Chapter 1: Introduction

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

▪ What Operating Systems Do

▪ Operating System Types
▪ Computer-System Organization
▪ Computer-System Architecture
▪ Computer-System Operations
▪ Resource Management
▪ Virtualization
▪ Kernel Data Structures
▪ Free/Libre and Open-Source Operating Systems

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 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

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 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

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 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

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 Abstract View of Components of Computer

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 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 devices and automobiles
• Run primarily without user intervention
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 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

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 Different types of Operating System
▪ Different types of OSs are designed to meet the needs of various computing
environments.
▪ Linux is an operating system that can be configured and customized to function as
various types of operating systems.
• Batch Operating System (Batch OS)
 Early type of operating system designed for executing a series of jobs.
• Multiprogramming Operating System
 Designed to allow multiple programs to run simultaneously by sharing system
resources such as CPU.
• Multitasking Operating System
 CPU switches between multiple tasks so quickly that users can interact with each
program while it is running.
• Multiprocessing Operating System (OS)
 Uses multiple CPUs (or cores) to perform tasks, allowing the system to run
multiple processes at the same time.

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 Different types of Operating System (Count.)
• Real-Time Operating System (RTOS)
 Designed to process and respond to inputs immediately, ensuring tasks are
completed within a specific time frame.
• Clustered Operating System
 Manages multiple computers (nodes or cluster) working together as a single
system. Typically, the computers located in the same physical location.
• Distributed Operating System
 Manages a network of independent computers and makes them work
together as a single cohesive system in different physical locations.
• Embedded Operating System
 Designed to work on small machines like microcontrollers.
• Mobile Operating System
 Designed for mobile devices with touch interfaces, optimized for power
consumption and mobile hardware.

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 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

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 Computer-System Operation

Computer-System Operation is how a computer works, managing all

its parts like the CPU, memory, and storage to run programs and
perform tasks. It involves starting up, running programs, managing
resources, and ensuring security and efficient 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
▪ 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

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 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

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 Interrupts, Exceptions and Timers
▪ Interrupts have two types: Hardware interrupt (Limited number) and Software interrupt
(Unlimited number).
• Hardware interrupt, an electronic alerting signal sent to the processor from an
external device (such as a keyboard, mouse, or network card). These are also known
as Interrupt Requests (IRQs). Also, CPU can generate hardware interrupts (E.g. Timer
interrupts).
• Software interrupt, also called an exception. Exceptions can be broken into two sub-
categories:
 Aborts - things that prevent the interrupted code from continuing. When an
interrupt or exception occurs, the current execution of the code is halted
permanently. These are things that indicate a major problem - e.g. division by zero,
hardware failures, etc.
 Traps - things that don't prevent the interrupted code from continuing. When an
interrupt or exception occurs, the code execution is temporarily halted, but after
handling the interrupt, the execution can resume. These can be used for
debugging, for breakpoint / virtual memory management, etc.

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 How interrupts are Handled.23
▪ An interrupt request can come from an external device (like a keyboard or mouse) or from
the CPU itself (like a timer interrupt).
▪ Determines which type of interrupt has occurred:
polling
vectored interrupt system
▪ Diagram of Interrupt Handling Process:
1.Interrupt Request (IRQ)
2.Acknowledge (CPU acknowledges the interrupt and decides to handle it) and Save State
3.Disable Further Interrupts (Temporary)
4.Identify the Interrupt and Locate Interrupt Service Routines (ISR)
5.Execute the (ISR)
6.Restore State
7.Re-enable Interrupts
8.Resume Execution from the Saved State

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 I/O Structure
▪ Two methods for handling I/O
• 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

Preemptive vs
nonpreemptive I/O

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 How a Modern Computer Works
▪ The CPU runs programs by fetching and executing instructions from
memory. It moves data between its fast cache and memory. Devices like
keyboards or hard drives can ask the CPU to do things (I/O requests) or tell
the CPU when they need immediate attention (interrupts). Sometimes,
devices can talk directly to memory (DMA), which helps the CPU do more
work by offloading some tasks.

▪ 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

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 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

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 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
▪ Increasingly CPUs support multi-mode operations
• i.e. virtual machine manager (VMM) mode for guest VMs

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 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

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 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

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 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

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 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

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 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

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 Mass-Storage Management
▪ Usually disks are 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

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 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

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 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

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 Virtualization
▪ Virtualization is a technology that allows the creation of multiple simulated environments
from a single physical hardware system
▪ Virtualization requires a hypervisor
• Type 1 Hypervisor (Bare-Metal): Runs directly on the physical hardware and
manages VMs. The OS in this scenario is part of the hypervisor layer, which is
responsible for creating and managing VMs.
 No need for (Host OS) which installed and runs directly on the physical hardware
of the host machine.
 Guest OS is the operating system that runs inside a virtual machine (VM) created
and managed by the hypervisor
 Examples: (VMware ESXi - Microsoft Hyper-V – Xen - KVM (Kernel-based Virtual
Machine)
• Type 2 Hypervisor (Hosted): Runs on a host operating system (Host OS), which
then runs VMs as applications. The host OS manages hardware resources and
provides services to the hypervisor, which in turn manages the VMs.
 Examples: (VMware Workstation - Oracle VM VirtualBox - Microsoft Virtual PC -
QEMU (Quick EMUlator))

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 Computing Environments - Virtualization

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 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

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 Kernel Data Structure

The kernel data structures are very important as they store data
about the current state of the system. For example, if a new process
is created in the system, a kernel data structure is created that
contains the details about the process.

Most of the kernel data structures are only accessible by the kernel
and its subsystems. They may contain data as well as pointers to
other data structures.

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 Kernel Data Structures

▪ Many similar to standard programming data structures

▪ Singly linked list

▪ Doubly linked list

▪ Circular linked list

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 Free and Open-Source Operating Systems
▪ Operating systems made available in source-code format rather than
just binary closed-source and proprietary
▪ Counter to the copy protection and Digital Rights Management
(DRM) movement
▪ Started by Free Software Foundation (FSF), which has “copyleft”
GNU Public License (GPL)
• Free software and open-source software are two different ideas
championed by different groups of people
 https://www.gnu.org/philosophy/open-source-misses-the-
point.en.html
▪ 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

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 End of Chapter 1

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