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Operating System Concepts
• Textbook:
Operating System Concepts -- 8th Edition
By Silberschatz, Galvin and Gagne
• Reference Book
W.Stallings, Operating Systems, Internals and Design Principles
Operating System Concepts – 8th Edition 1.1 Silberschatz, Galvin and Gagne ©2009
Chapter 1: Introduction
Operating System Concepts – 8th Edition Silberschatz, Galvin and Gagne ©2009
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
Objectives
 To provide a grand tour of the major operating systems components
 To provide coverage of basic computer system organization
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
 Human
Four Components of a Computer System
What Operating Systems Do
 Depends on the point of view
 Users want convenience, ease of use
 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
 An operating system (OS) is system software that control,

coordinates and manages computer hardware, software resources,
and provides common services for computer programs.
 “The one program running at all times on the computer” is the
kernel. Everything else is either a system program or an application
program.
Computer Startup
 bootstrap program is loaded at power-on 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 ISR ( 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
 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
Interrupt Timeline
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
 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 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
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
 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
 Speed
 Cost
 Volatility
 Caching – copying information into faster storage system; main

memory can be viewed as a 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
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 (Master-Slave)
2. Symmetric Multiprocessing (Peers)
How a Modern Computer Works
A von Neumann architecture
Symmetric Multiprocessing Architecture
A Dual-Core Design
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
Clustered Systems
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 (as a busy lawyer)
 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
 Program execution.
 Control Input/output devices.
 Program creation.
 Error Detection and Response.
 Accounting.
 Security and Protection.
 File Management.
 Communication.
 Dual-mode operation allows OS to protect itself and other system
components
 User mode and kernel mode
 User mode When the computer system runs user applications like
file creation or any other application program in the User Mode, this
mode does not have direct access to the computer's hardware.
 Kernel mode All the bottom level tasks of the Operating system
are performed in the Kernel Mode. As the Kernel space has direct
access to the hardware of the system, so the kernel-mode handles
all the processes which require hardware support.
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 in memory in order to execute
 Memory management determines what is in memory 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 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 dirs
 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 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), 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 (setuid command)
Distributed Computing
 Collection of separate, possibly heterogeneous, systems networked
together
 Network is a communications path
– 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
Special-Purpose Systems
 Real-time embedded systems most prevalent form of computers
 Vary considerable, special purpose, limited purpose OS, real-time OS
 Multimedia systems
 Streams of data must be delivered according to time restrictions
 Handheld systems
 PDAs, smart phones, limited CPU, memory, power
 Reduced feature set OS, limited I/O
Computing Environments
 Traditional computer
 Office environment
 PCs connected to a network, terminals attached to
mainframe or minicomputers providing batch and
timesharing
 Now portals allowing networked and remote systems
access to same resources
 Home networks
 Used to be single system, then modems
 Now firewalled, networked
Computing Environments (Cont.)
 Client-Server Computing
 Dumb terminals supplanted by smart PCs
 Many systems now servers, responding to requests generated
by clients
 Compute-server provides an interface to client to request
services (i.e., database)
 File-server provides interface for clients to store and
retrieve files
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
 Node must join P2P network
Web-Based Computing
 Web has become ubiquitous
 PCs most prevalent devices
 More devices becoming networked to allow web access
 New category of devices to manage web traffic among similar servers:

load balancers
 Use of operating systems like Windows 95, client-side, have evolved

into Linux and Windows XP, which can be clients and servers
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
End of Chapter 1
Operating System Concepts – 8th Edition Silberschatz, Galvin and Gagne ©2009

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Operating System Concepts

 To provide coverage of basic computer system organization

 A program that acts as an intermediary between a user of a computer

 Operating system goals:

 Computer system can be divided into four components:

 No universally accepted definition

 An operating system (OS) is system software that control,

 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

 Interrupt architecture must save the address of the interrupted

 Incoming interrupts are disabled while another interrupt is being

 An operating system is interrupt driven

 Determines which type of interrupt has occurred:

 Separate segments of code determine what action should be taken for

 Magnetic disks – rigid metal or glass platters covered with magnetic

 Caching – copying information into faster storage system; main

 Information in use copied from slower to faster storage temporarily

 Faster storage (cache) checked first to determine if information is

 Cache smaller than storage being cached

 Multiprocessors systems growing in use and importance

A von Neumann architecture

 Multiprogramming needed for efficiency

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

 Creating and deleting both user and system processes

 All instructions in memory in order to execute

 Memory management determines what is in memory when

 Memory management activities

 OS provides uniform, logical view of information storage

 Movement between levels of storage hierarchy can be explicit or

 Multitasking environments must be careful to use most recent value, no

 Multiprocessor environment must provide cache coherency in hardware

 Distributed environment situation even more complex

 I/O subsystem responsible for

 Security – defense of the system against internal and external attacks

 Systems generally first distinguish among users, to determine who

 P2P does not distinguish clients and servers

 PCs most prevalent devices

 More devices becoming networked to allow web access

 New category of devices to manage web traffic among similar servers:

 Use of operating systems like Windows 95, client-side, have evolved

 Counter to the copy protection and Digital Rights Management

 Started by Free Software Foundation (FSF), which has “copyleft”

 Examples include GNU/Linux and BSD UNIX (including core of Mac

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