Lesson 5: File Management

IT 311: Applied Operating System

 Lesson 3: Process Management

 Files and File Systems

 File organization and access
 File directories
 Data compression

IT 311: Applied Operating System

 Objectives
 Describe the basic concepts of files and file systems.
 Understand the principal techniques for file organization
and access methods.
 Explain file directories.
 Understand the data compression.

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 Files and File Systems

 A file management system is a set of system software that

provides services to users and applications in the use of
files, including file access, directory maintenance, and
access control.
 The file management system is typically viewed as a
system service that itself is served by the operating
system, rather than being part of the operating system
itself. However, in any system, at least part of the file
management function is performed by the operating
system.

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 Files and File Systems

 From the user’s point of view, one of the most important

parts of an operating system is the file system. The file
system permits users to create data collections, called
files, with desirable properties, such as:
 Long-term existence: Files are stored on disk or other secondary
storage and do not disappear when a user logs off.
 Sharable between processes: Files have names and can have
associated access permissions that permit controlled sharing.
 Structure: Depending on the file system, a file can have an
internal structure that is convenient for particular applications. In
addition, files can be organized into a hierarchical or more
complex structure to reflect the relationships among files.

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 Files and File Systems

 Any file system provides not only a means to store data

organized as files, but a collection of functions that can be
performed on files. Typical operations include the following:
 Create: A new file is defined and positioned within the structure of files.
 Delete: A file is removed from the file structure and subsequently
destroyed.
 Open: An existing file is declared to be “opened” by a process, allowing
the process to perform functions on the file.
 Close: The file is closed with respect to a process, so the process no
longer may perform functions on the file, until the process opens the file
again.
 Read: A process reads all or a portion of the data in a file.
 Write: A process updates a file, either by adding new data that
expands the size of the file, or by changing the values of existing data
items in the file.

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 Files and File Systems

File Structure
Four terms are in common use when discussing files:
 A field is the basic element of data. An individual field contains a single value, such as
an employee’s last name, a date, or the value of a sensor reading. It is characterized
by its length and data type (e.g., ASCII string, decimal).
 A record is a collection of related fields that can be treated as a unit by some
application program. For
 A file is a collection of similar records. The file is treated as a single entity by users
and applications and may be referenced by name. Files have file names and may be
created and deleted.
 Some file systems are structured only in terms of fields, not records. In that case, a file
is a collection of fields.
 A database is a collection of related data. The essential aspects of a database are
that the relationships that exist among elements of data are explicit, and that the
database is designed for use by a number of different applications. A database may
contain all of the information related to an organization or a project, such as a
business or a scientific study. The database itself consists of one or more types of
files.

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 Files and File Systems

File Structure cont…

Users and applications wish to make use of files. Typical
operations that must be supported include the following:
 Retrieve_All: Retrieve all the records of a file. This will be required for an
application that must process all of the information in the file at one time.
For example, an application that produces a summary of the information
in the file would need to retrieve all records. This operation is often
equated with the term sequential processing, because all of the records
are accessed in sequence.
 Retrieve_One: This requires the retrieval of just a single record.
Interactive, transaction-oriented applications need this operation.
 Retrieve_Next: This requires the retrieval of the record that is “next” in
some logical sequence to the most recently retrieved record. Some
interactive applications, such as filling in forms, may require such an
operation. A program that is performing a search may also use this
operation.

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 Files and File Systems

File Structure cont…

 Retrieve_Previous: Similar to Retrieve_Next, but in this case the record
that is “previous” to the currently accessed record is retrieved.
 Insert_One: Insert a new record into the file. It may be necessary that the
new record fit into a particular position to preserve a sequencing of the file.
 Delete_One: Delete an existing record. Certain linkages or other data
structures may need to be updated to preserve the sequencing of the file.
 Update_One: Retrieve a record, update one or more of its fields, and
rewrite the updated record back into the file. Again, it may be necessary to
preserve sequencing with this operation. If the length of the record has
changed, the update operation is generally more difficult than if the length
is preserved.
 Retrieve_Few: Retrieve a number of records. For example, an application
or user may wish to retrieve all records that satisfy a certain set of criteria.

