Chapter 1

Introducing Operating Systems

Understanding Operating Systems,

Fourth Edition
 Objectives
You will be able to describe:
• The basic role of an operating system
• The major operating system software subsystem
managers and their functions
• The types of machine hardware on which operating
systems run, and give at least one example of an
operating system for each of the following: PDAs,
microcomputers, minicomputers, mainframes,
workstations, and supercomputers

Understanding Operating Systems, Fourth Edi 2

 Objectives (continued)

Describe:
• The differences between the following types of
operating systems: batch, interactive, real-time,
hybrid, and embedded
• Multiprocessing and its impact on the evolution of
operating system software
• System architecture trends in current operating
systems

Understanding Operating Systems, Fourth Edi 3

 Understanding Operating Systems

“I think there is a world market for maybe five

computers.”—Thomas J. Watson (1874–1956;
chairman of IBM 1949–1956)

Understanding Operating Systems, Fourth Edi 4

 What is an Operating System?

• Operating System:
– Part of the computing system that manages all of the
hardware and software
– Controls every file, every device, every section of
main memory, and every nanosecond of processing
time
– Controls who can use the system and how
• Computer system consists of:
– Software (programs)
– Hardware (the physical machine and its electronic
components)

Understanding Operating Systems, Fourth Edi 5

 Operating System Software

• Essential managers of an operating system:

– Memory Manager
– Processor Manager
– Device Manager
– File Manager
• Each manager both works closely with the other
managers and performs its unique role
• User Command Interface is unique to each
operating system

Understanding Operating Systems, Fourth Edi 6

 Operating System Software
(continued)

Figure 1.1: Model of a non-networked operating system

Understanding Operating Systems, Fourth Edi 7

 Operating System Software
(continued)

• Each subsystem manager must perform the

following tasks:
– Monitor its resources continuously
– Enforce the policies that determine who gets what,
when, and how much
– Allocate the resource when it’s appropriate
– Deallocate the resource when appropriate

Understanding Operating Systems, Fourth Edi 8

 Operating System Software
(continued)

Figure 1.2: Subsystems managers at the base of a pyramid

Understanding Operating Systems, Fourth Edi 9

 Operating System Software
(continued)

• Memory Manager: In charge of main memory

(RAM)
• Responsibilities include:
– Preserves the space in main memory occupied by
the operating system
– Checks the validity of each request for memory
space
– Sets up a table to keep track of who is using which
section of memory in a multiuser environment
– Deallocates memory when the time comes to reclaim
the memory

Understanding Operating Systems, Fourth Edi 10

 Operating System Software
(continued)

• Processor Manager decides how to allocate the

central processing unit (CPU)
• Processor Manager has two levels of
responsibility:
– To handle jobs as they enter the system
• Handled by Job Scheduler
– To manage each process within those jobs
• Handled by Process Scheduler

Understanding Operating Systems, Fourth Edi 11

 Operating System Software
(continued)

• Device Manager monitors every device, channel,

and control unit
• Responsibilities include:
– Chooses the most efficient way to allocate all of the
system’s devices, printers, terminals, disk drives,
based on a scheduling policy
– Makes the allocation, starts its operation
– Deallocates the device

Understanding Operating Systems, Fourth Edi 12

 Operating System Software
(continued)

• File Manager keeps track of every file in the

system including data files, assemblers, compilers,
and application programs
• Responsibilities include:
– Enforces restrictions on who has access to which
files by using predetermined access
– Controls what users are allowed to do with files once
they access them
– Allocates the resource by opening the file and
deallocates it by closing the file

Understanding Operating Systems, Fourth Edi 13

 Operating System Software
(continued)

• Operating systems with networking capability have

a fifth essential manager called the Network
Manager
• Network Manager provides a convenient way for
users to share resources while controlling users’
access to them. The resources include:
– Hardware (such as CPUs, memory areas, printers,
tape drives, modems, and disk drives)
– Software (such as compilers, application programs,
and data files)

Understanding Operating Systems, Fourth Edi 14

 Operating System Software
(continued)

Figure 1.3: Model of a networked operating system

Understanding Operating Systems, Fourth Edi 15

 Machine Hardware

• Essential hardware components include:

– Memory chips
– Input/output devices
– Storage devices
– Central processing unit (CPU)

Understanding Operating Systems, Fourth Edi 16

 Machine Hardware (continued)

Figure 1.4: Computer system hardware configuration

Understanding Operating Systems, Fourth Edi 17

 Machine Hardware (continued)
• Until mid-1970s, computers were classified by
capacity and price
• A mainframe was a large machine—in size and in
internal memory capacity
– In 1964, IBM 360 model 30 required an air-
conditioned room (18 feet square) to house the CPU
– The CPU was five feet high and six feet wide, had an
internal memory of 64K
– A price tag of $200,000 in 1964 dollars.
– Applications limited to large computer centers

Understanding Operating Systems, Fourth Edi 18

 Machine Hardware (continued)

