Chapter 1: Introduction

Operating System Concepts – 9th Edit9on Silberschatz, Galvin and Gagne ©2013
 Chapter 1: Introduction
n W hat Operating Systems D o
n Compu ter-System Organization
n Compu ter-System A rchitectu re
n Operating-System Stru ctu re
n Operating-System Operations
n P rocess M anagement
n M emory M anagement
n Storage M anagement
n P rotection and Secu rity
n K ernel D ata Stru ctu res
n Compu ting Environments
n Open-Sou rce Operating Systems

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 Objectives

n T o describe the basic organization of compu ter systems

n T o provide a grand tou r of the major components of
operating systems
n T o give an overview of the many types of compu ting
environments
n T o explore several open-sou rce operating systems

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 What is an Operating System?

n A program that acts as an intermediary betw een a u ser of a

compu ter and the compu ter hardw are
n Operating system goals:
l Execu te u ser programs and make solving u ser problems
easier
l M ake the compu ter system convenient to u se
l U se the compu ter hardw are in an efficient manner

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 Computer System Structure
n Compu ter system can be divided into fou r components:
l H ardw are – provides basic compu ting resou rces
CP U , memory, I/O devices
l Operating system
Controls and coordinates u se of hardw are among variou s
applications and u sers
l A pplication programs – define the w ays in w hich the system
resou rces are u sed to solve the compu ting problems of the
u sers
W ord processors, compilers, w eb brow sers, database
systems, video games
l U sers
P eople, machines, other compu ters

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 Four Components of a Computer System

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 What Operating Systems Do

n D epends on the point of view

n U sers w ant convenience, ease of u se and good performance
l D on’t care abou t resou rce u tilization
n B u t shared compu ter su ch as mainframe or minicompu ter mu st
keep all u sers happy
n U sers of dedicate systems su ch as w orkstations have dedicated
resou rces bu t freq u ently u se shared resou rces from servers
n H andheld compu ters are resou rce poor, optimized for u sability
and battery life
n Some compu ters have little or no u ser interface, su ch as
embedded compu ters in devices and au tomobiles

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 Operating System Definition

n OS is a resou rce allocator

l M anages all resou rces
l D ecides betw een conflicting req u ests for efficient and
fair resou rce u se
n OS is a control program
l Controls execu tion of programs to prevent errors and
improper u se of the compu ter

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 Operating System Definition (Cont.)

n N o u niversally accepted definition

n “Everything a vendor ships w hen you order an operating
system” is a good approximation
l B u t varies w ildly
n “T he one program ru nning at all times on the compu ter” is the
kernel.
n Everything else is either
l a system program (ships w ith the operating system) , or
l an application program.

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 Computer Startup

n bootstrap program is loaded at pow er-u p or reboot

l T ypically stored in R OM or EP R OM , generally know n
as firmw are
l Initializes all aspects of system
l Loads operating system kernel and starts execu tion

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 Computer System Organization
n Compu ter-system operation
l One or more CP U s, device controllers connect throu gh common
bu s providing access to shared memory
l Concu rrent execu tion of CP U s and devices competing for
memory cycles

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 Computer-System Operation

n I/O devices and the CP U can execu te concu rrently

n Each device controller is in charge of a particu lar device type
n Each device controller has a local bu ffer
n CP U moves data from/to main memory to/from local bu ffers
n I/O is from the device to local bu ffer of controller
n D evice controller informs CP U that it has finished its
operation by cau sing an interru pt

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 Common Functions of Interrupts

n Interru pt transfers control to the interru pt service rou tine

generally, throu gh the interru pt vector, w hich contains the
addresses of all the service rou tines
n Interru pt architectu re mu st save the address of the
interru pted instru ction
n A trap or exception is a softw are-generated interru pt
cau sed either by an error or a u ser req u est
n A n operating system is interru pt driven

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 Interrupt Handling

n T he operating system preserves the state of the CP U by

storing registers and the program cou nter
n D etermines w hich type of interru pt has occu rred:
l polling
l vectored interru pt system
n Separate segments of code determine w hat action shou ld
be taken for each type of interru pt

