut it into pieces each the size of a page. Note that many (typically 1024 or 2048) PTEs fit in one page so there are far fewer of these pages than PTEs.
  
  
• Now construct a first level page table containing PTEs that point to the pages produced in the previous bullet.
  
  
• This first level PT is small enough to store in memory. It contains one PTE for every page of PTEs in the 2nd level PT, which reduces space by a factor of one or two thousand.
  
  
• But since we still have the 2nd level PT, we have made the world bigger not smaller!
  
  
• Don't store in memory those 2nd level page tables all of whose PTEs refer to unused memory. That is use demand paging on the (second level) page table.

Remark: Lab 4 (the last lab) is assigned).

Address translation with a 2-level page table

For a two level page table the virtual address is divided into three pieces

+-----+-----+-------+
| P#1 | P#2 | Offset|
+-----+-----+-------+

• P#1 gives the index into the first level page table.
  
  
• Follow the pointer in the corresponding PTE to reach the frame containing the relevant 2nd level page table.
  
  
• P#2 gives the index into this 2nd level page table.
  
  
• Follow the pointer in the corresponding PTE to reach the frame containing the (originally) requested frame.
  
  
• Offset gives the offset in this frame where the requested word is located.

Do an example on the board

The VAX used a 2-level page table structure, but with some wrinkles (see Tanenbaum for details).

Naturally, there is no need to stop at 2 levels. In fact the SPARC has 3 levels and the Motorola 68030 has 4 (and the number of bits of Virtual Address used for P#1, P#2, P#3, and P#4 can be varied).

4.3.3: TLBs--Translation Lookaside Buffers (and General Associative Memory)

Note: Tanenbaum suggests that “associative memory” and “translation lookaside buffer” are synonyms. This is wrong. Associative memory is a general concept of which translation lookaside buffer is a specific example. case.

An associative memory is a content addressable memory. That is you access the memory by giving the value of some (index) field and the hardware searches all the records and returns the record whose field contains the requested value.

For example

Name  | Animal | Mood     | Color
======+========+==========+======
Moris | Cat    | Finicky  | Grey
Fido  | Dog    | Friendly | Black
Izzy  | Iguana | Quiet    | Brown
Bud   | Frog   | Smashed  | Green

If the index field is Animal and Iguana is given, the associative memory returns

Izzy  | Iguana | Quiet    | Brown

A Translation Lookaside Buffer or TLB is an associate memory where the index field is the page number. The other fields include the frame number, dirty bit, valid bit, etc.

• B is small and expensive but at least it is fast. When the page number is in the TLB, the frame number is returned very quickly.
• On a miss, a TLB reload is performed. The page number is looked up in the page table. The record found is placed in the TLB and a victim is discarded. There is no placement question since all entries are accessed at the same time. But there is a replacement question.

Homework: 17.

4.3.4: Inverted page tables

Keep a table indexed by frame number. The content of entry f contains the number of the page currently loaded in frame f. This is often called a frame table as well as an inverted page table.

• Since modern machine have a smaller physical address space than virtual address space, the frame table is smaller than the corresponding page table.
• But on a TLB miss, the system must search the inverted page table.
• Would be hopelessly slow except that some tricks are employed.
• The book mentions some but not all of the tricks, we are not covering the tricks. For us, the frame table is searched on each TLB miss.

4.4: Page Replacement Algorithms (PRAs)

These are solutions to the replacement question.

Good solutions take advantage of locality.

• Temporal locality: If a word is referenced now, it is likely to be referenced in the near future.
  • This argues for caching referenced words, i.e. keeping the referenced word near the processor for a while.
• Spatial locality: If a word is referenced now, nearby words are likely to be referenced in the near future.
  • This argues for prefetching words around the currently referenced word.
• These are lumped together into locality: If any word in a page is referenced, each word in the page is “likely” to be referenced.
  • So it is good to bring in the entire page on a miss and to keep the page in memory for a while.
• When programs begin there is no history so nothing to base locality on. At this point the paging system is said to be undergoing a “cold start”.
• Programs exhibit “phase changes”, when the set of pages referenced changes abruptly (similar to a cold start). At the point of a phase change, many page faults occur because locality is poor.

Pages belonging to processes that have terminated are of course perfect choices for victims.

Pages belonging to processes that have been blocked for a long time are good choices as well.

Random PRA

A lower bound on performance. Any decent scheme should do better.

4.4.1: The optimal page replacement algorithm (opt PRA) (aka Belady's min PRA)

Replace the page whose next reference will be furthest in the future.

• Also called Belady's min algorithm.
• Provably optimal. That is, generates the fewest number of page faults.
• Unimplementable: Requires predicting the future.
• Good upper bound on performance.

4.4.2: The not recently used (NRU) PRA

Divide the frames into four classes and make a random selection from the lowest nonempty class.

0. Not referenced, not modified
1. Not referenced, modified
2. Referenced, not modified
3. Referenced, modified

Assumes that in each PTE there are two extra flags R (sometimes called U, for used) and M (often called D, for dirty).

Also assumes that a page in a lower priority class is cheaper to evict.

• If not referenced, probably will not referenced again soon and hence is a good candidate for eviction.
• If not modified, do not have to write it out so the cost of the eviction is lower.
• When a page is brought in, OS resets R and M (i.e. R=M=0)
• On a read, hardware sets R.
• On a write, hardware sets R and M.

We again have the prisoner problem, we do a good job of making little ones out of big ones, but not the reverse. Need more resets.

Every k clock ticks, reset all R bits

• Why not reset M?
  Answer: Must have M accurate to know if victim needs to be written back
• Could have two M bits one accurate and one reset, but I don't know of any system (or proposal) that does so.

What if the hardware doesn't set these bits?

• OS can use tricks
• When the bits are reset, make the PTE indicate the page is not resident (i.e. lie). On the page fault, set the appropriate bit(s).
• We ignore the tricks and assume the hardware does set the bits.

4.4.3: FIFO PRA

Simple but poor since usage of the page is ignored.

Belady's Anomaly: Can have more frames yet generate more faults. Example given later.

The natural implementation is to have a queue of nodes each pointing to a page.

• When a page is loaded, a node referring to the page is appended to the tail of the queue.
• When a page needs to be evicted, the head node is removed and the page referenced is chosen as the victim.

4.4.4: Second chance PRA

Similar to the FIFO PRA, but altered so that a page recently referenced is given a second chance.

• When a page is loaded, a node referring to the page is appended to the tail of the queue. The R bit of the page is cleared.
• When a page needs to be evicted, the head node is removed and the page referenced is the potential victim.
• If the R bit on this page is unset (the page hasn't been referenced recently), then the page is the victim.
• If the R bit is set, the page is given a second chance. Specifically, the R bit is cleared, the node referring to this page is appended to the rear of the queue (so it appears to have just been loaded), and the current head node becomes the potential victim.
• What if all the R bits are set?
• We will move each page from the front to the rear and will arrive at the initial condition but with all the R bits now clear. Hence we will remove the same page as fifo would have removed, but will have spent more time doing so.
• Might want to periodically clear all the R bits so that a long ago reference is forgotten (but so is a recent reference).

4.4.5: Clock PRA

Same algorithm as 2nd chance, but a better implementation for the nodes: Use a circular list with a single pointer serving as both head and tail.

Let us begin by assuming that the number of pages loaded is constant.

• So the size of the node list in 2nd chance is constant.
• Use a circular list for the nodes and have a pointer pointing to the head entry. Think of the list as the hours on a clock and the pointer as the hour hand.
• Since the number of nodes is constant, the operation we need to support is replace the “oldest” page by a new page.
• Examine the node pointed to by the (hour) hand. If the R bit of the corresponding page is set, we give the page a second chance: clear the R bit, move the hour hand (now the page looks freshly loaded), and examine the next node.
• Eventually we will reach a node whose corresponding R bit is clear. The corresponding page is the victim.
• Replace the victim with the new page (may involve 2 I/Os as always).
• Update the node to refer to this new page.
• Move the hand forward another hour so that the new page is at the rear.

What if the number of pages is not constant?

• We now have to support inserting a node right before the hour hand (the rear of the queue) and removing the node pointed to by the hour hand.
• The natural solution is to double link the circular list.
• In this case insertion and deletion are a little slower than for the primitive 2nd chance (double linked lists have more pointer updates for insert and delete).
• So the trade-off is that if there are mostly inserts and deletes and granting 2nd chances is not too common, use the original 2nd chance implementation. If there are mostly replacements and you often give nodes a 2nd chance, use clock.

LIFO PRA

This is terrible! Why?
Ans: All but the last frame are frozen once loaded so you can replace only one frame. This is especially bad after a phase shift in the program when it is using all new pages.

4.4.6: Least Recently Used (LRU) PRA

When a page fault occurs, choose as victim that page that has been unused for the longest time, i.e. that has been least recently used.

LRU is definitely

• Implementable: The past is knowable.
• Good: Simulation studies have shown this.
• Difficult. Essentially need to either:
  1. Keep a time stamp in each PTE, updated on each reference and scan all the PTEs when choosing a victim to find the PTE with the oldest timestamp.
  2. Keep the PTEs in a linked list in usage order, which means on each reference moving the PTE to the end of the list

A hardware cutsie in Tanenbaum

• For n pages, keep an nxn bit matrix.
• On a reference to page i, set row i to all 1s and col i to all 0s
• At any time the 1 bits in the rows are ordered by inclusion. I.e. one row's 1s are a subset of another row's 1s, which is a subset of a third. (Tanenbaum forgets to mention this.)
• So the row with the fewest 1s is a subset of all the others and is hence least recently used.
• This row also has the smallest value, when treated as an unsigned binary number. So the hardware can do a comparison of the rows rather than counting the number of 1 bits.
• Cute, but still impractical.

4.4.7: Simulating (Approximating) LRU in Software

The Not Frequently Used (NFU) PRA

• Include a counter in each PTE (and have R in each PTE).
• Set counter to zero when page is brought into memory.
• For each PTE, every k clock ticks.
  1. Add R to counter.
  2. Clear R.
• Choose as victim the PTE with lowest count.

The Aging PRA

NFU doesn't distinguish between old references and recent ones. The following modification does distinguish.

• Include a counter in each PTE (and have R in each PTE).
• Set counter to zero when page is brought into memory.
• For each PTE, every k clock ticks.
  1. Shift counter right one bit.
  2. Insert R as new high order bit (HOB).
  3. Clear R.
• Choose as victim the PTE with lowest count.

Homework: 25, 34

4.4.8: The Working Set Page Replacement Problem (Peter Denning)

The working set policy

The goal is to specify which pages a given process needs to have memory resident in order for the process to run without too many page faults.

