Operating Systems - Introduction

Chapter 1: Introduction
Operating System Concepts – 9th Edit9on Silberschatz, Galvin and Gagne ©2013
Chapter 1: Introduction
● What Operating Systems Do
● Computer-System Organization
● Computer-System Architecture
● Operating-System Structure
● Operating-System Operations
● Process Management
● Memory Management
● Storage Management
● Protection and Security
● Kernel Data Structures
● Computing Environments
● Open-Source Operating Systems
Operating System Concepts – 9th Edition 1.2 Silberschatz, Galvin and Gagne ©2013
Objectives
● To describe the basic organization of computer systems

● To provide a grand tour of the major components of operating
systems
● To give an overview of the many types of computing
environments
● To explore several open-source operating systems
What is an Operating System?
● A program that acts as an intermediary between a user of a computer

and the computer hardware
● Operating system goals:
● Execute user programs and make solving user problems easier
● Make the computer system convenient to use
● Use the computer hardware in an efficient manner
Computer System Structure
● Computer system can be divided into four components:

● Hardware – provides basic computing resources
4 CPU, memory, I/O devices
● Operating system
4 Controls and coordinates use of hardware among various
applications and users
● Application programs – define the ways in which the system
resources are used to solve the computing problems of the users
4 Word processors, compilers, web browsers, database systems,
video games
● Users
4 People, machines, other computers
Four Components of a Computer System
What Operating Systems Do
● Depends on the point of view : User View & System View

User View
● Users want convenience, ease of use and good performance
● Don’t care about resource utilization
● But shared computer such as mainframe or minicomputer must keep all users
happy
● Users of dedicate systems such as workstations have dedicated resources but
frequently use shared resources from servers
● Handheld computers are resource poor, optimized for usability and battery life
● Some computers have little or no user interface, such as embedded computers in
devices and automobiles
Operating System Definition
System View:
● OS is a resource allocator
● Manages all resources
● Decides between conflicting requests for efficient and fair
resource use
● OS is a control program
● Controls execution of programs to prevent errors and
improper use of the computer
● Emphasizes the need to control the various I/O devices and
user programs
Operating System Definition (Cont.)
● No universally accepted definition

● “Everything a vendor ships when you order an operating system” is a good
approximation
● But varies wildly
● “The one program running at all times on the computer” is the kernel.
● Everything else is either
● a system program (ships with the operating system) , or
● an application program.
● Mobile operating systems often include not only a core kernel
but also middleware—a set of software frameworks that provide additional
services to application developers.
Computer Startup
● bootstrap program is loaded at power-up or reboot

● Typically stored in ROM or EPROM, generally known as firmware
● Initializes all aspects of system
● Loads operating system kernel and starts execution
● The bootstrap program is loaded into memory from the disk by the
system's ROM during the first stage of the loading process.
● The bootstrap program initializes the CPU, installs banks, and launches
the debug agent.
● It also discovers existing RAM and builds the initial kernel virtual address
space and device tree.
● The kernel is loaded by the bootstrap program and performs memory tests
to determine how much RAM is available.
● The kernel then identifies and configures devices, initializes the system,
and starts system processes
1.2 Computer System Organization
● Computer-system operation
● One or more CPUs, device controllers connect through common bus
providing access to shared memory
● Concurrent execution of CPUs and devices competing for memory
cycles
Computer System Organization
● Computer-system operation
● Once the kernel is loaded and executing, it can start providing services
to the system and its users.
● Some services are provided outside of the kernel, by system programs
that are loaded into memory at boot time to become system processes, or
system daemons that run the entire time the kernel is running.
● On UNIX,the first system process is “init,” and it starts many other
daemons.
● Once this phase is complete, the system is fully booted, and the system
waits for some event to occur.
1.2.1 Computer-System Operation
● I/O devices and the CPU can execute concurrently

