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CHAPTER

Introduction
Chapter 1 introduces the general topic of operating systems and a handful of
important concepts (multiprogramming, time sharing, distributed system, and
so on). The purpose is to show why operating systems are what they are by
showing how they developed. In operating systems, as in much of computer
science, we are led to the present by the paths we took in the past, and we can
better understand both the present and the future by understanding the past.
Additional work that might be considered is learning about the particular
systems that the students will have access to at your institution. This is still just
a general overview, as specific interfaces are considered in Chapter 3.

Exercises
1.12 In a multiprogramming and time-sharing environment, several users
share the system simultaneously. This situation can result in various
security problems.
a. What are two such problems?
b. Can we ensure the same degree of security in a time-shared
machine as in a dedicated machine? Explain your answer.
Answer:
a. Stealing or copying one’s programs or data; using system resources
(CPU, memory, disk space, peripherals) without proper accounting.
b. Probably not, since any protection scheme devised by humans
can inevitably be broken by a human, and the more complex
the scheme, the more difficult it is to feel confident of its correct
implementation.
1.13 The issue of resource utilization shows up in different forms in different
types of operating systems. List what resources must be managed
carefully in the following settings:
a. Mainframe or minicomputer systems
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2 Chapter 1 Introduction

b. Workstations connected to servers

c. Mobile computers

Answer:

a. Mainframes: memory and CPU resources, storage, network band-

width
b. Workstations: memory and CPU resources
c. Mobile computers: power consumption, memory resources

1.14 Under what circumstances would a user be better off using a time-
sharing system rather than a PC or a single-user workstation?
Answer:
When there are few other users, the task is large, and the hardware is fast,
time-sharing makes sense. The full power of the system can be brought
to bear on the user’s problem. The problem can be solved faster than on
a personal computer. Another case occurs when lots of other users need
resources at the same time.
A personal computer is best when the job is small enough to be
executed reasonably on it and when performance is sufficient to execute
the program to the user’s satisfaction.
1.15 Describe the differences between symmetric and asymmetric multipro-
cessing. What are three advantages and one disadvantage of multipro-
cessor systems?
Answer:
Symmetric multiprocessing treats all processors as equals, and I/O can be
processed on any CPU. Asymmetric multiprocessing has one master CPU
and the remainder CPUs are slaves. The master distributes tasks among
the slaves, and I/O is usually done by the master only. Multiprocessors
can save money by not duplicating power supplies, housings, and
peripherals. They can execute programs more quickly and can have
increased reliability. They are also more complex in both hardware and
software than uniprocessor systems.
1.16 How do clustered systems differ from multiprocessor systems? What is
required for two machines belonging to a cluster to cooperate to provide
a highly available service?
Answer:
Clustered systems are typically constructed by combining multiple com-
puters into a single system to perform a computational task distributed
across the cluster. Multiprocessor systems on the other hand could be a
single physical entity comprising of multiple CPUs. A clustered system
is less tightly coupled than a multiprocessor system. Clustered systems
communicate using messages, while processors in a multiprocessor
system could communicate using shared memory.
In order for two machines to provide a highly available service,
the state on the two machines should be replicated and should be
consistently updated. When one of the machines fails, the other could
then takeover the functionality of the failed machine.
 Exercises 3

1.17 Consider a computing cluster consisting of two nodes running a

database. Describe two ways in which the cluster software can manage
access to the data on the disk. Discuss the benefits and disadvantages of
each.
Answer:
Consider the following two alternatives: asymmetric clustering and
parallel clustering. With asymmetric clustering, one host runs the
database application with the other host simply monitoring it. If the
server fails, the monitoring host becomes the active server. This is
appropriate for providing redundancy. However, it does not utilize the
potential processing power of both hosts. With parallel clustering, the
database application can run in parallel on both hosts. The difficulty in
implementing parallel clusters is providing some form of distributed
locking mechanism for files on the shared disk.
1.18 How are network computers different from traditional personal com-
puters? Describe some usage scenarios in which it is advantageous to
use network computers.
Answer:
A network computer relies on a centralized computer for most of its
services. It can therefore have a minimal operating system to manage
its resources. A personal computer on the other hand has to be capable
of providing all of the required functionality in a stand-alone manner
without relying on a centralized manner. Scenarios where administrative
costs are high and where sharing leads to more efficient use of resources
are precisely those settings where network computers are preferred.
1.19 What is the purpose of interrupts? How does an interrupt differ from a
trap? Can traps be generated intentionally by a user program? If so, for
what purpose?
Answer:
An interrupt is a hardware-generated change of flow within the system.
An interrupt handler is summoned to deal with the cause of the interrupt;
control is then returned to the interrupted context and instruction. A trap
is a software-generated interrupt. An interrupt can be used to signal the
completion of an I/O to obviate the need for device polling. A trap can
be used to call operating system routines or to catch arithmetic errors.
1.20 Direct memory access is used for high-speed I/O devices in order to
avoid increasing the CPU’s execution load.
a. How does the CPU interface with the device to coordinate the
transfer?
b. How does the CPU know when the memory operations are com-
plete?
c. The CPU is allowed to execute other programs while the DMA
controller is transferring data. Does this process interfere with
the execution of the user programs? If so, describe what forms
of interference are caused.
4 Chapter 1 Introduction

