Chapter 1: Introduction

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
 Distributed Systems
 Special-Purpose Systems
 Computing Environments
 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
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

 “ “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 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
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 including the CPU registers,
device controllers, and memory contents
 Locates and loads operating system kernel and starts execution
of the first process (such as “init”) and waits for events to
occur.
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
 Incoming interrupts are disabled while another interrupt is
being processed to prevent a lost interrupt
 A trap is a software-generated interrupt caused either by an
error such as divide by 0 or a user request (system call).
 An operating system is interrupt driven
 Interrupt Handling

 The operating system preserves the state of the CPU by storing

registers and the program counter

 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 without

waiting for I/O completion
 System call – request to the operating system 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
 Operating system indexes into I/O device table to determine
device status and to modify table entry to include interrupt
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
Storage Structure

 Main memory – only large storage media that the CPU can access
directly
 Programs and data cannot reside in main memory permanently
because:
 Main memory is limited (too small) to store all programs and data
permanently
 Main memory is volatile
 So secondary storage is provided – extension of main memory that
provides large nonvolatile storage capacity
 Magnetic 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
Storage Hierarchy
 Storage systems organized in hierarchy by
 Speed
 Cost
 Volatility

 The higher levels in the hierarchy are expensive but fast. As we move
down the hierarchy, the cost per bit generally decreases, whereas the
access time generally increases.

 Caching – copying information into faster storage system; main

memory can be viewed as a last cache for secondary storage
Storage-Device Hierarchy
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
How a Modern Computer Works
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
2. Symmetric Multiprocessing
Symmetric Multiprocessing Architecture
A Dual-Core Design
Distributed Systems
 Computation is distributed among several processors. In contrast to
tightly-coupled systems, the processors do not share a clock or
memory. Each has its own local memory.

 Communication is via a network. These systems are termed loosely-

coupled or distributed systems. The processors vary in size and
function and are called nodes.

 Advantages of distributed systems:

 Reliability: If one node fails, the remaining nodes can continue operating.
So by building enough redundancy, the system will not fail if one or more
nodes fail (e.g. redundant web servers).

 Computation speedup: Computation can be distributed among various

nodes to run concurrently (e.g. load balanced web servers).
Distributed Systems (contd.)
 Resource Sharing: Software, data, and hardware resources can be
shared. E.g. data files in node A can be accessed by a user at node
B. Files can be printed at a shared laser printer.

 Communication: Processes at various nodes can exchange

information.
Clustered Systems

 Are a form of distributed systems. Composed of 2 or more

independent machines coupled 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 while other
machine/server run applications. The hot-standby machine only monitors
the active server. If it fails, the hot-standby machine becomes the active
server.
 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
Clustered Systems (contd.)
 An example is the Beowulf cluster where the cluster master node does the
management and provisioning and a set of compute nodes that do computations.

 Beowulf Clusters are scalable performance clusters based on commodity

hardware, on a private network, with open source software (Linux)
infrastructure. Each consists of a cluster of PCs or workstations dedicated to
running high-performance computing tasks.
Operating System Structure

 Multiprogramming 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
 Operating System Structure (Cont.)

 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 by hardware

 Software error or request creates exception or trap
 Division by zero, request for operating system service
 Other process problems include infinite loop, processes modifying
each other or the operating system
 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
Transition from User to Kernel Mode
 Timer to prevent infinite loop / process hogging resources
 Set interrupt after specific period
 Operating system decrements counter
 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

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
Memory Management

 All data in memory before and after processing

 All instructions required in memory in order to execute
 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
 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
 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 Integer 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), and 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.

 It means being able to distinguish between authorized and

unauthorized access. E.g. userid/password, smart cards with
biometrics data etc.

 A system can have adequate protection (authorization) and still

be prone to failure and inappropriate access (e.g. if a user’s
userid/password is stolen). Then data can be copied or deleted.
Protection and Security

 Security – It is the job of security to defend a system against

internal and external attacks.
 Huge range, including denial-of-service, worms, viruses, identity
theft, theft of service

 While defending against some of these attacks may be considered

to be an O/S function on some systems, it is left to specialized
software on other systems (viruses, malware etc.) such as
Norton’s Security Suite.
Protection and Security

Most O/S’ maintain UIDs and GIDs to 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. E.g.
in UNIX a file owner may perform all operations on a file while the
group members may only be allowed to read a file.
 Privilege escalation allows user to change to effective ID with more
rights
I/O Protection

 The I/O system must protect against either accidental or

deliberate erroneous I/O.
 All I/O instructions are privileged instructions.
 User applications are not allowed to perform I/O in user mode -
All I/O requests are handled through system calls that must be
performed in kernel mode.
Memory Protection

 Need to:

1. Protect the interrupt vector from modification by a user program.

2. Protect the Interrupt Service Routines (ISRs) from modification.

3. Protect user programs from one another.

Memory Protection

There are two registers: base and limit.

