Chapter 1: Introduction

Operating System Concepts – 10h Edition Silberschatz, Galvin and Gagne ©2018
 Chapter 1: Introduction

▪ What Operating Systems Do

▪ Computer-System Organization
▪ Computer-System Architecture
▪ Operating-System Operations
▪ Resource Management
▪ Security and Protection
▪ Virtualization
▪ Distributed Systems
▪ Kernel Data Structures
▪ Computing Environments
▪ Free/Libre and Open-Source Operating Systems

Operating System Concepts – 10th Edition 1.2 Silberschatz, Galvin and Gagne ©2018
 Objectives

▪ Describe the general organization of a computer system and the role

of interrupts
▪ Describe the components in a modern, multiprocessor computer
system
▪ Illustrate the transition from user mode to kernel mode
▪ Discuss how operating systems are used in various computing
environments
▪ Provide examples of free and open-source operating systems

Operating System Concepts – 10th Edition 1.3 Silberschatz, Galvin and Gagne ©2018
 What Does the Term Operating System Mean?

▪ An operating system is “fill in the blanks”

▪ What about:
• Car
• Airplane
• Printer
• Washing Machine
• Toaster
• Compiler
• Etc.

Operating System Concepts – 10th Edition 1.4 Silberschatz, Galvin and Gagne ©2018
 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

Operating System Concepts – 10th Edition 1.5 Silberschatz, Galvin and Gagne ©2018
 Computer System Structure

▪ Computer system can be divided into four components:

• Hardware – provides basic computing resources
 CPU, memory, I/O devices
• Operating system
 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
 Word processors, compilers, web browsers, database systems,
video games
• Users
 People, machines, other computers

Operating System Concepts – 10th Edition 1.6 Silberschatz, Galvin and Gagne ©2018
 10/5/2023 Operating System Concepts
Operating System Concepts – 10th Edition 1.7 Silberschatz, Galvin and Gagne ©2018
 Abstract View of Components of Computer

Operating System Concepts – 10th Edition 1.8 Silberschatz, Galvin and Gagne ©2018
 What Operating Systems Do
▪ Depends on the point of 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
• Operating system is a resource allocator and control program
making efficient use of HW and managing execution of user
programs
▪ Users of dedicate systems such as workstations have dedicated
resources but frequently use shared resources from servers
▪ Mobile devices like smartphones and tables are resource poor,
optimized for usability and battery life
• Mobile user interfaces such as touch screens, voice recognition
▪ Some computers have little or no user interface, such as embedded
computers in home devices and automobiles
• Run primarily without user intervention
Operating System Concepts – 10th Edition 1.9 Silberschatz, Galvin and Gagne ©2018
 Defining Operating Systems
▪ Term OS covers many roles
• Because of myriad designs and uses of OSes
• Present in toasters through ships, spacecraft, game machines, TVs and
industrial control systems
• Born when fixed use computers for military became more general purpose
and needed resource management and program control
• To explain this diversity, we can turn to the history of computers. Although
computers have a relatively short history, they have evolved rapidly.
Computing started as an experiment to determine what could be done and
quickly moved to fixed-purpose systems for military uses, such as
code breaking and trajectory plotting, and governmental uses, such as
census calculation. Those early computers evolved into general-purpose,
multifunction mainframes, and that’s when operating systems were born.
In the 1960s, Moore’s Law predicted that the number of transistors on
an integrated circuit would double every 18 months, and that prediction
has held true. Computers gained in functionality and shrank in size, leading
to a vast number of uses and a vast number and variety of operating
systems. (See Appendix A for more details on the history of operating
systems.)
Operating System Concepts – 10th Edition 1.10 Silberschatz, Galvin and Gagne ©2018
 Defining Operating Systems

• The matter of what constitutes an operating system became

increasingly important as personal computers became more
widespread and operating systems grew increasingly sophisticated
• In 1998, the United States Department of Justice filed suit against
Microsoft, in essence claiming that Microsoft included too much
functionality in its operating systems and thus prevented
application vendors from competing. (For example, a web browser
was an integral part of Microsoft’s operating systems.)
• As a result, Microsoft was found guilty of using its operating-system
monopoly to limit competition.

