Hamdard Institute of Information Technology (HIIT) Hamdard University, Main Campus, Karachi

CPU Scheduling Algorithms and their Implementation

[Report Operating Systems]

Submitted To: Mr. Kashif Alam [Lecturer, Lab Instructor Operating Systems] Submitted By: Amar Jeet [BECS/H/F10/0117] Uzair Ahmed [BECS/H/F10/0118]

Department of Computer-Systems Engineering, FEST, Hamdard University

Project Report

CPU Scheduling Algorithms

Operating Systems

1 | Abstract
This report, entitled CPU Scheduling Algorithms and their Implementation in Visual C++ Environment, contains a brief introduction to the basic algorithm techniques used for CPU scheduling and their implementation in Visual C++ environment. This report was put together by a group of 2 students as the fulfillment to the semester project assigned by Mr. Kashif Alam, lecturer Operating Systems at HIIT (Hamdard University, Main Campus, Karachi).

2 | Acknowledgment
We, the students who were assigned this report, hereby acknowledge that the material used/written in this report is not, wholly or partially, plagiarized; proper references have been mentioned where we used external printed/written/published material, and the instructor has the right to reject a portion of the report or the report altogether if he finds the fact to be something else than what has been mentioned above. We have tried our level best to keep the references correct and the facts & figures up-to-date, but being human, any error or lapses are expected and are requested to be tolerated.

Amar Jeet [BECS/H/F10/0117]

Uzair Ahmed [BECS/H/F10/0118]

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Table of Contents
TOPIC 1 2 3 3.1 3.2 3.3 3.4 4 4.1 4.2 4.3 5 5.1 5.2 5.2a 5.2b 5.3 5.3a 5.3b 5.4 5.4a 5.4b 5.4c 5.5 5.5a 5.5b 5.6 5.6a 5.6b 5.6b Abstract Acknowledgment CPU SCHEDULING AN INTRODUCTION What is CPU Scheduling? Why do we need Scheduling? Goals of CPU Scheduling When to Schedule? TYPES OF SCHEDULING Long-term Scheduling Medium-term Scheduling Short-term Scheduling SCHEDULING ALGORITHMS Preemptive vs. Non-preemptive Algorithms FCFS Algorithm Advantages of FCFS Disadvantages of FCFS SJF/SRT Algorithms Advantages of SJF/SRT Disadvantages of SJF/SRT Round-Robin Algorithm The Quantum Issue Advantages of RR Disadvantages of RR Priority-based Scheduling Advantages of PBS Disadvantages of PBS MFQ Algorithm Working of MFQ Algorithm Advantages of MFQ Disadvantages of MFQ PAGE 1 1 4 4 4 4 4 5 5 5 5 6 7 7 7 8 8 8 9 9 9 10 10 10 10 10 11 11 11 11 contd

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Table of Contents (continued)

TOPIC 6 6.1 6.2 6.3 6.4 7 7.1 7.2 7.3 7.3a 7.3b 7.3c 7.3d OVERVIEW & APPLICATIONS Comparison Table Choosing the Right Algorithm Implementation of Different Algorithm Techniques Algorithms used in Common Operating Systems VISUAL REPRESENTATION OF ALGORITHMS IN VC++ Software and Language Details Working of the Program Algorithms of Programs Algorithm of SJF (Non-Preemptive) Algorithm of SJF (Preemptive) Algorithm of FCFS Algorithm of Round-Robin Appendix A Definitions & Concepts Appendix B Bibliography PAGE 11 12 12 12 13 13 13 14 14 14 14 14 14 15 16

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CPU Scheduling Algorithms and their Implementation in Visual C++ Environment

3 | CPU SCHEDULING AN INTRODUCTION
3.1 | What exactly is Scheduling?
In computer science, scheduling is the method by which threads, processes or data flows are given access to system resources (e.g. processor time, communications bandwidth). This is usually done to load balance a system effectively or achieve a target quality of service. [ref 1.1]

3.2 | Why do we need Scheduling?