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 Interrupt Timeline

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 I/O Structure
n A fter I/O starts, control retu rns to u ser program only u pon I/O
completion
l W ait instru ction idles the CP U u ntil the next interru pt
l W ait loop (contention for memory access)
l A t most one I/O req u est is ou tstanding at a time, no
simu ltaneou s I/O processing
n A fter I/O starts, control retu rns to u ser program w ithou t
w aiting for I/O completion
l System call – req u est to the OS to allow u ser to w ait for
I/O completion
l D evice-statu s table contains entry for each I/O device
indicating its type, address, and state
l OS indexes into I/O device table to determine device
statu s and to modify table entry to inclu de interru pt

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 Storage Definitions and Notation Review
T he basic u nit of compu ter storage is the bit. A bit can contain one of tw o valu es, 0 and 1.
A ll other storage in a compu ter is based on collections of bits. Given enou gh bits, it is
amazing how many things a compu ter can represent: nu mbers, letters, images, movies,
sou nds, docu ments, and programs, to name a few . A byte is 8 bits, and on most compu ters
it is the smallest convenient chu nk of storage. For example, most compu ters don’t have an
instru ction to move a bit bu t do have one to move a byte. A less common term is w ord,
w hich is a given compu ter architectu re’s native u nit of data. A w ord is made u p of one or
more bytes. For example, a compu ter that has 6 4-bit registers and 6 4-bit memory
addressing typically has 6 4-bit (8 -byte) w ords. A compu ter execu tes many operations in its
native w ord size rather than a byte at a time.
Compu ter storage, along w ith most compu ter throu ghpu t, is generally measu red and
manipu lated in bytes and collections of bytes.
A kilobyte, or K B , is 1,024 bytes
a megabyte, or M B , is 1,0242 bytes
a gigabyte, or GB , is 1,0243 bytes
a terabyte, or T B , is 1,0244 bytes
a petabyte, or P B , is 1,0245 bytes

Compu ter manu factu rers often rou nd off these nu mbers and say that a megabyte is 1
million bytes and a gigabyte is 1 billion bytes. N etw orking measu rements are an exception
to this general ru le;they are given in bits (becau se netw orks move data a bit at a time).

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 Storage Structure
n M ain memory – only large storage media that the CP U can access
directly
l R andom access
l T ypically volatile
n Secondary storage – extension of main memory that provides large
nonvolatile storage capacity
n H ard disks – rigid metal or glass platters covered w ith magnetic
recording material
l D isk su rface is logically divided into tracks, w hich are su bdivided into
sectors
l T he disk controller determines the logical interaction betw een the device
and the compu ter
n Solid-state disks – faster than hard disks, nonvolatile
l V ariou s technologies
l B ecoming more popu lar

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 Storage Hierarchy

n Storage systems organized in hierarchy

l Speed
l Cost
l V olatility
n Caching – copying information into faster storage system;
main memory can be view ed as a cache for secondary
storage
n D evice D river for each device controller to manage I/O
l P rovides u niform interface betw een controller and
kernel

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 Storage-Device Hierarchy

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 Caching
n Important principle, performed at many levels in a compu ter
(in hardw are, operating system, softw are)
n Information in u se copied from slow er to faster storage
temporarily
n Faster storage (cache) checked first to determine if
information is there
l If it is, information u sed directly from the cache (fast)
l If not, data copied to cache and u sed there
n Cache smaller than storage being cached
l Cache management important design problem
l Cache size and replacement policy

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 Direct Memory Access Structure

n U sed for high-speed I/O devices able to transmit

information at close to memory speeds
n D evice controller transfers blocks of data from bu ffer
storage directly to main memory w ithou t CP U
intervention
n Only one interru pt is generated per block, rather than
the one interru pt per byte

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 How a Modern Computer Works

A von Neumann architecture

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 Computer-System Architecture
n M ost systems u se a single general-pu rpose processor
l M ost systems have special-pu rpose processors as w ell
n M u ltiprocessors systems grow ing in u se and importance
l A lso know n as parallel systems, tightly-cou pled systems
l A dvantages inclu de:
1. Increased throu ghpu t
2. Economy of scale
3. Increased reliability – gracefu l degradation or fau lt tolerance
l T w o types:
4. A symmetric M u ltiprocessing – each processor is assigned a specie
task.
5 . Symmetric M u ltiprocessing – each processor performs all tasks

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 Symmetric Multiprocessing Architecture

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 A Dual-Core Design
n M u lti-chip and mu lticore
n Systems containing all chips
l Chassis containing mu ltiple separate systems

