MODULE: 2

CONTENTS:

❖ Process Management:
⚫ Process Concept
⚫ Process scheduling
⚫ Operations on processes
⚫ Inter process communication

❖ Multi-threaded Programming:
⚫ Multi-threading models
⚫ Thread Libraries
⚫ Threading issues.

❖ Process Scheduling:

⚫ Basic concepts
⚫ Scheduling Criteria;
⚫ Scheduling Algorithms;
⚫ Multiple-processor scheduling;
⚫ Thread scheduling.
 MODULE 2
PROCESS MANAGEMENT

Process Concept

▪ A process is a program in execution.

▪ Its current activity is indicated by PC (Program Counter) and the contents of the processor's registers.

The Process

Process memory is divided into four sections as shown in the figure below:
▪ The stack is used to store temporary data such as local variables, function parameters, functionreturn
values, return address etc.
▪ The heap which is memory that is dynamically allocated during process run time
▪ The data section stores global variables.
▪ The text section comprises the compiled program code.
▪ Note that, there is a free space between the stack and the heap. When the stack is full, it grows
downwards and when the heap is full, it grows upwards.

Figure: Process in memory.

Process State
A Process has 5 states. Each process may be in one of the following states –

• New - The process is in the stage of being created.

• Ready - The process has all the resources it needs to run. It is waiting to be assigned tothe
processor.
• Running – Instructions are being executed.
• Waiting - The process is waiting for some event to occur. For example, the process may be waiting
for keyboard input, disk access request, inter-process messages, a timer to go off, or a child process
to finish.
• Terminated - The process has completed its execution.
 Figure: Diagram of process state

Process Control Block

For each process there is a Process Control Block (PCB), which stores the process-specificinformation as
shown below –

1. Process State – The state of the process may be new, ready, running, waiting, and so on.
2. Program counter – The counter indicates the address of the next instruction to be executed for this
process.
3. CPU registers - The registers vary in number and type, depending on the computer architecture. They
include accumulators, index registers, stack pointers, and general-purpose registers. Along with the
program counter, this state information must be saved when an interrupt occurs, to allow the process to
be continued correctly afterward.
4. CPU scheduling information- This information includes a process priority, pointers to scheduling
queues, and any other scheduling parameters.
5. Memory-management information – This includes information such as the value of the base and limit
registers, the page tables, or the segment tables.
6. Accounting information – This information includes the amount of CPU and real time used, time limits,
account numbers, job or process numbers, and so on.
7. I/O status information – This information includes the list of I/O devices allocated to the process, a list
of open files, and so on.
The PCB simply serves as the repository for any information that may vary from process to process.

Figure: Process control block (PCB)

CPU Switch from Process to Process

Figure: Diagram showing CPU switch from process to process.

Process Scheduling

Scheduling Queues
As processes enter the system, they are put into a job queue, which consists of all processes inthe system.
The processes that are residing in main memory and are ready and waiting to execute are kepton a list
called the ready queue. This queue is generally stored as a linked list.
A ready-queue header contains pointers to the first and final PCBs in the list. Each PCBincludes a
pointer field that points to the next PCB in the ready queue.
 The ready queue and various I/O device queues
A common representation of process scheduling is a queueing diagram. Each rectangular box in the
diagram represents a queue. Two types of queues are present: the ready queue and a setof device queues.
The circles represent the resources that serve the queues, and the arrows indicate the flow of processes in
the system.
A new process is initially put in the ready queue. It waits in the ready queue until it is selected for execution
and is given the CPU. Once the process is allocated the CPU and is executing, one of several events could
occur:
• The process could issue an I/O request, and then be placed in an I/O queue.
• The process could create a new subprocess and wait for its termination.
• The process could be removed forcibly from the CPU, as a result of an interrupt,and be
put back in the ready queue.
In the first two cases, the process eventually switches from the waiting state to the ready state, and is then put
back in the ready queue. A process continues this cycle until it terminates, at which time it is removed from all
queues.

Queueing-diagram representation of process scheduling.

Schedulers
Schedulers are software which selects an available program to be assigned to CPU.

A long-term scheduler or Job scheduler – selects jobs from the job pool (of secondarymemory,
disk) and loads them into the memory.
If more processes are submitted, than that can be executed immediately, such processes will be in secondary
memory. It runs infrequently, and can take time to select the next process.

The short-term scheduler, or CPU Scheduler – selects job from memory and assigns theCPU to it.
It must select the new process for CPU frequently.
The medium-term scheduler - selects the process in ready queue and reintroduced into thememory.

Processes can be described as either:

I/O-bound process – spends more time doing I/O than computations,
CPU-bound process – spends more time doing computations and few I/O operations.

An efficient scheduling system will select a good mix of CPU-bound processes and I/O bound
processes.
• If the scheduler selects more I/O bound process, then I/O queue will be full and readyqueue
will be empty.
• If the scheduler selects more CPU bound process, then ready queue will be full and I/Oqueue
will be empty.

Time sharing systems employ a medium-term scheduler. It swaps out the process from ready queue and
swap in the process to ready queue. When system loads get high, this scheduler will swap one or more
processes out of the ready queue for a few seconds, in order to allow smaller faster jobs to finish up quickly
and clear the system.