Operating System Concepts – 10th Edition 1.11 Silberschatz, Galvin and Gagne ©2018
 Important functions of an operating System

▪ Memory Management

▪ Processor Management

▪ Device Management

▪ File Management

▪ Network Management

▪ Security

▪ Control over system performance

▪ Job accounting

▪ Error detecting aids

▪ Coordination between other software and users

10/5/2023 Operating System Concepts

Operating System Concepts – 10th Edition 1.12 Silberschatz, Galvin and Gagne ©2018
 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,
part of the operating system
▪ Everything else is either
• A system program (ships with the operating system, but not part of
the kernel) , or
• An application program, all programs not associated with the
operating system
▪ Today’s OSes for general purpose and mobile computing also include
middleware – a set of software frameworks that provide additional
services to application developers such as databases, multimedia,
graphics e.g. —Apple’s iOS and Google’s Android

Operating System Concepts – 10th Edition 1.13 Silberschatz, Galvin and Gagne ©2018
 Booting Process
In computing, booting is the process of startig a computer.

▪ Press the power button

▪ Power on self test (POST)
A power-on self-test (POST) is a set of routines performed by firmware or software
immediately after a computer is powered on, to determine if the hardware is working as
expected. The process would proceed further only if the required hardware is working
correctly, else the BIOS (Basic Input Output Software) would issue an error message.
Once the tests are passed the POST would generally notify the OS with beeps while the
number of beeps can vary from system to system.

▪ Checking for the OS

▪ Load OS in the RAM
▪ Shift control to OS

Operating System Concepts

Operating System Concepts – 10th Edition 1.14 Silberschatz, Galvin and Gagne ©2018
 POST Errors

Operating System Concepts

Operating System Concepts – 10th Edition 1.15 Silberschatz, Galvin and Gagne ©2018
 Multiprogrammed Batch Systems

Several jobs are kept in main memory at the same time, and the
CPU is multiplexed among them.

Operating System Concepts

Operating System Concepts – 10th Edition 1.16 Silberschatz, Galvin and Gagne ©2018
 OS Features Needed for
Multiprogramming
▪ I/O routine supplied by the system.

▪ Memory management – the system must allocate the memory to

several jobs.

▪ CPU scheduling – the system must choose among several jobs

ready to run.

▪ Allocation of devices.

Operating System Concepts

Operating System Concepts – 10th Edition 1.17 Silberschatz, Galvin and Gagne ©2018
 Time-Sharing Systems–Interactive
Computing

▪ The CPU is multiplexed among several jobs that are kept in memory

and on disk (the CPU is allocated to a job only if the job is in memory).

▪ A job swapped in and out of memory to the disk.

▪ On-line communication between the user and the system is provided;

when the operating system finishes the execution of one command, it

seeks the next “control statement” from the user’s keyboard.

▪ On-line system must be available for users to access data and code.

Operating System Concepts

Operating System Concepts – 10th Edition 1.18 Silberschatz, Galvin and Gagne ©2018
 Parallel Systems

▪ Multiprocessor systems with more than on CPU in close

communication.

▪ Tightly coupled system – processors share memory and a clock;

communication usually takes place through the shared memory.

▪ Advantages of parallel system:

• Increased throughput

• Economical

• Increased reliability

 graceful degradation

 fail-soft systems Operating System Concepts

Operating System Concepts – 10th Edition 1.19 Silberschatz, Galvin and Gagne ©2018
 Parallel Systems (Cont.)

▪ Symmetric multiprocessing (SMP)

• Each processor runs and identical copy of the operating system.

• Many processes can run at once without performance

deterioration.

• Most modern operating systems support SMP

▪ Asymmetric multiprocessing

• Each processor is assigned a specific task; master processor

schedules and allocated work to slave processors.

• More common in extremely large systems

Operating System Concepts

Operating System Concepts – 10th Edition 1.20 Silberschatz, Galvin and Gagne ©2018
 Symmetric Multiprocessing Architecture

Operating System Concepts

Operating System Concepts – 10th Edition 1.21 Silberschatz, Galvin and Gagne ©2018
 Distributed Systems

▪ Distribute the computation among several physical processors.

▪ Loosely coupled system – each processor has its own local memory;
processors communicate with one another through various
communications lines, such as high-speed buses or telephone lines.
▪ Advantages of distributed systems.
• Resources Sharing
• Computation speed up – load sharing
• Reliability
• Communications

Operating System Concepts

Operating System Concepts – 10th Edition 1.22 Silberschatz, Galvin and Gagne ©2018
 Distributed Systems (cont)

▪ Requires networking infrastructure.