The basic reason behind the implementation of Scheduling Algorithms is that the modern computer-systems of today rely on multi-tasking and multiplexing. Multi-tasking refers to the process of executing more than one thread at a time and multiplexing refers to the transmission of multiple flows simultaneously. Another reason is that the modern systems rely heavily on I/O operations and they have to respond quickly whenever an I/O request is invoked. [ref 1.2]

3.3 | Goals of CPU Scheduling

A good scheduling algorithm is designed to have the following features: Utilization/Efficiency: Keep the CPU busy 100% of the time with useful work. Throughput: Maximize the number of jobs processed per hour. Turnaround time: From the time of submission to the time of completion, minimize the time batch users must wait for output. Waiting time: Sum of times spent in ready queue, minimize this. Response Time: Time from submission till the first response is produced, minimize response time for interactive users. Fairness: Make sure each process gets a fair share of the CPU.

3.4 | When to Schedule?

A key issue related to scheduling is when to make scheduling decisions. It turns out that there are a variety of situations in which scheduling is needed. First, when a new process is created, a decision needs to be made whether to run the parent process or the child process. Since both processes are in ready state, it is a normal scheduling decision and it can go either way, that is, the scheduler can legitimately choose to run either the parent or the child next. Second, a scheduling decision must be made when a process exits. That process can no longer run (since it no longer exists), so some other process must be chosen from the set of ready processes. If no process is ready, a system-supplied idle process is normally run.

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Third, when a process blocks on I/O, on a semaphore, or for some other reason, another process has to be selected to run. Sometimes the reason for blocking may play a role in the choice. For example, if A is an important process and it is waiting for B to exit its critical region, letting B run next will allow it to exit its critical region and thus let A continue. The trouble, however, is that the scheduler generally does not have the necessary information to take this dependency into account. Fourth, when an I/O interrupt occurs, a scheduling decision may be made. If the interrupt came from an I/O device that has now completed its work, some process that was blocked waiting for the I/O may now be ready to run. It is up to the scheduler to decide if the newly ready process should be run, if the process that was running at the time of the interrupt should continue running, or if some third process should run.

4 | TYPES OF CPU SCHEDULING

The aim of processor scheduling is to assign processes to be executed by the processor or processors over time, in a way that meets system objectives, such as response time, throughput, and processor efficiency. In many systems, this scheduling activity is broken down into three separate functions: long-, medium-, and short-term scheduling. The names suggest the relative time scales with which these functions are performed.

4.1 | Long-term Scheduling

The long-term scheduler determines which programs are admitted to the system for processing. Thus, it controls the degree of multiprogramming. Once admitted, a job or user program becomes a process and is added to the queue for the short-term scheduler. In some systems, a newly created process begins in a swapped-out condition, in which case it is added to a queue for the medium-term scheduler. The decision as to which job to admit next can be on a simple firstcome-first served basis, or it can be a tool to manage system performance. The criteria used may include priority, expected execution time, and I/O requirements.

4.2 | Medium-term Scheduling

Medium-term scheduling is part of the swapping function. Typically, the swapping-in decision is based on the need to manage the degree of multiprogramming. On a system that does not use virtual memory, memory management is also an issue. Thus, the swapping-in decision will consider the memory requirements of the swapped-out processes.

4.3 | Short-term Scheduling

The short-term scheduler is invoked whenever an event occurs that may lead to the blocking of the current process or that may provide an opportunity to preempt a currently running process in favor of another. Examples of such events include: Clock interrupts, I/O interrupts, Submitted to: Mr. Kashif Alam 5

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OS calls, Signals (semaphores, etc.)

Fig. 1 Levels of Scheduling

5 | SCHEDULING ALGORITHMS
Scheduling algorithms are the techniques used for distributing resources among parties which simultaneously and asynchronously request them. Scheduling disciplines are used in routers (to handle packet traffic) as well as in operating systems (to share CPU time among both threads and processes), disk drives (I/O scheduling), printers (print spooler), most embedded systems, etc. The main purposes of scheduling algorithms are to minimize resource starvation and to ensure fairness amongst the parties utilizing the resources. Scheduling deals with the problem of

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deciding which of the outstanding requests is to be allocated resources. There are many different scheduling algorithms. In this section, we introduce several of them. There are several types of CPU scheduling algorithms, each having its own characteristics, advantages and disadvantages. We will discuss some of the most important and significant one of those in this report, namely: First-Come First-Served Shortest Job First (SJF) / Shortest Remaining Time (SRT) Round-Robin Priority-based Multi-level Feedback Queue

Before we move on to the algorithm techniques, it is necessary that we define the concept of preemption and non-preemption.