Advantages of medium-term scheduler –

• To remove process from memory and thus reduce the degree of multiprogramming(number
of processes in memory).
• To make a proper mix of processes (CPU bound and I/O bound)

Context switching
The task of switching a CPU from one process to another process is called context switching. Context-
switch times are highly dependent on hardware support (Number of CPU registers).
Whenever an interrupt occurs (hardware or software interrupt), the state of the currentlyrunning process is
saved into the PCB and the state of another process is restored from the PCBto the CPU.
 Context switch time is an overhead, as the system does not do useful work while switching.

Operations on Processes

Process Creation
• A process may create several new processes. The creating process is called a parent process, and
the new processes are called the children of that process. Each of these newprocesses may in turn
create other processes. Every process has a unique process ID.
• On typical Solaris systems, the process at the top of the tree is the ‘sched’ process with PID of 0.
The ‘sched’ process creates several children processes – init, pageout and fsflush. Pageout and
fsflush are responsible for managing memory and file systems. The init process with a PID of 1,
serves as a parent process for all user processes.

A process will need certain resources (CPU time, memory, files, I/O devices) to accomplish its task. When
a process creates a subprocess, the subprocess may be able to obtain its resources in two ways:
• directly from the operating system
• Subprocess may take the resources of the parent process. The
resource can be taken from parent in two ways –
• The parent may have to partition its resources among its children
• Share the resources among several children.
There are two options for the parent process after creating the child:

• Wait for the child process to terminate and then continue execution. The parent makes a wait()system
call.
• Run concurrently with the child, continuing to execute without waiting.

Two possibilities for the address space of the child relative to the parent:

• The child may be an exact duplicate of the parent, sharing the same program and data segments in
memory. Each will have their own PCB, including program counter, registers, and PID. This is the
behaviour of the fork system call in UNIX.
• The child process may have a new program loaded into its address space, with all new code and
data segments. This is the behaviour of the spawn system calls in Windows.
int main()
{
Pid_t pid;
/* fork another process */
pid = fork();
if (pid < 0) { /* error occurred */
fprintf(stderr, "Fork Failed");
exit(-1);
}
else if (pid == 0) { /* child process */
execlp("/bin/ls", "ls", NULL);
}
else { /* parent process */
/* parent will wait for the child to complete */
wait (NULL);
printf ("Child Complete");
exit(0);
}
}
C Program Forking Separate Process

In UNIX OS, a child process can be created by fork() system call. The fork system call, if successful,
returns the PID of the child process to its parents and returns a zero to the child process. If failure, it
returns -1 to the parent. Process IDs of current process or its direct parent can be accessed using the
getpid( ) and getppid( ) system calls respectively.

The parent waits for the child process to complete with the wait() system call. When the childprocess
completes, the parent process resumes and completes its execution.
In windows the child process is created using the function createprocess( ). The createprocess( )returns 1,
if the child is created and returns 0, if the child is not created.

Process Termination
• A process terminates when it finishes executing its last statement and asks the operating system to delete
it, by using the exit () system call. All of the resources assigned to the process like memory, open files,
and I/O buffers, are deallocated by the operating system.
• A process can cause the termination of another process by using appropriate system call. The parent
process can terminate its child processes by knowing of the PID of the child.
• A parent may terminate the execution of children for a variety of reasons, such as:
• The child has exceeded its usage of the resources, it has been allocated.
• The task assigned to the child is no longer required.
• The parent is exiting, and the operating system terminates all the children. This is called
cascading termination.

Interprocess Communication

Inter process Communication- Processes executing may be either co-operative or independent

processes.
• Independent Processes – processes that cannot affect other processes or be affected by otherprocesses
executing in the system.
• Cooperating Processes – processes that can affect other processes or be affected by otherprocesses
executing in the system.

Co-operation among processes are allowed for following reasons –

• Information Sharing - There may be several processes which need to access the same file. So the
information must be accessible at the same time to all users.
• Computation speedup - Often a solution to a problem can be solved faster if the problem canbe broken
down into sub-tasks, which are solved simultaneously (particularly when multiple processors are
involved.)
• Modularity - A system can be divided into cooperating modules and executed by sendinginformation
among one another.
• Convenience - Even a single user can work on multiple tasks by information sharing.

Cooperating processes require some type of inter-process communication. This is allowed by two
models:
• Shared Memory systems
• Message passing systems.
 Sl No Shared Memory Message passing
A region of memory is shared by
Message exchange is done among
1. communicating processes, into which
the processes by using objects.
the information is written and read
2. Useful for sending large block of data Useful for sending small data.
System call is used only to create System call is used during every
3.
shared memory read and write operation.
Message is sent faster, as there are no
4. Message is communicated slowly.
system calls

• Shared Memory is faster once it is set up, because no system calls are required and access occurs at
normal memory speeds. Shared memory is generally preferable when large amounts of information must
be shared quickly on the same computer.
• Message Passing requires system calls for every message transfer, and is therefore slower, but it is
simpler to set up and works well across multiple computers. Message passing is generally preferable
• when the amount and/or frequency of data transfers is small.

Shared-Memory Systems

• A region of shared-memory is created within the address space of a process, which needs to communicate.
Other process that needs to communicate uses this shared memory.
• The form of data and position of creating shared memory area is decided by the process. Generally, a few
messages must be passed back and forth between the cooperating processes first in order to set up and
coordinate the shared memory access.
• The process should take care that the two processes will not write the data to the shared memory at the
same time.