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 Files and File Systems

File Management Systems

A file management system is that set of system software
that provides services to users and applications in the use of
files. Typically, the only way a user or application may
access files is through the file management system.
This relieves the user or programmer of the necessity of
developing special-purpose software for each application and
provides the system with a consistent, well-defined means of
controlling its most important asset.

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 Files and File Systems

File Management Systems cont…

[Grosshans, D. File Systems: Design and Implementation.
Englewood Cliffs, NJ: Prentice Hall, 1986.] suggests the
following objectives for a file management system:
 To meet the data management needs and requirements of the user, which
include storage of data and the ability to perform the aforementioned
operations
 To guarantee, to the extent possible, that the data in the file are valid
 To optimize performance, both from the system point of view in terms of
overall throughput, and from the user’s point of view in terms of response time
 To provide I/O support for a variety of storage device types
 To minimize or eliminate the potential for lost or destroyed data
 To provide a standardized set of I/O interface routines to user processes
 To provide I/O support for multiple users, in the case of multiple-user systems

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 Files and File Systems

File Management Systems cont…

With respect to the first point, meeting user requirements, the
extent of such requirements depends on the variety of
applications and the environment in which the computer system
will be used. For an interactive, general-purpose system, the
following constitute a minimal set of requirements:
 Each user should be able to create, delete, read, write, and modify files.
 Each user may have controlled access to other users’ files.
 Each user may control what types of accesses are allowed to the user’s files.
 Each user should be able to move data between files.
 Each user should be able to back up and recover the user’s files in case of
damage.
 Each user should be able to access his or her files by name rather than by
numeric identifier.

IT 311: Applied Operating System

 Files and File Systems

File System Architecture

One way of getting a feel for the scope of file management is
to look at a depiction of a typical software organization, as
suggested in next slide Figure. Of course, different systems will
be organized differently, but this organization is reasonably
representative.
At the lowest level, device drivers communicate directly with
peripheral devices or their controllers or channels. A device
driver is responsible for starting I/O operations on a device and
processing the completion of an I/O request. For file operations,
the typical devices controlled are disk and tape drives. Device
drivers are usually considered to be part of the operating
system.
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 Files and File Systems

File System Architecture cont…

Description
The file system architecture
consists of the following layers
from bottom to top: disk device
driver and tape device driver;
basic file system; basic I O
supervisor; logical I O; pile,
sequential, indexed sequential,
indexed, and hashed. The user
program interacts with the top
layer of the architecture.

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 Files and File Systems

File System Architecture cont…

The next level is referred to as the basic file system, or the
physical I/O level. This is the primary interface with the
environment outside of the computer system. It deals with
blocks of data that are exchanged with disk or tape systems.
Thus, it is concerned with the placement of those blocks on the
secondary storage device and on the buffering of those blocks
in main memory. It does not understand the content of the data
or the structure of the files involved. The basic file system is
often considered part of the operating system.

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 Files and File Systems

File System Architecture cont…

The basic I/O supervisor is responsible for all file I/O initiation
and termination. At this level, control structures are maintained
that deal with device I/O, scheduling, and file status. The basic
I/O supervisor selects the device on which file I/O is to be
performed, based on the particular file selected. It is also
concerned with scheduling disk and tape accesses to optimize
performance. I/O buffers are assigned and secondary memory
is allocated at this level. The basic I/O supervisor is part of the
operating system.

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 Files and File Systems

File System Architecture cont…

Logical I/O enables users and applications to access records.
Thus, whereas the basic file system deals with blocks of data,
the logical I/O module deals with file records. Logical I/O
provides a general-purpose record I/O capability and maintains
basic data about files.
The level of the file system closest to the user is often termed
the access method. It provides a standard interface between
applications and the file systems and devices that hold the data.
Different access methods reflect different file structures and
different ways of accessing and processing the data. Some of
the most common access methods are shown in slide 14 Figure,
and these are briefly described in File Organization and Access.

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 Files and File Systems

File Management Function

Another way of viewing the functions of a file system is shown
in next slide Figure. Let us follow this diagram from left to right.
Users and application programs interact with the file system by
means of commands for creating and deleting files and for
performing operations on files. Before performing any operation,
the file system must identify and locate the selected file. This
requires the use of some sort of directory that serves to
describe the location of all files, plus their attributes.

