Operating System Concepts

Tenth Edition
Silberschatz, Galvin and Gagne

Chapter 1
Introduction
Chapter 1: Introduction 1

• What Operating Systems Do

• Computer-System Organization
• Computer-System Architecture
• Operating-System Structure
• Operating-System Operations
• Process Management
• Memory Management
• Storage Management

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Chapter 1: Introduction 2

• Protection and Security

• Kernel Data Structures
• Computing Environments
• Open-Source Operating Systems

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Chapter 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 1

• 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

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Computer System Structure 2

• 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
• 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
• Users of dedicate systems such as workstations have dedicated
resources but frequently use shared resources from servers
• Handheld computers are resource poor, optimized for usability and
battery life
• Some computers have little or no user interface, such as embedded
computers in devices and automobiles

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Operating System Definition 1

• OS is a resource allocator
• Manages all resources
• Decides between conflicting requests for efficient and
fair resource use
• OS is a control program
• Controls execution of programs to prevent errors and
improper use of the computer

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Operating System Definition 2

• 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.
• Everything else is either
• a system program (ships with the operating system), or
• an application program.
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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
• 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
• 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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Interrupt Handling
• The operating system preserves the state of the C PU by
storing registers and the program counter
• Determines which type of interrupt has occurred:
• polling
• vectored interrupt system
• Separate segments of code determine what action
should be taken for each type of interrupt

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Interrupt Timeline

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I/O Structure
• After I/O starts, control returns to user program only upon I/O completion
• Wait instruction idles the C PU 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

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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
4
a terabyte, or TB, is 1, 024 bytes
5
a petabyte, or PB, is 1, 024 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 C PU 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
• Various technologies
• Becoming more popular

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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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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

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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 C PU
intervention
• Only one interrupt is generated per block, rather than the
one interrupt per byte

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

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Clustered Systems 1

• 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 2

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Operating System Structure 1

• Multiprogramming (Batch system) needed for efficiency

• Single user cannot keep CPU and I/O devices busy at all times
• Multiprogramming organizes jobs (code and data) so C PU 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), O S switches to another job

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Operating System Structure 2

• 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 1

• 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
• Other process problems include infinite loop, processes
modifying each other or the operating system

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Operating-System Operations 2

• 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 1

• 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

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Process Management 2

• 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 C PUs
• 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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Storage 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
• O S 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 1

• 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
• Free-space management
• Storage allocation
• Disk scheduling

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Mass-Storage Management 2

• Some storage need not be fast

• Tertiary storage includes optical storage, magnetic tape
• Still must be managed – by OS or applications
• Varies between WORM (write-once, read-many-times) and RW (read-write)

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Performance of Various Levels of Storage
Level 1 2 3 4 5
Name registers cache main memory solid state disk magnetic disk
Typical size < 1 KB < 16 MB < 64 GB < 1 TB < 10 TB
Implementation custom on-chip or off- CMOS SRAM flash memory magnetic disk
technology memory with ship CMOS
multiple ports SRAM
CMOS
Access time 0.25 to 0.5 0.5 to 25 80 to 250 25,000 to 5,000,000
(ns) 50,000
Bandwidth 20,000 to 5,000 to 1,000 to 5,000 500 20 to 150
(MB/sec) 100,000 10,000
Managed by compiler hardware operating operating operating
system system system
Backed by cache main memory disk disk disk or tape

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 I D with more rights

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Kernel Data Structures 1

• Many similar to standard programming data structures

• Singly linked list

• Doubly linked list

• Circular linked list

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Kernel Data Structures 2

• 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 3

• 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
• 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
• Leaders are Apple iOS and Google Android

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Computing Environments – Distributed
• Distributed computing
• 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

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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 1

• Allows operating systems to run applications within other O Ses

• 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 C PU, 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 2

• 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 O Ses 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 (V Mware ESX and Citrix
XenServer)

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Computing Environments – Virtualization 3

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Computing Environments – Cloud Computing 1

• 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 2

• 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 O S, real-time OS
• Use expanding
• Many other special computing environments as well
• Some have OSes, some perform tasks without an O S
• 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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Copyright
Copyright © 2020 John Wiley & Sons, Inc.
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