Producer-Consumer Example Using Shared Memory

• This is a classic example, in which one process is producing data and another process is consuming the
data.
• The data is passed via an intermediary buffer (shared memory). The producer puts the data to the buffer
and the consumer takes out the data from the buffer. A producer can produce one item while the consumer
 is consuming another item. The producer and consumer must be synchronized, so that the consumer does
not try to consume an item that has not yet been produced. In this situation, the consumer must wait until
an item is produced.
There are two types of buffers into which information can be put –
▪ Unbounded buffer
▪ Bounded buffer

• With Unbounded buffer, there is no limit on the size of the buffer, and so on the dataproduced
by producer. But the consumer may have to wait for new items.

• With bounded-buffer – As the buffer size is fixed. The producer has to wait if the buffer is full and
the consumer has to wait if the buffer is empty.

This example uses shared memory as a circular queue. The in and out are two pointers to the array.Note in
the code below that only the producer changes "in", and only the consumer changes "out".

First the following data is set up in the shared memory area:

 Note that the buffer is full when [ (in+1) % BUFFER_SIZE == out]

The consumer process –

Note that the buffer is empty when [ in == out]

Message-Passing Systems

A mechanism to allow process communication without sharing address space. It is used in distributedsystems.
• Message passing systems uses system calls for "send message" and "receive message".
• A communication link must be established between the cooperating processes before messages can be
sent.
• There are three methods of creating the link between the sender and the receiver-
1. Direct or indirect communication (naming)
2. Synchronous or asynchronous communication (Synchronization)
3. Automatic or explicit buffering.

⚫ Naming
Processes that want to communicate must have a way to refer to each other. They can use either director indirect
communication.
• Direct communication the sender and receiver must explicitly know each other’s name. The syntaxfor send()
and receive() functions are as follows-

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

b. receive(Q, message) – receive a message from process Q

Properties of communication link:

c. A link is established automatically between every pair of processes that wants tocommunicate.
The processes need to know only each other's identity to communicate.
d. A link is associated with exactly one pair of communicating processes
e. Between each pair, there exists exactly one link.

Types of addressing in direct communication –

f. Symmetric addressing – the above-described communication is symmetric communication.Here both

the sender and the receiver processes have to name each other to communicate.
g. Asymmetric addressing – Here only the sender’s name is mentioned, but the receiving datacan be
from any system.
send (P, message) --- Send a message to process P
receive (id, message). Receive a message from any process

Disadvantages of direct communication – any changes in the identifier of a process, may have to change the
identifier in the whole system (sender and receiver), where the messages are sent and received.

• Indirect communication uses shared mailboxes, or ports.

A mailbox or port is used to send and receive messages. Mailbox is an object into which messagescan be sent
and received. It has a unique ID. Using this identifier messages are sent and received.

Two processes can communicate only if they have a shared mailbox. The send and receive functionsare –
a. send (A, message) – send a message to mailbox A
b. receive (A, message) – receive a message from mailbox A

Properties of communication link:

c. A link is established between a pair of processes only if they have a shared mailbox

d. A link may be associated with more than two processes

e. Between each pair of communicating processes, there may be any number of links, each link is
associated with one mailbox.
f. A mail box can be owned by the operating system. It must take steps to –
• create a new mailbox
• send and receive messages from mailbox
• delete mailboxes.

⚫ Synchronization
The send and receive messages can be implemented as either blocking or non-blocking.
 Blocking (synchronous) send - sending process is blocked (waits) until the message isreceived by
receiving process or the mailbox.
Non-blocking (asynchronous) send - sends the message and continues (does not wait)

Blocking (synchronous) receive - The receiving process is blocked until a message isavailable
Non-blocking (asynchronous) receive - receives the message without block. Thereceived
message may be a valid message or null.

⚫ Buffering
When messages are passed, a temporary queue is created. Such queue can be of three capacities:

Zero capacity – The buffer size is zero (buffer does not exist). Messages are not stored inthe queue.
The senders must block until receivers accept the messages.
Bounded capacity- The queue is of fixed size(n). Senders must block if the queue is full.After sending
‘n’ bytes the sender is blocked.
Unbounded capacity - The queue is of infinite capacity. The sender never blocks.
MULTI THREADED PROGRAMMING
⚫A thread is a basic unit of CPU utilization.
⚫It consists of
▪ thread ID
▪ PC
▪ register-set and
▪ stack.
⚫It shares with other threads belonging to the same process its code-section &data-section.
⚫A traditional (or heavy weight) process has a single thread of control.
⚫ If a process has multiple threads of control, it can perform more than one task at a time. such a
process is called multi threaded process

Fig: Single-threaded and multi threaded processes

Motivation for Multi threaded Programming

1. The software-packages that run on modern PCs are multithreaded. An application is implemented as a
separate process with several threads of control. For ex: A word processor may have
▪ first thread for displaying graphics
▪ second thread for responding to keystroke sand
▪ Third thread for performing grammar checking.

2. In some situations, a single application may be required to perform several similar tasks. For ex:A web-
server may create a separate thread for each client requests. This allows the server to service several
concurrent requests.

3. RPC servers are multi threaded.

▪ When a server receives a message, it services the message using separate concurrentthreads.
4. Most OS kernels are multi threaded;
 ▪ Several threads operate in kernel, and each thread performs a specific task,such as
managing devices or interrupt handling.

Benefits of Multi threaded Programming

• Responsiveness A program may be allowed to continue running even if part of it isblocked.

Thus, increasing responsiveness to the user.