• But this is impossible since it requires predicting the future.
• So we make the assumption that the near future is well approximated by the immediate past.
• We measure time in units of memory references, so t=1045 means the time when the 1045th memory reference is issued.
• In fact we measure time separately for each process, so t=1045 really means the time when this process made its 1045th memory reference.
• W(t,&omega) is the set of pages referenced (by the given process) from time t-ω to time t.
• That is, W(t,ω) is the set pages referenced during the window of size ω ending at time t.
• That is, W(t,ω) is the set of pages referenced by the last ω memory references ending at reference t.
• W(t,ω) is called the working set at time t (with window ω).
• w(t,ω) is the size of the set W(t,ω), i.e. is the number of distinct pages referenced in the window.

The idea of the working set policy is to ensure that each process keeps its working set in memory.

• Allocate w(t,ω) frames to each process. This number differs for each process and changes with time.
• On a fault, one evicts a page not in the working set. But it is not easy to find such a page quickly.
• Indeed determining W(t,ω) precisely is quite time consuming and difficult. It is never done in real systems.
• If a process is suspended, it is often swapped out; the working set then can be used to say which pages should be brought back when the process is resumed.

Homework: Describe a process (i.e., a program) that runs for a long time (say hours) and always has w<10 Assume ω=100,000, the page size is 4KB. The program need not be practical or useful.

Homework: Describe a process that runs for a long time and (except for the very beginning of execution) always has w>1000. Assume ω=100,000, the page size is 4KB. The program need not be practical or useful.

The definition of Working Set is local to a process. That is, each process has a working set; there is no system wide working set other than the union of all the working sets of each process.

However, the working set of a single process has effects on the demand paging behavior and victim selection of other processes. If a process's working set is growing in size, i.e. w(t,ω) is increasing as t increases, then we need to obtain new frames from other processes. A process with a working set decreasing in size is a source of free frames. We will see below that this is an interesting amalgam of local and global replacement policies.

Interesting questions concerning the working set include:

• What value should be used for ω?
  Experiments have been done and ω is surprisingly robust (i.e., for a given system, a fixed value works reasonably for a wide variety of job mixes).
• How should we calculate W(t,ω)?
  Hard to do exactly so ...

... Various approximations to the working set, have been devised. We will study two: using virtual time instead of memory references (immediately below) and Page Fault Frequency (section 4.6). In 4.4.9 we will see the popular WSClock algorithm that includes an approximation of the working set as well as several other ideas.

Using virtual time

• Approximate the working set by those pages referenced during the last m milliseconds rather than the last ω memory references. Note that the time is measured only while this process is running, i.e., we are using virtual time.
• Clear the reference bit every m milliseconds and set it on every reference.
• To choose a victim, we need to find a page with the R bit clear.
• Essentially we have reduced the working set policy to NRU.

4.4.9: The WSClock Page Replacement Algorithm

This treatment is based on one by Prof. Ernie Davis.

Tannenbaum suggests that the WSClock Page Replacement Algorithm is a natural outgrowth of the idea of a working set. However, reality is less clear cut. WSClock is actually embodies several ideas, one of which is connected to the idea of a working set. As the name suggests another of the ideas is the clock implementation of 2nd chance.

The actual implemented algorithm is somewhat complicated and not a clean elegant concept. It is important because

1. It works well and is in common use.
2. The embodied ideas are themselves interesting.
3. Inelegant amalgamations of ideas are more commonly used in real systems than clean, elegant, one-idea algorithms.

Since the algorithm is complicated we present it in stages. As stated above this is an important algorithm since it works well and is used in practice. However, I certainly do not assume you remember all the details.

1. We start by associating a node with every page loaded in memory (i.e., with every frame given to this process). In the node are stored R and M bits that we assume are set by the hardware. (Of course we don't design the hardware so really the R and M bits are set in a hardware defined table and the nodes reference the entries in that table.) Every k clock ticks the R bit is reset. So far this looks like NRU.

   To ease the explanation we will assume k=1, i.e., actions are done each clock tick.

2. We now introduce an LRU aspect (with the virtual time approximation described above for working set): At each clock tick we examine all the nodes for the running process and store the current virtual time in all nodes for which R is 1.

   Thus, the time field is an approximation to the time of the most recent reference, accurate to the clock period. Note that this is done every clock tick (really every k ticks) and not every memory reference. That is why it is feasible.

   If we chose as victim the page with the smallest time field, we would be implementing a virtual time approximation to LRU. But in fact we do more.

3. We now introduce some working set aspects into the algorithm by first defining a time constant τ (analogous to ω in the working set algorithm) and consider all pages older than τ (i.e., their stored time is earlier than the current time minus τ) as candidate victims. The idea is that these pages are not in the working set.

   The OS designer needs to tune τ just as one would need to tune ω and, like ω, τ is quite robust (the same value works well for a variety of job mixes).

   The advantage of introducing τ is that a victim search can stop (and the I/O begin) as soon as a page older than τ is found.

   If no pages have a reference time older than Tau, then the page with the earliest time is the victim.

4. Next we introduce the other aspect of NRU, preferring clean to dirty victims. We search until we find a clean page older than τ, if there is one; if not, we use a dirty page older than τ. As before, if there are no clean pages older than τ, we evict the oldest page

5. Now we introduce an optimization similar to prefetching (i.e., speculatively fetching some data before it is known to be needed). Specifically, when we encounter a dirty page older than τ (while looking for a clean old page), we write the dirty page back to disk (and clear the M bit, which Tanenbaum forgot to mention) without evicting the page, on the presumption that, since the page is not in (our approximation to) the working set, this I/O will be needed eventually. The down side is that the page could become dirty again, rendering our speculative I/O redundant.

   Suppose we've decided to write out old dirty pages D₁ through D_d and to replace old clean page C with new page N.

   We must block the current process P until N is completely read in, but P can run while D₁ through D_d are being written. Hence we would desire the I/O read to be done before the writes, but we shall see later, when we study I/O, that there are other considerations for choosing the order to perform I/O operations.

   Similarly, suppose we can not find an old clean page and have decided to replace old dirty page D₀ with new page N, and have detected additional old dirty pages D₁ through D_d (recall that we were searching for an old clean page). Then P must block until D₀ has been written and N has been read, but can run while D₁ through D_d are being written.

6. We throttle the previous optimization to prevent overloading the I/O subsystem. Specifically we set a limit on the number of dirty pages the previous optimization can request be written.

7. Finally, as in the clock algorithm, we keep the data structure (nodes associated with pages) organized as a circular list with a single pointer (the hand of the clock). Hence we start each victim search where the previous one left off.

4.4.10: Summary of Page Replacement Algorithms

4.5: Modeling Paging Algorithms

4.5.1: Belady's anomaly

Consider a system that has no pages loaded and that uses the FIFO PRU.
Consider the following “reference string” (sequences of pages referenced).

    0 1 2 3 0 1 4 0 1 2 3 4
  

If we have 3 frames this generates 9 page faults (do it).

If we have 4 frames this generates 10 page faults (do it).

Theory has been developed and certain PRA (so called “stack algorithms”) cannot suffer this anomaly for any reference string. FIFO is clearly not a stack algorithm. LRU is. Tannenbaum has a few details, but we are skipping it.

Repeat the above calculations for LRU.

4.6: Design issues for (demand) Paging Systems

4.6.1: Local vs Global Allocation Policies

local PRA is one is which a victim page is chosen among the pages of the same process that requires a new page. That is the number of pages for each process is fixed. So LRU for a local policy means the page least recently used by this process. A global policy is one in which the choice of victim is made among all pages of all processes.

• Of course we can't have a purely local policy, why?
  Answer: A new process has no pages and even if we didn't apply this for the first page loaded, the process would remain with only one page.
• Perhaps wait until a process has been running a while or give the process an initial allocation based on the size of the executable.

If we apply global LRU indiscriminately with some sort of RR processor scheduling policy, and memory is somewhat over-committed, then by the time we get around to a process, all the others have run and have probably paged out this process.

If this happens each process will need to page fault at a high rate; this is called thrashing.

It is therefore important to get a good idea of how many pages a process needs, so that we can balance the local and global desires. The working set size w(t,ω) is good for this.

An approximation to the working set policy that is useful for determining how many frames a process needs (but not which pages) is the Page Fault Frequency (PFF) algorithm.

• For each process keep track of the page fault frequency, which is the number of faults divided by the number of references.
• Actually, must use a window or a weighted calculation since you are really interested in the recent page fault frequency.
• If the PFF is too high, allocate more frames to this process. Either
  1. Raise its number of frames and use a local policy; or
  2. Bar its frames from eviction (for a while) and use a global policy.
• What if there are not enough frames?
  Answer: Reduce the MPL (see next section).

As mentioned above a question arises what to do if the sum of the working set sizes exceeds the amount of physical memory available. This question is similar to the final point about PFF and brings us to consider controlling the load (or memory pressure).

4.6.2: Load Control

To reduce the overall memory pressure, we must reduce the multiprogramming level (or install more memory while the system is running, which is hardly practical). That is, we have a connection between memory management and process management. These are the suspend/resume arcs we saw way back when.

When the PFF (or another indicator) is too high, we choose a process and suspend it. When the frequency gets low, we can resume one or more suspended processes. We also need a policy to decide when a suspended process should be resumed even at the cost of suspending another.

This is called medium-term scheduling. Since suspending or resuming a process can take seconds, we clearly do not perform this scheduling decision every few milliseconds as we do for short-term scheduling. A time scale of minutes would be more appropriate.

4.6.3: Page size

• Page size “must” be a multiple of the disk block size. Why?
  Answer: When copying out a page if you have a partial disk block, you must do a read/modify/write (i.e., 2 I/Os).
• Important property of I/O that we will learn later this term is that eight I/Os each 1KB takes considerably longer than one 8KB I/O
• Characteristics of a large page size.
  • Good for demand paging I/O.
    • Better to swap in/out one big page than several small pages.
    • But if page is too big you will be swapping in data that is really not local and hence might well not be used.
  • Large internal fragmentation (1/2 page size).
  • Small page table.
  • A very large page size leads to very few pages. Process will have many faults if using demand paging and the process frequently references more regions than the number of (large) frames that the process has been allocated.
  • Possibly good for user I/O (unofficial).
    • If I/O done using physical addresses, then an I/O crossing a page boundary is not contiguous and hence requires multiple actual I/Os. A large page size makes it less likely that a single user I/O will span multiple pages.
    • If I/O uses virtual addresses, then page size doesn't effect this aspect of I/O. That is, the addresses are contiguous in virtual address and hence one I/O is done.
• A small page size has the opposite characteristics.

