Operating Systems

Operating Systems

1.2
Operating Systems

1.3
 Course Objective
 This course is an introductory course in
operating systems (OS), focusing on the core
concepts of operating systems.
 Processes and Threads
 Memory Management
 Storage and File Systems
 I/O Systems
 Establish a foundation for building higher-
level programs
 How to optimize programs
 How to debug large systems
 How to deal with complexity

1.4
 Logistics

 Lectures
 Friday 10:35-12:00, 24-404
 Instructor
 Asso. Prof. Xiangbin Zhu

 Course Web Page(在线教学平台）

 Assignments, lectures, and other supplemental materials will
be on the web site

1.5
 Administrative
 Course has five components
 Lectures
 Homework
 Experiments
 Projects
 Quizzes

 Textbook
 Silberschatz, Galvin & Gagne
 Operating System Concepts, 7th/9th ed.

1.6
 Grading

 Grading Policy Breakdown

 Homework - 15% of the final grade
 Experiments(Linux) - 15% of the final grade
 Projects – 10% of the final grade
 Final exam - 50% of the final grade
 Participation- 5% of the final grade
 Quizzes- 5% of the final grade

1.7
 Chapter 1: Introduction
 What Operating Systems Do
 Computer-System Organization
 Operating-System Structure
 Operating-System Operations
 Computing Environments
 Open-Source Operating Systems

1.8
 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

Note: most of the slides and/or pictures in the following are

adapted from slides ©2013 Silberschatz, Galvin, and Gagne.

1.9
 Computer System Structure

 Computer system can be divided into four

components:
 Hardware – provides basic computing resources
 CPU, memory, I/O devices
 Operating system
 Application programs – define the ways in which the
system resources are used to solve the computing
problems of the users
 Word processors, compilers, web browsers, database
systems, video games
 Users
 People, machines, other computers

1.10
 Abstract View of System

User
1 User User User
2 3 ... n

compiler assembler Text editor Database

system
System and Application Programs

Operating System

Computer
Hardware

1.11
 What is an Operating System?
 Definition has changed over years
 Originally, very bare bones
 Now, includes more and more
 Operating System(OS)
 Interface between the user and the architecture
 Implements a virtual machine that is hopefully easier to
program than raw 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
 Make application software portable and versatile
 Provide isolation, security and protection among user programs
 Improve overall system reliability
1.12
Top-Level View of an OS

1.13
 OS Provides Abstraction

APP: • Easy to program Apps

• No more hardware details for
printf(“%s”, str); programmers
• Reusable functionality
System Call • Portable
Write to STDOUT • OS interfaces are consistent.
The App does not change
Operating System when hardware changes.

Device Driver

Graphics Card

1.14
 Operating System Definition

 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.
1.15
 What Operating Systems Do
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

1.16
 What Operating Systems Do
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

1.17
OS is a resource allocator

1.18
 Operating System Spectrum

 Monitors and Small Kernels

 special purpose and embedded systems, real-time systems

 Batch and multiprogramming

 Timesharing
 workstations, servers, minicomputers

 Transaction systems
 Personal Computing Systems
 Mobile Platforms, devices (of all sizes)

1.19
 Early Systems - Bare Machine (1950s)

Hardware – expensive ; Human – cheap

 Structure
 Large machines run from console
 Single user system
– Programmer/User as operator
 Paper tape or punched cards

 Early software
 Assemblers, compilers, linkers, loaders, device drivers, libraries of
common subroutines.

 Secure execution
 Inefficient use of expensive resources
 Low CPU utilization, high setup time.

1.20
punch card

1.21
1.22
 Simple Batch Systems (1960’s)
 Reduce setup time by batching jobs with similar requirements.
 Add a card reader, Hire an operator
 User is NOT the operator
 Automatic job sequencing
 Forms a rudimentary OS.

 Resident Monitor From John Ousterhout slides

 Holds initial control, control transfers to job and then back to

monitor.
 Problem
 Need to distinguish job from job and data from program.

1.23
 Supervisor/Operator Control
 Secure monitor that controls job processing
 Special cards indicate what to do.
 User program prevented from performing I/O
 Separate user from computer
 User submits card deck IBM 7094
 cards put on tape
 tape processed by operator
 output written to tape
 tape printed on printer
 Problems
 Long turnaround time - up to 2 DAYS!!!
 Low CPU utilization
– I/O and CPU could not overlap; slow mechanical devices.

1.24
 Batch Systems - Issues
 Solutions to speed up I/O:
 Offline Processing
 load jobs into memory from tapes, card reading and line
printing are done offline.
 Spooling
 Use disk (random access device) as large storage for reading
as many input files as possible and storing output files until
output devices are ready to accept them.
 Allows overlap - I/O of one job with computation of another.
 Introduces notion of a job pool that allows OS choose next job
to run so as to increase CPU utilization.

