Course Overview

OS goals

CPU Memory Filesystem

management management management

- Processes (L2) - Memory organization (L8)

Filesystems (L11)
- Scheduling (L3) - Virtual memory (L9-10)

- Synchronization (L5-6)
I/O & disk (L12)
- Deadlocks (L7)

Special: Real-time OS & virtualization

Operating Systems 3.1 Part 3 Process Scheduling

 Part 3: Process Scheduling

• Basic Concepts

• Scheduling Criteria

• Scheduling Algorithms
– Uniprocessor (single-core) scheduling
– Multiprocessor (multi-core) scheduling

Operating Systems 3.2 Part 3 Process Scheduling

 Basic Concepts
• CPU–I/O Bursts: Process execution alternates
between CPU executions and I/O operations
– CPU burst: Duration of one CPU execution cycle
– I/O burst: Duration of one I/O operation (wait time)

• CPU scheduling objective: Keep the CPU busy as

much as possible (i.e., using multiprogramming)

• For simplicity, we focus on the concepts of short-

term (ready queue) scheduler for both uni- and
multi- processor CPUs
Operating Systems 3.3 Part 3 Process Scheduling
 Alternating Sequence of CPU And I/O Bursts

Operating Systems 3.4 Part 3 Process Scheduling

 CPU Scheduler (Short-Term)
• Goal: Select one or more of the processes in the ready
queue, and allocate it to the CPU (one process per core)

• Scheduler may run whenever a process changes state

4. 2. 5.
In which case(s)
does CPU
scheduling have
to occur in order
to keep the CPU
cores busy?
3. 1. Answer:
Only 1 and 5

Operating Systems 3.5 Part 3 Process Scheduling

 Types of CPU Schedulers

1. Nonpreemptive means that once the CPU has been

allocated to a process, the process keeps the CPU until it
voluntarily releases the CPU either by terminating or
requesting I/O/event wait
– Scheduling is nonpreemptive if it happens only for
transitions 1 and 5 (also 4, when a CPU core is idle)

2. Preemptive means that the CPU can be taken away from

a running process at any time by the scheduler
– Scheduling is preemptive if it also happens for
transitions 2, 3, 4 or at any other time instant

Operating Systems 3.6 Part 3 Process Scheduling

 Exercise

SC2005 Operating Systems 3.7 Part 3 Process Scheduling

 Scheduling Objectives

System-wide Objectives:
1. Max. CPU Utilization: Keep the CPU as busy as
possible
– Percentage of time during which the CPU
cores are busy executing processes.
– (Sum of execution time on each core) divided
by (total time multiplied by number of cores)
2. Max. Throughput: Number of processes that
complete their execution per unit of time
– Number of “exit” transitions per unit of time
Operating Systems 3.8 Part 3 Process Scheduling
 Scheduling Objectives (Cont.)
Individual Process Objectives:
1. Min. Turnaround Time: Amount of time to
execute a particular process, i.e., from the time of
creation to the time of termination
– Time elapsed between “admitted” and “exit”
transitions for a process
– Average over all processes is denoted as
average turnaround time

Operating Systems 3.9 Part 3 Process Scheduling

 Scheduling Objectives (Cont.)
2. Min. Waiting Time: Amount of time a process
has been waiting in the “ready” state
– We do not consider time in “waiting” state; why?
– Turnaround time components: CPU burst (running),
I/O burst (waiting) and waiting time (ready)
– If all processes have a single CPU burst (no I/O),
then waiting time = turnaround time – CPU burst

3. Min. Response Time: Time from a request

submission (“admitted” transition) until the first
response is produced (we assume first response
coincides with start of execution)
Operating Systems 3.10 Part 3 Process Scheduling
 Scheduling Algorithms: Uniprocessor System

1. First-Come, First-Served (FCFS)

2. Shortest Job First (SJF)
3. Priority-based Scheduling
4. Round Robin (RR)
5. Multilevel Queue Scheduling

We assume a single CPU burst for each

process, a single CPU core and focus on the
average waiting time
Operating Systems 3.11 Part 3 Process Scheduling
 First-Come, First-Served (FCFS) Scheduling

• Example: Process CPU Burst Length

P1 24
P2 3
P3 3
• Suppose that processes arrive in the order P1, P2, P3, all at time 0

• The Gantt Chart for the schedule is:

P1 P2 P3

0 24 27 30

• Waiting time for P1 = 0; P2 = 24; P3 = 27

• Average waiting time: (0 + 24 + 27)/3 = 17
Operating Systems 3.12 Part 3 Process Scheduling
 FCFS Scheduling (Cont.)
• Suppose that the processes arrive in the order P2,
P3, P1, again all at time 0

• The Gantt chart for the schedule is:

P2 P3 P1

0 3 6 30

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

• Average waiting time: (6 + 0 + 3)/3 = 3
– Much better than the previous case
Operating Systems 3.13 Part 3 Process Scheduling
 FCFS Scheduling: Properties

• Is FCFS preemptive or nonpreemptive?