Homework: Consider a 32-bit address machine using paging with 8KB pages and 4 byte PTEs. How many bits are used for the offset and what is the size of the largest page table? Repeat the question for 128KB pages.

4.6.4: Separate Instruction and Data (I and D) Spaces

Skipped.

4.6.5: Shared pages

Permit several processes to each have a page loaded in the same frame. Of course this can only be done if the processes are using the same program and/or data.

• Really should share segments.
• Must keep reference counts or something so that when a process terminates, pages (even dirty pages) it shares with another process are not automatically discarded.
• Similarly, a reference count would make a widely shared page (correctly) look like a poor choice for a victim.
• A good place to store the reference count would be in a structure pointed to by both PTEs. If stored in the PTEs themselves, we must keep somehow keep the count consistent between processes.

Homework: 33

4.6.6: Cleaning Policy (Paging Daemons)

Done earlier

4.6.7: Virtual Memory Interface

Skipped.

4.7: Implementation Issues

4.7.1: Operating System Involvement with Paging

1. Process creation. OS must guess at the size of the process and then allocate a page table and a region on disk to hold the pages that are not memory resident. A few pages of the process must be loaded.
2. Ready→Running transition by the scheduler. Real memory must be allocated for the page table if the table has been swapped out (which is permitted when the process is not running). Some hardware register(s) must be set to point to the page table. (There can be many page tables resident, but the hardware must be told the location of the page table for the running process--the "active" page table.
3. Page fault. Lots of work. See 4.7.2 just below.
4. Process termination. Free the page table and the disk region for swapped out pages.

4.7.2: Page Fault Handling

1. The hardware detects the fault and traps to the kernel (switches to supervisor mode and saves state).
   
   
2. Some assembly language code save more state, establishes the C-language (or another programming language) environment, and “calls” the OS.
   
   
3. The OS determines that a page fault occurred and which page was referenced.
   
   
4. If the virtual address is invalid, process A is killed. If the virtual address is valid, the OS must find a free frame. If there is no free frames, the OS selects a victim frame. Call the process owning the victim frame, process B. (If the page replacement algorithm is local, the victim is process A.)
   
   
5. The PTE of the victim page is updated to show that the page is no longer resident.
   
   
6. If the victim page is dirty, the OS schedules an I/O write to copy the frame to disk and blocks A waiting for this I/O to occur.
   
   
7. Assuming process A needed to be blocked (i.e., the victim page is dirty) the scheduler is invoked to perform a context switch.
   • Tanenbaum “forgot” some here.
   • The process selected by the scheduler (say process C) runs.
   • Perhaps C is preempted for D or perhaps C blocks and D runs and then perhaps D is blocked and E runs, etc.
   • When the I/O to write the victim frame completes, a disk interrupt occurs. Assume processes C is running at the time.
   • Hardware trap / assembly code / OS determines I/O done.
   • The scheduler marks A as ready.
   • The scheduler picks a process to run, maybe A, maybe B, maybe C, maybe another processes.
   • At some point the scheduler does pick process A to run. Recall that at this point A is still executing OS code.
   
   
8. Now the O/S has a free frame (this may be much later in wall clock time if a victim frame had to be written). The O/S schedules an I/O to read the desired page into this free frame. Process A is blocked (perhaps for the second time) and hence the process scheduler is invoked to perform a context switch.
   
   
9. Again, another process is selected by the scheduler as above and eventually a Disk interrupt occurs when the I/O completes (trap / asm / OS determines I/O done). The PTE in process A is updated to indicate that the page is in memory.
   
   
10. The O/S may need to fix up process A (e.g. reset the program counter to re-execute the instruction that caused the page fault).
    
    
11. Process A is placed on the ready list and eventually is chosen by the scheduler to run. Recall that process A is executing O/S code.
    
    
12. The OS returns to the first assembly language routine.
    
    
13. The assembly language routine restores registers, etc. and “returns” to user mode.

The user's program running as process A is unaware that all this happened (except for the time delay).

4.7.3: Instruction Backup

A cute horror story. The 68000 was so bad in this regard that early demand paging systems for the 68000, used two processors one running one instruction behind. If the first got a page fault, there wasn't always enough information to figure out what to do so the system switched to the second processor after it did the page fault. Don't worry about instruction backup. Very machine dependent and modern implementations tend to get it right. The next generation machine, 68010, provided extra information on the stack so the horrible 2-processor kludge was no longer necessary.

4.7.4: Locking (Pinning) Pages in Memory

We discussed pinning jobs already. The same (mostly I/O) considerations apply to pages.

4.7.5: Backing Store

The issue is where on disk do we put pages.

• For program text, which is presumably read only, a good choice is the file executable itself.
  
  
• What if we decide to keep the data and stack each contiguous on the backing store. Data and stack grow so we must be prepared to grow the space on disk, which leads to the same issues and problems as we saw with MVT.
  
  
• If those issues/problems are painful, we can scatter the pages on the disk.
  • That is we employ paging!
  • This is NOT demand paging.
  • Need a table to say where the backing space for each page is located.
    • This corresponds to the page table used to tell where in real memory a page is located.
    • The format of the “memory page table” is determined by the hardware since the hardware modifies/accesses it. It is machine dependent.
    • The format of the “disk page table” is decided by the OS designers and is machine independent.
    • If the format of the memory page table was flexible, then we might well keep the disk information in it as well. But normally the format is not flexible and this is not done.
  
  
• What if we felt disk space was too expensive and wanted to put some of these disk pages on say tape?
  Ans: We use demand paging of the disk blocks! That way "unimportant" disk blocks will migrate out to tape and are brought back in if needed.
  Since a tape read requires seconds to complete (because the request is not likely to be for the sequentially next tape block), it is crucial that we get very few disk block faults.

Homework: Assume every instruction takes 0.1 microseconds to execute providing it is memory resident. Assume a page fault takes 10 milliseconds to service providing the necessary disk block is actually on the disk. Assume a disk block fault takes 10 seconds service. So the worst case time for an instruction is 10.0100001 seconds. Finally assume the program requires that a billion instructions be executed.

1. If the program is always completely resident, how long does it take to execute?
2. If 0.1% of the instructions cause a page fault, but all the disk blocks are on the disk, how long does the program take to execute and what percentage of the time is the program waiting for a page fault to complete?
3. If 0.1% of the instructions cause a page fault and 0.1% of the page faults cause a disk block fault, how long does the program take to execute, what percentage of the time is the program waiting for a disk block fault to complete?

4.7.6: Separation of Policy and Mechanism

Skipped.

4.8: Segmentation

Up to now, the virtual address space has been contiguous.

• Among other issues this makes memory management difficult when there are more that two dynamically growing regions.
• With two regions you start them on opposite sides of the virtual space as we did before.
• Better is to have many virtual address spaces each starting at zero.
• This split up is user visible.
• Without segmentation (equivalently said with just one segment) all procedures are packed together so if one changes in size all the virtual addresses following are changed and the program must be re-linked. With each procedure in a separate segment this relinking would be limited to the symbols defined or used in the modified procedure.
• Eases flexible protection and sharing (share a segment). For example, can have a shared library.

Homework: 37.

** Two Segments

Late PDP-10s and TOPS-10

• One shared text segment, that can also contain shared (normally read only) data.
• One (private) writable data segment.
• Permission bits on each segment.
• Which kind of segment is better to evict?
  • Swapping out the shared segment hurts many tasks.
  • The shared segment is read only (probably) so no writeback is needed.
• “One segment” is OS/MVT done above.

** Three Segments

Traditional (early) Unix shown at right.

• Shared text marked execute only.
• Data segment (global and static variables).
• Stack segment (automatic variables).
• In reality, since the text doesn't grow, this was sometimes treated as 2 segments by combining text and data into one segment

** Four Segments

Just kidding.

** General (not necessarily demand) Segmentation

• Permits fine grained sharing and protection. For a simple example can share the text segment in early unix.
• Visible division of program.
• Variable size segments.
• Virtual Address = (seg#, offset).
• Does not mandate how stored in memory.
  • One possibility is that the entire program must be in memory in order to run it. Use whole process swapping. Early versions of Unix did this.
  • Can also implement demand segmentation.
  • Can combine with demand paging (done below).
• Requires a segment table with a base and limit value for each segment. Similar to a page table. Why is there no limit value in a page table?
  Ans: All pages are the same size so the limit is obvious.
• Entries are called STEs, Segment Table Entries.
• (seg#, offset) --> if (offset<limit) base+offset else error.
• Segmentation exhibits external fragmentation, just as whole program swapping. Since segments are smaller than programs (several segments make up one program), the external fragmentation is not as bad.

** Demand Segmentation

Same idea as demand paging, but applied to segments.

• If a segment is loaded, base and limit are stored in the STE and the valid bit is set in the STE.
• The STE is accessed for each memory reference (not really, TLB).
• If the segment is not loaded, the valid bit is unset. The base and limit as well as the disk address of the segment is stored in the an OS table.
• A reference to a non-loaded segment generate a segment fault (analogous to page fault).
• To load a segment, we must solve both the placement question and the replacement question (for demand paging, there is no placement question).
• I believe demand segmentation was once implemented by Burroughs, but am not sure. It is not used in modern systems.

The following table mostly from Tanenbaum compares demand paging with demand segmentation.

** 4.8.2 and 4.8.3: Segmentation With (demand) Paging

(Tanenbaum gives two sections to explain the differences between Multics and the Intel Pentium. These notes cover what is common to all segmentation+paging systems).

Combines both segmentation and demand paging to get advantages of both at a cost in complexity. This is very common now.

Although it is possible to combine segmentation with non-demand paging, I do not know of any system that did this.

• A virtual address becomes a triple: (seg#, page#, offset).
  
  
• Each segment table entry (STE) points to the page table for that segment. Compare this with a multilevel page table.
  
  
• The physical size of each segment is a multiple of the page size (since the segment consists of pages). The logical size is not; instead we keep the exact size in the STE (limit value) and terminate the process if it referenced beyond the limit. In this case the last page of each segment is partially valid (internal fragmentation).
  
  
• The page# field in the address gives the entry in the chosen page table and the offset gives the offset in the page.
  
  
• From the limit field, one can easily compute the size of the segment in pages (which equals the size of the corresponding page table in PTEs).
  
  
• A straightforward implementation of segmentation with paging would requires 3 memory references (STE, PTE, referenced word) so a TLB is crucial.
  
  
• Some books carelessly say that segments are of fixed size. This is wrong. They are of variable size with a fixed maximum and with the requirement that the physical size of a segment is a multiple of the page size.
  
  
• The first example of segmentation with paging was Multics.
  