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 Clustered Systems

n Like mu ltiprocessor systems, bu t mu ltiple systems w orking together

l U su ally sharing storage via a storage-area netw ork (SA N )
l P rovides a high-availability service w hich su rvives failu res
A symmetric clu stering has one machine in hot-standby mode
Symmetric clu stering has mu ltiple nodes ru nning applications,
monitoring each other
l Some clu sters are for high-performance compu ting (H P C)
A pplications mu st be w ritten to u se parallelization
l Some have distribu ted lock manager (D LM ) to avoid conflicting
operations

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 Clustered Systems

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 Operating System Structure
n M u ltiprogramming (B atch system) needed for efficiency
l Single u ser cannot keep CP U and I/O devices bu sy at all times
l M u ltiprogramming organizes jobs (code and data) so CP U alw ays has one to
execu te
l A su bset of total jobs in system is kept in memory
l One job selected and ru n via job schedu ling
l W hen it has to w ait (for I/O for example), OS sw itches to another job

n T imesharing (mu ltitasking) is logical extension in w hich CP U sw itches jobs so

freq u ently that u sers can interact w ith each job w hile it is ru nning, creating
interactive compu ting
l R esponse time shou ld be < 1 second
l Each u ser has at least one program execu ting in memory process
l If several jobs ready to ru n at the same time  CP U schedu ling
l If processes don’t fit in memory, sw apping moves them in and ou t to ru n
l V irtu al memory allow s execu tion of processes not completely in memory

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 Memory Layout for Multiprogrammed System

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 Operating-System Operations
n Interru pt driven (hardw are and softw are)
l H ardw are interru pt by one of the devices
l Softw are interru pt (exception or trap):
Softw are error (e.g., division by zero)
R eq u est for operating system service
Other process problems inclu de infinite loop,
processes modifying each other or the operating
system

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 Operating-System Operations (cont.)
n D u al-mode operation allow s OS to protect itself and other system
components
l U ser mode and kernel mode
l M ode bit provided by hardw are
P rovides ability to distingu ish w hen system is ru nning u ser
code or kernel code
Some instru ctions designated as privileged, only
execu table in kernel mode
System call changes mode to kernel, retu rn from call resets
it to u ser
n Increasingly CP U s su pport mu lti-mode operations
l i.e. virtu al machine manager (V M M ) mode for gu est V M s

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 Transition from User to Kernel Mode
n T imer to prevent infinite loop / process hogging resou rces
l T imer is set to interru pt the compu ter after some time period
l K eep a cou nter that is decremented by the physical clock.
l Operating system set the cou nter (privileged instru ction)
l W hen cou nter zero generate an interru pt
l Set u p before schedu ling process to regain control or terminate
program that exceeds allotted time

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 Process Management
n A process is a program in execu tion. It is a u nit of w ork w ithin the
system. P rogram is a passive entity, process is an active
entity.
n P rocess needs resou rces to accomplish its task
l CP U , memory, I/O, files
l Initialization data
n P rocess termination req u ires reclaim of any reu sable resou rces
n Single-threaded process has one program cou nter specifying
location of next instru ction to execu te
l P rocess execu tes instru ctions seq u entially, one at a time,
u ntil completion
n M u lti-threaded process has one program cou nter per thread
n T ypically system has many processes, some u ser, some
operating system ru nning concu rrently on one or more CP U s
l Concu rrency by mu ltiplexing the CP U s among the processes /
threads

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 Process Management Activities

T he operating system is responsible for the follow ing activities in

connection w ith process management:
n Creating and deleting both u ser and system processes
n Su spending and resu ming processes
n P roviding mechanisms for process synchronization
n P roviding mechanisms for process commu nication
n P roviding mechanisms for deadlock handling

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 Memory Management

n T o execu te a program all (or part) of the instru ctions mu st be in

memory
n A ll (or part) of the data that is needed by the program mu st be in
memory.
n M emory management determines w hat is in memory and w hen
l Optimizing CP U u tilization and compu ter response to u sers
n M emory management activities
l K eeping track of w hich parts of memory are cu rrently being
u sed and by w hom
l D eciding w hich processes (or parts thereof) and data to
move into and ou t of memory
l A llocating and deallocating memory space as needed

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 Storage Management
n OS provides u niform, logical view of information storage
l A bstracts physical properties to logical storage u nit - file
l Each mediu m is controlled by device (i.e., disk drive, tape drive)
V arying properties inclu de access speed, capacity, data-
transfer rate, access method (seq u ential or random)

n F ile-System management
l F iles u su ally organized into directories
l A ccess control on most systems to determine w ho can access
w hat
l OS activities inclu de
Creating and deleting files and directories
P rimitives to manipu late files and directories
M apping files onto secondary storage
B acku p files onto stable (non-volatile) storage media