• Resource Sharing By default, threads share the memory (and resources) of the process to
which they belong. Thus, an application is allowed to have severaldifferent threads of activity
within the same address-space.
• Economy Allocating memory and resources for process-creation is costly. Thus, it is more
economical to create and context-switch threads.
• Scalability In a multiprocessor architecture, threads may be running in parallel on different
processors. Thus, parallelism will be increased.

MULTI THREADING MODELS

• Support for threads may be provided at either

1. The user level, for user threads or
2. By the kernel, for kernel threads.
• User-threads are supported above the kernel and are managed without kernel support. Kernel-threads
are supported and managed directly by the OS.
• Three ways of establishing relationship between user-threads &kernel-threads:
1. Many-to-one model
2. One-to-one model and
3. Many-to-many model.

Many-to-One Model
• Many user-level threads are mapped to one kernel thread.
Advantages:
⚫ Thread management is done by the thread library in user space, so it is efficient.
Disadvantages:
⚫ The entire process will block if a thread makes a blocking system-call.
⚫ Multiple threads are unable to run in parallel on multiprocessors.
• For example:
⚫ Solaris green threads
 ⚫ GNU portable threads.

Fig: Many-to-one model

One-to-One Model
• Each user thread is mapped to a kernel thread.
Advantages:
⚫ It provides more concurrency by allowing another thread to run when a threadmakes
a blocking system-call.
⚫ Multiple threads can run in parallel on multiprocessors.
Disadvantage:
⚫ Creating a user thread requires creating the corresponding kernel thread.
⚫ For example:Windows NT/XP/2000, Linux

Fig: one-to-one model

Many-to-Many Model
• Many user-level threads are multiplexed to a smaller number of kernel threads.
Advantages:
⚫ Developers can create as many user threads as necessary
⚫ The kernel threads can run in parallel on a multiprocessor.
⚫ When a thread performs a blocking system-call, kernel can schedule another threadfor
execution.
Two Level Model
• A variation on the many-to-many model is the two level-model
 • Similar to M:N, except that it allows a user thread to be bound to kernel thread.
• For example:
⚫ HP-UX
⚫ Tru64 UNIX

Fig: Many-to-many model Fig: Two-level model

Thread Libraries
• It provides the programmer with an API for the creation and management of threads.

• Two ways of implementation:

1. First Approach:
Provides a library entirely in user space with no kernel support. All code and data structuresfor the
library exist in the user space.
2. Second Approach:
Provides a library entirely in user space with no kernel support. All code and data structuresfor the
library exist in the user space.
Three main threadlibraries:
1. POSIXP threads
2. Win32 and
3. Java.

Pthreads
• This is a POSIX standard API for thread creation and synchronization.
• This is a specification for thread-behavior, not an implementation.
• OS designers may implement the specification in any way they wish.
• Commonly used in: UNIX and Solaris.
 Win32 threads
• Implements the one-to-one mapping
• Each thread contains
⚫ A thread id
⚫ Register set
⚫ Separate user and kernel stacks
⚫ Private data storage area
• The register set, stacks, and private storage area are known as the context of thethreads
The primary data structures of a thread include:
▪ ETHREAD (executive thread block)
▪ KTHREAD (kernel thread block)
▪ TEB (thread environment block)
 Java Threads
• Threads are the basic model of program-execution in
⚫ Java program and
⚫ Java language.
• The API provides a rich set of features for the creation and management of threads.
• All Java programs comprise at least a single thread of control.
• Two techniques for creating threads:
1. Create a new class that is derived from the Thread class and override its run() method.
2. Define a class that implements the Runnable interface. The Runnable interface isdefined
as follows:

THREADING ISSUES
fork() and exec() System-calls
• fork() is used to create a separate, duplicate process.
• If one thread in a program calls fork(),then
1. Some systems duplicates all threads and
2. Other systems duplicate only the thread that invoked the forkO.
• If a thread invokes the exec(), the program specified in the parameter to exec() willreplace
the entire process including all threads.
Thread Cancellation
• This is the task of terminating a thread before it has completed.
• Target thread is the thread that is to be canceled
• Thread cancellation occurs in two different cases:
1. Asynchronous cancellation: One thread immediately terminates the target thread.
2. Deferred cancellation: The target thread periodically checks whether it should be
terminated.
Signal Handling
• In UNIX, a signal is used to notify a process that a particular event has occurred.
• All signals follow this pattern:
1. A signal is generated by the occurrence of a certain event.
2. A generated signal is delivered to a process.
3. Once delivered, the signal must be handled.
• A signal handler is used to process signals.
• A signal may be received either synchronously or asynchronously, depending on the source.
 1. Synchronous signals
▪ Delivered to the same process that performed the operation causing the signal.
▪ E.g. illegal memory access and division by 0.
2. Asynchronous signals
▪ Generated by an event external to a running process.
▪ E.g. user terminating a process with specific keystrokes<ctrl><c>.