● Each device controller is in charge of a particular device type
● Each device controller has a local buffer
● CPU moves data from/to main memory to/from local buffers
● I/O is from the device to local buffer of controller
● Device controller informs CPU that it has finished its operation by
causing an interrupt
● The occurrence of an event is usually signaled by an interrupt from
either the hardware or the software.
● Hardware may trigger an interrupt at any time by sending a signal
to the CPU, usually by way of the system bus.
● Software may trigger an interrupt by executing a special operation
called a system call (also called a monitor call).
1.2.1 Common Functions of Interrupts
● Interrupt transfers control to the interrupt service routine

generally, through the interrupt vector, which contains the
addresses of all the service routines
● Interrupt architecture must save the address of the interrupted
instruction
● A trap or exception is a software-generated interrupt caused
either by an error or a user request
● An operating system is interrupt driven
1.2.2 Interrupt Handling
● The operating system preserves the state of the CPU by storing

registers and the program counter
● Determines which type of interrupt has occurred:
● polling
● vectored interrupt system
● Separate segments of code determine what action should be taken
for each type of interrupt
Interrupt Timeline
Storage Definitions and Notation Review
The basic unit of computer storage is the bit. A bit can contain one of two
values, 0 and 1. All other storage in a computer is based on collections of bits.
Given enough bits, it is amazing how many things a computer can represent:
numbers, letters, images, movies, sounds, documents, and programs, to name
a few. A byte is 8 bits, and on most computers it is the smallest convenient
chunk of storage. For example, most computers don’t have an instruction to
move a bit but do have one to move a byte. A less common term is word,
which is a given computer architecture’s native unit of data. A word is made up
of one or more bytes. For example, a computer that has 64-bit registers and
64-bit memory addressing typically has 64-bit (8-byte) words. A computer
executes many operations in its native word size rather than a byte at a time.
Computer storage, along with most computer throughput, is generally measured

and manipulated in bytes and collections of bytes.
A kilobyte, or KB, is 1,024 bytes
a megabyte, or MB, is 1,0242 bytes
a gigabyte, or GB, is 1,0243 bytes
a terabyte, or TB, is 1,0244 bytes
a petabyte, or PB, is 1,0245 bytes
Computer manufacturers often round off these numbers and say that a
megabyte is 1 million bytes and a gigabyte is 1 billion bytes. Networking
measurements are an exception to this general rule; they are given in bits
(because networks move data a bit at a time).
1.2.3 Storage Structure
● Main memory – only large storage media that the CPU can access directly
● Random access
● Typically volatile
● Secondary storage – extension of main memory that provides large nonvolatile storage
capacity
● Hard disks – rigid metal or glass platters covered with magnetic recording material
● Disk surface is logically divided into tracks, which are subdivided into sectors
● The disk controller determines the logical interaction between the device and the computer
● Solid-state disks – faster than hard disks, nonvolatile
● Various technologies
● Becoming more popular
● Another form of nonvolatile storage is NVRAM, which is DRAM with battery backup power.
● This memory can be as fast as DRAM and (as long as the battery lasts) is nonvolatile.
1.2.3 Storage Hierarchy
● Storage systems organized in hierarchy
● Speed
● Cost
● Volatility
● Caching – copying information into faster storage system; main memory can be
viewed as a cache for secondary storage
● Device Driver for each device controller to manage I/O
● Provides uniform interface between controller and kernel
● Ideally, we want the programs and data to reside in main memory permanently.
This arrangement usually is not possible for the following two
● reasons:
● 1. Main memory is usually too small to store all needed programs and data
permanently.
● 2. Main memory is a volatile storage device that loses its contents when
power is turned off or otherwise lost.
Storage-Device Hierarchy
Caching
● Important principle, performed at many levels in a computer (in