1.25
1.26
 Batch Systems - I/O completion

 How do we know that I/O is complete?

 Polling:
Device sets a flag when it is busy.
Program tests the flag in a loop waiting for
completion of I/O.
 Interrupts:
On completion of I/O, device forces CPU to jump to
a specific instruction address that contains the
interrupt service routine.
After the interrupt has been processed, CPU
returns to code it was executing prior to servicing
the interrupt.
1.27
 Multiprogramming

 Use interrupts to run multiple programs

simultaneously
When a program performs I/O, instead of
polling, execute another program till
interrupt is received.
 Requires secure memory, I/O for each program.
 Requires intervention if program loops
indefinitely.
 Requires CPU scheduling to choose the next job
to run.

1.28
IBM/360

1.29
 Example: Uniprogramming
(only one program running on the system)

What is the CPU Utilization?

1.30
 Example: Multiprogramming
(multiple programs simultaneously running)

1.31
 Timesharing
Hardware – getting cheaper; Human – getting expensive
 Programs queued for execution in FIFO order.
 Like multiprogramming, but timer device interrupts after
a quantum (timeslice).
 Interrupted program is returned to end of FIFO
 Next program is taken from head of FIFO

 Control card interpreter replaced by command language

interpreter.

1.32
 Timesharing (cont.)

 Interactive (action/response)
 when OS finishes execution of one command, it seeks the next
control statement from user.
 File systems
 online filesystem is required for users to access data and code.

 Virtual memory
 Job is swapped in and out of memory to disk.

1.33
 Personal Computing Systems
Hardware – cheap ; Human – expensive

 Single user systems, portable.

 I/O devices - keyboards, mice, display screens, small
printers.
 Laptops and palmtops, Smart cards, Wireless devices.
 Single user systems may not need advanced CPU
utilization or protection features.
 Advantages:
 user convenience, responsiveness, ubiquitous

1.34
 Parallel Systems

 Multiprocessor systems with more than one CPU in

close communication.
 Improved throughput, economical, increased reliability.
 Kinds:
– Vector and pipelined
– Symmetric and asymmetric multiprocessing
– Distributed memory vs. shared memory

 Programming models:
– Tightly coupled vs. loosely coupled ,message-based vs. shared
variable

1.35
 Parallel Computing Systems

ILLIAC 2
(UIllinois) Climate modeling,
earthquake
simulations, genome
analysis, protein
folding, nuclear fusion
research, ….. K-
computer(Japan
)

Tianhe-1(China)

IBM Blue Gene

Connection Machine
(MIT)
1.36
 Distributed Systems
Hardware – very cheap ; Human – very expensive

 Distribute computation among many processors.

 Loosely coupled -
– no shared memory, various communication lines

 client/server architectures
 Advantages:
– resource sharing
– computation speed-up
– reliability
– communication - e.g. email

 Applications - digital libraries, digital multimedia

1.37
 Distributed Computing Systems

Globus Grid Computing Toolkit Cloud Computing Offerings

PlanetLab Gnutella P2P Network

1.38
 Real-time systems

 Correct system function depends on timeliness

 Feedback/control loops
 Sensors and actuators
 Hard real-time systems –
 Failure if response time too long.
 Secondary storage is limited

 Soft real-time systems -

 Less accurate if response time is too long.
 Useful in applications such as multimedia, virtual reality.

1.39
 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

1.40
 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

1.41
 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

1.42
 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

1.43
 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

1.44
Interrupt Timeline

1.45
 I/O Structure

 After I/O starts, control returns to user program

only upon I/O completion
 Wait instruction idles the CPU until the next interrupt
 Wait loop (contention for memory access)
 At most one I/O request is outstanding at a time, no
simultaneous I/O processing
 After I/O starts, control returns to user program
without waiting for I/O completion
 System call – request to the OS to allow user to
wait for I/O completion
 Device-status table contains entry for each I/O
device indicating its type, address, and state
 OS indexes into I/O device table to determine device
status and to modify table entry to include interrupt

1.46
 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
1.47
 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

1.48
Storage-Device Hierarchy

1.49
 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
1.50
 Direct Memory Access Structure

 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

1.51
How a Modern Computer Works

A von Neumann architecture

1.52
 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
1.53
Memory Layout for Multiprogrammed System

1.54
 Operating-System Operations

 Interrupt driven (hardware and software)

 Hardware interrupt by one of the devices
 Software interrupt (exception or trap):
 Software error (e.g., division by zero)
 Request for operating system service
 Other process problems include infinite loop, processes
modifying each other or the operating system

1.55
 Operating-System Operations (cont.)

 Dual-mode operation allows OS to protect itself

and other system components
 User mode and kernel mode
 Mode bit provided by hardware
 Provides ability to distinguish when system is running user
code or kernel code
 Some instructions designated as privileged, only
executable in kernel mode
 System call changes mode to kernel, return from call resets
it to user