▪ Local area networks (LAN) or Wide area networks (WAN)
▪ May be either client-server or peer-to-peer systems.

Operating System Concepts

Operating System Concepts – 10th Edition 1.23 Silberschatz, Galvin and Gagne ©2018
 General Structure of Client-Server

Operating System Concepts

Operating System Concepts – 10th Edition 1.24 Silberschatz, Galvin and Gagne ©2018
 Clustered Systems
▪ Clustering allows two or more systems to share storage.
▪ Provides high reliability.
▪ Asymmetric clustering: one server runs the application while other servers
standby.
▪ Symmetric clustering: all N hosts are running the application.

Operating System Concepts

Operating System Concepts – 10th Edition 1.25 Silberschatz, Galvin and Gagne ©2018
 Real-Time Systems

▪ Often used as a control device in a dedicated application such as

controlling scientific experiments, medical imaging systems, industrial
control systems, and some display systems.
▪ Well-defined fixed-time constraints.
▪ Real-Time systems may be either hard or soft real-time.

Operating System Concepts

Operating System Concepts – 10th Edition 1.26 Silberschatz, Galvin and Gagne ©2018
 Real-Time Systems (Cont.)

▪ Hard real-time:
• Secondary storage limited or absent, data stored in short term
memory, or read-only memory (ROM)
• Conflicts with time-sharing systems, not supported by general-
purpose operating systems.

▪ Soft real-time
• Limited utility in industrial control of robotics
• Useful in applications (multimedia, virtual reality) requiring advanced
operating-system features.

Operating System Concepts

Operating System Concepts – 10th Edition 1.27 Silberschatz, Galvin and Gagne ©2018
 Overview of Computer System Structure

Operating System Concepts – 10th Edition 1.28 Silberschatz, Galvin and Gagne ©2018
 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

Operating System Concepts – 10th Edition 1.29 Silberschatz, Galvin and Gagne ©2018
 Computer-System Operation

▪ I/O devices and the CPU can execute concurrently

▪ Each device controller is in charge of a particular device type
▪ Depending on the controller, more than one device may be
attached. For instance, one system USB port can connect to a USB
hub
▪ Each device controller has a local buffer
▪ Each device controller type has an operating system device driver
to manage it
▪ 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

Operating System Concepts – 10th Edition 1.30 Silberschatz, Galvin and Gagne ©2018
 Computer-System Operation

▪ 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

▪ The CPU and the device controllers can execute in parallel,

competing for memory cycles

▪ To ensure orderly access to the shared memory, a memory

controller synchronizes access to the memory

Operating System Concepts – 10th Edition 1.31 Silberschatz, Galvin and Gagne ©2018
 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

Operating System Concepts – 10th Edition 1.32 Silberschatz, Galvin and Gagne ©2018
 Common Functions of Interrupts
▪ Hardware may trigger an interrupt at any time by sending a signal to the CPU,
usually by way of the system bus
▪ Interrupts are used for many other purposes as well and are a key part of how
operating systems and hardware interact
▪ When the CPU is interrupted, it stops what it is doing and immediately transfers
execution to a fixed location
▪ The fixed location usually contains the starting address where the service
routine for the interrupt is located
▪ The interrupt service routine executes; on completion, the CPU resumes the
interrupted computation
▪ A timeline of this operation is shown in Figure
▪ Interrupts are an important part of a computer architecture. Each computer
design has its own interrupt mechanism, but several functions are common
▪ The interrupt must transfer control to the appropriate interrupt service routine.
The straightforward method for managing this transfer would be to invoke a
generic routine to examine the interrupt information

Operating System Concepts – 10th Edition 1.33 Silberschatz, Galvin and Gagne ©2018
 Common Functions of Interrupts
▪ The interrupts must be handled quickly, as they occur very frequently
▪ A table of pointers to interrupt routines can be used instead to provide the
necessary speed
▪ The interrupt routine is called indirectly through the table, with no
intermediate routine needed
▪ Generally, the table of pointers is stored in low memory (the first hundred or
so locations). These locations hold the addresses of the interrupt service
routines for the various devices
▪ This array, or interrupt vector, of addresses is then indexed by a unique
number, given with the interrupt request, to provide the address of the
interrupt service routine for the interrupting device
(https://en.wikipedia.org/wiki/Interrupt_vector_table)
▪ Operating systems as different as Windows and UNIX dispatch interrupts in
this manner

