Chapter 1: Introduction

Operating System Concepts – 9th Edit9on Silberschatz, Galvin and Gagne ©2013
 Chapter 1: Introduction
 What Operating Systems Do
 Computer-System Organization
 Computer-System Architecture
 Operating-System Structure
 Operating-System Operations
 Process Management
 Memory Management
 Storage Management
 Protection and Security
 Kernel Data Structures
 Computing Environments
 Open-Source Operating Systems

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 Objectives

 To describe the basic organization of computer systems

 To provide a grand tour of the major components of
operating systems
 To give an overview of the many types of computing
environments
 To explore several open-source operating systems

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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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 Four Components of a Computer System

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 What Operating Systems Do

• The operating system controls the hardware and

coordinates its use among the various application
programs for the various users.
• We can also view a computer system as consisting of
hardware, software, and data. The operating system
provides the means for proper use of these resources in
the operation of the computer system.
• An operating system is similar to a government. Like
a government, it performs no useful function by itself.
It simply provides an environment within which other
programs can do useful work.
• To understand more fully the operating system's role,
we need to explore operating systems from two
viewpoints:
• The user point of view
• The system point of view

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 user View
The user's view of the computer varies according to
the interface being use.

• Single user computers (e.g., PC, workstations). Such

systems are designed for one user to monopolize its
resources. The goal is to maximize the work (or play)
that the user is performing. The operating system is
designed mostly for ease of use and good
performance.

• Multi user computers (e.g., mainframes, computing

servers). These users share resources and may
exchange information. The operating system in such
cases is designed to maximize resource utilization ‐‐ to
assure that all available CPU time, memory, and I/O
are used efficiently and that no individual users takes
more than their air share.
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 User View (Cont.)

• Handheld computers (e.g., smartphones and tablets).

The user interface for mobile computers generally
features a touch screen. The systems are resource poor,
optimized for usability and battery life.

• Embedded computers (e.g., computers in home

devices and automobiles) The user interface may have
numeric keypads and may turn indicator lights on or off
to show status. The operating systems are designed
primarily to run without user intervention.

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 System View

• The operating system is a resource allocator

• Manages all resources
• Decides between conflicting requests for
efficient and fair resource use

• The operating system is a control program

• Controls execution of programs to prevent
errors and improper use of the computer

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 Defining Operating System

No universally accepted definition of what is part of the OS.

• Operating systems exist to offer a reasonable way to

solve the problem of creating a usable computing
system.

• The fundamental goal of computer systems is to

execute user programs and to make solving user
problems easier.

• The common functions of controlling and allocating

resources brought together into one piece of software:
the operating system.

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 Defining Operating System (Cont.)

• A simple viewpoint is that it includes everything a vendor

ships when you order the operating system. The features that
are included vary greatly across systems:

• Some systems take up less than a megabyte of space .

• Some systems require gigabytes of space and are based

entirely on graphical windowing systems.

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 Defining Operating System (Cont.)

• A more common definition, and the one that we

usually follow, is that the operating system is the one
program running at all times on the computer -- usually
called the kernel.
• Along with the kernel, there are two other types of
programs:
• System programs, which are associated with the
operating system but are not necessarily part of the
kernel.
• Application programs, which include all programs not
associated with the operation of the system.

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 Defining Operating System (Cont.) 

• The emergence of mobile devices, have resulted in an

increase in the number of features that constituting the
operating system.

• Mobile operating systems often include not only a core

kernel but also middleware ‐‐ a set of software
frameworks that provide additional services to
application developers.

• For example, each of the two most prominent mobile

operating systems ‐‐ Apple's iOS and Google's Android ‐‐
feature a core kernel along with middleware that
supports databases, multimedia, and graphics (to name
only a few).

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 Computer Startup

 bootstrap program is loaded at power-up or reboot

 Typically stored in ROM or EPROM, generally known
as firmware
 Initializes all aspects of system
 Loads operating system kernel and starts execution

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 Computer System Organization

 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
 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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 Interrupts

There are two types of interrupts:

• Hardware ‐‐ a device may trigger an interrupt by

sending a signal to the CPU, usually by way of the
system bus.

• Software ‐‐ a program may trigger an interrupt by

executing a special operation called a system call.

• A software‐generated interrupt (sometimes called trap

or exception) is caused either by an error (e.g., divide
by zero) or a user request (e.g., an I/O request).

• An operating system is interrupt driven.

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 Common Functions of Interrupts
• When an interrupt occurs, the operating system
preserves the state of the CPU by storing the registers
and the program counter.

• Determines which type of interrupt has occurred and

transfers control to the interrupt‐service routine.

• An interrupt‐service routine is a collection of routines

(modules), each of which is responsible for handling
one particular interrupt (e.g., from a printer, from a
disk)

The transfer is generally through the interrupt vector,

which contains the addresses of all the service
routines

• Interrupt architecture must save the address of the

interrupted instruction.
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 Interrupt Timeline

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Operating System Concepts – 9th Edition 1.22 Silberschatz, Galvin and Gagne ©2013
 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
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 Structure
 Main memory – only large storage media that the CPU can access directly
 Random access
 Typically volatile
 Secondary storage – extension of main memory that provides large
nonvolatile storage capacity
 Hard disks – rigid metal or glass platters covered with magnetic
recording material
 Disk surface is logically divided into tracks, which are subdivided into
sectors
 The disk controller determines the logical interaction between the device
and the computer
 Solid-state disks – faster than hard disks, nonvolatile
 Tertiary storage-
• magnetic tapes, storage capacity is larger, access time is less.

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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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Operating System Concepts – 9th Edition 1.26 Silberschatz, Galvin and Gagne ©2013
 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

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 I/O Structure
To start an I/O operation, the device driver loads the appropriate
registers within the device controller.