IT 311: Applied Operating System

 Files and File Systems
Description
File management is divided into
File Management Function cont… file management concerns and
operating system concerns. File
management concerns: The user
and program commands provide
the operation and file name with
input from directory management
and user access control. This
information is input into the file
structure, producing file
manipulation functions with input
from an access method, leading
to the production of records. The
records are also part of the
operating system concerns.
Operating system concerns:
Exchange occurs between the
records and the physical blocks
in the main memory buffers, with
input from blocking. Exchanges
also occur between the main
memory buffer and the physical
blocks in the secondary storage,
or disk, via the I O, with input
from disk scheduling and file
allocation. Free storage
management also impacts
secondary storage.
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 Files and File Systems

File Management Function cont…

In addition, most shared systems enforce user access control:
Only authorized users are allowed to access particular files in
particular ways. The basic operations that a user or an
application may perform on a file are performed at the record
level. The user or application views the file as having some
structure that organizes the records, such as a sequential
structure (e.g., personnel records are stored alphabetically by
last name). Thus, to translate user commands into specific file
manipulation commands, the access method appropriate to this
file structure must be employed.

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 File Organization and Access

 File organization to refer to the logical structuring of the

records as determined by the way in which they are
accessed. The physical organization of the file on
secondary storage depends on the blocking strategy and
the file allocation strategy, issues dealt with later in this
chapter.
 In choosing a file organization, several criteria are important:
 Short access time
 Ease of update
 Economy of storage
 Simple maintenance
 Reliability

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 File Organization and Access

 The relative priority of these criteria will depend on the

applications that will use the file. For example, if a file is only
to be processed in batch mode, with all of the records
accessed every time, then rapid access for retrieval of a
single record is of minimal concern. A file stored on CD-
ROM will never be updated, and so ease of update is not an
issue.
 The number of alternative file organizations that have been
implemented or just proposed is unmanageably large, even
for a book devoted to file systems. In this brief survey, we
will outline five fundamental organizations. Most structures
used in actual systems either fall into one of these
categories, or can be implemented with a combination of
these organizations.
IT 311: Applied Operating System
 File Organization and Access

 The five organizations, the first

four of which are depicted in
Figure, are as follows:
1. The pile
2. The sequential file
3. The indexed sequential file
4. The indexed file
5. The direct, or hashed, file
Description
Part ay: pile file. Variable-length records are organized in
a variable set of fields in chronological order. Part b:
sequential file. Fixed-length records are organized in a
fixed set of fields in fixed order, with sequential order
based on key field. Part c: indexed sequential file.
Indexes are ordered into a hierarchy of index levels from
1 to n. The indexes point to the main file, which in turn
provides input for the overflow file. Part d: indexed file.
Exhaustive and partial indexes refer to variable-length
records in a primary file.

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 File Organization and Access

The Pile
The least complicated form of file organization may be
termed the pile. Data are collected in the order in which they
arrive. Each record consists of one burst of data. The purpose
of the pile is simply to accumulate the mass of data and save
it. Records may have different fields, or similar fields in
different orders.
Pile files are encountered when data are collected and stored
prior to processing or when data are not easy to organize. This
type of file uses space well when the stored data vary in size
and structure, is perfectly adequate for exhaustive searches,
and is easy to update. However, beyond these limited uses,
this type of file is unsuitable for most applications.

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 File Organization and Access

The Sequential File

The most common form of file structure is the sequential file. In
this type of file, a fixed format is used for records. All records are
of the same length, consisting of the same number of fixed-
length fields in a particular order. Because the length and
position of each field are known, only the values of fields need
to be stored; the field name and length for each field are
attributes of the file structure.
One particular field, usually the first field in each record, is
referred to as the key field. The key field uniquely identifies the
record; thus key values for different records are always different.
Further, the records are stored in key sequence: alphabetical
order for a text key, and numerical order for a numerical key.

