Introduction

 What Operating Systems Do

 Computer-System Organization
 Computer-System Architecture
 Operating-System Structure
 Operating-System Operations
 Process Management
 Memory Management
 Storage Management
 I/O Management
 Protection & Security

Operating System Concepts 1.1 Silberschatz, Galvin and Gagne ©2005

 Objectives

 To provide a grand tour of the major operating systems

components
 To provide coverage of basic computer system organization

Operating System Concepts 1.2 Silberschatz, Galvin and Gagne ©2005

 What is an Operating System?

Definition(s):
 A program that acts as an intermediary between a user of a computer and
the computer hardware.
 An OS is a program/software that manages the computer hardware and
other resources. It also provides a basis for application programs and acts
as an intermediary between the computer user and the computer
hardware.
 A collection of software that directs a computer's operations, controls and
schedules the execution of other programs, and manages storage,
input/output (I/O), and communication resources.
 A set of software that controls the overall operation of a computer system,
typically by performing such tasks as memory allocation, job scheduling,
and input/output control.

Operating System Concepts 1.3 Silberschatz, Galvin and Gagne ©2005

 What is an Operating System?
 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.
 Different operating systems accomplish these tasks in different ways:
 Mainframe OS are designed to optimize utilization of hardware.
 Personal Computer OS supports complex games, business
applications, and all in between.
 OS for hand-held computers are designed to provide an
environment where users can easily interface with the computer to
execute programs
 mobility and portability are taken seriously.

Operating System Concepts 1.4 Silberschatz, Galvin and Gagne ©2005

 OS Generational advances
 1792-1891 - The 1st true digital computer was designed by an English
mathematician by the name of Charles Babbage – No OS.
 Since then, Operating Systems evolved through a number of distinct
phases which correspond roughly to the decades.
 The 1940’s – First Generation : Vacuum Tubes and Plugboards
(vacuum tubes, still no OS). Machine Language only
 The 1950’s – Second Generation: Transistors and Batch Systems
– Assembly Language
 The 1960’s – Third Generation: ICs and Multiprogramming (first
true OS) – Multiprogramming and timesharing.
 The 1980 – 1990 – Fourth Generation – Personal Computers Era
– VLSI
 1990 Onwards – Fifth Generation – Mobile OS (Android, Windows
Mobile, Symbian, BlackBerry, iOS, etc.)

Operating System Concepts 1.5 Silberschatz, Galvin and Gagne ©2005

 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

Operating System Concepts 1.6 Silberschatz, Galvin and Gagne ©2005

 Four Components of a Computer System

Operating System Concepts 1.7 Silberschatz, Galvin and Gagne ©2005

 Operating System Definition
System view
 OS is a resource allocator
 Manages all resources
• CPU time, memory space, file-storage space, I/O devices, etc.
 The OS acts as the manager of all these 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 Concepts 1.8 Silberschatz, Galvin and Gagne ©2005

 Operating System Definition (Cont.)

 No universally accepted definition

 “Everything a vendor ships when you order an operating system”
is 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

Operating System Concepts 1.9 Silberschatz, Galvin and Gagne ©2005

 Computer Startup
 bootstrap program (a.k.a BIOS) is loaded at power-up or reboot
 Typically stored in ROM or EEPROM, generally known as
firmware
 Initializates all aspects of system
 Loads operating system kernel and starts execution
 Basic steps:
1. BIOS stored on ROM is executed
2. BIOS conducts power on self-test
 Wakens and initializes all other devices – CPU registers, device controllers,
memory contents, HDD etc.
3. BIOS directs the computer to load the OS from disk – loads the OS kernel into RAM.
4. OS installs its own routines in interrupt jump vector
5. Once bootstrap/BIOS has executed a JUMP to the OS, the OS takes over.
6. First process executed by the OS is INIT
7. OS then waits for some event to occur.
 These events are called Interrupts
8. Interrupts could be triggered either by hardware or software.
 /boot/grub/[Link]
 GRUB LILO– Grand Unified Boot Loader or LILO – Linux Loader
Operating System Concepts 1.10 Silberschatz, Galvin and Gagne ©2005
 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
 To ensure orderly access to the shared memory, a memory controller is
provided whose function is to synchronize access to the memory.