Operating System Concepts – 10th Edition 1.34 Silberschatz, Galvin and Gagne ©2018
 Interrupt Timeline

Operating System Concepts – 10th Edition 1.35 Silberschatz, Galvin and Gagne ©2018
 Interrupt Handling

▪ The operating system preserves the state of the CPU by

storing the registers and the program counter
▪ Determines which type of interrupt has occurred:
▪ Separate segments of code determine what action should
be taken for each type of interrupt

Operating System Concepts – 10th Edition 1.36 Silberschatz, Galvin and Gagne ©2018
 Interrupt Handling

▪ The CPU hardware has a wire called the interrupt-request line that the
CPU senses after executing every instruction. When the CPU detects that
a controller has asserted a signal on the interrupt-request line, it reads
the interrupt number and jumps to the interrupt-handler routine by
using that interrupt number as an index into the interrupt vector
▪ It then starts execution at the address associated with that index
▪ The interrupt handler saves any state it will be changing during its
operation, determines the cause of the interrupt, performs the
necessary processing, performs a state restore, and executes a
return from interrupt instruction to return the CPU to the execution
state prior to the interrupt
▪ Example: We say that the device controller raises an interrupt by
asserting a signal on the interrupt request line, the CPU catches the
interrupt and dispatches it to the interrupt handler, and the handler clears
the interrupt by servicing the device

Operating System Concepts – 10th Edition 1.37 Silberschatz, Galvin and Gagne ©2018
 Interrupt Handling

▪ Interrupt request line types:

• nonmaskable, which is reserved for events such as unrecoverable
memory errors
• maskable: it can be turned off by the CPU before the execution of
critical instruction sequences that must not be interrupted

Operating System Concepts – 10th Edition 1.38 Silberschatz, Galvin and Gagne ©2018
 Interrupt-drive I/O Cycle

Operating System Concepts – 10th Edition 1.39 Silberschatz, Galvin and Gagne ©2018
 Interrupt Controller Hardware

▪ The basic interrupt mechanism just described enables the

CPU to respond to an asynchronous event, as when a
device controller becomes ready for service
▪ In a modern operating system, however, we need more
sophisticated interrupt handling features
• We need the ability to defer interrupt handling during
critical processing
• We need an efficient way to dispatch to the proper
interrupt handler for a device
• We need multilevel interrupts, so that the operating
system can distinguish between high- and low-priority
interrupts and can respond with the appropriate degree
of urgency
▪ In modern computer hardware, these three features are
provided by the CPU and the interrupt-controller hardware

Operating System Concepts – 10th Edition 1.40 Silberschatz, Galvin and Gagne ©2018
 I/O Structure

▪ Two methods for handling I/O

• After I/O starts, control returns to user program only
upon I/O completion
• After I/O starts, control returns to user program without
waiting for I/O completion

Operating System Concepts – 10th Edition 1.41 Silberschatz, Galvin and Gagne ©2018
 I/O Structure (Cont.)

▪ 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

Operating System Concepts – 10th Edition 1.42 Silberschatz, Galvin and Gagne ©2018
 Storage Structure

Operating System Concepts – 10th Edition 1.44 Silberschatz, Galvin and Gagne ©2018
 Storage Structure
▪ Main memory – only large storage media that the CPU can
access directly
• Random access
• Typically volatile
• Typically random-access memory in the form of
Dynamic Random-access Memory (DRAM)
▪ Secondary storage – extension of main memory that provides
large nonvolatile storage capacity

Operating System Concepts – 10th Edition 1.45 Silberschatz, Galvin and Gagne ©2018
 Storage Structure (Cont.)
▪ Hard Disk Drives (HDD) – 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
▪ Non-volatile memory (NVM) devices– faster than hard disks,
nonvolatile
• Various technologies
• Becoming more popular as capacity and performance increases,
price drops

Operating System Concepts – 10th Edition 1.46 Silberschatz, Galvin and Gagne ©2018
 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; and 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).