5.1 | Preemptive vs. Non-preemptive Algorithms

Preemptive scheduling is driven by the notion of prioritized computation. It requires that the process with the highest priority should always be the one currently using the processor. If a process is currently using the processor and a new process with a higher priority enters the ready list, the process on the processor should be removed and returned to the ready list until it is once again the highest-priority process in the system. On the other hand, the Non-Preemptive scheduling is designed so that once a process enters the running state (allowed the resources to run), it cannot be removed from the processor until it has completed its service time (or it explicitly yields the processor). With the concept of preemption described, we now move on to the algorithm techniques.

5.2 | FCFS Algorithm

FCFS (First-Come, First-Served) or FIFO (First-In, First-Out) is one of the simplest and easily implementable algorithm techniques. The FCFS algorithm simply puts the processes up for processing in the same order as they arrive in the ready queue. When a process comes in, it is added to the tail of ready queue. When a running process terminates, it is de-queued and the process at the head of ready queue is set to run. FIFO is a non-preemptive algorithm, i.e. no process can be forced to give-up its resources in case a higher-priority process arrives in the queue. 5.2-a | Advantages of FCFS: The greatest strength of this algorithm is that it is easy to understand and equally easy to program. It is also fair in the same sense that allocating scarce sports or concert tickets to people who are willing to stand on line starting at 2 A.M. is fair. With this algorithm, a single linked list keeps track of all ready processes. Picking a process to run just Submitted to: Mr. Kashif Alam 7

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requires removing one from the front of the queue. Adding a new job or unblocked process just requires attaching it to the end of the queue. What could be simpler? 5.2-b | Disadvantages of FCFS: Unfortunately, FCFS also has a huge disadvantage, and it is that it pays no attention to processing time or prioritizes the processes. If a process arrives in the ready queue with processing time of 100ms and then several other processes arrive with processing time of 1ms each, the FCFS will start the 100ms process and other, much shorter processes will have to wait for 100ms. In this way, the turnaround time for FCFS can become significantly low as larger processes hog the resources.

5.3 | SJF/SRT Algorithms

SJF (Shortest Job First), also called SPN (Shortest Process Next), is quite similar to the SRT (Shortest Remaining Time) algorithm, with only the aspect of preemption which differentiates them. In the non-preemptive SJF algorithm, the process with the shortest expected processing time is selected next. Thus a short process will jump to the head of the queue past longer jobs. This requires advanced knowledge or estimations about the time required for a process to complete. The SRT algorithm, on the other hand, introduces the concept of preemption with same techniques described with SJF. In this case, the scheduler always chooses the process that has the shortest expected remaining processing time. When a new process joins the ready queue, it may in fact have a shorter remaining time than the currently running process. Accordingly, the scheduler may preempt the current process when a new process becomes ready. As with SJF, the scheduler must have an estimate of processing time to perform the selection function.

Fig. 2 The working of SJF technique (a) Running four processes in original order (b) Running same processes in SJF order Take a look at the example of Fig. 2. In the original order, A runs first and hogs the system for shorter processes. If run in SJF order, the shorter jobs run first and A gets its turn last. 5.3-a | Advantages of SJF/SRT: The SJF/SRT algorithms do not have a bias in favor of longer processes as it happens in FCFS algorithms. It also provides the maximum throughput in most of the cases.

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5.3-b | Disadvantages of SJF/SRT: Main disadvantages of SJF/SRT are that these algorithms need advanced knowledge of estimation and preemption. These aspects make it hard to implement these algorithms. Moreover, if a lot of short processes arrive and keep on arriving in an SRT-based system, the larger processes will suffer from starvation.

5.4 | Round-Robin Algorithm

Round-Robin is one of the most important and significant algorithms. Almost all of the modern algorithm techniques work on same grounds as that of Round-Robin. It uses the concept of cyclic execution and allocates all processes a similar time of execution known as Quantum or Timeslice. It basically creates a queue of processes with all waiting processes, picks the first job, gives it the time-slice to execute and when its time is over, RR picks it and puts it at the tail of queue and the process begins once again with the next job in queue.