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The Sequential File cont…

Sequential files are typically used in batch applications and are
generally optimum for such applications if they involve the
processing of all the records (e.g., a billing or payroll application).
The sequential file organization is the only one that is easily
stored on tape as well as disk.
For interactive applications that involve queries and/or updates
of individual records, the sequential file provides poor
performance. Access requires the sequential search of the file
for a key match. If the entire file, or a large portion of the file, can
be brought into main memory at one time, more efficient search
techniques are possible. Nevertheless, considerable processing
and delay are encountered to access a record in a large
sequential file.
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 File Organization and Access

The Sequential File cont…

An alternative is to organize the sequential file physically as
a linked list. One or more records are stored in each physical
block. Each block on disk contains a pointer to the next
block. The insertion of new records involves pointer
manipulation but does not require that the new records
occupy a particular physical block position.

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 File Organization and Access

The Indexed Sequential File

A popular approach to overcoming the disadvantages of the
sequential file is the indexed sequential file. The indexed
sequential file maintains the key characteristic of the
sequential file: Records are organized in sequence based on
a key field. Two features are added: an index to the file to
support random access, and an overflow file. The index
provides a lookup capability to reach quickly the vicinity of a
desired record. The overflow file is similar to the log file used
with a sequential file but is integrated so a record in the
overflow file is located by following a pointer from its
predecessor record.

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The Indexed Sequential File cont…

In the simplest indexed sequential structure, a single level
of indexing is used. The index in this case is a simple
sequential file. Each record in the index file consists of two
fields: a key field, which is the same as the key field in the
main file, and a pointer into the main file. To find a specific
field, the index is searched to find the highest key value that
is equal to or precedes the desired key value. The search
continues in the main file at the location indicated by the
pointer.

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 File Organization and Access

The Indexed Sequential File cont…

The indexed sequential file greatly reduces the time
required to access a single record, without sacrificing the
sequential nature of the file. To process the entire file
sequentially, the records of the main file are processed in
sequence until a pointer to the overflow file is found, then
accessing continues in the overflow file until a null pointer is
encountered, at which time accessing of the main file is
resumed where it left off.

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 File Organization and Access

The Indexed File

The indexed sequential file retains one limitation of the
sequential file: Effective processing is limited to that which is
based on a single field of the file. For example, when it is
necessary to search for a record on the basis of some other
attribute than the key field, both forms of sequential file are
inadequate. In some applications, the flexibility of efficiently
searching by various attributes is desirable.

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The Indexed File cont…

Two types of indexes are used. An exhaustive index
contains one entry for every record in the main file. The index
itself is organized as a sequential file for ease of searching. A
partial index contains entries to records where the field of
interest exists. With variable-length records, some records
will not contain all fields. When a new record is added to the
main file, all of the index files must be updated.
Indexed files are used mostly in applications where
timeliness of information is critical and where data are rarely
processed exhaustively. Examples are airline reservation
systems and inventory control systems.

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 File Organization and Access

The Direct or Hashed File

The direct, or hashed, file exploits the capability found on
disks to access directly any block of a known address. As
with sequential and indexed sequential files, a key field is
required in each record. However, there is no concept of
sequential ordering here.
The direct file makes use of hashing on the key value. This
function is explained in Hash Table, shows the type of
hashing organization with an overflow file that is typically
used in a hash file.

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The Direct or Hashed File cont…

Direct files are often used where very rapid access is
required, where fixed-length records are used, and where
records are always accessed one at a time. Examples are
directories, pricing tables, schedules, and name lists.

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 File Organization and Access

Access Methods
Files store information. When it is used, this information
must be accessed and read into computer memory. The
information in the file can be accessed in several ways.
Some systems provide only one access method for files.
Others (such as mainframe operating systems) support many
access methods, and choosing the right one for a particular
application is a major design problem.

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 File Organization and Access

Access Methods cont…

Sequential Access The simplest access method is
sequential access. Information in the file is processed in
order, one record after the other. This mode of access is by
far the most common;
For example, editors and compilers usually access files in this fashion.
Reads and writes make up the bulk of the operations on a file. A read operation—
read next()—reads the next portion of the file and automatically advances a file
pointer, which tracks the I/O location. Similarly, the write operation—write next()—
appends to the end of the file and advances to the end of the newly written material
(the new end of file). Such a file can be reset to the beginning, and on some
systems, a program may be able to skip forward or backward n records for some
integer n—perhaps only for n = 1. Sequential access, which is depicted in next slide
Figure, is based on a tape model of a file and works as well on sequential-access
devices as it does on random-access ones.