hardware, operating system, software)
● Information in use copied from slower to faster storage
temporarily
● Faster storage (cache) checked first to determine if information is
there
● If it is, information used directly from the cache (fast)
● If not, data copied to cache and used there
● Cache smaller than storage being cached
● Cache management important design problem
● Cache size and replacement policy
1.2.4 I/O Structure
● A general-purpose computer system consists of CPUs and multiple device
controllers that are connected through a common bus.
● Each device controller is in charge of a specific type of device.
● Depending on the controller, more than one device may be attached.
● For instance, seven or more devices can be attached to the small
computer-systems interface (SCSI) controller.
● A device controller maintains some local buffer storage and a set of
special-purpose registers.
● The device controller is responsible for moving the data between the peripheral
devices that it controls and its local buffer storage.
● Typically, operating systems have a device driver for each device controller.
● This device driver understands the device controller and provides the rest of
the operating system with a uniform interface to the device.
I/O Structure
● To s t a r t an I/O operation, the device driver loads the appropriate registers within
the device controller.
● The device controller, in turn, examines the contents of these registers to determine
what action to take (such as “read a character from the keyboard”).
● The controller starts the transfer of data from the device to its local buffer.
● Once the transfer of data is complete, the device controller informs the device driver
via an interrupt that it has finished its operation.
● The device driver then returns control to the operating system, possibly returning the
data or a pointer to the data if the operation was a read.
● For other operations, the device driver returns status information.
● This form of interrupt-driven I/O is fine for moving small amounts of data but can
produce high overhead when used for bulk data movement such as disk I/O.
I/O Structure
● This form of interrupt-driven I/O is fine for moving small amounts of data but can
produce high overhead when used for bulk data movement such as disk
● I/O.
● To solve this problem, direct memory access (DMA) is used.
● After setting up buffers, pointers, and counters for the I/O device, the device
controller transfers an entire block of data directly to or from its own buffer storage
to memory, with no intervention by the CPU.
● Only one interrupt is generated per block, to tell the device driver that the operation
has completed, rather than the one interrupt per byte generated for low-speed devices.
● While the device controller is performing these operations, the CPU is available to
accomplish other works
Direct Memory Access Structure
● After setting up buffers, pointers, and counters for the I/O device, the device
controller transfers an entire block of data directly to or from its own buffer
storage to memory, with no intervention by the CPU.
● Only one interrupt is generated per block, to tell the device driver that the
operation has completed, rather than the one interrupt per byte generated for
low-speed devices.
● While the device controller is performing these operations, the CPU is available
to accomplish other work.
● Used for high-speed I/O devices able to transmit information at close to
memory speeds
● Device controller transfers blocks of data from buffer storage directly to main
memory without CPU intervention
● Only one interrupt is generated per block, rather than the one interrupt per byte
How a Modern Computer Works
A von Neumann architecture
1. 3 Computer-System Architecture
● Most systems use a single general-purpose processor
● Most systems have special-purpose processors as well
● They may come in the form of device-specific processors, such as disk, keyboard, and
graphics controllers; or, on mainframes, they may come in the form of more
general-purpose processors, such as I/O processors that move data rapidly among the
components of the system.
● All of these special-purpose processors run a limited instruction set and do not run user
processes.
● Sometimes, they are managed by the operating system, in that the operating system
sends them information about their next task and monitors their status.
4 For example, a disk-controller microprocessor receives a sequence of requests from
the main CPU and implements its own disk queue and scheduling algorithm.
● This arrangement relieves the main CPU of the overhead of disk scheduling.
● PCs contain a microprocessor in the keyboard to convert the keystrokes into codes to
be sent to the CPU
Computer-System Architecture
● Multiprocessors systems growing in use and importance (also known as parallel
systems or multicore systems)
● Also known as parallel systems, tightly-coupled systems
● Advantages include:
1. Increased throughput
4 By increasing the number of processors, we expect to get more work done in
less time.
4 The speed-up ratio with N processors is not N, however; rather, it is less than
N.
4 When multiple processors cooperate on a task, a certain amount of overhead is
incurred in keeping all the parts working correctly.
4 This overhead, plus contention for shared resources, lowers the expected gain
from additional processors.
4 Similarly, N programmers working closely together do not produce N times the
amount of work a single programmer would produce.
● Multiprocessors
● Advantages include:
2. Economy of scale:
4Multiprocessor systems can cost less than equivalent multiple single-processor
systems, because they can share peripherals, mass storage, and power supplies.
4If several programs operate on the same set of data, it is cheaper to store those data
on one disk and to have all the processors share them than to have many computers
with local disks and many copies of the data.
3. Increased reliability – graceful degradation or fault tolerance
4If functions can be distributed properly among several processors, then the failure
of one processor will not halt the system, only slow it down.
4If we have ten processors and one fails, then each of the remaining nine processors
can pick up a share of the work of the failed processor. Thus, the entire system runs
only 10 percent slower, rather than failing altogether.
● Multiprocessors
● Two types:
1. Asymmetric Multiprocessing – each processor is assigned a specific task.
– A boss processor controls the system; the other processors either
– look to the boss for instruction or have predefined tasks. This scheme defines
a boss–worker relationship.
– The boss processor schedules and allocates work to the worker processors.
2. Symmetric Multiprocessing [SMP]– each processor performs all tasks
– SMP means that all processors are peers; no boss–worker relationship exists
between processors.
– Each processor has its own set of registers, as well as a private—or local
—cache.
– However, all processors share physical memory. An example of an
– SMP system is AIX, a commercial version of UNIX designed by IBM
Symmetric Multiprocessing Architecture
• Multiprocessing adds CPUs to increase computing power.