  
• Keep protection and sharing information on segments. This works well for a number of reasons.
  1. A segment is variable size.
  2. Segments and their boundaries are user (i.e., linker) visible.
  3. Segments are shared by sharing their page tables. This eliminates the problem mentioned above with shared pages.
  
  
• Since we have paging, there is no placement question and no external fragmentation.
  
  
• Do fetch-on-demand with pages (i.e., do demand paging).
  
  
• In general, segmentation with demand paging works well and is widely used. The only problems are the complexity and the resulting 3 memory references for each user memory reference. The complexity is real, but can be managed. The three memory references would be fatal were it not for TLBs, which considerably ameliorate the problem. TLBs have high hit rates and for a TLB hit there is essentially no penalty.

Homework: 38.

Homework: Consider a 32-bit address machine using paging with 8KB pages and 4 byte PTEs. How many bits are used for the offset and what is the size of the largest page table? Repeat the question for 128KB pages. So far this question has been asked before. Repeat both parts assuming the system also has segmentation with at most 128 segments.

4.9: Research on Memory Management

Skipped

4.10: Summary

Read

Some Last Words on Memory Management

• Segmentation / Paging / Demand Loading (fetch-on-demand)
  • Each is a yes or no alternative.
  • Gives 8 possibilities.
• Placement and Replacement.
• Internal and External Fragmentation.
• Page Size and locality of reference.
• Multiprogramming level and medium term scheduling.

Remark: I had second thought about an answer I gave at the end of last lecture and checked with the experts. Some modern hardware (especially x86-64/amd64) does not support segmentation, but does support multiple levels of page tables.

Many of the segmentation advantages/features are now supported by (in my judgment less clean) techniques using multiple levels of page tables.

Chapter 5: Input/Output

5.1: Principles of I/O Hardware

5.1.1: I/O Devices

• Not much to say. Devices are varied.
  
  
• Block versus character devices. This used to be a big deal, but now is of lesser importance.
  • Devices, such as disks and CDROMs, with addressable chunks (sectors in this case) are called block devices,
    These devices support seeking.
  • Devices, such as Ethernet and modem connections, that are a stream of characters are called character devices.
    These devices do not support seeking.
  • Some cases, like tapes, are not so clear.
  
  
• More natural is to distinguish between
  • Input only (keyboard, mouse), vs. output only (monitor), vs. input-output (disk).
  • Local vs. remote (network).
  • Weird (clock).
  • Random vs sequential access.

5.1.2: Device Controllers

These are the “devices” as far as the OS is concerned. That is, the OS code is written with the controller spec in hand not with the device spec.

• Also called adaptors.
  
  
• The controller abstracts away some of the low level features of the device.
  
  
• For disks, the controller does error checking and buffering.
  
  
• (Unofficial) In the old days it handled interleaving of sectors. (Sectors are interleaved if the controller or CPU cannot handle the data rate and would otherwise have to wait a full revolution. This is not a concern with modern systems since the electronics have increased in speed faster than the devices.)
  
  
• Graphics controller do a great deal. They often contain processors at least as powerful as the main CPU on which the OS runs.
  
  

5.1.3: Memory-Mapped I/O

Think of a disk controller and a read request. The goal is to copy data from the disk to some portion of the central memory. How do we do this?

• The controller contains a microprocessor and memory and is connected to the disk (by wires).
  
  
• When the controller asks the disk to read a sector, the contents come to the controller via the wires and are stored by the controller in its memory.
  
  
• Two questions are: how does the OS, which is running on another processor, let the controller know that a disk read is desired, and how is the data eventually moved from the controller's memory to the general system memory.
  
  
• Typically the interface the OS sees consists of some device registers located on the controller.
  • These are memory locations into which the OS writes information such as the sector to access, read vs. write, length, where in system memory to put the data (for a read) or from where to take the data (for a write).
  • There is also typically a device register that acts as a “go button”.
  • There are also devices registers that the OS reads, such as status of the controller, errors found, etc.
  
  
• So the first question becomes, how does the OS read and write the device register.
  • With Memory-mapped I/O the device registers appear as normal memory. All that is needed is to know at which address each device regester appears. Then the OS uses normal load and store instructions to write the registers.
  • Some systems instead have a special “I/O space” into which the registers are mapped and require the use of special I/O space instructions to accomplish the load and store.
  • From a conceptual point of view there is no difference between the two models.

5.1.4: Direct Memory Access (DMA)

We now address the second question, moving data between the controller and the main memory.

• With or without DMA, the disk controller, when processing a read request pulls the desired data from the disk to its buffer (and pushes data from the buffer to the disk when processing a write).
  
  
• Without DMA, i.e., with programmed I/O (PIO), the cpu then does loads and stores (assuming the controller buffer is memory mapped, or uses I/O instructions if it is not) to copy the data from the buffer to the desired memory location.
  
  
• With a DMA controller, the controller writes the main memory itself, without intervention of the CPU.
  
  
• Clearly DMA saves CPU work. But this might not be important if the CPU is limited by the memory or by system buses.
  
  
• An important point is that there is less data movement with DMA so the buses are used less and the entire operation takes less time.
  
  
• Since PIO is pure software it is easier to change, which is an advantage.
  
  
• DMA does need a number of bus transfers from the CPU to the controller to specify the DMA. So DMA is most effective for large transfers where the setup is amortized.
  
  
• Why have the buffer? Why not just go from the disk straight to the memory?
  Answer: Speed matching.
  The disk supplies data at a fixed rate, which might exceed the rate the memory can accept it. In particular the memory might be busy servicing a request from the processor or from another DMA controller.

Homework: 12

5.1.5: Interrupts Revisited

Skipped.

5.2: Principles of I/O Software

As with any large software system, good design and layering is important.

5.2.1: Goals of the I/O Software

Device independence

We want to have most of the OS, unaware of the characteristics of the specific devices attached to the system. (This principle of device independence is not limited to I/O; we also want the OS to be largely unaware of the CPU type itself.)

This works quite well for files stored on various devices. Most of the OS, including the file system code, and most applications can read or write a file without knowing if the file is stored on a floppy disk, a hard disk, a tape, or (for reading) a CD-ROM.

This principle also applies for user programs reading or writing streams. A program reading from ``standard input'', which is normally the user's keyboard can be told to instead read from a disk file with no change to the application program. Similarly, ``standard output'' can be redirected to a disk file. However, the low-level OS code dealing with disks is rather different from that dealing keyboards and (character-oriented) terminals.

One can say that device independence permits programs to be implemented as if they will read and write generic devices, with the actual devices specified at run time. Although writing to a disk has differences from writing to a terminal, Unix cp, DOS copy, and many programs we compose need not be aware of these differences.

However, there are devices that really are special. The graphics interface to a monitor (that is, the graphics interface presented by the video controller--often called a ``video card'') does not resemble the ``stream of bytes'' we see for disk files.

Homework: 9

Uniform naming

Recall that we discussed the value of the name space implemented by file systems. There is no dependence between the name of the file and the device on which it is stored. So a file called IAmStoredOnAHardDisk might well be stored on a floppy disk.

Error handling

There are several aspects to error handling including: detection, correction (if possible) and reporting.

1. Detection should be done as close to where the error occurred as possible before more damage is done (fault containment). This is not trivial.
   
   

2. Correction is sometimes easy, for example ECC memory does this automatically (but the OS wants to know about the error so that it can schedule replacement of the faulty chips before unrecoverable double errors occur).

   Other easy cases include successful retries for failed ethernet transmissions. In this example, while logging is appropriate, it is quite reasonable for no action to be taken.

   
   
3. Error reporting tends to be awful. The trouble is that the error occurs at a low level but by the time it is reported the context is lost. Unix/Linux in particular is horrible in this area.

Creating the illusion of synchronous I/O

• I/O must be asynchronous for good performance. That is the OS cannot simply wait for an I/O to complete. Instead, it proceeds with other activities and responds to the notification when the I/O has finished.
  
  
• Users (mostly) want no part of this. The code sequence

        Read X
        Y <-- X+1
        Print Y
      

  should print a value one greater than that read. But if the assignment is performed before the read completes, the wrong value is assigned.
  
  
• Performance junkies sometimes do want the asynchrony so that they can have another portion of their program executed while the I/O is underway. That is they implement a mini-scheduler in their application code.

Buffering

• Often needed to hold data for examination prior to sending it to its desired destination.
  
  
• But this involves copying and takes time.
  
  
• Modern systems try to avoid as much buffering as possible. This is especially noticeable in network transmissions, where the data could conceivably be copied many times.
  1. User space --> kernel space as part of the write system call
  2. kernel space to kernel I/O buffer.
  3. I/O buffer to buffer on the network adapter/controller.
  4. From adapter on the source to adapter on the destination.
  5. From adapter to I/O buffer.
  6. From I/O buffer to kernel space.
  7. From kernel space to user space as part of the read system call.
  
  
• I am not sure if any systems actually do all seven.

Sharable vs dedicated devices

For devices like printers and tape drives, only one user at a time is permitted. These are called serially reusable devices, and were studied in the deadlocks chapter. Devices like disks and Ethernet ports can be shared by processes running concurrently.

5.2.2: Programmed I/O

• As mentioned just above, with programmed I/O the processor moves the data between memory and the device.
  
  
• How does the processor know when the device is ready to accept or supply new data?
  
  
• In the simplest implementation, the processor loops continually asking the device. This is called polling or busy waiting.
  
  
• If we poll infrequently, there can be a significant delay between when the I/O is complete and the OS uses the data or supplies new data.
  
  
• If we poll frequently and the device is (sometimes) slow, polling is clearly wasteful, which leads us to ...

5.2.3: Interrupt-Driven (Programmed) I/O

• The device interrupts the processor when it is ready.
  
  
• An interrupt service routine then initiates transfer of the next datum.
  
  
• Normally better than polling, but not always. Interrupts are expensive on modern machines.
  
  
• To minimize interrupts, better controllers often employ ...

5.2.4: I/O Using DMA

• We discussed DMA above.
  
  
• An additional advantage of dma, not mentioned above, is that the processor is interrupted only at the end of a command not after each datum is transferred.
  
  
• Many devices receive a character at a time, but with a dma controller, an interrupt occurs only after a buffer has been transferred.

5.3: I/O Software Layers

Layers of abstraction as usual prove to be effective. Most systems are believed to use the following layers (but for many systems, the OS code is not available for inspection).

1. User-level I/O routines.
   
   
2. Device-independent (kernel-level) I/O software.
   
   
3. Device drivers.
   
   
4. Interrupt handlers.

We will give a bottom up explanation.

5.3.1: Interrupt Handlers

We discussed an interrupt handler before when studying page faults. Then it was called “assembly language code”.

In the present case, we have a process blocked on I/O and the I/O event has just completed. So the goal is to make the process ready. Possible methods are.