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 Mass-Storage Management
n U su ally disks u sed to store data that does not fit in main memory or
data that mu st be kept for a “long” period of time
n P roper management is of central importance
n Entire speed of compu ter operation hinges on disk su bsystem and its
algorithms
n OS activities
l Free-space management
l Storage allocation
l D isk schedu ling
n Some storage need not be fast
l T ertiary storage inclu des optical storage, magnetic tape
l Still mu st be managed – by OS or applications
l V aries betw een W OR M (w rite-once, read-many-times) and R W
(read-w rite)

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 Performance of Various Levels of Storage

M ovement betw een levels of storage hierarchy can be explicit or

implicit

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 Migration of data “A” from Disk to Register

n M u ltitasking environments mu st be carefu l to u se most recent

valu e, no matter w here it is stored in the storage hierarchy

n M u ltiprocessor environment mu st provide cache coherency in

hardw are su ch that all CP U s have the most recent valu e in their
cache
n D istribu ted environment situ ation even more complex
l Several copies of a datu m can exist
l V ariou s solu tions covered in Chapter 17

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 I/O Subsystem
n One pu rpose of OS is to hide pecu liarities of hardw are devices
from the u ser
n I/O su bsystem responsible for
l M emory management of I/O inclu ding bu ffering (storing data
temporarily w hile it is being transferred), caching (storing
parts of data in faster storage for performance), spooling (the
overlapping of ou tpu t of one job w ith inpu t of other jobs)
l General device-driver interface
l D rivers for specific hardw are devices

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 Protection and Security

n P rotection – any mechanism for controlling access of processes or

u sers to resou rces defined by the OS
n Secu rity – defense of the system against internal and external attacks
l H u ge range, inclu ding denial-of-service, w orms, viru ses, identity
theft, theft of service
n Systems generally first distingu ish among u sers, to determine w ho
can do w hat
l U ser identities (u ser ID s, secu rity ID s) inclu de name and
associated nu mber, one per u ser
l U ser ID then associated w ith all files, processes of that u ser to
determine access control
l Grou p identifier (grou p ID ) allow s set of u sers to be defined and
controls managed, then also associated w ith each process, file
l P rivilege escalation allow s u ser to change to effective ID w ith
more rights

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 Kernel Data Structures

n M any similar to standard programming data stru ctu res

n Singly linked list

n Doubly linked list

n Circular linked list

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 Kernel Data Structures
n B inary search tree
left <= right
n Search performance is O(n)
l B alanced binary search tree is O(lg n)

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 Kernel Data Structures
n H ash fu nction can create a hash map

n B itmap – string of n binary digits representing the statu s of n items

n Linu x data stru ctu res defined in
include files <linux/list.h>, <linux/kfifo.h>,
<linux/rbtree.h>

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 Computing Environments - Traditional

n Stand-alone general pu rpose machines

n B u t blu rred as most systems interconnect w ith others (i.e.,
the Internet)
n P ortals provide w eb access to internal systems
n N etw ork compu ters (thin clients) are like W eb terminals
n M obile compu ters interconnect via w ireless netw orks
n N etw orking becoming u biq u itou s – even home systems
u se firew alls to protect home compu ters from Internet
attacks

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 Computing Environments - Mobile

n H andheld smartphones, tablets, etc

n W hat is the fu nctional difference betw een them and a
“traditional” laptop?
n Extra featu re – more OS featu res (GP S, gyroscope)
n A llow s new types of apps like augmented reality
n U se IEEE 8 02.11 w ireless, or cellu lar data netw orks for
connectivity
n Leaders are A pple iOS and Google A ndroid

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 Computing Environments – Distributed
n D istribu ted compu tiing
l Collection of separate, possibly heterogeneou s, systems
netw orked together
N etw ork is a commu nications path, T CP /IP most common
– Local A rea N etw ork (L A N )
– W ide A rea N etw ork (W A N )
– M etropolitan A rea N etw ork (M A N )
– P ersonal A rea N etw ork (P A N )
l N etw ork Operating System provides featu res betw een systems
across netw ork
Commu nication scheme allow s systems to exchange
messages
Illu sion of a single system