– Nonpreemptive, because processes have to
voluntarily release the CPU once allocated

• Main problem with FCFS is the convoy effect

– Short processes suffer increased waiting times
due to an earlier arrived long process
• We saw this effect in the previous example -
P1 increased the waiting times of P2 and P3

Operating Systems 3.14 Part 3 Process Scheduling

 ExtraQ1 Wooclap Exercise

SC2005 Operating Systems 3.15 Part 3 Process Scheduling

 Shortest-Job-First (SJF) Scheduling
• Prioritize processes based on their CPU burst lengths
– Shorter burst implies higher priority
– Intuitive way to handle the convoy effect of FCFS

• Two schemes:
1. Nonpreemptive: Once core is given to a process, it
cannot be preempted until it completes its CPU burst
2. Preemptive (also known as Shortest Remaining-Time
First or SRTF): If a newly created process has CPU
burst length less than the remaining CPU burst of
currently running process, then preemption will occur

• SJF/SRTF is optimal for minimizing average waiting time

Operating Systems 3.16 Part 3 Process Scheduling
 Example of Nonpreemptive SJF
Process Arrival Time Burst Time
P1 0.0 7
P2 2.0 4
P3 4.0 1
P4 5.0 4

• SJF (Nonpreemptive) Gantt Chart:

P1 P3 P2 P4

0 3 7 8 12 16

• Average waiting time = (0 + 6 + 3 + 7)/4 = 4

Operating Systems 3.17 Part 3 Process Scheduling

 Example of Preemptive SJF (SRTF)
Process Arrival Time Burst Time
P1 0.0 7 5 0
P2 2.0 4 2 0
P3 4.0 1 0
P4 5.0 4 0

• SJF (Preemptive) Gantt Chart:

P1 P2 P3 P2 P4 P1

0 2 4 5 7 11 16
P1 P2 P3 P4

• Average waiting time = (9 + 1 + 0 +2)/4 = 3

Operating Systems 3.18 Part 3 Process Scheduling

 ExtraQ2 Wooclap Exercise

SC2005 Operating Systems 3.19 Part 3 Process Scheduling

 Priority-based Scheduling

• A priority number (integer) is associated with each process

• CPU is allocated to the process with the highest priority

– Usually, smallest integer implies highest priority
– Two schemes: Preemptive and nonpreemptive
– FCFS: Priority based on arrival order
– SJF: Priority based on CPU burst length

• Problem of Starvation: Lower priority processes may never

execute in a heavily loaded system
– Solution is Aging: As time progresses, slowly increase
the priority of processes that are not able to execute

Operating Systems 3.21 Part 3 Process Scheduling

 Exercise

SC2005 Operating Systems 3.22 Part 3 Process Scheduling

 Round Robin (RR) Scheduling

• Fixed time quantum for scheduling (q): A Process is

allocated CPU for q time units, preempted thereafter
and inserted at the end of the ready queue
– Processes are scheduled cyclically based on q
– Usually q is small, around 10-100 milliseconds

• Performance:
– n processes in ready queue implies waiting time
is no more than (n-1)q time units
– Large q: Degenerates to FCFS
– Small q: Many context switches; high overhead
Operating Systems 3.23 Part 3 Process Scheduling
 Example: RR with Time Quantum = 20
Process Burst Time
P1 53 33

P2 17 0

P3 68 48

P4 24 4

• All processes come at time 0 in the order of P1, P2, P3, P4

• RR scheduling Gantt Chart:

P1 P2 P3 P4 P1 P3 P4 P1 P3 P3

0 20 37 57 77 97 117 121 134 154 162

• Typically, higher average waiting/turnaround time than

SJF, but better response time

Operating Systems 3.24 Part 3 Process Scheduling

 ExtraQ3 Wooclap Exercise

SC2005 Operating Systems 3.25 Part 3 Process Scheduling

 Smaller Time Quantum Increases Context Switches

Operating Systems 3.26 Part 3 Process Scheduling

 Turnaround Time Varies With Time Quantum

• No well-defined
relationship
between average
turnaround time
and quantum size
Assume arrival
order is P1, P2, • Average
P3, P4 all at time 0 turnaround time
remains fixed
once quantum
size is larger than
maximum CPU
burst length

Operating Systems 3.27 Part 3 Process Scheduling

 Multilevel Queue Scheduling

• Different processes have different requirements

– Foreground processes like those handling I/O
need to be interactive (RR is preferred)
– Background processes need NOT be interactive;
scheduling overhead can be low (FCFS)

• Solution: Multi-level Queue Scheduling

– Ready queue is partitioned into several queues
– Each queue has its own scheduling algorithm
– How to schedule among the queues?
Operating Systems 3.28 Part 3 Process Scheduling
 Multilevel Queue Scheduling (Cont.)