• Releasing a semaphore on which the process is waiting.
• Sending a message to the process.
• Inserting the process table entry onto the ready list.

Once the process is ready, it is up to the scheduler to decide when it should run.

5.3.2: Device Drivers

The portion of the OS that is tailored to the characteristics of the controller.

The driver has two “parts” corresponding to its two access points. Recall the figure on the right, which we saw at the beginning of the course.

1. Accessed by the main line OS via the envelope in response to an I/O system call. The portion of the driver accessed in this way is sometimes call the “top” part.
2. Accessed by the interrupt handler when the I/O completes (this completion is signaled by an interrupt). The portion of the driver accessed in this way is sometimes call the “bottom” part.

Tanenbaum describes the actions of the driver assuming it is implemented as a process (which he recommends). I give both that view point and the self-service paradigm in which the driver is invoked by the OS acting in behalf of a user process (more precisely the process shifts into kernel mode).

Driver in a self-service paradigm

1. The user (A) issues an I/O system call.
   
   
2. The main line, machine independent, OS prepares a generic request for the driver and calls (the top part of) the driver.
   1. If the driver was idle (i.e., the controller was idle), the driver writes device registers on the controller ending with a command for the controller to begin the actual I/O.
   2. If the controller was busy (doing work the driver gave it previously), the driver simply queues the current request (the driver dequeues this request below).
   
   
3. The driver jumps to the scheduler indicating that the current process should be blocked.
   
   
4. The scheduler blocks A and runs (say) B.
   
   
5. B starts running.
   
   
6. An interrupt arrives (i.e., an I/O has been completed) and the handler is invoked.
   
   
7. The interrupt handler invokes (the bottom part of) the driver.
   1. The driver informs the main line perhaps passing data and surely passing status (error, OK).
   2. The top part is called to start another I/O if the queue is nonempty. We know the controller is free. Why?
      Answer: We just received an interrupt saying so.
   
   
8. The driver jumps to the scheduler indicating that process A should be made ready.
   
   
9. The scheduler picks a ready process to run. Assume it picks A.
   
   
10. A resumes in the driver, which returns to the main line, which returns to the user code.

Driver as a process (Tanenbaum) (less detailed than above)

• The user issues an I/O request. The main line OS prepares a generic request (e.g. read, not read using Buslogic BT-958 SCSI controller) for the driver and the driver is awakened (perhaps a message is sent to the driver to do both jobs).
  1. The driver wakes up.
     1. If the driver was idle (i.e., the controller is idle), the driver writes device registers on the controller ending with a command for the controller to begin the actual I/O.
     2. If the controller is busy (doing work the driver gave it), the driver simply queues the current request (the driver dequeues this below).
  2. The driver blocks waiting for an interrupt or for more requests.
• An interrupt arrives (i.e., an I/O has been completed).
  1. The driver wakes up.
  2. The driver informs the main line perhaps passing data and surely passing status (error, OK).
  3. The driver finds the next work item or blocks.
     1. If the queue of requests is non-empty, dequeue one and proceed as if just received a request from the main line.
     2. If queue is empty, the driver blocks waiting for an interrupt or a request from the main line.

5.3.3: Device-Independent I/O Software

The device-independent code does most of the functionality, but not necessarily most of the code since there can be many drivers, all doing essentially the same thing in slightly different ways due to slightly different controllers.

• Naming. Again an important O/S functionality. Must offer a consistent interface to the device drivers.
  • In Unix this is done by associating each device with a (special) file in the /dev directory.
  • The i-nodes for these files contain an indication that these are special files and also contain so called major and minor device numbers.
  • The major device number gives the number of the driver. (These numbers are rather ad hoc, they correspond to the position of the function pointer to the driver in a table of function pointers.)
  • The minor number indicates for which device (e.g., which scsi cdrom drive) the request is intended
  
  
• Protection. A wide range of possibilities are actually done in real systems. Including both extreme examples of everything is permitted and nothing is permitted (directly).
  • In ms-dos any process can write to any file. Presumably, our offensive nuclear missile launchers do not run dos.
  • In IBM 360/370/390 mainframe OS's, normal processors do not access devices. Indeed the main CPU doesn't issue the I/O requests. Instead an I/O channel is used and the mainline constructs a channel program and tells the channel to invoke it.
  • Unix uses normal rwx bits on files in /dev (I don't believe x is used).
  
  
• Buffering is necessary since requests come in a size specified by the user and data is delivered in a size specified by the device.
  
  
• Enforce exclusive access for non-shared devices like tapes.

5.3.4: User-Space Software

A good deal of I/O code is actually executed by unprivileged code running in user space. Some of this code consists of library routines linked into user programs, some are standard utilities, and some is in daemon processes.

• Some library routines are trivial and just move their arguments into the correct place (e.g., a specific register) and then issue a trap to the correct system call to do the real work.
  
  
• Some, notably standard I/O (stdio) in Unix, are definitely not trivial. For example consider the formatting of floating point numbers done in printf and the reverse operation done in scanf.
  
  
• Printing to a local printer is often performed in part by a regular program (lpr in Unix) and part by a daemon (lpd in Unix). The daemon might be started when the system boots.
  
  
• Printing uses spooling, i.e., the file to be printed is copied somewhere by lpr and then the daemon works with this copy. Mail uses a similar technique (but generally it is called queuing, not spooling).

Homework: 10, 13.

5.4: Disks

The ideal storage device is

1. Fast
2. Big (in capacity)
3. Cheap
4. Impossible

When compared to central memory, disks are big and cheap, but slow.

5.4.1: Disk Hardware

Show a real disk opened up and illustrate the components.

• Platter
• Surface
• Head
• Track
• Sector
• Cylinder
• Seek time
• Rotational latency
• Transfer rate

Consider the following characteristics of a disk.

• RPM (revolutions per minute)
• Seek time. This is actually quite complicated to calculate since you have to worry about, acceleration, travel time, deceleration, and "settling time".
• Rotational latency. The average value is the time for (approximately) one half a revolution.
• Transfer rate, determined by RPM and bit density.
• Sectors per track, determined by bit density
• Tracks per surface (i.e., number of cylinders), determined by bit density.
• Tracks per cylinder (i.e, the number of surfaces)

Overlapping I/O operations is important. Many controllers can do overlapped seeks, i.e. issue a seek to one disk while another is already seeking.

As technology increases the space taken to store a bit decreases, i.e.. the bit density increases. This changes the number of cylinders per inch of radius (the cylinders are closer together) and the number of bits per inch along a given track.

(Unofficial) Modern disks cheat and have more sectors on outer cylinders as on inner one. For this course, however, we assume the number of sectors/track is constant. Thus for us there are fewer bits per inch on outer sectors and the transfer rate is the same for all cylinders. The modern disks have electronics and software (firmware) that hides the cheat and gives the illusion of the same number of sectors on all tracks.

(Unofficial) Despite what tanenbaum says later, it is not true that when one head is reading from cylinder C, all the heads can read from cylinder C with no penalty. It is, however, true that the penalty is very small.

Choice of block size

• We discussed a similar question before when studying page size.
• Current commodity disk characteristics (not for laptops) result in about 15ms to transfer the first byte and 10K bytes per ms for subsequent bytes (if contiguous).
  • Rotation rate often 5400 or 7200 RPM with 10k, 15k and (just now) 20k available.
  • Recall that 6000 RPM is 100 rev/sec or one rev per 10ms. So half a rev (the average time to rotate to a given point) is 5ms.
  • Transfer rates around 10MB/sec = 10KB/ms.
  • Seek time around 10ms.
• This analysis suggests large blocks, 100KB or more.
• But the internal fragmentation would be severe since many files are small.
• Typical block sizes are 4KB-8KB.
• Multiple block sizes have been tried (e.g. blocks are 8K but a file can also have “fragments” that are a fraction of a block, say 1K)
• Some systems employ techniques to force consecutive blocks of a given file near each other, preferably contiguous. Also some systems try to cluster “related” files (e.g., files in the same directory).

Homework: Consider a disk with an average seek time of 10ms, an average rotational latency of 5ms, and a transfer rate of 10MB/sec.

1. If the block size is 1KB, how long would it take to read a block?
2. If the block size is 100KB, how long would it take to read a block?
3. If the goal is to read 1K, a 1KB block size is better as the remaining 99KB are wasted. If the goal is to read 100KB, the 100KB block size is better since the 1KB block size needs 100 seeks and 100 rotational latencies. What is the minimum size request for which a disk with a 100KB block size would complete faster than one with a 1KB block size?

RAID (Redundant Array of Inexpensive Disks)

• The name RAID is from Berkeley.
  
  
• IBM changed the name to Redundant Array of Independent Disks. I wonder why?
  
  
• A simple form is mirroring, where two disks contain the same data.
  
  
• Another simple form is striping (interleaving) where consecutive blocks are spread across multiple disks. This helps bandwidth, but is not redundant. Thus it shouldn't be called RAID, but it sometimes is.
  
  
• One of the normal RAID methods is to have N (say 4) data disks and one parity disk. Data is striped across the data disks and the bitwise parity of these sectors is written in the corresponding sector of the parity disk.
  
  
• On a read if the block is bad (e.g., if the entire disk is bad or even missing), the system automatically reads the other blocks in the stripe and the parity block in the stripe. Then the missing block is just the bitwise exclusive or of all these blocks.
  
  
• For reads this is very good. The failure free case has no penalty (beyond the space overhead of the parity disk). The error case requires (N-1)+1=N (say 4) reads.
  
  
• A serious concern is the small write problem. Writing a sector requires 4 I/O. Read the old data sector, compute the change, read the parity, compute the new parity, write the new parity and the new data sector. Hence one sector I/O became 4, which is a 300% penalty.
  
  
• Writing a full stripe is not bad. Compute the parity of the N (say 4) data sectors to be written and then write the data sectors and the parity sector. Thus 4 sector I/Os become 5, which is only a 25% penalty and is smaller for larger N, i.e., larger stripes.
  
  
• A variation is to rotate the parity. That is, for some stripes disk 1 has the parity, for others disk 2, etc. The purpose is to not have a single parity disk since that disk is needed for all small writes and could become a point of contention.

Remark: A practice final is available off the web page. Note the format and good luck.

5.4.2: Disk Formatting

Skipped.

5.4.3: Disk Arm Scheduling Algorithms

There are three components to disk response time: seek, rotational latency, and transfer time. Disk arm scheduling is concerned with minimizing seek time by reordering the requests.

These algorithms are relevant only if there are several I/O requests pending. For many PCs this is not the case. For most commercial applications, I/O is crucial and there are often many requests pending.

The algorithm might actually be implemented in the electronics on the disk itself. The disks I brought in were somewhat old so I suspect those didn't do this (but the OS definitely did).

