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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

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

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

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

Four Components of a Computer System

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

Operating System Definition
 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

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.
 Everything else is either
 a system program (ships with the operating system) , or
 an application program.

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

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

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

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

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:
 polling
 vectored interrupt system
 Separate segments of code determine what action should
be taken for each type of interrupt

I/O Structure
 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

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).

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
 Various technologies
 Becoming more popular

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

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

Direct Memory Access Structure
 Used for high-speed I/O devices able to transmit
information at close to memory speeds
 Device controller transfers blocks of data from buffer
storage directly to main memory without CPU
intervention
 Only one interrupt is generated per block, rather than
the one interrupt per byte

How a Modern Computer Works
A von Neumann architecture

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

Symmetric Multiprocessing Architecture

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

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

Operating System Structure
 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 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

Memory Layout for Multiprogrammed System

Operating-System Operations
 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

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

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

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

Process Management Activities
 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
The operating system is responsible for the following activities in
connection with process management:

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

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
 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

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
 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 or applications
 Varies between WORM (write-once, read-many-times) and RW
(read-write)

Performance of Various Levels of Storage
Movement between levels of storage hierarchy can be explicit or implicit

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

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

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

Kernel Data Structures
 Many similar to standard programming data structures
 Singly linked list
 Doubly linked list
 Circular linked list

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

 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>

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

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

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)
– 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

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

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

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

 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)

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)

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

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

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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