Chapter 1: Introduction

Operating System Concepts – 10h Edition Silberschatz, Galvin and Gagne ©2018
 Introduction
 What Operating Systems Do
 Computer-System Organization
 Computer-System Architecture
 Operating-System Operations
 Resource Management
 Security and Protection
 Virtualization
 Computing Environments
 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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 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 dedicated 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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 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

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 Operating System Definition (Cont.)

 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 addition services to application developers such as
databases, multimedia, graphics

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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

 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 and in general the state of the CPU
and be able to restore that state later.
 A trap or exception is a software-generated interrupt
caused either by an error or a user request
 An operating system is interrupt driven – it only runs as a
result of interrupts (including exceptions).
 Usually two interrupt lines, one non-maskable, for events
that must be handled immediately, and one for maskable
interrupts, which can be turned off (deferred usually) by the
CPU.

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 Interrupt Timeline

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 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:
 vectored interrupt system
 polling to determine which device
 hybrid – interrupt vector with linked list of devices (when
number of devices exceeds table size)

 Separate segments of code determine what action should

be taken for each type of interrupt – interrupt service
routines, also called interrupt handlers

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 Interrupt-driven I/O Cycle

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 Synchronous vs Asynchronous I/O
 Synchronous: 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
 Asynchronous: 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

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 Storage Structure
 Main memory – only large storage medium 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
 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

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 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).

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 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

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 Storage-Device Hierarchy

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 How a Modern Computer Works

A von Neumann architecture

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 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. (CPU needs to set up transfer first.)
 Only one interrupt is generated per block, rather than
the one interrupt per byte

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 Computer-System Architecture

 Most systems used to use a single general-purpose processor. Now most

use more than one.
 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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 2-Processor Symmetric Multiprocessing Architecture

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 A Dual-Core Design
 Multi-chip and multicore
 Systems containing all chips
 Chassis containing multiple separate systems

Might be L3 cache here

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 Non-Uniform Memory (NUMA) Access System

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 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

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 A Clustered System

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 PC Motherboard

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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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 Multiprogramming
 Multiprogramming means keeping more than one program in memory at a
time.
 A single program cannot keep CPU and I/O devices busy at all times.

 Allows several programs to be run simultaneously.

 Multiprogramming allows OS to switch programs so that CPU always has

one to execute.

 When running process requests I/O, CPU is given to a process that can
make progress.

 Increases CPU utilization (fraction of time CPU is doing useful work).

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 Batch Processing and Multitasking
 Batch processing is one kind of multiprogramming system:
 Processes jobs in bulk, with predetermined input from files or other data
sources.
 A subset of total jobs in system is kept in memory
 One job selected and run via job scheduling
 Each job is run to completion.

 Multitasking is a kind of multiprogramming system in which processes get

small time slices.
 It is a form of timesharing system.
 CPU switches jobs so frequently that users can interact with each job while
it is running, creating interactive computing.
 Response time should be fast
 If several jobs ready to run at the same time CPU scheduling is used
 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

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 Memory Layout for Multiprogrammed System

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 Dual-mode and Multimode Operation
 Dual-mode operation allows OS to protect itself and other system
components. Two modes:
 User mode and kernel mode (aka privileged mode,
supervisor 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 is 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 reclaiming 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 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 filesystems to file hierarchy
 Free-space management
 Storage allocation
 Disk scheduling
 Partitioning disks
 Protection
 Some storage need not be fast
 Tertiary storage includes optical storage, magnetic tape
 Still must be managed – by OS or applications

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 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 from slower storage copied to cache and
then used there
 Cache smaller than storage being cached
 Cache management important design problem
 Cache size and replacement policy

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 Characteristics of Various Types of Storage

 Movement between levels of storage hierarchy can be explicit or

implicit.
 Values based on data from around 2017

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 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

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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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 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

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 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

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 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
 Most common are Apple iOS and Google Android

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 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

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 Free and Open-Source Operating Systems

 Operating systems made available in source-code format rather

than just binary and free to modify, as opposed to closed-source
and proprietary
 Counter to the copy protection and Digital Rights
Management (DRM) movement
 UNIX was the first one.
 Promoted by Free Software Foundation (FSF), which invented
the first “copyleft” GNU Public License (GPL)
– Free software and open-source software are two different ideas
championed by different groups of peopl
 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 on many platforms - http://www.virtualbox.com)
 Use to run guest operating systems for exploration

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 The Study of Operating Systems
There has never been a more interesting time to study operating systems, and it has never been
easier. The open-source movement has overtaken operating systems, causing many of them to be
made available in both source and binary (executable) format. The list of operating
systems available in both formats includes Linux, BUSD UNIX, Solaris, and part of macOS.
The availability of source code allows us to study operating systems from the inside out.
Questions that we could once answer only by looking at documentation or the behavior of an
operating system we can now answer by examining the code itself.

Operating systems that are no longer commercially viable have been open-sourced as well, enabling
us to study how systems operated in a time of fewer CPU, memory, and storage resources.
An extensive but incomplete list of open-source operating-system projects is available
from https://curlie.org/Computers/Software/Operating_Systems/Open_Source/

In addition, the rise of virtualization as a mainstream (and frequently free) computer function
makes it possible to run many operating systems on top of one core system. For example, VMware
(http://www.vmware.com) providesa free “player” for Windows on which hundreds of free
“virtual appliances” can run. Virtualbox (http://www.virtualbox.com) provides a free, open-source
virtual machine manager on many operating systems. Using such tools, students can try out
hundreds of operating systems without dedicated hardware.

The advent of open-source operating systems has also made it easier to make the move from
student to operating-system developer. With some knowledge, some effort, and an Internet
connection, a student can even create a new operating-system distribution. Just a few years ago,
it was difficult or impossible to get access to source code. Now, such access is limited only by
how much interest, time, and disk space a student has.

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