1. FCFS (First Come First Served): Simple but has long delays.
   
   
2. Pick: Same as FCFS but pick up requests for cylinders that are passed on the way to the next FCFS request.
   
   
3. SSTF or SSF (Shortest Seek (Time) First): Greedy algorithm. Can starve requests for outer cylinders and almost always favors middle requests.
   
   
4. Scan (Look, Elevator): The method used by an old fashioned jukebox (remember “Happy Days”) and by elevators. The disk arm proceeds in one direction picking up all requests until there are no more requests in this direction at which point it goes back the other direction. This favors requests in the middle, but can't starve any requests.
   
   
5. C-Scan (C-look, Circular Scan/Look): Similar to Scan but only service requests when moving in one direction. When going in the other direction, go directly to the furthest away request. This doesn't favor any spot on the disk. Indeed, it treats the cylinders as though they were a clock, i.e., after the highest numbered cylinder comes cylinder 0.
   
   
6. N-step Scan: This is what the natural implementation of Scan gives.
   • While the disk is servicing a Scan direction, the controller gathers up new requests and sorts them.
   • At the end of the current sweep, the new list becomes the next sweep.
   • Compare this to selfish round robin (SRR) with b≥a=0.

Minimizing Rotational Latency

Use Scan based on sector numbers not cylinder number. For rotational latency Scan is the same as C-Scan. Why?
Ans: Because the disk only rotates in one direction.

Homework: 24, 25

5.4.4: Error Handling

Disks error rates have dropped in recent years. Moreover, bad block forwarding is normally done by the controller (or disk electronics) so this topic is no longer as important for OS.

5.5: Clocks

Also called timers.

5.5.1: Clock Hardware

• Generates an interrupt when timer goes to zero
• Counter reload can be automatic or under software (OS) control.
• If done automatically, the interrupt occurs periodically and thus is perfect for generating a clock interrupt at a fixed period.

5.5.2: Clock Software

1. Time of day (TOD): Bump a counter each tick (clock interupt). If counter is only 32 bits must worry about overflow so keep two counters: low order and high order.
   
   
2. Time quantum for RR: Decrement a counter at each tick. The quantum expires when counter is zero. Load this counter when the scheduler runs a process (i.e., changes the state of the process from ready to running). This is what I (and I would guess you) did for the (processor) scheduling lab.
   
   
3. Accounting: At each tick, bump a counter in the process table entry for the currently running process.
   
   
4. Alarm system call and system alarms:
   • Users can request an alarm at some future time.
   • The system also on occasion needs to schedule some of its own activities to occur at specific times in the future (e.g. turn off the floppy motor or exercise a time out).
   • The conceptually simplest solution is to have one timer for each event.
   • Instead, we simulate many timers with just one.
   • The data structure on the right works well. There is one node for each event.
   • The first entry in each node is the time after the preceding event that this event's alarm is to ring.
   • For example, if the time is zero, this event occurs at the same time as the previous event.
   • The second entry in the node is a pointer to the action to perform.
   • At each tick, decrement next-signal.
   • When next-signal goes to zero, process the first entry on the list and any others following immediately following with a time of zero (which means they are to be simultaneous with this alarm). Then set next-signal to the value in the next alarm.
   
   
5. Profiling
   • Want a histogram giving how much time was spent in each 1KB (say) block of code.
   • At each tick check the PC and bump the appropriate counter.
   • A user-mode program can determine the software module associated with each 1K block.
   • If we use finer granularity (say 10B instead of 1KB), we get increased accuracy but more memory overhead.

Homework: 27

5.6: Character-Oriented Terminals

5.6.1: RS-232 Terminal Hardware

Quite dated. It is true that modern systems can communicate to a hardwired ascii terminal, but most don't. Serial ports are used, but they are normally connected to modems and then some protocol (SLIP, PPP) is used not just a stream of ascii characters. So skip this section.

Memory-Mapped Terminals

Not as dated as the previous section but it still discusses the character not graphics interface.

• Today, software writes into video memory the bits that are to be put on the screen and then the graphics controller converts these bits to analog signals for the monitor (actually laptop displays and some modern monitors are digital).
• But it is much more complicated than this. The graphics controllers can do a great deal of video themselves (like filling).
• This is a subject that would take many lectures to do well.

Keyboards

Tanenbaum's description of keyboards is correct.

• At each key press and key release a code is written into the keyboard controller and the computer is interrupted.
• By remembering which keys have been depressed and not released the software can determine Cntl-A, Shift-B, etc.

5.6.2: Input Software

• We are just looking at keyboard input. Once again graphics is too involved to be treated well.
• There are two fundamental modes of input, sometimes called raw and cooked.
• In raw mode the application sees every “character” the user types. Indeed, raw mode is character oriented.
  • All the OS does is convert the keyboard “scan codes” to “characters” and and pass these characters to the application.
  • Some examples
    1. down-cntl down-x up-x up-cntl is converted to cntl-x
    2. down-cntl up-cntl down-x up-x is converted to x
    3. down-cntl down-x up-cntl up-x is converted to cntl-x (I just tried it to be sure).
    4. down-x down-cntl up-x up-cntl is converted to x
  • Full screen editors use this mode.
• Cooked mode is line oriented. The OS delivers lines to the application program.
  • Special characters are interpreted as editing characters (erase-previous-character, erase-previous-word, kill-line, etc).
  • Erased characters are not seen by the application but are erased by the keyboard driver.
  • Need an escape character so that the editing characters can be passed to the application if desired.
  • The cooked characters must be echoed (what should one do if the application is also generating output at this time?)
• The (possibly cooked) characters must be buffered until the application issues a read (and an end-of-line EOL has been received for cooked mode).

5.6.3: Output Software

Again too dated and the truth is too complicated to deal with in a few minutes.

5.7: Graphical User Interfaces (GUIs)

Skipped.

5.8: Network Terminals

Skipped.

5.9: Power Management

Skipped.

5.10: Research on Input/Output

Skipped.

5.11: Summary

Read.

Chapter 6: File Systems

Requirements

1. Size: Store very large amounts of data.
2. Persistence: Data survives the creating process.
3. Access: Multiple processes can access the data concurrently.

Solution: Store data in files that together form a file system.

6.1: Files

6.1.1: File Naming

Very important. A major function of the file system.

• Does each file have a unique name?
  Answer: Often no. We will discuss this below when we study links.
  
  
• Extensions, e.g. the “html” in “class-notes.html”. Depending on the system, these can have little or great significance. The extensions can be
  
  
  1. Conventions just for humans: letter.teq (my convention).
     
     
  2. Conventions giving default behavior for some programs.
     • The emacs editor thinks .html files should be edited in html mode but
       can edit them in any mode and can edit any file in html mode.
     • Firefox thinks .html means an html file, but
       <html> ... </html> works as well
     • Gzip thinks .gz means a compressed file but accepts a --suffix flag
     
     
  3. Default behavior for Operating system or window manager or desktop environment.
     • Click on .xls file in windows and excel is started.
     • Click on .xls file in nautilus under linux and open office is started.
     
     
  4. Required extensions for programs
     • The gnu C compiler (and probably others) requires C programs be named *.c and assembler programs be named *.s
     
     
  5. Required extensions by operating systems
     • MS-DOS treats .com files specially
     • Windows 95 requires shortcuts to end in .lnk.
  
  
• Case sensitive?
  Unix: yes. Windows: no.

6.1.2: File structure

A file is a

1. Byte stream
   • Unix, dos, windows.
   • Maximum flexibility.
   • Minimum structure.
   
   
2. (fixed size) Record stream: Out of date
   • 80-character records for card images.
   • 133-character records for line printer files. Column 1 was for control (e.g., new page) Remaining 132 characters were printed.
   
   
3. Varied and complicated beast.
   • Indexed sequential.
   • B-trees.
   • Supports rapidly finding a record with a specific key.
   • Supports retrieving (varying size) records in key order.
   • Treated in depth in database courses.

6.1.3: File types

Examples

1. (Regular) files.
   
   
2. Directories: studied below.
   
   
3. Special files (for devices). Uses the naming power of files to unify many actions.

       dir             # prints on screen
       dir > file      # result put in a file
       dir > /dev/tape # results written to tape
       

4. “Symbolic” Links (similar to “shortcuts”): Also studied below.

“Magic number”: Identifies the command interpreter for an executable file.

• There can be several different magic numbers for different types of executables.
• unix: #!/usr/bin/perl

Strongly typed files:

• The type of the file determines what you can do with the file.
• This make the easy and (hopefully) common case easier and, more importantly, safer.
• It tends to make the unusual case harder. For example, you have a program that turns out data (.dat) files. But you want to use it to turn out a java file but the type of the output is data and cannot be easily converted to type java.

6.1.4: File access

There are basically two possibilities, sequential access and random access (a.k.a. direct access). Previously, files were declared to be sequential or random. Modern systems do not do this. Instead all files are random and optimizations are applied when the system dynamically determines that a file is (probably) being accessed sequentially.

1. With Sequential access the bytes (or records) are accessed in order (i.e., n-1, n, n+1, ...). Sequential access is the most common and gives the highest performance. For some devices (e.g. tapes) access “must” be sequential.
2. With random access, the bytes are accessed in any order. Thus each access must specify which bytes are desired.

6.1.5: File attributes

A laundry list of properties that can be specified for a file For example:

• hidden
• do not dump
• owner
• key length (for keyed files)

6.1.6: File operations

• Create: Essential if a system is to add files. Need not be a separate system call (can be merged with open).
• Delete: Essential if a system is to delete files.
• Open: Not essential. An optimization in which the translation from file name to disk locations is perform only once per file rather than once per access.
• Close: Not essential. Free resources.
• Read: Essential. Must specify filename, file location, number of bytes, and a buffer into which the data is to be placed. Several of these parameters can be set by other system calls and in many OS's they are.
• Write: Essential if updates are to be supported. See read for parameters.
• Seek: Not essential (could be in read/write). Specify the offset of the next (read or write) access to this file.
• Get attributes: Essential if attributes are to be used.
• Set attributes: Essential if attributes are to be user settable.
• Rename: Tanenbaum has strange words. Copy and delete is not acceptable for big files. Moreover copy-delete is not atomic. Indeed link-delete is not atomic so even if link (discussed below) is provided, renaming a file adds functionality.

Homework: 6, 7.

6.1.7: An Example Program Using File System Calls

Homework: Read and understand “copyfile”.

Notes on copyfile

• Normally in unix one wouldn't call read and write directly.
• Indeed, for copyfile, getchar() and putchar() would be nice since they take care of the buffering (standard I/O, stdio).
• If you compare copyfile from the 1st to 2nd edition, you can see the addition of error checks.