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 Computing Environments – Client-Server

n Client-Server Compu ting

l D u mb terminals su pplanted by smart P Cs
l M any systems now servers, responding to req u ests generated
by clients
Compu te-server system provides an interface to client to
req u est services (i.e., database)
F ile-server system provides interface for clients to store and
retrieve files

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 Computing Environments - Peer-to-Peer

n A nother model of distribu ted system

n P 2P does not distingu ish clients and servers
l Instead all nodes are considered peers
l M ay each act as client, server or both
l N ode mu st join P 2P netw ork
R egisters its service w ith central
looku p service on netw ork, or
B roadcast req u est for service and
respond to req u ests for service via
discovery protocol
l Examples inclu de N apster and Gnu tella,
V oice over IP (V oIP ) su ch as Skype

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 Computing Environments - Virtualization

n A llow s operating systems to ru n applications w ithin other

OSes
l V ast and grow ing indu stry
n Emu lation u sed w hen sou rce CP U type different from target
type (i.e. P ow erP C to Intel x8 6 )
l Generally slow est method
l W hen compu ter langu age not compiled to native code –
Interpretation
n V irtu alization – OS natively compiled for CP U , ru nning gu est
OSes also natively compiled
l Consider V M w are ru nning W inX P gu ests, each ru nning
applications, all on native W inX P host OS
l V M M (virtu al machine M anager) provides virtu alization
services

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 Computing Environments - Virtualization

n U se cases involve laptops and desktops ru nning mu ltiple OSes

for exploration or compatibility
l A pple laptop ru nning M ac OS X host, W indow s as a gu est
l D eveloping apps for mu ltiple OSes w ithou t having mu ltiple
systems
l Q A testing applications w ithou t having mu ltiple systems
l Execu ting and managing compu te environments w ithin data
centers
n V M M can ru n natively, in w hich case they are also the host
l T here is no general pu rpose host then (V M w are ESX and
Citrix X enServer)

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 Computing Environments - Virtualization

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 Computing Environments – Cloud Computing

n D elivers compu ting, storage, even apps as a service across a netw ork
n Logical extension of virtu alization becau se it u ses virtu alization as the base
for it fu nctionality.
l A mazon EC2 has thou sands of servers, millions of virtu al machines,
petabytes of storage available across the Internet, pay based on u sage
n M any types
l P u blic clou d – available via Internet to anyone w illing to pay
l P rivate clou d – ru n by a company for the company’s ow n u se
l H ybrid clou d – inclu des both pu blic and private clou d components
l Softw are as a Service (SaaS) – one or more applications available via
the Internet (i.e., w ord processor)
l P latform as a Service (P aaS) – softw are stack ready for application u se
via the Internet (i.e., a database server)
l Infrastru ctu re as a Service (IaaS) – servers or storage available over
Internet (i.e., storage available for backu p u se)

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 Computing Environments – Cloud Computing

n Clou d compu ting environments composed of traditional OSes,

plu s V M M s, plu s clou d management tools
l Internet connectivity req u ires secu rity like firew alls
l Load balancers spread traffic across mu ltiple applications

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 Computing Environments – Real-Time Embedded Systems

n R eal-time embedded systems most prevalent form of compu ters

l V ary considerable, special pu rpose, limited pu rpose OS, real-
time OS
l U se expanding
n M any other special compu ting environments as w ell
l Some have OSes, some perform tasks w ithou t an OS
n R eal-time OS has w ell-defined fixed time constraints
l P rocessing must be done w ithin constraint
l Correct operation only if constraints met

Operating System Concepts – 9th Edition 56 Silberschatz, Galvin and Gagne ©2013
 Open-Source Operating Systems

n Operating systems made available in sou rce-code format rather

than ju st binary closed-sou rce
n Cou nter to the copy protection and D igital R ights M anagement
(D R M ) movement
n Started by Free Softw are F ou ndation (F SF ), w hich has “copyleft”
GN U P u blic License (GP L)
n Examples inclu de GN U /Linu x and B SD U N IX (inclu ding core of
M ac OS X ), and many more
n Can u se V M M like V M w are P layer (Free on W indow s), V irtu albox
(open sou rce and free on many platforms -
[Link] w w .virtu [Link])
l U se to ru n gu est operating systems for exploration

Operating System Concepts – 9th Edition 57 Silberschatz, Galvin and Gagne ©2013
 End of Chapter 1

Operating System Concepts – 9th Edit9on Silberschatz, Galvin and Gagne ©2013