• Every signal can be handled by one of two possible handlers:

1. A Default SignalHandler
▪ Run by the kernel when handling the signal.
2. A User-defined SignalHandler
▪ Overrides the default signal handler.
• In single-threaded programs, delivering signals is simple (since signals are always
delivered to a process).
• In multithreaded programs, delivering signals is more complex. Then, the followingoptions
exist:
1. Deliver the signal to the thread to which the signal applies.
2. Deliver the signal to every thread in process
3. Deliver the signal to certain threads in the process.
4. Assign a specific thread to receive all signals for the process.
THREAD POOLS
• The basic idea is to
⚫ create a no. of threads at process-startup and
⚫ place the threads into a pool (where they sit and wait for work).
• Procedure:
1. When a server receives a request, it awakens a thread from the pool.
2. If any thread is available, the request is passed to it for service.
3. Once the service is completed, the thread returns to the pool.
• Advantages:
⚫ Servicing a request with an existing thread is usually faster than waiting tocreate
a thread.
⚫ The pool limits the no. of threads that exist at any one point.
• No. of threads in the pool can be based on actors such as
⚫ no. of CPUs
⚫ amount of memory and
⚫ expected no. of concurrent client-requests.

THREAD SPECIFIC DATA

• Threads belonging to a process share the data of the process.
• this sharing of data provides one of the benefits of multithreaded programming.
• In some circumstances, each thread might need its own copy of certain data. We will call suchdata
thread-specific data.
• For example, in a transaction-processing system, we might service each transaction in aseparate
thread.

• Furthermore, each transaction may be assigned a unique identifier. To associateeach

thread with its unique identifier, we could use thread-specific data.

SCHEDULER ACTIVATIONS
• Both M:M and Two-level models require communication to maintain the
appropriate number of kernel threads allocated to the application.
• Scheduler activations provide upcalls a communication mechanism from thekernel
to the thread library
• This communication allows an application to maintain the correct number kernelthreads
• One scheme for communication between the user-thread library and the kernel isknown
as scheduler activation.
 PROCESS SCHEDULING

Basic Concepts

• In a single-processor system,
▪ Only one process may run at a time.
▪ Other processes must wait until the CPU is rescheduled.
• Objective of multi programming:
▪ To have some process running at all times, in order to maximize CPUutilization.

CPU-I/0 Burst Cycle

• Process execution consists of a cycle of
▪ CPU execution and
▪ I/O wait
• Process execution begins with a CPU burst, followed by an I/O burst, then
another CPU burst, etc…
• Finally, a CPU burst ends with a request to terminate execution.
• An I/O-bound program typically has many short CPU bursts.
• A CPU-bound program might have a few long CPU bursts.

Alternating sequence of CPU and I/O bursts

 Histogram of CPU-burst durations

CPU Scheduler
• This scheduler
▪ selects a waiting-process from the ready-queue and
▪ allocates CPU to the waiting-process.
• The ready-queue could be a FIFO, priority queue, tree and list.
• The records in the queues are generally process control blocks (PCBs) of the processes.

CPU Scheduling
• Four situations under which CPU scheduling decisions takes place:
1. When a process switches from the running state to the waiting state. For ex; I/Orequest.
2. When a process switches from the running state to the ready state. For ex:when
an interrupt occurs.
3. When a process switches from the waiting state to the ready state. For ex:
completion of I/O.
4. When a process terminates.
• Scheduling under 1 and 4 is non- preemptive. Scheduling under 2 and 3 is preemptive.

Non Preemptive Scheduling

• Once the CPU has been allocated to a process, the process keeps the CPU until itreleases
the CPU either
▪ by terminating or
▪ by switching to the waiting state.

Preemptive Scheduling
• This is driven by the idea of prioritized computation.
• Processes that are runnable may be temporarily suspended
• Disadvantages:
1. Incurs a cost associated with access to shared-data.
2. Affects the design of the OS kernel.
 Dispatcher
• It gives control of the CPU to the process selected by the short-term scheduler.
• The function involves:
1. Switching context
2. Switching to user mode&
3. Jumping to the proper location in the user program to restart that program
• It should be as fast as possible, since it is invoked during every process switch.
• Dispatch latency means the time taken by the dispatcher to
▪ stop one process and
▪ start another running.

SCHEDULING CRITERIA:

In choosing which algorithm to use in a particular situation, depends upon the properties of the
various algorithms. Many criteria have been suggested for comparing CPU- scheduling
algorithms. The criteria include the following:
1. CPU utilization: We want to keep the CPU as busy as possible. Conceptually, CPU
utilization can range from 0 to 100 percent. In a real system, it should range from 40 percent
(for a lightly loaded system) to 90 percent (for a heavily used system).
2. Throughput: If the CPU is busy executing processes, then work is being done. One
measure of work is the number of processes that are completed per time unit, called
throughput. For long processes, this rate may be one process per hour; for short transactions,
it may be ten processes per second.

3. Turnaround time. This is the important criterion which tells how long it takes to execute
that process. The interval from the time of submission of a process to the time of completion
is the turnaround time. Turnaround time is the sum of the periods spent waiting to get into
memory, waiting in the ready queue, executing on the CPU, and doing I/0.
4. Waiting time: The CPU-scheduling algorithm does not affect the amount of time during
which a process executes or does I/0, it affects only the amount of time thata process spends
waiting in the ready queue. Waiting time is the sum of the periods spent waiting in the ready
queue.
5. Response time: In an interactive system, turnaround time may not be the best criterion.
Often, a process can produce some output fairly early and can continue computing new
results while previous results are being output to the user. Thus, another measure is the time
from the submission of a request until the first responseis produced. This measure, called
response time, is the time it takes to start responding, not the time it takes to output the
response. The turnaround time is generally limited by the speed of the output device.
SCHEDULING ALGORITHMS
• CPU scheduling deals with the problem of deciding which of the processes inthe
ready-queue is to be allocated the CPU.
• Following are some scheduling algorithms:
1. FCFS scheduling (First Come First Served)
2. Round Robin scheduling
3. SJF scheduling (Shortest Job First)
4. SRT scheduling
5. Priority scheduling
6. Multilevel Queue scheduling and
7. Multilevel Feedback Queue scheduling