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 File Organization and Access

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 File Organization and Access

Access Methods cont…

Direct Access Another method is direct access (or relative
access). Here, a file is made up of fixed-length logical
records that allow programs to read and write records rapidly
in no particular order. The direct-access method is based on
a disk model of a file, since disks allow random access to
any file block. For direct access, the file is viewed as a
numbered sequence of blocks or records. Thus, we may
read block 14, then read block 53, and then write block 7.
There are no restrictions on the order of reading or writing for
a direct-access file.

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Access Methods cont…

Direct Access
Direct-access files are of great use for immediate access to
large amounts of information. Databases are often of this
type. When a query concerning a particular subject arrives,
we compute which block contains the answer and then read
that block directly to provide the desired information.

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 File Organization and Access

Access Methods cont…

Direct Access
Not all operating systems support both sequential and direct
access for files. Some systems allow only sequential file
access; others allow only direct access. Some systems
require that a file be defined as sequential or direct when it is
created. Such a file can be accessed only in a manner
consistent with its declaration. We can easily simulate
sequential access on a direct-access file by simply keeping a
variable cp that defines our current position, as shown in next
slide Figure. Simulating a direct-access file on a sequential-
access file, however, is extremely inefficient and clumsy.

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Access Methods cont…

Other Access Methods
Other access methods can be built on top of a direct-access
method. These methods generally involve the construction of
an index for the file. The index, like an index in the back of a
book, contains pointers to the various blocks. To find a
record in the file, we first search the index and then use the
pointer to access the file directly and to find the desired
record.

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 File Directories

Contents
Associated with any file management system and collection
of files is a file directory. The directory contains information
about the files, including attributes, location, and ownership.
Much of this information, especially that concerned with
storage, is managed by the operating system. The directory
is itself a file, accessible by various file management
routines. Although some of the information in directories is
available to users and applications, this is generally provided
indirectly by system routines.

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Contents cont…
Table next slide suggests the information typically stored in the
directory for each file in the system. From the user’s point of view,
the directory provides a mapping between file names, known to
users and applications, and the files themselves. Thus, each file
entry includes the name of the file. Virtually all systems deal with
different types of files and different file organizations, and this
information is also provided. An important category of information
about each file concerns its storage, including its location and size.
In shared systems, it is also important to provide information that is
used to control access to the file. Typically, one user is the owner
of the file and may grant certain access privileges to other users.
Finally, usage information is needed to manage the current use of
the file and to record the history of its usage.

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 File Directories

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 File Directories

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 File Directories

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 File Directories

Structure
The way in which the information of previous slide table is
stored differs widely among various systems. Some of the
information may be stored in a header record associated with
the file; this reduces the amount of storage required for the
directory, making it easier to keep all or much of the directory
in main memory to improve speed.
The simplest form of structure for a directory is that of a list of
entries, one for each file. This structure could be represented
by a simple sequential file, with the name of the file serving as
the key. In some earlier single-user systems, this technique
has been used. However, it is inadequate when multiple users
share a system and even for single users with many files.

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Structure cont…
To understand the requirements for a file structure, it is helpful to
consider the types of operations that may be performed on the directory:
 Search: When a user or application references a file, the directory must be
searched to find the entry corresponding to that file.
 Create file: When a new file is created, an entry must be added to the
directory.
 Delete file: When a file is deleted, an entry must be removed from the
directory.
 List directory: All or a portion of the directory may be requested.
Generally, this request is made by a user and results in a listing of all files
owned by that user, plus some of the attributes of each file (e.g., type,
access control information, usage information).
 Update directory: Because some file attributes are stored in the directory,
a change in one of these attributes requires a change in the corresponding
directory entry.

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Structure cont…
A more powerful and flexible
approach, and one that is almost
universally adopted, is the
hierarchical, or tree-structure,
approach (see Figure). As before,
there is a master directory, which
has under it a number of user
directories. Each of these user
directories, in turn, may have
subdirectories and files as entries.
This is true at any level: That is, at
any level, a directory may consist of
entries for subdirectories and/or
entries for files.