Operating System Concepts 1.11 Silberschatz, Galvin and Gagne ©2005

 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.

Operating System Concepts 1.12 Silberschatz, Galvin and Gagne ©2005

 Interrupt Timeline

Operating System Concepts 1.13 Silberschatz, Galvin and Gagne ©2005

 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

Operating System Concepts 1.14 Silberschatz, Galvin and Gagne ©2005

 Common Functions of Interrupts

 Interrupt transfers control to the interrupt service routine (ISR)

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 or
a user request.
 An operating system is interrupt driven.

Operating System Concepts 1.15 Silberschatz, Galvin and Gagne ©2005

 Direct Memory Access Structure

 Used for high-speed I/O devices that are 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.

Operating System Concepts 1.16 Silberschatz, Galvin and Gagne ©2005

 Storage Structure
 Main memory (RAM) – only large storage media that the CPU can
access directly.
 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.

Operating System Concepts 1.17 Silberschatz, Galvin and Gagne ©2005

 Storage Hierarchy

 Storage systems organized in hierarchy.

 Speed
 Cost
 Volatility
 Caching – copying information into faster storage system;
 main memory can be viewed as a last cache for secondary
storage.

Operating System Concepts 1.18 Silberschatz, Galvin and Gagne ©2005

 Storage-Device Hierarchy

Volatile

Cost Speed

Non-Volatile

Operating System Concepts 1.19 Silberschatz, Galvin and Gagne ©2005

 Storage devices

 Definitions
 Overhead – the time that the CPU is tied up initiating/ending
an operation.
 Latency – Time to transfer one bit.
 Bandwidth – rate of I/O transfer, once initiated – MBytes/sec,
Mbits/sec

Operating System Concepts 1.20 Silberschatz, Galvin and Gagne ©2005

 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

Operating System Concepts 1.21 Silberschatz, Galvin and Gagne ©2005

 Performance of Various Levels of Storage

 Movement between levels of storage hierarchy can be explicit or

implicit

Operating System Concepts 1.22 Silberschatz, Galvin and Gagne ©2005

 Migration of Integer A from Disk to Register

 Multitasking environments must be careful to use most recent

value, not 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 later sections/topics

Operating System Concepts 1.23 Silberschatz, Galvin and Gagne ©2005

 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
 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

Operating System Concepts 1.24 Silberschatz, Galvin and Gagne ©2005

 Memory Layout for Multiprogrammed System

Operating System Concepts 1.25 Silberschatz, Galvin and Gagne ©2005

 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

Operating System Concepts 1.26 Silberschatz, Galvin and Gagne ©2005

 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

Operating System Concepts 1.27 Silberschatz, Galvin and Gagne ©2005

 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 needs to reclaim 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

Operating System Concepts 1.28 Silberschatz, Galvin and Gagne ©2005

 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

Operating System Concepts 1.29 Silberschatz, Galvin and Gagne ©2005

 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 (or parts thereof) and data to move
into and out of memory
 Allocating and deallocating memory space as needed

Operating System Concepts 1.30 Silberschatz, Galvin and Gagne ©2005

 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

Operating System Concepts 1.31 Silberschatz, Galvin and Gagne ©2005

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

Operating System Concepts 1.32 Silberschatz, Galvin and Gagne ©2005

 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

Operating System Concepts 1.33 Silberschatz, Galvin and Gagne ©2005

 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

Operating System Concepts 1.34 Silberschatz, Galvin and Gagne ©2005

 END

Operating System Concepts 1.35 Silberschatz, Galvin and Gagne ©2005