• Two schemes for inter-queue scheduling

– Fixed priority scheduling
• Queues served in priority order (e.g.,
foreground before background)
• Starvation for lower priority queues

– Time-slice based scheduling

• Each queue gets a fixed time quantum on
the CPU (e.g., 80ms for foreground, 20ms
for background, and then repeat)
Operating Systems 3.29 Part 3 Process Scheduling
 Scheduling Algorithms: Multiprocessor System

1. Partitioned Scheduling (Asymmetric

Multiprocessing - AMP)
2. Global Scheduling (Symmetric Multiprocessing -
SMP)

We assume a multi-core CPU and that each

process may only execute on one CPU core at
any time instant

Operating Systems 3.30 Part 3 Process Scheduling

 Partitioned Scheduling (AMP)

• Processes are partitioned apriori (at process

creation time) among CPU cores
– Each process is mapped to one core
– Separate uniprocessor CPU scheduling for
each core (asymmetric scheduling)
• Advantages
– Core-specific scheduling strategy is feasible
(FCFS, SJF, RR, multi-level, etc.)
– Easy and simple extension of uniprocessor
CPU scheduling to multiprocessor CPU
scheduling
Operating Systems 3.31 Part 3 Process Scheduling
 Partitioned Scheduling: Issues

• How to map cores to processes?

– Poor mapping can lead to unequal loads: a
core is idling while another is overloaded
• May reduce system/process performance
• NP-Hard problem: Similar to the well-
known knapsack problem!
• Heuristics such as best-fit could be used if
CPU burst lengths are known

Operating Systems 3.32 Part 3 Process Scheduling

 Global Scheduling (SMP)

• One or more ready queues for the entire system

(no mapping of queues to CPU cores)
– When any core becomes idle, CPU scheduler
runs and allocates the next process to execute
– Process selection based on strategy applied
globally or symmetrically across all cores
(FCFS, SJF, etc.)
– It is possible that the same process may
execute on different cores at different times

No core-process mapping problem!

Operating Systems 3.33 Part 3 Process Scheduling
 ExtraQ4 Wooclap Exercise

SC2005 Operating Systems 3.34 Part 3 Process Scheduling

 Example of SRTF (dual-core)
Process Arrival Time Burst Time
P1 0.0 7 3 0
P2 2.0 4 0
P3 4.0 1 0
P4 5.0 4 0
• SJF (Preemptive) on dual-core Gantt Chart:

Core 1 P1 P3 P1

Core 2 P2 P4

0 2 4 5 6 8 10
P1 P2 P3 P4

• Average waiting time = (1 + 0 + 0 + 1)/4 = 0.5

Operating Systems 3.35 Part 3 Process Scheduling
 Example of RR with q = 20 (dual-core)
Process Burst Time
P1 53 33 13 0

P2 17 0

P3 68 48 28 0

P4 24 4 0

• All processes come at time 0 in the order of P1, P2, P3, P4

• RR scheduling dual-core Gantt Chart:

0 20 40 60 73

P1 P4 P3 P1
Core 1

Core 2 P2 P3 P1 P4 P3

0 17 37 57 61 89
Operating Systems 3.36 Part 3 Process Scheduling
 Global Scheduling: Issues

• Implementation complexity is high when

compared to partitioned scheduling
– Need to synchronize clocks across cores
– Global strategy for process selection
combining all the cores
• Implementation overhead is high when compared
to partitioned scheduling
– Process could context switch from one core
and be scheduled on another (private core-
specific cache data needs to be migrated)

Operating Systems 3.37 Part 3 Process Scheduling

 Recap: Scheduling Dimensions

• Global vs. partitioned

• Preemptive vs. non-preemptive
• Priority vs. arrival time
• Context switch
– Quantum size
– Context switch time

Operating Systems 3.38 Part 3 Process Scheduling

 ExtraQ5 Wooclap Exercise

SC2005 Operating Systems 3.39 Part 3 Process Scheduling

 ExtraQ6 Wooclap Exercise

SC2005 Operating Systems 3.40 Part 3 Process Scheduling