Answer:
The CPU can initiate a DMA operation by writing values into special
registers that can be independently accessed by the device. The device
initiates the corresponding operation once it receives a command from
the CPU. When the device is finished with its operation, it interrupts the
CPU to indicate the completion of the operation.
Both the device and the CPU can be accessing memory simultaneously.
The memory controller provides access to the memory bus in a fair
manner to these two entities. A CPU might therefore be unable to issue
memory operations at peak speeds since it has to compete with the
device in order to obtain access to the memory bus.
1.21 Some computer systems do not provide a privileged mode of operation
in hardware. Is it possible to construct a secure operating system for
these computer systems? Give arguments both that it is and that it is not
possible.
Answer:
An operating system for a machine of this type would need to remain in
control (or monitor mode) at all times. This could be accomplished by
two methods:

a. Software interpretation of all user programs (like some BASIC, Java,

and LISP systems, for example). The software interpreter would
provide, in software, what the hardware does not provide.
b. Require that all programs be written in high-level languages so that
all object code is compiler-produced. The compiler would generate
(either in-line or by function calls) the protection checks that the
hardware is missing.
1.22 Many SMP systems have different levels of caches; one level is local to
each processing core, and another level is shared among all processing
cores. Why are caching systems designed this way?
Answer:
The different levels are based on access speed as as well as size. In
general, the closer the cache is to the CPU, the faster the access. However,
faster caches are typically more costly. Therefore, smaller and faster
caches are placed local to each CPU, and shared caches that are larger,
yet slower, are shared among several different processors.
1.23 Consider an SMP system similar to the one shown in Figure 1.6. Illustrate
with an example how data residing in memory could in fact have a
different value in each of the local caches.
Answer:
Say processor 1 reads data A with value 5 from main memory into its
local cache. Similarly, processor 2 reads data Ainto its local cache as well.
Processor 1 then updates A to 10. However, since A resides in processor
1’s local cache, the update only occurs there and not in the local cache
for processor 2.
 Exercises 5

1.24 Discuss, with examples, how the problem of maintaining coherence of

cached data manifests itself in the following processing environments:
a. Single-processor systems
b. Multiprocessor systems
c. Distributed systems
Answer:
In single-processor systems, the memory needs to be updated when
a processor issues updates to cached values. These updates can be
performed immediately or in a lazy manner. In a multiprocessor system,
different processors might be caching the same memory location in its
local caches. When updates are made, the other cached locations need to
be invalidated or updated. In distributed systems, consistency of cached
memory values is not an issue. However, consistency problems might
arise when a client caches file data.
1.25 Describe a mechanism for enforcing memory protection in order to
prevent a program from modifying the memory associated with other
programs.
Answer:
The processor could keep track of what locations are associated with
each process and limit access to locations that are outside of a program’s
extent. Information regarding the extent of a program’s memory could
be maintained by using base and limits registers and by performing a
check for every memory access.
1.26 Which network configuration— LAN or WAN —would best suit the
following environments?
a. A campus student union
b. Several campus locations across a statewide university system
c. A neighborhood
Answer:
a. LAN
b. WAN

c. LAN or WAN

1.27 Describe some of the challenges of designing operating systems for

mobile devices compared with designing operating systems for tradi-
tional PCs.
Answer:
The greatest challenges in designing mobile operating systems include:
• Less storage capacity means the operating system must manage
memory carefully.
• The operating system must also manage power consumption care-
fully.
6 Chapter 1 Introduction

• Less processing power plus fewer processors mean the operating

system must carefully apportion processors to applications.
1.28 What are some advantages of peer-to-peer systems over client-server
systems?
Answer:
Peer-to-peer is useful because services are distributed across a collection
of peers, rather than having a single, centralized server. Peer-to-peer
provides fault tolerance and redundancy. Also, because peers constantly
migrate, they can provide a level of security over a server that always
exists at a known location on the Internet. Peer-to-peer systems can
also potentially provide higher network bandwidth because you can
collectively use all the bandwidth of peers, rather than the single
bandwidth that is available to a single server.
1.29 Describe some distributed applications that would be appropriate for a
peer-to-peer system.
Answer:
Essentially anything that provides content,in addition to existing ser-
vices such as file services, distributed directory services such as domain
name services, and distributed e-mail services.
1.30 Identify several advantages and several disadvantages of open-source
operating systems. Include the types of people who would find each
aspect to be an advantage or a disadvantage.
Answer:
Open source operating systems have the advantages of having many
people working on them, many people debugging them, ease of access
and distribution, and rapid update cycles. Further, for students and
programmers there is certainly an advantage to being able to view and
modify the source code. Typically open source operating systems are
free for some forms of use, usually just requiring payment for support
services. Commercial operating system companies usually do not like
the competition that open source operating systems bring because these
features are difficult to compete against. Some open source operating
systems do not offer paid support programs. Some companies avoid
open source projects because they need paid support, so that they have
some entity to hold accountable if there is a problem or they need
help fixing an issue. Finally, some complain that a lack of discipline
in the coding of open source operating systems means that backward-
compatiblity is lacking making upgrades difficult, and that the frequent
release cycle exacerbates these issues by forcing users to upgrade
frequently.