• If the CPU has an integrated memory controller, then adding CPUs can
also increase the amount of memory addressable in the system.
• Either way, multiprocessing can cause a system to change its memory
access model from uniform memory access (UMA) to non-uniform
memory access(NUMA).
A Dual-Core Design
● A recent trend in CPU design is to include multiple computing cores on a single chip.
● Such multiprocessor systems are termed multicore.
● They can be more efficient than multiple chips with single cores because on-chip communication is faster
than between-chip communication.
● In addition, one chip with multiple cores uses significantly less power than multiple
single-core chips.
● Each core has its own register set as well as its own local cache.
● Other designs might use a shared cache or a combination of local and shared caches.
● Aside from architectural considerations, such as cache, memory, and bus contention,
these multicore CPUs appear to the operating system as N standard processors.
● This characteristic puts pressure on operating system designers—and application
programmers—to make use of those processing cores.
A Dual-Core Design
● Finally, blade servers are a relatively recent development in which multiple processor
boards, I/O boards, and networking boards are placed in the same chassis.
● The difference between these and traditional multiprocessor systems is that each
blade-processor board boots independently and runs its own operating system.
● Some blade-server boards are multiprocessor as well, which blurs the lines between types
of computers. In essence, these servers consist of multiple independent multiprocessor
systems.
Clustered Systems
● Like multiprocessor systems, but multiple systems working together
● Usually sharing storage via a storage-area network (SAN)
● Loosely coupled : Each node may be a single processor system or a multicore
● system.
● Provides a high-availability service which survives failures
4 Asymmetric clustering has one machine in hot-standby mode
– The hot-standby host machine does nothing but monitor the active server.
– If that server fails, the hot-standby host becomes
– the active server.
4 Symmetric clustering has multiple nodes running applications, monitoring each
other
● Some clusters are for high-performance computing (HPC)
4 Applications must be written to use parallelization
● Some have distributed lock manager (DLM) to avoid conflicting operations
Clustered Systems
• Other forms of clusters:

• Parallel clusters allow multiple hosts to access the same data on
shared storage
1.4 Operating System Structure
● Multiprogramming (Batch system) needed for efficiency
● Single user cannot keep CPU and I/O devices busy at all times
● Multiprogramming organizes jobs (code and data) so CPU always has one to execute
● A subset of total jobs in system is kept in memory
● One job selected and run via job scheduling
● When it has to wait (for I/O for example), OS switches to another job
● Timesharing (multitasking) is logical extension in which CPU switches jobs so