• Minicomputer was developed to meet the needs

of smaller institutions
• Digital Equipment Corporation marketed one of the
early minicomputers
• Price was less than $18,000
• Minicomputers are smaller in size and memory
capacity, and cheaper than mainframes.
• Today, computers that fall between
microcomputers and mainframes in capacity are
often called midrange computers

Understanding Operating Systems, Fourth Edi 19

 Machine Hardware (continued)

• Supercomputer was introduced for military

operations and weather forecasting
– Example: A Cray supercomputer with six to
thousands of processors performing up to 2.4 trillion
floating point operations per second (teraflops)
• Supercomputer’s uses include wide range of tasks
from scientific research to customer support and
product development

Understanding Operating Systems, Fourth Edi 20

 Machine Hardware (continued)

• Microcomputer was developed for single users in

the late 1970s
• Tandy Corporation and Apple Computer, Inc. were
the first to offer microcomputers
• These early models had very little memory by
today’s standards—64K maximum capacity
• The distinguishing characteristic of a
microcomputer is its single-user status

Understanding Operating Systems, Fourth Edi 21

 Machine Hardware (continued)

• Workstations: Most powerful microcomputers

used by commercial, educational, and government
enterprises
• Workstations are networked together and used to
support engineering and technical users who
perform:
– Massive mathematical computations
– Computer-aided design (CAD)
– Applications requiring powerful CPUs, large main
memory, and extremely high-resolution graphic
displays

Understanding Operating Systems, Fourth Edi 22

 Machine Hardware (continued)

• Advances in computer technology

– Dramatic changes in physical size, cost, and
memory capacity
– Networking is an integral part of modern computer
systems
– Delivering information to a mobile society, creating a
strong market for handheld devices
– Classified by processor capacity instead of memory
capacity
– Computing power rises exponentially — Moore’s
Law

Understanding Operating Systems, Fourth Edi 23

 Machine Hardware (continued)

Table 1.1: Different platforms and operating systems

Understanding Operating Systems, Fourth Edi 24

 Types of Operating Systems
(continued)

• Operating systems for computers fall into following

five categories:
– Batch
– Interactive
– Real-time
– Hybrid
– Embedded
• Distinguished by response time and how data is
entered into the system

Understanding Operating Systems, Fourth Edi 25

 Types of Operating Systems
(continued)
• Batch Systems:
– Relied on punched cards or tape for input in past
– Efficiency of the system was measured in throughput
• Interactive Systems:
– Gives a faster turnaround than batch systems but
are slower than the real-time systems
– Introduced for users who needed fast turnaround
when debugging their programs
– Operating system required the development of time
sharing software

Understanding Operating Systems, Fourth Edi 26

 Types of Operating Systems
(continued)
• Real-time systems:
– Fastest and used in time-critical environments
– Real-time systems are used for:
• Space flights, airport traffic control, high-speed aircraft
• Industrial processes
• Sophisticated medical equipment
• Distribution of electricity
• Telephone switching
– A real-time system must be 100 percent responsive,
100 percent of the time

Understanding Operating Systems, Fourth Edi 27

 Types of Operating Systems
(continued)

Figure 1.5: Computer interface box for the Apollo

spacecraft (1968)

Understanding Operating Systems, Fourth Edi 28

 Types of Operating Systems
(continued)
• Hybrid Systems:
– Combination of batch and interactive
– Accepts and runs batch programs in the background
when the interactive load is light
• Embedded Systems:
– Computers placed inside other products to add
features and capabilities
– Operating systems with small kernel and flexible
functions capabilities will have potential for
embedded system

Understanding Operating Systems, Fourth Edi 29

 Brief History of Operating Systems
Development
• 1940s:
– Computers based on vacuum tube technology
– No standard operating system software
– Typical program included every instruction needed
by the computer to perform the tasks requested
– Machines were poorly utilized
• CPU processed data and made calculations for only a
fraction of the available time
– Early programs were designed to use the resources
conservatively at the expense of understandability

Understanding Operating Systems, Fourth Edi 30

 Brief History of Operating Systems
Development (continued)

Figure 1.6: Remains of the first computer “bug,” a moth

Understanding Operating Systems, Fourth Edi 31

 Brief History of Operating Systems
Development (continued)

• 1950s:
– Placed importance on cost effectiveness
– Computers were still very expensive
• IBM 7094 was priced at $200,000
– Two improvements were widely adopted
• Computer operators were hired to facilitate each
machine’s operation
• Concept of job scheduling—groups together programs
with similar requirements
– Expensive time lags between CPU and I/O devices

Understanding Operating Systems, Fourth Edi 32

 Brief History of Operating Systems
Development (continued)

Figure 1.7: The IBM 650 Magnetic Drum Data Processing

System Machine

Understanding Operating Systems, Fourth Edi 33

 Brief History of Operating Systems
Development (continued)
• Factors that improved the performance of CPU:
– Speed of I/O devices like tape drives, disks, and
drums gradually became faster
– Records were blocked before they were retrieved or
stored
– Access methods were developed and added to
object code by the linkage editor
– Buffer was introduced between I/O and the CPU to
reduce the discrepancy in speed
– Timer interrupts were developed to allow job-sharing