FCFS Scheduling
• The process that requests the CPU first is allocated the CPU first.
• The implementation is easily done using a FIFO queue.
• Procedure:
1. When a process enters the ready-queue, its PCB is linked onto the tail ofthe
queue.
2. When the CPU is free, the CPU is allocated to the process at the queue's head.
3. The running process is then removed from the queue.
• Advantage:
1. Code is simple to write & understand.
• Disadvantages:
1. Convoy effect: All other processes wait for one big process to get off the CPU.
2. Non-preemptive (a process keeps the CPU until it release sit).
3. Not good for time-sharing systems.
4. The average waiting time is generally not minimal.

• Example: Suppose that the processes arrive in the order P1, P2,P3.
• The Gantt Chart for the schedule is as follows:

• Waiting time for P1 = 0; P2 = 24; P3 =27(waiting time=Completion time-arrival time-burst time)

Waiting time can also be computed as = (turnaround time-burst time)
Average waiting time: (0 + 24 + 27)/3 = 17ms
• Turnaround time P1 = 24; P2 = 27; P3 =30(turnaround time=Completion time-arrival time)
•
Average turnaround time: (24+ 27 + 30)/3 = 27ms
 • Suppose that the processes arrive in the order P2, P3,P1.
• The Gantt chart for the schedule is as follows:

• Waiting time for P1 = 6;P2 = 0; P3 =3

• Average waiting time: (6 + 0 + 3)/3 = 3ms
• Turnaround time for P1 = (30-0) = 30; P2 =(3-0)=3; P3 = (6-0)=6
• Average turnaround time: (30 + 3 + 6)/3 = 13ms

Shortest Job First (SJF) Scheduling

• The CPU is assigned to the process that has the smallest next CPU burst.
• If two processes have the same length CPU burst, FCFS scheduling is used to breakthe tie.
• For long-term scheduling in a batch system, we can use the process time limitspecified
by the user, as the ‘length’
• SJF can't be implemented at the level of short-term scheduling, because there isno way
to know the length of the next CPU burst
• Advantage:
1. The SJF is optimal, i.e. it gives the minimum average waiting time for a given
set of processes.
• Disadvantage:
1. Determining the length of the next CPU burst.

• SJF algorithm may be either 1) non-preemptive or 2)preemptive.

1. Non preemptive SJF
The current process is allowed to finish its CPU burst.
2. Preemptive SJF
If the new process has a shorter next CPU burst than what is left of the executing
process, that process is preempted. It is also known as SRTF scheduling (Shortest-
Remaining-Time-First).
 • Example (for non-preemptive SJF): Consider the following set of processes,with
the length of the CPU-burst time given in milliseconds.

• For non-preemptive SJF, the Gantt Chart is as follows:

• Waiting time for P1 = (9-0-6)=3; P2 = (24-0-8)=16; P3 = (16 -0-7)=9; P4= (3-0-3)=0

• Average waiting time: (3 + 16 + 9 +0)/4= 7

preemptive SJF/SRTF: Consider the following set of processes, with the length

of the CPU- burst time given in milliseconds.

• For preemptive SJF, the Gantt Chart is as follows:

• Waiting time for P1 = (17-0-8)=9; P2 = (5-1-4)=0; P3 = (26 -2-9)=15; P4= (10-3-5)=2

• The average waiting time is (9 +0 + 15 + 2)/4 = 26/4 =6.5.
• Turnaround time for P1 = (17-0) = 17; P2 =(5-1)=4; P3 = (26-2)=24; P4 = (10-3)=7;
• Average turnaround time: (7 + 4 + 24 + 7)/4 = 13 ms

Priority Scheduling
• A priority is associated with each process.
• The CPU is allocated to the process with the highest priority.
• Equal-priority processes are scheduled in FCFS order.
• Priorities can be defined either internally or externally.
1. Internally-defined priorities.
⚫ Use some measurable quantity to compute the priority of a process.
⚫ For example: time limits, memory requirements, no. f open files.
2. Externally-defined priorities.
⚫ Set by criteria that are external to the OS For
example:
 ⚫ importance of the process, political factors
• Priority scheduling can be either preemptive or non-preemptive.
1.Preemptive
The CPU is preempted if the priority of the newly arrived process ishigher
than the priority of the currently running process.
2. Non Preemptive
The new process is put at the head of the ready-queue
• Advantage:
⚫ Higher priority processes can be executed first.
• Disadvantage:
⚫ Indefinite blocking, where low-priority processes are left waiting indefinitely
for CPU. Solution: Aging is a technique of increasing priority of processes
that wait in system for a long time.
• Example: Consider the following set of processes, assumed to have arrived at time 0, in
the order PI, P2, ..., P5, with the length of the CPU-burst time given in milliseconds.