Operating System Concepts – 10th Edition 1.47 Silberschatz, Galvin and Gagne ©2018
 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

Operating System Concepts – 10th Edition 1.48 Silberschatz, Galvin and Gagne ©2018
 Storage-Device Hierarchy

Operating System Concepts – 10th Edition 1.49 Silberschatz, Galvin and Gagne ©2018
 How a Modern Computer Works

A von Neumann architecture

Operating System Concepts – 10th Edition 1.50 Silberschatz, Galvin and Gagne ©2018
 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

Operating System Concepts – 10th Edition 1.51 Silberschatz, Galvin and Gagne ©2018
 Operating-System Operations
▪ Bootstrap program – simple code to initialize the system, load the
kernel
▪ Kernel loads
▪ Starts system daemons (services provided outside of the kernel)
▪ Kernel 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 – system call
 Other process problems include infinite loop, processes
modifying each other or the operating system

Operating System Concepts – 10th Edition 1.52 Silberschatz, Galvin and Gagne ©2018
 Multiprogramming (Batch system)
▪ Single user cannot always keep CPU and I/O devices busy
▪ 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 job has to wait (for I/O for example), OS switches to
another job

Operating System Concepts – 10th Edition 1.53 Silberschatz, Galvin and Gagne ©2018
 Multitasking (Timesharing)

▪ A logical extension of Batch systems– the 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

Operating System Concepts – 10th Edition 1.54 Silberschatz, Galvin and Gagne ©2018
 Memory Layout for Multiprogrammed System

Operating System Concepts – 10th Edition 1.55 Silberschatz, Galvin and Gagne ©2018
 Dual-mode Operation

▪ 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.
• When a user is running  mode bit is “user”
• When kernel code is executing  mode bit is “kernel”
▪ How do we guarantee that user does not explicitly set the mode
bit to “kernel”?
• System call changes mode to kernel, return from call resets
it to user
▪ Some instructions designated as privileged, only executable in
kernel mode

Operating System Concepts – 10th Edition 1.56 Silberschatz, Galvin and Gagne ©2018
 Transition from User to Kernel Mode

Operating System Concepts – 10th Edition 1.57 Silberschatz, Galvin and Gagne ©2018
 Timer
▪ Timer to prevent infinite loop (or 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

Operating System Concepts – 10th Edition 1.58 Silberschatz, Galvin and Gagne ©2018
 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

Operating System Concepts – 10th Edition 1.59 Silberschatz, Galvin and Gagne ©2018
 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

Operating System Concepts – 10th Edition 1.60 Silberschatz, Galvin and Gagne ©2018
 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

Operating System Concepts – 10th Edition 1.61 Silberschatz, Galvin and Gagne ©2018
 File-system 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)
 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
 Creating and deleting files and directories
 Primitives to manipulate files and directories
 Mapping files onto secondary storage
 Backup files onto stable (non-volatile) storage media

Operating System Concepts – 10th Edition 1.62 Silberschatz, Galvin and Gagne ©2018
 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
• Mounting and unmounting
• Free-space management
• Storage allocation
• Disk scheduling
• Partitioning
• Protection

Operating System Concepts – 10th Edition 1.63 Silberschatz, Galvin and Gagne ©2018
 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

Operating System Concepts – 10th Edition 1.64 Silberschatz, Galvin and Gagne ©2018
 Characteristics of Various Types of Storage

Movement between levels of storage hierarchy can be explicit or implicit

Operating System Concepts – 10th Edition 1.65 Silberschatz, Galvin and Gagne ©2018
 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 19

Operating System Concepts – 10th Edition 1.66 Silberschatz, Galvin and Gagne ©2018
 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

Operating System Concepts – 10th Edition 1.67 Silberschatz, Galvin and Gagne ©2018
 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

Operating System Concepts – 10th Edition 1.68 Silberschatz, Galvin and Gagne ©2018
 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

Operating System Concepts – 10th Edition 1.69 Silberschatz, Galvin and Gagne ©2018
 Virtualization (cont.)

▪ 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
• Quality assurance 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)

Operating System Concepts – 10th Edition 1.70 Silberschatz, Galvin and Gagne ©2018
 Computing Environments - Virtualization

Operating System Concepts – 10th Edition 1.71 Silberschatz, Galvin and Gagne ©2018
 Distributed Systems
▪ 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

Operating System Concepts – 10th Edition 1.72 Silberschatz, Galvin and Gagne ©2018
 Computer System Architecture

Operating System Concepts – 10th Edition 1.73 Silberschatz, Galvin and Gagne ©2018
 Computer-System Architecture