Understanding Operating Systems, Fourth Edi 34

 Brief History of Operating Systems
Development (continued)

• 1960s:
– Faster CPUs, but their speed caused problems
– Multiprogramming was introduced, which allowed
loading many programs at one time
– Program scheduling, which was begun with second-
generation systems, continued at this time
– Few advances were made in data management
– Total operating system was customized to suit user’s
needs

Understanding Operating Systems, Fourth Edi 35

 Brief History of Operating Systems
Development (continued)

• 1970s:
– Faster CPUs, but their speed caused problems
– Multiprogramming schemes to increase CPU use
were limited by physical capacity of main memory
• Development of virtual memory to solve physical
limitation issue
– Database management software became a popular
tool
– A number of query systems were introduced
– Programs started using English-like words, modular
structures, and standard operations

Understanding Operating Systems, Fourth Edi 36

 Brief History of Operating Systems
Development (continued)

Figure 1.8: Cray I supercomputer, introduced in 1976

Understanding Operating Systems, Fourth Edi 37

 Brief History of Operating Systems
Development (continued)

• 1980s:
– Improvement in the cost/performance ratio of
computer components
– Hardware became more flexible
– Introduction of multiprocessing, which allowed
executing programs in parallel
– Evolution of personal computers and high-speed
communications
– Introduction of distributed processing and
networked systems

Understanding Operating Systems, Fourth Edi 38

 Brief History of Operating Systems
Development (continued)

• 1990s:
– Demand for Internet capability sparked the
proliferation of networking capability
– Increased networking also created increased
demand for tighter security to protect hardware and
software
– Multimedia applications, demanding additional
power, flexibility, and device compatibility for most
operating systems

Understanding Operating Systems, Fourth Edi 39

 Brief History of Operating Systems
Development (continued)

Figure 1.9: Linked information system by Tim Berners-Lee

Understanding Operating Systems, Fourth Edi 40

 Current Operating Systems

• Primary design features of current operating

systems are based on providing support for
– Multimedia applications
– Internet and Web access
– Client/server computing
• Computer systems are required to have
– Increased CPU speed
– High-speed network attachments
– Increased number and variety of storage devices

Understanding Operating Systems, Fourth Edi 41

 System Architecture

• Improvements in system architecture

– Use of object-oriented design
• Possible to modify and customize pieces of an
operating system without disrupting the integrity of the
remainder of the system
• Makes software development groups more productive
– Reorganization of the operating system’s kernel
• Limited to a few essential functions

Understanding Operating Systems, Fourth Edi 42

 System Architecture (continued)

Figure 1.10: (a) Early operating systems; (b) & (c) Modern
object-oriented systems

Understanding Operating Systems, Fourth Edi 43

 Threads

• Thread: A portion of a program that can run

independently of other portions
– The heavyweight process which owns the resources
becomes a more passive element
– Thread becomes the element that uses the CPU and
is scheduled for execution
– Swapping threads is less time consuming than
swapping processes
• Multithreaded applications programs can have
several threads running at one time with the same
or different priorities

Understanding Operating Systems, Fourth Edi 44

 Multiprocessing Configurations

• Symmetric multiprocessing:
– Allows for several CPUs to process multiple jobs at
the same time
– CPUs are independent of one another, but each has
access to the operating system
• Asymmetric multiprocessing:
– Some operating systems functions are assigned to
subordinate processors, which take their instructions
from the main CPU

Understanding Operating Systems, Fourth Edi 45

 Multiprocessing Configurations
(continued)

Figure 1.11: Symmetric multiprocessing system

with five processors

Understanding Operating Systems, Fourth Edi 46

 Multiprocessing Configurations
(continued)

• Network PCs gave impetus to the concept of

distributed processing
– Processors are placed at remote locations and are
connected to each other via telecom devices
– Different from symmetric multiprocessing systems as
they do not share memory
– Computations can be dispersed among several
processors
– Overall capability of the computer system is
maximized

Understanding Operating Systems, Fourth Edi 47

 Summary
• Operating System manages all of the hardware
and software of a computer system
• Each manager of an OS both works closely with
the other managers and performs its unique role
• Operating systems with networking capability have
Network Manager
• Essential hardware components include memory
chips, I/O, storage devices and CPU
• Until mid-1970s, computers were classified by
capacity and price

Understanding Operating Systems, Fourth Edi 48

 Summary (continued)
• Computing power has been rising exponentially—
Moore’s Law
• Dramatic changes in physical size, cost, and
memory capacity with time
• Networking has become an integral part of modern
computer systems
• Delivering information to a mobile society, creating
a strong market for handheld devices
• Operating systems fall into following five
categories: batch, interactive, real-time, hybrid and
embedded

Understanding Operating Systems, Fourth Edi 49

 Summary (continued)

• Use of object-oriented design improved the system

architecture
• Symmetric multiprocessing allows for several
CPUs to process multiple jobs at the same time
• Network PCs gave impetus to the concept of
distributed processing

Understanding Operating Systems, Fourth Edi 50