• The device controller, in turn, examines the contents of these

registers to determine what action to take (such as “read” a character
from the keyboard).

• The controller starts the transfer of data from the device to its local
buffer. Once the transfer of data is complete, the device controller
informs the device driver via an interrupt that it has finished its
operation.

• The device driver then returns control to the operating system,

possibly returning the data or a pointer to the data if the operation
was a read.

• For other operations, the device driver returns status information.

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 Direct Memory Access Structure
• Interrupt‐driven I/O is fine for moving small amounts of data but
can produce high overhead when used for bulk data movement such
as disk I/O.

• To solve this problem, direct memory access (DMA) is used.

• After setting up buffers, pointers, and counters for the I/O

device, the device controller transfers an entire block of data
directly to or from its own buffer storage to memory, with no
intervention by the CPU.
• Only one interrupt is generated per block, to tell the device
driver that the operation has completed. While the device
controller is performing these operations, the CPU is available to
accomplish other work.

• Some high‐end systems use switch rather than bus architecture.

On these systems, multiple components can talk to other
components concurrently, rather than competing for cycles on a
shared bus. In this case, DMA is even more effective.

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 How a Modern Computer Works

A von Neumann architecture

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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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 Symmetric Multiprocessing Architecture

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 Multicore Systems

• Most CPU design now includes multiple computing cores

on a single chip. Such multiprocessor systems are termed
multicore.

• Multicore systems can be more efficient than multiple

chips with single cores because:

• On‐chip communication is faster than between‐chip

communication.
• One chip with multiple cores uses significantly less
power than multiple single‐core chips, an important
issue for laptops as well as mobile devices.

• Note ‐‐ multicore systems are multiprocessor systems,

not all multiprocessor systems are multicore.

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 A Dual-Core Design
 Two CPU cores placed on same Chip

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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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 Clustered Systems

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 Operating System operations
 Multiprogramming (Batch system) needed for efficiency
 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 it has to wait (for I/O for example), OS switches to another job

 Timesharing (multitasking) is logical extension in which CPU switches jobs

so frequently that users can interact with each job while it is running, creating
interactive computing
 Response time should be < 1 second
 Each user has at least one program executing in memory process
 If several jobs ready to run at the same time  CPU scheduling
 If processes don’t fit in memory, swapping moves them in and out to run
 Virtual memory allows execution of processes not completely in memory

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 Memory Layout for Multiprogrammed System

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 Operating-System Operations(cont.)

Mode of operations
A mechanism that allows OS to protect itself and other
components of the system
We have two modes
 User mode and kernel mode
 Mode bit (0 or 1) 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 by a user asking os to changes the mode from
user to kernel mode.
 Return from a system call and resets it to user mode

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 Transition from User to Kernel Mode

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 TIMER
To prevent a process to be infinite loop ( process hogging
resources ) a timer is used , which is a hardware device.
 Timer is set to interrupt the computer after some time
period
 Timer is a counter that is decremented by the physical
clock.
 Operating system set the counter (privileged instruction)
 When the counter reaches the value zero generate an
interrupt
 The OS set up the value of the counter 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 are user processes, some
are operating system processes 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
 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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 Storage Management
 OS provides uniform, logical view of information storage
 Each storage medium is controlled by device driver (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.
 Proper management is of central importance
 Entire speed of computer operation hinges on disk subsystem and its
algorithms
 OS activities
 Free-space management
 Storage allocation
 Disk scheduling
 Some storage need not be fast
 Tertiary storage includes optical storage, magnetic tape
 Still must be managed – by OS

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 Performance of Various Levels of Storage

Movement between levels of storage hierarchy can be explicit or implicit

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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 17

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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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 Kernel Data Structures

 Many similar to standard programming data structures

 Singly linked list

 Doubly linked list

 Circular linked list

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 Kernel Data Structures

 Binary search tree

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

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 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>

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 Computing Environments - Traditional

 Stand-alone general-purpose machines, is a single desktop

computer is used for a single user for local application, without
connecting LAN or WAN.
 Most systems connected to the internet using web Portals,
hence users can share printers, scanners and other peripherals.
 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 are example for mobile

devices.
 Mobile computers interconnect via wireless networks
 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

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 Computing Environments – Distributed

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

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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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 Computing Environments - Peer-to-Peer

 Another model of distributed system

 P2P does not distinguish clients and servers
 Instead, all nodes are considered peers
 May each act as client, server or both
 Node must join P2P network
 Registers its service with central
lookup service on network, or
 Broadcast request for service and
respond to requests for service via
discovery protocol
 Examples include Napster and Gnutella,
Voice over IP (VoIP) such as Skype

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 Computing Environments - Virtualization

 Allows operating systems to run applications within other OSes

 Vast and growing industry
 Emulation used when source CPU type different from target
type (i.e., PowerPC to Intel x86)
 Generally slowest method
 When computer language not compiled to native code –
Interpretation
 Virtualization – OS natively compiled for CPU, running guest
OSes also natively compiled
 Consider VMware running WinXP guests, each running
applications, all on native WinXP host OS
 VMM (virtual machine Manager) provides virtualization
services

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 Computing Environments - Virtualization

 Use cases involve laptops and desktops running multiple OSes

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

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 Computing Environments - Virtualization

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 Computing Environments – Cloud Computing

 Delivers computing, storage, even apps as a service across a network

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

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 Computing Environments – Cloud Computing

 Cloud computing environments composed of traditional OSes,

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

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 Computing Environments – Real-Time Embedded Systems

 Real-time embedded systems most prevalent form of computers

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

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 Open-Source Operating Systems

 Operating systems made available in source-code format rather

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

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 End of Chapter 1

Operating System Concepts – 9th Edit9on Silberschatz, Galvin and Gagne ©2013