Fig. 3 Round-Robin Technique (a) The list of runnable processes (b) List of runnable processes after job B has used its Quantum (Time-slice) 5.4-a | The Quantum Issue: The only interesting issue with round robin is the length of the quantum. Switching from one process to another requires a certain amount of time for doing the administrationsaving and loading registers and memory maps, updating various tables and lists, flushing and reloading the memory cache, etc. Suppose that this process switch or context switch, as it is sometimes called, takes 1 msec, including switching memory maps, flushing and reloading the cache, etc. Also suppose that the quantum is set at 4 msec. With these parameters, after doing 4 msec of useful work, the CPU will have to spend 1 msec on process switching. Twenty percent of the CPU time will be wasted on administrative overhead. Clearly this is too much. To improve the CPU efficiency, we could set the quantum to, say, 100 msec. Now the wasted time is only 1 percent. But consider what happens on a timesharing system if ten interactive users hit the carriage return key at roughly the same time. Ten processes will be put on the list of runnable processes. If the CPU is idle, the first one will start immediately, the second one may not start until 100 msec later, and so on. The unlucky last one may have to wait 1 sec before getting a chance, assuming all the others use their full quanta. Most users will perceive a 1-sec response to a short command as sluggish.

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Another factor is that if the quantum is set longer than the mean CPU burst, preemption will rarely happen. Instead, most processes will perform a blocking operation before the quantum runs out, causing a process switch. Eliminating preemption improves performance because process switches then only happen when they are logically necessary, that is, when a process blocks and cannot continue. 5.4-b | Advantages of RR: The biggest advantage that RR-algorithm has over other algorithm techniques is that it is fair to every process, giving all of them exactly the same time, and thus starvation is virtually impossible to happen. 5.4-c | Disadvantages of RR: The main problem with Round-Robin is that it assumes that all processes are equally important, thus each receives an equal portion of the CPU. This sometimes produces bad results. Consider three processes that start at the same time and each require three time slices to finish. A comparison of FIFO and RR in this case is explained by this figure:

Fig. 4 RR and FIFO (L.H.S.) Executing three processes with the FIFO algorithm (R.H.S.) Executing same processes with the RR algorithm The picture above describes the problem with RR algorithm. In the FIFO technique, Process A finishes after 3 slices; B, 6; and C, 9. The average is (3+6+9)/3 = 6 slices. But in the case of RR, Process A finishes after 7 slices; B, 8; and C, 9; so the average is (7+8+9)/3 = 8 slices. This implies that Round-Robin is fair, but uniformly inefficient in some of the cases.

5.5 | Priority-based Scheduling

The Priority-based scheduling (PBS) involves the concepts of both preemption and Round-Robin algorithm. It runs the highest-priority processes first, using round-robin technique among processes of equal priority. If a new job arrives, scheduler inserts it in the run queue behind all processes of greater or equal priority. 5.5-a | Advantages of PBS: The main advantage of Priority-based scheduling is that it uses round-robin technique to make sure that a single job does not hog the resources of the processor. 5.5-b | Disadvantages of PBS: The biggest disadvantage of the priority-based scheduling is the concept of priority itself! If we add a lot of processes to a queue with varying priorities assigned to them, chances are that the processes with the least priority will never run if more processes keep on coming. In this case, the starvation follows.

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5.6 | MFQ Algorithm

MFQ (Multi-level Feedback Queue) or MQS (Multi-level Queue Scheduling) is one of the most difficult, diverse and widely used algorithms in todays operating systems. It involves multiple queues of different tasks, based on their external priorities and every queue can actually have a different algorithm for it. It means that we can categorize different jobs based on their nature and execute them according the best-available algorithm. For example, we can use RR algorithm for longer jobs and SJF for I/O-bound requests. MFQ basically works with multi-core systems, and is highly efficient in this case. 5.6-a | Working of MFQ Algorithm The MFQ algorithm works in the following g fashion: 1. 2. 3. 4. A new process is positioned at the end of the top-level FIFO queue. At some stage the process reaches the head of the queue and is assigned to the CPU. If the process is completed, it leaves the system. If the process voluntarily relinquishes control, it leaves the queuing network, and when the process becomes ready again it enters the system on the same queue level. 5. If the process uses all the quantum time, it is preempted and positioned at the end of the next, lower-level queue. 6. This will continue until the process completes or it reaches the base-level queue. At the base-level queue the processes circulate in round robin fashion until they complete and leave the system. Optionally, if a process gets blocked for I/O, it is 'promoted' one level, and placed at the end of the next-higher queue. This allows I/O-bound processes to be favored by the scheduler and allows processes to 'escape' the base level queue. 5.6-b | Advantages of MFQ: The main advantage of MFQ algorithm is that it is highly efficient and it produces results better than any other algorithm because of its categorization feature. This is the reason it is used in most of the operating systems today like Windows, Solaris, MAC OS X, Linux, NetBSD, FreeBSD, etc. 5.6-c | Disadvantages of MFQ: The MFQ algorithm is potentially inefficient in single-core systems because it cannot work on its categorized queues in a single core simultaneously. Moreover, a process is given just one chance to complete at a given queue level before it is forced down to a lower level queue. It often makes the processes starve of resources.