6.1.8: Memory mapped files (Unofficial)

Conceptually simple and elegant. Associate a segment with each file and then normal memory operations take the place of I/O.

Thus copyfile does not have fgetc/fputc (or read/write). Instead it is just like memcopy

while ( *(dest++) = *(src++) );

The implementation is via segmentation with demand paging but the backing store for the pages is the file itself. This all sounds great but ...

1. How do you tell the length of a newly created file? You know which pages were written but not what words in those pages. So a file with one byte or 10, looks like a page.
2. What if same file is accessed by both I/O and memory mapping.
3. What if the file is bigger than the size of virtual memory (will not be a problem for systems built 3 years from now as all will have enormous virtual memory sizes).

These files may be making a comeback, at least in research.

6.2: Directories

Unit of organization.

6.2.1-6.2.3: Single-level, Two-level, and Hierarchical directory systems

Possibilities

• One directory in the system (Single-level)
• One per user and a root above these (Two-level)
• One tree
• One tree per user
• One forest
• One forest per user

These are not as wildly different as they sound.

• If the system only has one directory, but allows the character / in a file name. Then one could fake a tree by having a file named
  /allan/gottlieb/courses/arch/class-notes.html
  rather than a directory allan, a subdirectory gottlieb, ..., a file class-notes.html.
  
  
• Dos (windows) is a forest, unix a tree. In dos there is no common parent of a:\ and c:\.
  
  
• But windows explorer makes the dos forest look quite a bit like a tree.
  
  
• You can get an effect similar to (but not the same as) one X per user by having just one X in the system and having permissions that permits each user to visit only a subset. Of course if the system doesn't have permissions, this is not possible.
  
  
• Today's systems have a tree per system or a forest per system.

6.2.4: Path Names

You can specify the location of a file in the file hierarchy by using either an absolute or a Relative path to the file

• An absolute path starts at the (or “one of the”, if we have a forest) root(s).
• A relative path starts at the current (a.k.a working) directory.
• The special directories . and .. represent the current directory and the parent of the current directory respectively.

Homework: 1, 9.

6.2.5: Directory operations

1. Create: Produces an “empty” directory. Normally the directory created actually contains . and .., so is not really empty
   
   
2. Delete: Requires the directory to be empty (i.e., to just contain . and ..). Commands are normally written that will first empty the directory (except for . and ..) and then delete it. These commands make use of file and directory delete system calls.
   
   
3. Opendir: Same as for files (creates a “handle”)
   
   
4. Closedir: Same as for files
   
   
5. Readdir: In the old days (of unix) one could read directories as files so there was no special readdir (or opendir/closedir). It was believed that the uniform treatment would make programming (or at least system understanding) easier as there was less to learn.
   
   However, experience has taught that this was not a good idea since the structure of directories then becomes exposed. Early unix had a simple structure (and there was only one type of structure for all implementations). Modern systems have more sophisticated structures and more importantly they are not fixed across implementations. So if programs just used read() to read directories, the programs would have to be changed whenever the structure of a directory changed. Now we have a readdir() system call that knows the structure of directories. Therefore if the structure is changed only readdir() need be changed.
   
   
6. Rename: As with files.
   
   
7. Link: Add a second name for a file; discussed below.
   
   
8. Unlink: Remove a directory entry. This is how a file is deleted. But if there are many links and just one is unlinked, the file remains. Discussed in more detail below.

6.3: File System Implementation

6.3.1: File System Layout

• One disk starts with a Master Boot Record (MBR).
• Each disk has a partition table.
• Each partition holds one file system.
• Each partition typically contains some parameters (e.g., size), free blocks, and blocks in use. The details vary.
• In unix some of the in use blocks contains I-nodes each of which describes a file or directory and is described below.
• During boot the MBR is read and executed. It transfers control to the boot block of the active partition.

6.3.2: Implementing Files

• A disk cannot read or write a single word. Instead it can read or write a sector, which is often 512 bytes.
• Disks are written in blocks whose size is a multiple of the sector size.

Contiguous allocation

• This is like OS/MVT.
• The entire file is stored as one piece.
• Simple and fast for access, but ...
• Problem with growing files
  • Must either evict the file itself or the file it is bumping into.
  • Same problem with an OS/MVT kind of system if jobs grow.
• Problem with external fragmentation.
• No longer used for general purpose rewritable file systems.
• Ideal for file systems where files do not change size.
• Used for CD-ROM file systems.

Homework: 12.

Linked allocation

• The directory entry contains a pointer to the first block of the file.
• Each block contains a pointer to the next.
• Horrible for random access.
• Not used.

Consider the following two code segments that store the same data but in a different order. The first is analogous to the linked list file organization above and the second is analogous to the ms-dos FAT file system we study next.

struct node_type {
    float data;                  float node_data[100];
    int   next;                  int   node_next[100];
} node[100]

With the second arrangement the data could be stored far away from the next pointers. In FAT this idea is taken to an extreme: The data, which is large (a disk block), is stored on disk; whereas, the next pointers which are small (each is an integer) are stored in memory in a File Allocation Table or FAT.

FAT (file allocation table)

• Used by dos and windows (but NT/2000/XP/Vista also support the superior NTFS).
• Directory entry points to first block (i.e. specifies the block number).
• A FAT is maintained in memory having one (word) entry for each disk block. The entry for block N contains the block number of the next block in the same file as N.
• This is linked but the links are stored separately.
• Time to access a random block is still is linear in the size of the file but now all the references are to this one table, which is in memory. So it is bad for random accesses, but not nearly as horrible as plain linked allocation.
• Size of table is one word per disk block. If blocks are of size 4K and the FAT uses 4-byte words, the table is one megabyte for each disk gigabyte. Large but perhaps not prohibitive.
• If blocks are of size 512 bytes (the sector size of most disks) then the table is 8 megs per gig, which is probably prohibitive.

Why don't we mimic the idea of paging and have a table giving for each block of the file, where on the disk that file block is stored? In other words a ``file block table'' mapping its file block to its corresponding disk block. This is the idea of (the first part of) the unix inode solution, which we study next.

I-Nodes

• Used by unix/linux.
  
  
• Directory entry points to i-node (index-node).
  
  
• I-Node points to first few data blocks, often called direct blocks. (As of June 2006, the main Linux file system organization uses twelve direct blocks.)
  
  
• I-Node also points to an indirect block, which points to disk blocks.
  
  
• I-Node also points to a double indirect, which points an indirect ...
  
  
• For some implementations there are triple indirect as well.
  
  
• The i-node is in memory for open files. So references to direct blocks take just one I/O.
  
  
• For big files most references require two I/Os (indirect + data).
  
  
• For huge files most references require three I/Os (double indirect, indirect, and data).

Algorithm to retrieve a block

Let's say that you want to find block N
(N=0 is the "first" block) and that
  There are D direct pointers in the inode numbered 0..(D-1)
  There are K pointers in each indirect block numbered 0..K-1

If N < D            // This is a direct block in the i-node
   use direct pointer N in the i-node
else if N < D + K   // This is one of the K blocks pointed to by indirect blk
   use pointer D in the inode to get the indirect block
   use pointer N-D in the indirect block to get block N
else   // This is one of the K*K blocks obtained via the double indirect block
   use pointer D+1 in the inode to get the double indirect block
   let P = (N-(D+K)) DIV K      // Which single indirect block to use
   use pointer P to get the indirect block B
   let Q = (N-(D+K)) MOD K      // Which pointer in B to use
   use pointer Q in B to get block N

6.3.3: Implementing Directories

Recall that a directory is a mapping that converts file (or subdirectory) names to the files (or subdirectories) themselves.

Trivial File System (CP/M)

• Only one directory in the system.
• Directory entry contains pointers to disk blocks.
• If need more blocks, get another directory entry.

MS-DOS and Windows (FAT)

• Subdirectories supported.
• Directory entry contains metatdata such as date and size as well as pointer to first block.
• The FAT has the pointers to the remaining blocks.

Unix/linux

• Each entry contains a name and a pointer to the corresponding i-node.
• Metadata is in the i-node.
• Early unix had limit of 14 character names.
• Name field now is varying length.
• To go down a level in directory takes two steps: get i-node, get file (or subdirectory).
• This shows how important it is not to parse filenames for each I/O operation, i.e., why the open() system call is important.
• Do on the blackboard the steps for /a/b/X

Homework: 27

6.3.4: Shared files (links)

• “Shared” files is Tanenbaum's terminology.
• More descriptive would be “multinamed files”.
• If a file exists, one can create another name for it (quite possibly in another directory).
• This is often called creating a (or another) link to the file.
• Unix has two flavor of links, hard links and symbolic links or symlinks.
• Dos/windows has symlinks, but I don't believe it has hard links.
• These links often cause confusion, but I really believe that the diagrams I created make it all clear.

Hard Links

• Symmetric multinamed files.
• When a hard link is created another name is created for the same file.
• The two names have equal status.
• It is not, I repeat NOT, true that one name is the “real name” and the other one is “just a link”.

Start with an empty file system (i.e., just the root directory) and then execute:

    cd /
    mkdir /A; mkdir /B
    touch /A/X; touch /B/Y
  

We have the situation shown on the right.

• Circles represent ordinary files.
• Squares represent directories.
• One name for the left circle is /A/X.
• I have written the names on the edges.
  • This is not customary, normally they are written in the circles or squares.
  • When there are no multi-named files, it doesn't matter if they are written in the node or edge.
  • We will see that when files can have multiple names it is much better to write the name on the edge.

Now execute

    ln /B/Y /A/New
  

At this point there are two equally valid name for the right hand yellow file, /B/Y and /A/New. The fact that /B/Y was created first is NOT detectable.

• Both point to the same i-node.
• Only one owner (the one who created the file initially).
• One date, one set of permissions, one ... .

Assume Bob created /B and /B/Y and Alice created /A, /A/X, and /A/New. Later Bob tires of /B/Y and removes it by executing

rm /B/Y

The file /A/New is still fine (see third diagram on the right). But it is owned by Bob, who can't find it! If the system enforces quotas bob will likely be charged (as the owner), but he can neither find nor delete the file (since bob cannot unlink, i.e. remove, files from /A)

Since hard links are only permitted to files (not directories) the resulting file system is a dag (directed acyclic graph). That is, there are no directed cycles. We will now proceed to give away this useful property by studying symlinks, which can point to directories.

Symlinks

• Asymmetric multinamed files.
• When a symlink is created another file is created. The contents of the new file is the name of the original file.
• A hard link in contrast points to the original file.
• The examples will make this clear.