• The Gantt chart for the non preemptive priority scheduling is as follows:

• Waiting time for P1 = (16-0-10)=6; P2 = (1 -0-1)=0; P3 = (18 -0-2)=16; P4= (19-0-

1)=18; P5= (6-0-5) = 1;
• The average waiting time is (6 +0 + 16 + 18 + 1)/5 = 41/4 =8.2.
• Turnaround time for P1 = (16-0) = 16; P2 =(1-0)=1; P3 = (18-0)=18; P4 = (19-0)=19; P5 = (6-0) =
6
• Average turnaround time: (16 + 1 + 18 + 19 + 6)/5 = 12 ms

Round Robin Scheduling

• Designed especially for time sharing systems.
• It is similar to FCFS scheduling, but with preemption.
• A small unit of time is called a time quantum(or time slice).
• Time quantum is ranges from 10 to 100ms.
• The ready-queue is treated as a circular queue.
• The CPU scheduler
⚫ goes around the ready-queue and
⚫ allocates the CPU to each process for a time interval of up to 1 timequantum.
• To implement:
The ready-queue is kept as a FIFO queue of processes
• CPU scheduler
1. Picks the first process from thready-queue.
2. Sets a timer to interrupt after 1 time quantum and
3. Dispatches the process.
• One of two things will then happen.
1. The process may have a CPU burst of less than 1 time quantum. In this case, the
process itself will release the CPU voluntarily.
2. If the CPU burst of the currently running process is longer than 1 time quantum, the
timer will go off and will cause an interrupt to the OS. The process will be put at
the tail of the ready-queue.
• Advantage:
⚫ Better response time than SJF.

• Disadvantage:
⚫ Higher average turnaround than SJF.

Example: Consider the following set of processes that arrive at time 0, with thelength of
the CPU-burst time given in milliseconds. Time quantum=4ms

• The Gantt chart for the schedule is as follows:

• Waiting time of P1=(30-0-24)=6; P2=(7-0-3)=4; P3=(10-0-3)=7;

• The average waiting time is ((6+4+7) = 17)/3 = 5.66 milliseconds.

• Turnaround time for P1 = (30-0) = 30; P2 =(7-0)=7; P3 = (10-0)=10;

• Average turnaround time: (30 + 7 + 10 )/3 = 15.66 ms

• The RR scheduling algorithm is preemptive.

No process is allocated the CPU for more than q time quantum in a row.If a
process' CPU burst exceeds q time quantum, that process is preempted and is put
back in the ready- queue.
• The performance of algorithm depends heavily on the size of the time quantum.
1. If time quantum=very large, RR policy is the same as the FCFS policy.
2. If time quantum=very small, RR approach appears to the users as though each of n
processes has its own processor running at l/n the speed of the real processor.
• In software, we need to consider the effect of context switching on the performance of
RR scheduling
1. Larger the time quantum for a specific process time, less time is spend on context
switching.
2. The smaller the time quantum, more overhead is added for the purpose of context-
switching.
 Fig: How a smaller time quantum increases context switches

Draw gantt chart, calculate the average waiting time & average turn-around time if the processes are
scheduled using: FCFS algorithm , SJF algorithm (non preemptive), preemptive SJF

Process Arrival time Burst time

P1 0 6

P2 1 2

P3 2 5

P4 3 6

P5 7 1

First Come First Serve (FCFS) Scheduling

 Process Arrival Burst Completion Turn Around Waiting
Time Time Time Time Time

P1 0 6 6 6–0=6 6–6=0

P2 1 2 8 8–1=7 7–2=5

P3 2 5 13 13 – 2 = 11 11 – 5 = 6

P4 3 6 19 19 – 3 = 16 16 – 6 = 10

P5 7 1 20 20 – 7 = 13 13 – 1 = 12

Turn Around Time = Process Completion Time – Process Arrival Time

Waiting time = Turn Around time – Burst time

Average Turn Around Time = (6 + 7 + 11 + 16 + 13)/5 = 10.6 ms

Average Waiting time = (0 + 5 + 6 + 10 +12)/5 = 6.6 ms

Shortest Job First SJF (Non-Pre-emptive) Scheduling

• In SJF Scheduling process with small burst time executed first.

• But, in Non-Pre-emptive SJF, once CPU cycle allocated to process, the process holds it till it terminated or
reaches a waiting state.
• Non Pre-emptive SJF does not interrupt a process running in the middle of the execution. Instead, it waits
until process completes execution and then allocates another process with small CPU burst time if arrived
during execution of previous processes.
• Therefore, the processes executed in following sequence in SJF (Non-Pre-emptive) Scheduling.
 Pro- Arrival Burst Completion Turn Around Time Waiting Time(turnaround
cess Time Time Time time – burst time)
(completion time –
arrival time)

P1 0 6 6 6–0=6 6–6=0

P2 1 2 8 8–1=7 7–2=5

P3 2 5 14 14 – 2 = 12 12 – 5 = 7

P4 3 6 20 20 – 3 = 17 17 – 6 = 11

P5 7 1 9 9–7=2 2–1=1

Average Turn Around Time = (6 + 7 + 2 + 12 + 17)/5 = 8.8 ms

Average Waiting time = (0 + 5 + 1 + 7 + 11)/5 = 4.8 ms
 preemptive SJF

Process Arrival time Burst time

P1 0 6

P2 1 2

P3 2 5

P4 3 6

P5 7 1

P1 P2 P1 P5 P3 P4
0 1 3 8 9 14 20

Pro- Arrival Burst Completion Turn Around Time Waiting Time(turnaround

cess Time Time Time time – burst time)
(completion time –
arrival time)