▪ Most systems use a single general-purpose processor

• Most systems have special-purpose processors as well
▪ Multiprocessors systems growing in use and importance
• Also known as parallel systems, tightly-coupled systems
• Advantages include:
1. Increased throughput
2. Economy of scale
3. Increased reliability – graceful degradation or fault tolerance
• Two types:
1. Asymmetric Multiprocessing – each processor is assigned
a specie task.
2. Symmetric Multiprocessing – each processor performs all
tasks

Operating System Concepts – 10th Edition 1.74 Silberschatz, Galvin and Gagne ©2018
 Symmetric Multiprocessing Architecture

Operating System Concepts – 10th Edition 1.75 Silberschatz, Galvin and Gagne ©2018
 Dual-Core Design
▪ Multi-chip and multicore
▪ Systems containing all chips
• Chassis containing multiple separate systems

Operating System Concepts – 10th Edition 1.76 Silberschatz, Galvin and Gagne ©2018
 Non-Uniform Memory Access System

Operating System Concepts – 10th Edition 1.77 Silberschatz, Galvin and Gagne ©2018
 Clustered Systems

▪ Like multiprocessor systems, but multiple systems working together

• Usually sharing storage via a storage-area network (SAN)
• Provides a high-availability service which survives failures
 Asymmetric clustering has one machine in hot-standby mode
 Symmetric clustering has multiple nodes running applications,
monitoring each other
• Some clusters are for high-performance computing (HPC)
 Applications must be written to use parallelization
• Some have distributed lock manager (DLM) to avoid conflicting
operations

Operating System Concepts – 10th Edition 1.78 Silberschatz, Galvin and Gagne ©2018
 Clustered Systems

Operating System Concepts – 10th Edition 1.79 Silberschatz, Galvin and Gagne ©2018
 PC Motherboard

Operating System Concepts – 10th Edition 1.80 Silberschatz, Galvin and Gagne ©2018
 Computer System Environments

Operating System Concepts – 10th Edition 1.81 Silberschatz, Galvin and Gagne ©2018
 Computing Environments

▪ Traditional
▪ Mobile
▪ Client Server
▪ Peer-to-Peer
▪ Cloud computing
▪ Real-time Embedded

Operating System Concepts – 10th Edition 1.82 Silberschatz, Galvin and Gagne ©2018
 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

Operating System Concepts – 10th Edition 1.83 Silberschatz, Galvin and Gagne ©2018
 Mobile

▪ Handheld smartphones, tablets, etc.

▪ What is the functional difference between them and a
“traditional” laptop?
▪ Extra feature – more OS features (GPS)
▪ 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

Operating System Concepts – 10th Edition 1.84 Silberschatz, Galvin and Gagne ©2018
 Client Server

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

Operating System Concepts – 10th Edition 1.85 Silberschatz, Galvin and Gagne ©2018
 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

Operating System Concepts – 10th Edition 1.86 Silberschatz, Galvin and Gagne ©2018
 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

Operating System Concepts – 10th Edition 1.87 Silberschatz, Galvin and Gagne ©2018
 Cloud Computing (Cont.)
▪ 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 for backup use)

Operating System Concepts – 10th Edition 1.88 Silberschatz, Galvin and Gagne ©2018
 Cloud Computing (cont.)
▪ 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

Operating System Concepts – 10th Edition 1.89 Silberschatz, Galvin and Gagne ©2018
 Real-Time Embedded Systems

▪ Real-time embedded systems most prevalent form of computers

• Vary considerable, special purpose, limited purpose OS, real-
time OS
▪ 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

Operating System Concepts – 10th Edition 1.90 Silberschatz, Galvin and Gagne ©2018
 Kernel Data Structure

Operating System Concepts – 10th Edition 1.91 Silberschatz, Galvin and Gagne ©2018
 Kernel Data Structures

▪ Many similar to standard programming data structures

▪ Singly linked list

▪ Doubly linked list

▪ Circular linked list

Operating System Concepts – 10th Edition 1.92 Silberschatz, Galvin and Gagne ©2018
 Kernel Data Structures

▪ Binary search tree

left <= right
• Search performance is O(n)
• Balanced binary search tree is O(lg n)

Operating System Concepts – 10th Edition 1.93 Silberschatz, Galvin and Gagne ©2018
 Kernel Data Structures

▪ 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>

Operating System Concepts – 10th Edition 1.94 Silberschatz, Galvin and Gagne ©2018
 End of Chapter 1

Operating System Concepts – 10h Edition Silberschatz, Galvin and Gagne ©2018