frequently that users can interact with each job while it is running, creating interactive
computing
● Response time should be < 1 second
● Each user has at least one program executing in memory process
● If several jobs ready to run at the same time CPU scheduling
● If processes don’t fit in memory, swapping moves them in and out to run
● Virtual memory allows execution of processes not completely in memory
● Multiprogramming (Batch system) needed for efficiency
● Single user cannot keep CPU and I/O devices busy at all times
● Multiprogramming organizes jobs (code and data) so CPU always has one to execute
● A subset of total jobs in system is kept in memory
● One job selected and run via job scheduling
● When it has to wait (for I/O for example), OS switches to another job
● Since, in general, main memory is too small to accommodate all jobs, the jobs are kept initially on
the disk in the job pool.
● This pool consists of all processes residing on disk awaiting allocation of main memory
● The set of jobs in memory can be a subset of the jobs kept in the job pool.
● The operating system picks and begins to execute one of the jobs in memory.
● Eventually, the job may have to wait for some task, such as an I/O operation, to complete.
● In a non-multiprogrammed system, the CPU would sit idle.
● In a multiprogrammed system, the operating system simply switches to, and executes, another job.
When that job needs to wait, the CPU switches to another job, and so on.
● Time sharing and multiprogramming require that several jobs be kept simultaneously in
memory.
● If several jobs are ready to be brought into memory, and if there is not enough room for all
of them, then the system must choose among them - Making this decision involves job
scheduling, When the operating system selects a job from the job pool, it loads that job into
memory for execution.
● Having several programs in memory at the same time requires some form of memory
management.
● In addition, if several jobs are ready to run at the same time, the system must choose which
job will run first. Making this decision is CPU scheduling
Memory Layout for Multiprogrammed System
Operating-System Operations
● If there are no processes to execute, no I/O devices to service, and no users to
whom to respond, an operating system will sit quietly, waiting for something to
happen.
● Events are almost always signaled by the occurrence of an interrupt or a trap.
● A trap (or an exception) is a software-generated interrupt caused either by an error
(for example, division by zero or invalid memory access) or by a specific request
from a user program that an operating-system service be performed.
● The interrupt-driven nature of an operating system defines that system’s general
structure.
● For each type of interrupt, separate segments of code in the operating system
determine what action should be taken.
● Since the operating system and the users share the hardware and software
resources of the computer system, we need to make sure that an error in a user
program could cause problems only for the one program running.
Operating-System Operations (cont.)
● In order to ensure the proper execution of the operating system, we must be able to
distinguish between the execution of operating-system code and user-defined code.
● The approach taken by most computer systems is to provide hardware support that
allows us to differentiate among various modes of execution.
● Dual-mode operation allows OS to protect itself and other system components
● User mode and kernel mode - also called supervisor mode, system mode,or
privileged mode
● Mode bit provided by hardware
4 Provides ability to distinguish when system is running user code or kernel
code
4 Some instructions designated as privileged, only executable in kernel
mode
4 System call changes mode to kernel, return from call resets it to user
● Increasingly CPUs support multi-mode operations
● i.e. virtual machine manager (VMM) mode for guest VMs
Transition from User to Kernel Mode
● Timer to prevent infinite loop / process hogging resources
● Timer is set to interrupt the computer after some time period
● Keep a counter that is decremented by the physical clock.
● Operating system set the counter (privileged instruction)
● When counter zero generate an interrupt
● Set up before scheduling process to regain control or terminate program
that exceeds allotted time
Process Management
● A process is a program in execution. It is a unit of work within the
system. Program is a passive entity, process is an active entity.
● Process needs resources to accomplish its task
● CPU, memory, I/O, files
● Initialization data
● Process termination requires reclaim of any reusable resources
● Single-threaded process has one program counter specifying location
of next instruction to execute
● Process executes instructions sequentially, one at a time, until
completion
● Multi-threaded process has one program counter per thread
● Typically system has many processes, some user, some operating system
running concurrently on one or more CPUs
● Concurrency by multiplexing the CPUs among the processes /
threads
Process Management Activities
The operating system is responsible for the following activities in connection

with process management:
● Creating and deleting both user and system processes
● Suspending and resuming processes
● Providing mechanisms for process synchronization
● Providing mechanisms for process communication
● Providing mechanisms for deadlock handling
Memory Management
● To execute a program all (or part) of the instructions must be in