1.56
 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

1.57
 Computing Environments - Traditional

 Stand-alone general purpose machines

 But blurred as most systems interconnect
with others (i.e., the Internet)
 Portals provide web access to internal
systems
 Network computers (thin clients) are like
Web terminals
 Mobile computers interconnect via wireless
networks
 Networking becoming ubiquitous – even
home systems use firewalls to protect
home computers from Internet attacks

1.58
 Computing Environments - Mobile

 Handheld smartphones, tablets, etc

 What is the functional difference between
them and a “traditional” laptop?
 Extra feature – more OS features (GPS,
gyroscope)
 Allows new types of apps like augmented
reality
 Use IEEE 802.11 wireless, or cellular data
networks for connectivity
 Leaders are Apple iOS and Google Android

1.59
 Computing Environments – Distributed

 Distributed computiing
 Collection of separate, possibly heterogeneous, systems
networked together
 Network is a communications path, TCP/IP most common
– Local Area Network (LAN)
– Wide Area Network (WAN)
– Metropolitan Area Network (MAN)
– Personal Area Network (PAN)
 Network Operating System provides features between
systems across network
 Communication scheme allows systems to exchange
messages
 Illusion of a single system

1.60
 Computing Environments – Client-Server

 Client-Server Computing
 Dumb terminals supplanted by smart PCs
 Many systems now servers, responding to requests generated
by clients
 Compute-server system provides an interface to client to
request services (i.e., database)
 File-server system provides interface for clients to store
and retrieve files

1.61
 Computing Environments - Peer-to-Peer

 Another model of distributed

system
 P2P does not distinguish clients
and servers
 Instead all nodes are considered peers
 May each act as client, server or both
 Node must join P2P network
 Registers its service with central lookup
service on network, or
 Broadcast request for service and
respond to requests for service via
discovery protocol
 Examples include Napster and
Gnutella, Voice over IP (VoIP) such as
Skype
1.62
 Computing Environments - Virtualization
 Allows operating systems to run applications
within other OSes
 Vast and growing industry
 Emulation used when source CPU type
different from target type (i.e. PowerPC to Intel
x86)
 Generally slowest method
 When computer language not compiled to native
code – Interpretation
 Virtualization – OS natively compiled for CPU,
running guest OSes also natively compiled
 Consider VMware running WinXP guests, each
running applications, all on native WinXP host OS
 VMM (virtual machine Manager) provides
virtualization services 1.63
 Computing Environments - Virtualization

 Use cases involve laptops and desktops running

multiple OSes for exploration or compatibility
 Apple laptop running Mac OS X host, Windows as a
guest
 Developing apps for multiple OSes without having
multiple systems
 QA testing applications without having multiple
systems
 Executing and managing compute environments
within data centers
 VMM can run natively, in which case they are
also the host
 There is no general purpose host then (VMware ESX
and Citrix XenServer)
1.64
Computing Environments - Virtualization

1.65
 Computing Environments – Cloud Computing
 Delivers computing, storage, even apps as a service across a
network
 Logical extension of virtualization because it uses virtualization as
the base for it functionality.
 Amazon EC2 has thousands of servers, millions of virtual
machines, petabytes of storage available across the Internet,
pay based on usage
 Many types
 Public cloud – available via Internet to anyone willing to pay
 Private cloud – run by a company for the company’s own use
 Hybrid cloud – includes both public and private cloud
components
 Software as a Service (SaaS) – one or more applications
available via the Internet (i.e., word processor)
 Platform as a Service (PaaS) – software stack ready for
application use via the Internet (i.e., a database server)
 Infrastructure as a Service (IaaS) – servers or storage available
over Internet (i.e., storage available
1.66
for backup use)
 Computing Environments – Cloud Computing

 Cloud computing environments composed of

traditional OSes, plus VMMs, plus cloud
management tools
 Internet connectivity requires security like firewalls
 Load balancers spread traffic across multiple
applications

1.67
 Computing Environments – Real-Time Embedded Systems

 Real-time embedded systems most prevalent

form of computers
 Vary considerable, special purpose, limited purpose
OS, real-time OS
 Use expanding
 Many other special computing environments as
well
 Some have OSes, some perform tasks without an OS
 Real-time OS has well-defined fixed time
constraints
 Processing must be done within constraint
 Correct operation only if constraints met

1.68
 Open-Source Operating Systems

 Operating systems made available in source-

code format rather than just binary closed-
source
 Counter to the copy protection and Digital
Rights Management (DRM) movement
 Started by Free Software Foundation (FSF),
which has “copyleft” GNU Public License
(GPL)
 Examples include GNU/Linux and BSD UNIX
(including core of Mac OS X), and many more
 Can use VMM like VMware Player (Free on
Windows), Virtualbox (open source and free on
many platforms - http://www.virtualbox.com)
 Use to run guest operating systems for exploration
1.69
End of Chapter 1