Again start with an empty file system and this time execute

cd /
mkdir /A; mkdir /B
touch /A/X; touch /B/Y
ln -s /B/Y /A/New

We now have an additional file /A/New, which is a symlink to /B/Y.

• The file named /A/New has the name /B/Y as its data (not metadata).
• The system notices that A/New is a diamond (symlink) so reading /A/New will return the contents of /B/Y (assuming the reader has read permission for /B/Y).
• If /B/Y is removed /A/New becomes invalid.
• If a new /B/Y is created, A/New is once again valid.
• Removing /A/New has no effect of /B/Y.
• If a user has write permission for /B/Y, then writing /A/New is possible and writes /B/Y.

The bottom line is that, with a hard link, a new name is created for the file. This new name has equal status with the original name. This can cause some surprises (e.g., you create a link but I own the file). With a symbolic link a new file is created (owned by the creator naturally) that contains the name of the original file. We often say the new file points to the original file.

Question: Consider the hard link setup above. If Bob removes /B/Y and then creates another /B/Y, what happens to /A/New?
Answer: Nothing. /A/New is still a file with the same contents as the original /B/Y.

Question: What about with a symlink?
Answer: /A/New becomes invalid and then valid again, this time pointing to the new /B/Y. (It can't point to the old /B/Y as that is completely gone.)

Note:
Shortcuts in windows 95/98/ME contain more that symlinks in unix. In addition to the file name of the original file, they can contain arguments to pass to the file if it is executable. So a shortcut to

    netscape.exe
  

    netscape.exe //allan.ultra.nyu.edu/~gottlieb/courses/os/class-notes.html
  

Moreover, as was pointed out by students in my 2006-07 fall class, the shortcuts are not a feature of the FAT filesystem itself, but simply the actions of the command interpreter when encountering a file named *.lnk
End of Note

What about symlinking a directory?

cd /
mkdir /A; mkdir /B
touch /A/X; touch /B/Y
ln -s /B /A/New

Is there a file named /A/New/Y ?
Yes.

What happens if you execute cd /A/New/.. ?

• Answer: Not clear!
• Clearly you are changing directory to the parent directory of /A/New. But is that /A or /?
• The command interpreter I use offers both possibilities.
  • cd -L /A/New/.. takes you to A (L for logical).
  • cd -P /A/New/.. takes you to / (P for physical).
  • cd /A/New/.. takes you to A (logical is the default).

What did I mean when I said the pictures made it all clear?
Answer: From the file system perspective it is clear. It is not always so clear what programs will do.

6.3.5: Disk space management

All general purpose systems use a (non-demand) paging algorithm for file storage. Files are broken into fixed size pieces, called blocks that can be scattered over the disk. Note that although this is paging, it is never called paging.

The file is completely stored on the disk, i.e., it is not demand paging.

Actually, it is more complicated

1. Various optimizations are performed to try to have consecutive blocks of a single file stored consecutively on the disk. Discussed below.
   
   
2. One can imagine systems that store only parts of the file on disk with the rest on tertiary storage (some kind of tape).
   
   
3. This would be just like demand paging.
   
   
4. Perhaps NASA does this with their huge datasets.
   
   
5. Caching (as done for example in microprocessors) is also the same as demand paging.
   
   
6. We unify these concepts in the computer architecture course.

Choice of block size

We discussed this last chapter

Storing free blocks

There are basically two possibilities

1. An in-memory bit map.
   • One bit per block
   • If block size is 4KB = 32K bits, 1 bit per 32K bits
   • So 32GB disk (potentially all free) needs 1MB ram.
   • Variation is to demand page the bit map. This saves space (RAM) at the cost of I/O.
   
   
2. Linked list with each free block pointing to next.
   • Thus you must do a read for each request.
   • But reading a free block is a wasted I/O.
   • Instead some free blocks contain pointers to other free blocks. This has much less wasted I/O, but is more complicated.
   • When read a block of pointers store them in memory.
   • See diagram on right.

6.3.6: File System reliability

Bad blocks on disks

Not so much of a problem now. Disks are more reliable and, more importantly, disks take care of the bad blocks themselves. That is, there is no OS support needed to map out bad blocks. But if a block goes bad, the data is lost (not always).

Backups

All modern systems support full and incremental dumps.

• A level 0 dump is a called a full dump (i.e., dumps everything).
• A level n dump (n>0) is called an incremental dump and the standard unix utility dumps all files that have changed since the previous level n-1 dump.
• Other dump utilities dump all files that have changed since the last level n dump.
• Keep on the disk the dates of the most recent level i dumps for all i. In Unix this is traditionally in /etc/dumpdates.
• What about the nodump attribute?
  • Default policy (for Linux at least) is to dump such files anyway when doing a full dump, but not dump them for incremental dumps.
  • Another way to say this is the nodump attribute is honored for level n dumps if n>1.
  • The dump command has an option to override the default policy (can specify k so that nodump is honored for level n dumps if n>k).

Consistency

• Fsck (file system check) and chkdsk (check disk)
  • If the system crashed, it is possible that not all metadata was written to disk. As a result the file system may be inconsistent. These programs check, and often correct, inconsistencies.
  • Scan all i-nodes (or fat) to check that each block is in exactly one file, or on the free list, but not both.
  • Also check that the number of links to each file (part of the metadata in the file's i-node) is correct (by looking at all directories).
  • Other checks as well.
  • Offers to “fix” the errors found (for most errors).
• “Journaling” file systems
  • An idea from database theory (transaction logs).
  • Vastly reduces the need for fsck.
  • NTFS has had journaling from day 1.
  • Many Unix systems have it. IBM's AIX converted to journaling in the early 90s.
  • Linux distributions now have journaling (2001-2002).
  • FAT does not have journaling.

6.3.7 File System Performance

Buffer cache or block cache

An in-memory cache of disk blocks.

• Demand paging again!
• Clearly good for reads as it is much faster to read memory than to read a disk.
• What about writes?
  • Must update the buffer cache (otherwise subsequent reads will return the old value).
  • The major question is whether the system should also update the disk block.
  • The simplest alternative is write through in which each write is performed at the disk before it declared complete.
    • Since floppy disk drivers adopt a write through policy, one can remove a floppy as soon as an operation is complete.
    • Write through results in heavy I/O write traffic.
      • If a block is written many times all the writes are sent the disk. Only the last one was “needed”.
      • If a temporary file is created, written, read, and deleted, all the disk writes were wasted.
    • DOS uses write-through
  • The other alternative is write back in which the disk is not updated until the in-memory copy is evicted (i.e., at replacement time).
    • Much less write traffic than write through.
    • Trouble if a crash occurs.
    • Used by Unix and others for hard disks.
    • Can write dirty blocks periodically, say every minute. This limits the possible damage, but also the possible gain.
    • Ordered writes. Do not write a block containing pointers until the block pointed to has been written. Especially if the block pointed to contains pointers since the version of these pointers on disk may be wrong and you are giving a file pointers to some random blocks.

Homework: 29.

Block Read Ahead

When the access pattern “looks” sequential read ahead is employed. This means that after completing a read() request for block n of a file. The system guesses that a read() request for block n+1 will shortly be issued so it automatically fetches block n+1.

• How do you decide that the access pattern looks sequential?
  
  • If a seek system call is issued, the access pattern is not sequential.
  • If a process issues consecutive read() system calls for block n-1 and then n, the access patters is guessed to be sequential.
  
  
• What if block n+1 is already in the block cache?
  Ans: Don't issue the read ahead.
  
  
• Would it be reasonable to read ahead two or three blocks?
  Ans: Yes.
  
  
• Would it be reasonable to read ahead the entire file?
  Ans: No, it could easily pollute the cache evicting needed blocks and could waste considerable disk bandwidth.
  
  

Reducing Disk Arm Motion

Try to place near each other blocks that are going to be read in succession.

1. If the system uses a bitmap for the free list, it can allocate a new block for a file close to the previous block (guessing that the file will be accessed sequentially).
   
   
2. The system can perform allocations in “super-blocks”, consisting of several contiguous blocks.
   • Block cache and I/O requests are still in blocks.
   • If the file is accessed sequentially, consecutive blocks of a super-block will be accessed in sequence and these are contiguous on the disk.
   
   
3. For a unix-like file system, the i-nodes can be placed in the middle of the disk, instead of at one end, to reduce the seek time to access an i-node followed by a block of the file.
   
   
4. Can divide the disk into cylinder groups, each of which is a consecutive group of cylinders.
   • Each cylinder group has its own free list and, for a unix-like file system, its own space for i-nodes.
   • If possible, the blocks for a file are allocated in the same cylinder group as is the i-node.
   • This reduces seek time if consecutive accesses are for the same file.

6.3.8: Log-Structured File Systems (unofficial)

• Assumption is that large block caches will eliminate most disk reads so we need to improve writes.
• Buffer writes until have (say) 1MB to write.
• When the buffer is full, write it to the end of the disk (treating the disk as a log).
• Thus writes are sequential and hence fast
• The 1MB units on the disk are called (unfortunately) segments. I will refer to the buffer as the segment buffer.
• A segment can have i-nodes, direct blocks, indirect blocks, blocks forming part of a file, blocks forming part of a directory. In short a segment contains the most recently modified (or created) 1MB of blocks.
• Note that modified blocks are not reclaimed!
• The system keeps a map of where the most recent version of each i-node is located. The map is on disk (but the heavily accessed parts will be in the block cache.
• So the (most up to date) i-node of a file can be found and from that the entire file can be found.
• But the disk will fill with garbage since modified blocks are not reclaimed.
• A “cleaner” process runs in the background and examines segments starting from the beginning. It removes overwritten blocks and then adds the remaining blocks to the segment buffer. (This is not trivial.)
• Thus the disk is compacted and is treated like a circular array of segments.

6.4: Example File Systems

6.4.1: CD-ROM File Systems (skipped)

6.4.2: The CP/M File System

This was done above.

6.4.3: The MS-DOS File System

This was done above.

6.4.4: The windows 98 File System

Two changes were made: Long file names were supported and the allocation table was switched from FAT-16 to FAT-32.

1. The only hard part was to keep compatibility with the old 8.3 naming rule. This is called “backwards compatibility”. A file has two name a long one and an 8.3. If the long name fits the 8.3 format, only one name is kept. If the long name does not fit the 8+3, an 8+3 version is produce via an algorithm, that works but the names produced are not lovely.
   
   
2. FAT-32 used 32 bit words for the block numbers so the fat table could be huge. Windows 98 kept only a portion of the FAT-32 table in memory at a time. (I do not know the replacement policy, number of blocks kept in memory, etc).

6.4.5: The Unix V7 File System

This was done above.

6.5: Research on File Systems (skipped)

6.6 Summary (read)

The End: Good luck on the final