memory
● All (or part) of the data that is needed by the program must be in
memory.
● Memory management determines what is in memory and when
● Optimizing CPU utilization and computer response to users
● Memory management activities
● Keeping track of which parts of memory are currently being used
and by whom
● Deciding which processes (or parts thereof) and data to move into
and out of memory
● Allocating and deallocating memory space as needed
Storage Management
● OS provides uniform, logical view of information storage
● Abstracts physical properties to logical storage unit - file
● Each medium is controlled by device (i.e., disk drive, tape drive)
4 Varying properties include access speed, capacity, data-transfer
rate, access method (sequential or random)
● File-System management
● Files usually organized into directories
● Access control on most systems to determine who can access what
● OS activities include
4 Creating and deleting files and directories
4 Primitives to manipulate files and directories
4 Mapping files onto secondary storage
4 Backup files onto stable (non-volatile) storage media
Mass-Storage Management
● Usually disks used to store data that does not fit in main memory or data that
must be kept for a “long” period of time
● Proper management is of central importance
● Entire speed of computer operation hinges on disk subsystem and its
algorithms
● OS activities
● Free-space management
● Storage allocation
● Disk scheduling
● Some storage need not be fast
● Tertiary storage includes optical storage, magnetic tape
● Still must be managed – by OS or applications
● Varies between WORM (write-once, read-many-times) and RW
(read-write)
Performance of Various Levels of Storage
Movement between levels of storage hierarchy can be explicit or implicit
Migration of data “A” from Disk to Register
● Multitasking environments must be careful to use most recent value, no

matter where it is stored in the storage hierarchy
● Multiprocessor environment must provide cache coherency in hardware

such that all CPUs have the most recent value in their cache
● Distributed environment situation even more complex
● Several copies of a datum can exist
● Various solutions covered in Chapter 17
I/O Subsystem
● One purpose of OS is to hide peculiarities of hardware devices from the
user
● I/O subsystem responsible for
● Memory management of I/O including buffering (storing data
temporarily while it is being transferred), caching (storing parts of
data in faster storage for performance), spooling (the overlapping of
output of one job with input of other jobs)
● General device-driver interface
● Drivers for specific hardware devices
Protection and Security
● Protection – any mechanism for controlling access of processes or users to

resources defined by the OS
● Security – defense of the system against internal and external attacks
● Huge range, including denial-of-service, worms, viruses, identity theft,
theft of service
● Systems generally first distinguish among users, to determine who can do
what
● User identities (user IDs, security IDs) include name and associated
number, one per user
● User ID then associated with all files, processes of that user to determine
access control
● Group identifier (group ID) allows set of users to be defined and
controls managed, then also associated with each process, file
● Privilege escalation allows user to change to effective ID with more
rights
Kernel Data Structures
● Many similar to standard programming data structures

● Singly linked list
● Doubly linked list
● Circular linked list
● Binary search tree

left <= right
● Search performance is O(n)
● Balanced binary search tree is O(lg n)
● Hash function can create a hash map
● Bitmap – string of n binary digits representing the status of n items

● Linux data structures defined in
include files <linux/list.h>, <linux/kfifo.h>,
<linux/rbtree.h>
End of Chapter 1
Operating System Concepts – 9th Edit9on Silberschatz, Galvin and Gagne ©2013

Operating Systems - Introduction

Uploaded by

Operating Systems - Introduction

Uploaded by

Chapter 1: Introduction

● To describe the basic organization of computer systems

● A program that acts as an intermediary between a user of a computer

● Computer system can be divided into four components:

● Depends on the point of view : User View & System View

● No universally accepted definition

● bootstrap program is loaded at power-up or reboot

● I/O devices and the CPU can execute concurrently

● Interrupt transfers control to the interrupt service routine

● The operating system preserves the state of the CPU by storing

Computer storage, along with most computer throughput, is generally measured

● Important principle, performed at many levels in a computer (in

A von Neumann architecture

• Multiprocessing adds CPUs to increase computing power.

• Other forms of clusters:

● Timesharing (multitasking) is logical extension in which CPU switches jobs so

The operating system is responsible for the following activities in connection

● To execute a program all (or part) of the instructions must be in

Movement between levels of storage hierarchy can be explicit or implicit

● Multitasking environments must be careful to use most recent value, no

● Multiprocessor environment must provide cache coherency in hardware

● Protection – any mechanism for controlling access of processes or users to

● Many similar to standard programming data structures

● Doubly linked list

● Circular linked list

● Binary search tree

● Hash function can create a hash map

● Bitmap – string of n binary digits representing the status of n items

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