6 | OVERVIEW & APPLICATIONS

With the basic scheduling techniques discussed, we present an overview and comparison of different scheduling algorithms in the table that follows. The terms used in this table are defined in Appendix A.

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6.1 | Comparison Table

Algorithm FCFS/FIFO SJF/SRT Round-Robin Priority-based MQS CPU Overhead Low Medium High Medium High Throughput Low High Medium Low High Turnaround Time High Medium Medium High Medium Response Time Low Medium High High Medium

Table 1 Comparison of different scheduling algorithms

6.2 | Choosing the Right Algorithm

When designing an operating system, a programmer must consider which scheduling algorithm will perform best for the use the system is going to see. There is no universal best scheduling algorithm, and many operating systems use extended or combinations of the scheduling algorithms above. For example, Windows NT/XP/Vista uses a multi-level feedback queue, a combination of Priority-based Scheduling, Round-Robin, and First-In, First-Out. In this system, processes can dynamically increase or decrease in priority depending on if it has been serviced already, or if it has been waiting extensively. Every priority level is represented by its own queue, with round-robin scheduling amongst the high priority processes and FIFO among the lower ones. In this sense, response time is short for most processes, and short but critical system processes get completed very quickly. Since processes can only use one time unit of the round robin in the highest priority queue, starvation can be a problem for longer high priority processes. Thus a programmer must first visualize all problems his OS is expected to face and then thoroughly test different set of these problems with different techniques. Whichever technique produces comparatively better results is obviously the better choice.

6.3 | Implementation of Different Algorithms

The algorithm used in an Operating System might be as simple as FCFS or RR, and on the other extreme, it could be a combination of different algorithms like MQS. More advanced algorithms take into account process priority, or the importance of the process. This allows some processes to use more time than other processes. The kernel always uses whatever resources it needs to ensure proper functioning of the system, and so can be said to have infinite priority. In SMP (Symmetric Multi-Processing) systems, processor affinity is considered to increase overall system performance, even if it may cause a process itself to run more slowly. This generally improves performance by reducing cache thrashing. A table consisting of information on old and modern CPU scheduling techniques with respect to Operating Systems is given as follows.

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6.4 | Algorithms used in Common Operation Systems

Operating System Windows 3.1x Windows 95, 98, Me Windows NT (including 2000, XP, Vista, 7 and Server) Mac OS pre-9 Mac OS 9 Mac OS X Linux pre-2.6 Linux 2.6-2.6.23 Linux post-2.6.23 Solaris NetBSD FreeBSD Preemption None Half Yes None Some Yes Yes Yes Yes Yes Yes Yes Algorithm Cooperative Scheduler Preemptive for 32-bit processes, Cooperative for 16-bit processes Multilevel feedback queue Cooperative Scheduler Preemptive for MP tasks, Cooperative Scheduler for processes and threads Multilevel feedback queue Multilevel feedback queue O(1) scheduler Completely Fair Scheduler Multilevel feedback queue Multilevel feedback queue Multilevel feedback queue

Table 2 - Algorithms used in Common Operation Systems

7 | VISUAL REPRESENTATION OF ALGORITHMS IN VC++

The basic purpose of the Operating Systems course is to develop an understanding of how the basic components of an OS work. Process is one of the most fundamental and important part of an OS and it is very important for a computer scientist to understand how it works. Our semester project explains one dimension of this working, by explaining how the processes are scheduled for the processing.