Base register is the smallest legal physical memory.
Limit register is the size of the range.
Memory Protection

Every CPU address generated in user mode is compared with the base
and limit registers.
Note: Base and limit registers can only be loaded by O/S which uses
a privileged instruction to do so.
CPU Protection

CPU protection is needed to prevent a user program from getting

stuck in an infinite loop and never returning control to the O/S.

A timer is used to prevent this. The timer is set to interrupt, say

every N msecs. The O/S then switches the CPU to another process in
a multitasking O/S.

Loading/setting a timer is a privileged instruction.

Special Purpose Systems

 Real-time Embedded Systems

 Found in car engines, microwave ovens etc. They have specific
tasks and the systems they run on are usually primitive and so
the O/S provides limited features. They have little or no GUI.
 Embedded systems almost always run RTOS. This is used when
rigid time requirements have been placed on the operation of
the CPU or flow of data.
 Sensors bring data to the computer which then analyzes this
data. E.gs of real-time system include medical imaging
systems, weapon systems, automobile engine fuel injection
systems.
Special Purpose Systems


Special Purpose Systems
 Handheld Systems
Include smart phones such as iPhones (iOS) and Androids.
Challenges are due to limited size of such devices. Their small size leads to a
small amount of memory, slower CPUs, and small display screens.
Memory is between 2-4 GB and so OS and apps need to manage memory
efficiently.
CPUs in handhelds run at a fraction of the speed of a CPU in a PC. Faster CPUs
require more power which means a larger battery, which requires more space
and would need to be recharged frequently. So OS and apps must be designed
not to tax the CPU.
Lack of physical space limits I/P methods to small screen-based keyboards and
touch screens.
Small screens mean that only a subset of a web page is delivered and displayed on
the handheld device.
Computing Environments

 Traditional computing
 Web technologies are stretching the boundaries of traditional
computing.
 Company portals provide web accessibility to their internal
servers. Smart phones can connect wirelessly to their
company portals.
 High-speed home networks connect multiple machines,
including mobile devices wirelessly networked through Wifi
Router/Cable Modem etc.
Computing Environments (Cont)

 Client-Server Computing
 Evolved from the move away from centralized
computing with terminals.
 We have two types: compute servers and file servers.
 Compute-server provides an interface to client to
request services such as read data (i.e. database)
 File-server provides file-system interface for
clients to create, update, read, and delete files
(e.g. web server).
Peer-to-Peer Computing

 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
 Advantage over traditional client-server system is that the server is a
bottleneck. But in a P2P system, services can be provided by several
nodes.
 Node must first join a P2P network
 Registers its service with central lookup service. Any node needing service first
contacts the lookup service to determine which node provides the service and
then then client node directly communicates with the service provider. This is a
hybrid approach.
 E.g. file-sharing service Napster where the central lookup server maintains an
index of all files stored on peer nodes, with the exchange of files taking place
between peer nodes.
Peer-to-Peer Computing
Peer-to-Peer Computing

 Another approach is to have a client first discover the node that

provides the desired service by broadcasting a request for service to
all other nodes in the network.
 The node (or nodes) providing that service responds to the peer
making the request.
 To support this approach a discover protocol must be provided that
allows peers to discover services offered by peers. This is totally
distributed approach.
 E.g. Gnutella
Peer-to-Peer Computing
Web-Based Computing

 Web has become ubiquitous

 PCs used to be more prevalent devices but now mobile devices
(e.g. smart phones and tablets) are more prevalent modes of
access
 Now load balancers are used to manage web traffic among similar
servers
 Use of operating systems like Windows 95, client-side, have
evolved into Linux and Windows XP, which can be clients and
servers
Web-Based Computing
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, BSD UNIX (including core of Mac OS
X), and Sun Solaris
End of Chapter 1