P1 0 6 8 8– 0 = 8 8– 6 = 2

P2 1 2 3 3– 1 = 2 2–2=0

P3 2 5 14 14 – 2 = 12 12 – 5 = 7

P4 3 6 20 20 – 3 = 17 17 – 6 = 11
 Pro- Arrival Burst Completion Turn Around Time Waiting Time(turnaround
cess Time Time Time time – burst time)
(completion time –
arrival time)

P5 7 1 9 9–7=2 2–1=1

Average Turn Around Time = (8+ 2 + 12 + 17 + 2)/5 = 8.2 ms

Average Waiting time = (0 + 5 + 1 + 7 + 11)/5 = 4.2 ms

Fig: How turnaround time varies with the time quantum

Multilevel Queue Scheduling

• Useful for situations in which processes are easily classified into different groups.
• For example, a common division is made between
⚫ foreground (or interactive) processes and
⚫ background (or batch) processes.
• The ready-queue is partitioned into several separate queues (Figure2.19).
• The processes are permanently assigned to one queue based on some property like
⚫ memory size
⚫ process priority or
⚫ process type.
• Each queue has its own scheduling algorithm.
For example, separate queues might be used for foreground and backgroundprocesses.
Fig Multilevel queue scheduling
 • There must be scheduling among the queues, which is commonly implemented as fixed-
priority preemptive scheduling.
• For example, the foreground queue may have absolute priority over the background
queue.
• Time slice: each queue gets a certain amount of CPU time which it can schedule
amongst its processes; i.e., 80% to foreground in RR 20% to backgroundin FCFS

Multilevel Feedback Queue Scheduling

• A process may move between queues
• The basic idea: Separate processes according to the features of their CPU bursts. For example
1. If a process uses too much CPU time, it will be moved to a lower-priority queue. This
scheme leaves I/O-bound and interactive processes in the higher-priority queues.
2. If a process waits too long in a lower-priority queue, it may be moved to a higher-priority
queue This form of aging prevents starvation.

Multilevel feedback queues

In general, a multilevel feedback queue scheduler is defined by the following parameters:

1.
The number of queues.
2.
The scheduling algorithm for each queue.
3.
The method used to determine when to upgrade a process to a higher priority queue.
4.
The method used to determine when to demote a process to a lower priority queue.
5.
The method used to determine which queue a process will enter when thatprocess
needs service.
THREAD SCHEDULING
• On OSs, it is kernel-level threads but not processes that are being scheduled by the OS.
• User-level threads are managed by a thread library, and the kernel is unaware of them.
• To run on a CPU, user-level threads must be mapped to an associated kernel-level thread.
Contention Scope
• Two approaches:
Process-Contention scope
• On systems implementing the many-to-one and many-to-many models, thethread
library schedules user-level threads to run on an available LWP.
• Competition for the CPU takes place among threads belonging to thesameprocess.
System-Contentionscope
• The process of deciding which kernel thread to schedule on the CPU.
• Competition for the CPU takes place among all threads in the system.
• Systems using the one-to-one model schedule threads using only SCS.
 Pthread Scheduling
• Pthread API that allows specifying either PCS or SCS during thread creation.
• Pthreads identifies the following contention scope values:
6. PTHREAD_SCOPE JPROCESS schedules threads using PCS scheduling.
7. PTHREAD-SCOPE_SYSTEM schedules threads using SCS scheduling.
• Pthread IPC provides following two functions for getting and setting the contention
scopepolicy:
8. pthread_attr_setscope(pthread_attr_t *attr, intscope)
pthread_attr_getscope(pthread_attr_t *attr, int*scop)

MULTIPLE PROCESSOR SCHEDULING

• If multiple CPUs are available, the scheduling problem becomes more complex.
• Two approaches:
Asymmetric Multiproessing

The basic idea is:

⚫ A master server is a single processor responsible for all scheduling decisions, I/O
processing and other system activities.
⚫ The other processors execute only user code.
⚫ Advantage: This is simple because only one processor accesses the system datastructures,
reducing the need for data sharing.
Symmetric Multiprocessing
The basic idea is:
⚫ Each processor is self-scheduling.
⚫ To do scheduling, the scheduler for each processor
⚫ Examines the ready-queue and
⚫ Selects a process to execute.

Restriction: We must ensure that two processors do not choose the same process and thatprocesses
are not lost from the queue.

Processor Affinity
• In SMP systems,
1. Migration of processes from one processor to another are avoided and
2. Instead processes are kept running on same processor. This is known as
processor affinity.
• Two forms:
1. SoftAffinity
▪ When an OS try to keep a process on one processor because ofpolicy,
but cannot guarantee it will happen.
▪ It is possible for a process to migrate between processors.
2. Hard Affinity
▪ When an OS have the ability to allow a process to specify that it is not tomigrate
to other processors. Eg: Solaris OS

Load Balancing
• This attempts to keep the workload evenly distributed across all processors in an
SMPsystem.
• Two approaches:
 1. Push Migration
A specific task periodically checks the load on each processor and if it finds animbalance, it
evenly distributes the load to idle processors.
2. Pull Migration
An idle processor pulls a waiting task from a busy processor.

Symmetric Multi threading

• The basic idea:
1. Create multiple logical processors on the same physical processor.
2. Present a view of several logical processors to the OS.
• Each logical processor has its own architecture state, which includes general-purpose
and machine-state registers.
• Each logical processor is responsible for its own interrupt handling.
• SMT is a feature provided in hardware, not software.