7.1 | Software and Language Details

We, the students who compiled this report, worked on the Visual Studio (VC++ environment) in 3rd semester of our studies and so we selected the same software as the platform to develop a program that explains how different scheduling algorithms work by using simulation. The software used for basic code testing and debugging was C-Free 5.0. At the later stage, the VC++ 2010 Ultimate was used for final simulation and execution purposes. A JAVA version of the same program is also being developed in NetBeans environment.

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7.2 | Working of the Program

The interface of our program is very simple and it gets the necessary pre-requisites from a user to run the simulation. On the home-screen, users can select the algorithms of their choice which are offered by several buttons, and then they have to enter the number of tasks they want to calculate the average waiting time for. If a user selects Round-Robin algorithm, he will be prompted to enter the Quantum too. Once the user has done this preliminary work of input, the simulation begins. Since the program is in early stages, it is not quite efficient. So, it assumes that all tasks enter at 0ms (arrival time). The simulation of the program works for a maximum of three tasks/jobs/processes that a user enters and it effectively explains how a job enters the queue, how scheduling takes place and the working of algorithms, and it calculates A.W.T. for all of the entered tasks.

7.3 | Algorithms of the Programs

The algorithms for the programs used in the implementation are given below: 7.3-a | The algorithm for SJF (Non-preemptive): 1. READ Burst Times for ready Processes. 2. Sort the processes in ascending order. 3. PROCESS the list of processes in ascending order. 7.3-b | The algorithm for SJF (Preemptive): 1. READ Burst Times for ready Processes. 2. Sort the processes in ascending order. 3. PROCESS the list of processes in ascending order: a. If a new process arrives during processing, halt the ongoing process, save its parameters (remainin time etc.) in PCB and add new process to the ready queue according to its burst time and arrival time. b. Start the queue again for processing. 7.3-c | The algorithm for FCFS: 1. READ arrival times for processes. 2. Sort processes in ascending order. 3. Start the ready queue and process the processes according to sorted list. 7.3-d | The algorithm for Round-Robin: 1. READ arrival times and burst times for processes. 2. READ quantum from user. 3. Start LOOP with time = quantum value. a. For every arriving process, insert it into ready queue accordingly and give running process a time equal to quantum. b. PROCESS each process till queue becomes empty. Submitted to: Mr. Kashif Alam 14

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Appendix A Definitions & Concepts

This appendix contains definitions of the computer-science terms used in the report. Allocation: The assignment of particular areas of a magnetic disk/primary or secondary memory to particular data or instructions. Arrival Time: The time at which a job arrives at the ready queue. Context Switching: The process of switching from one process to another. It includes saving and loading registers and memory maps, updating various tables and lists, flushing and reloading the memory cache, etc. CPU Overhead: The processing time required by a device prior to the execution of a command. Degree of Multiprogramming: A factor that affects the maximum CPU utilization. Greater the degree, higher is the value of CPU utilization. Multiplexing: Transmit multiple data-flows simultaneously. Multitasking: Execute multiple processes at the same time. Multithreading: Using multiple tasks (threads) to execute two or more related (or the same) pieces of code at the same time. PCB (Process Control Block): A table that is maintained by OS for every process. It contains information about the process state, its program counter, stack pointer, memory allocation, the status of its open files, its accounting and scheduling information, and everything else about the process that must be saved when the process is switched from running to ready or blocked. Response time: Amount of time it takes from when a request was submitted until the first response is produced. Thread: A series of related computing/processing messages with the same subject, consisting of an original message and all the replies that follow. Throughput: Number of processes that complete their execution per time unit. Turnaround Time: Total time between submission of a process and its completion. Waiting Time: Time for which a job has to wait before it starts processing is W.T.

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Appendix B Bibliography
This appendix contains the references to the published/written/printed material that was referred during the compilation of this report.

Books
Operating Systems: Internals and Design Principles by W. Stallings Operating System Concepts by A. Silberschatz and P. B. Galvin

Internet / Online Resources

Wikipedia.com Online encyclopedia Wikiversity.org Wikipedias online learning portal cs.gmu.edu - George Mason Universitys online notes bridgeport.edu/sed/ - Bridgeport Universitys online notes csail.mit.edu/rinard/osnotes/ - MITs online notes

Other resources
MS Encarta Microsofts Encarta encyclopedia A Methodology for Comparing Service Policies Using a Trust Model a research paper by Henry Hexmoor, Southern Illinois University OS Concepts Compiled by Sami-ul-Haq

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