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 File Directories

Naming
Users need to be able to refer to a file by a symbolic name.
Clearly, each file in the system must have a unique name in
order that file references be unambiguous. On the other
hand, it is an unacceptable burden on users to require they
provide unique names, especially in a shared system.

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Naming cont…
The use of a tree-structured directory minimizes the difficulty in
assigning unique names. Any file in the system can be located by
following a path from the root or master directory down various branches
until the file is reached. The series of directory names, culminating in the
file name itself, constitutes a pathname for the file.
As an example, the file in the lower left-hand corner of next slide figure
has the pathname User_B/Word/Unit_A/ABC. The slash is used to delimit
names in the sequence. The name of the master directory is implicit,
because all paths start at that directory. Note it is perfectly acceptable to
have several files with the same file name, as long as they have unique
pathnames, which is equivalent to saying that the same file name may be
used in different directories. In our example, there is another file in the
system with the file name ABC, but that file has the pathname
/User_B/Draw/ABC.

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Naming cont…
Description
The master directory includes entries for
the system and users Ay, B, and C.
Users Ay, B, and C each have their own
directories. The directory for user B has
entries for draw and word. Draw and
word, in turn, have their own directories.
The directory for word contains an entry
for unit Ay, and the directory for unit Ay
contains file Ay B C with path name
forward slash User underscore B forward
slash Word forward slash Unit
underscore Ay forward slash Ay B C. The
directory for draw contains entry Ay B C,
which yields file Ay B C, with path name
forward slash User underscore B forward
slash Draw forward slash Ay B C.

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Naming cont…
Although the pathname facilitates the selection of file names, it would be
awkward for a user to have to spell out the entire pathname every time a
reference is made to a file. Typically, an interactive user or a process has
associated with it a current directory, often referred to as the working
directory.
Files are then referenced relative to the working directory. For example,
if the working directory for user B is “Word,” then the pathname
Unit_A/ABC is sufficient to identify the file in the lower left-hand corner of
previous slide figure. When an interactive user logs on, or when a
process is created, the default for the working directory is the user home
directory. During execution, the user can navigate up or down in the tree
to change to a different working directory.

IT 311: Applied Operating System

 Data Compression

 Data compression is a term used to describe reducing the

size of a file whilst keeping it in a usable format. There
would be little point in making a file smaller if we could no
longer use it, so different algorithms have been developed
to allow us to make efficient use of space on our digital
devices.
 Compression techniques can be categorised into two
methods:
 Lossy – data is removed from the original file to reduce
its size.
 Lossless – data is not removed from the original file, or
can be restored in full.

IT 311: Applied Operating System

 Data Compression

Lossy Compression
Lossy compression can be applied to files where losing
data may not be detected, or if it is, the file is still usable.
This generally means that images, video, and sound use
lossy compression techniques (but not always!).
When you are watching a streamed video, you will often be
given the choice of watching in HD or SD. Whilst we know
the Standard Definition video is of inferior quality, it does
have the benefits of being a much smaller file so it will work
on slower connections. Even though the file is of a lower
quality (due to lossy compression), it remains usable.

IT 311: Applied Operating System

 Data Compression

Lossy Compression cont…

JPEG image files use a lossy compression technique where
the number of colours in the image are reduced to just those
within the human spectrum of vision. Often, the number of
colours is reduced to far less without a visible difference. In
the case of JPEG files, the removal of colours is balanced by
replacing the standard RGB (red green blue) colours with
luma (brightness & contrast) & chroma (red – blue colour).

IT 311: Applied Operating System

 Data Compression

Lossless Compression
Lossless compression is employed when we need to
reduce the size of the file without losing any data. This may
be because removing data would make the file unusable as
is the case for text files or program code, or to allow us to
uncompress the file back to it’s original state for editing.
Zipped files make use of lossless compression, allowing the
files & folders to be uncompressed after sending without
losing data. Compressing data, can be acheived using a
variety of algorithms, one being Huffman Encoding which
reduces the number of characters and makes efficient use of
bit patterns.

IT 311: Applied Operating System