CSE303 Fundamentals of Operating

Systems

Assoc.Prof.Dr. Taner DANISMAN

tdanisman@akdeniz.edu.tr

Operating System Concepts – 9th Edition 1.1 Silberschatz, Galvin and Gagne ©2013
 Syllabus
Semester: Fall 2023
Instructor : Taner Danisman

Lectures
40 minutes course + 15 minutes break
Location:
 Monday :15:30-17:20
 Wednesday :13:30-15:20
TextBook:
Operating System Concepts, 9th edition, Silberschatz et al.
Wiley, 2013
Modern Operating Systems, Andrew S. Tanenbaum, 4th Edition,
Pearson, 2015

Operating System Concepts – 9th Edition 1.2 Silberschatz, Galvin and Gagne ©2013
 Prerequisites
Readers familiarity with
Basic data structures
Computer organization
C programming
Reading:
C Coding
 https://users.ece.cmu.edu/~eno/coding/CCodingStandard.html

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 Lab material
OS: Ubuntu 20.04.* LTS or higher (Virtual or installed OS)
MINIX Operating System
 DOSMINIX 3.1.0 (Book edition)
– http://download.minix3.org/iso/
gcc compiler
VirtualBox 6.1 or 7.0 (Oracle)

Operating System Concepts – 9th Edition 1.4 Silberschatz, Galvin and Gagne ©2013
 Grading
Absolute grading
Assignments : 20% (4 assignments, different weights)
Group assignments is possible
Midterm:30%
Final 50%

Operating System Concepts – 9th Edition 1.5 Silberschatz, Galvin and Gagne ©2013
 Topics to be Covered
Week 1 Introduction
Week 2 Operating System Structures
Week 3 Processes
Week 4 Threads
Week 5 Threads
Week 6 Synchronization
Week 7 Synchronization
Week 8 Midterm
Week 9 Classical Problems
Week 10 CPU Scheduling
Week 11 CPU Scheduling
Week 12 Deadlocks
Week 13 Memory Management
Week 14 Virtual Memory
Week 15 Virtual Memory

Operating System Concepts – 9th Edition 1.6 Silberschatz, Galvin and Gagne ©2013
 Chapter 1: Introduction

Operating System Concepts – 9th Edit9on Silberschatz, Galvin and Gagne ©2013
 What is an Operating System?

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

computer and the computer hardware.
An operating system is software that manages 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 and resources in an efficient
manner

Operating System Concepts – 9th Edition 1.8 Silberschatz, Galvin and Gagne ©2013
 Four Components of a Computer System

Operating System Concepts – 9th Edition 1.9 Silberschatz, Galvin and Gagne ©2013
 What Operating Systems Do – User View

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 (terminals) 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 Concepts – 9th Edition 1.10 Silberschatz, Galvin and Gagne ©2013
 Operating System Definition

From the computer’s point of view, the operating system is the program
mostly involved with the hardware.
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 Concepts – 9th Edition 1.11 Silberschatz, Galvin and Gagne ©2013
 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
Microsoft case in 1998
“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 – 9th Edition 1.12 Silberschatz, Galvin and Gagne ©2013
 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
When a system is fully booted, it waits for some event to occur
The occurrence of an event is usually signaled by an interrupt
 It can be a hardware or software interrupt
– Hardware interrupts: Sending signal to the CPU
– Software interrupts: Systems calls

Operating System Concepts – 9th Edition 1.13 Silberschatz, Galvin and Gagne ©2013
 Interrupt Handling

When the CPU is interrupted:

The interrupt must transfer control to the appropriate interrupt
service routine
it stops what it is doing and immediately transfers execution to a
fixed location
The fixed location usually contains the starting address where the
service routine for the interrupt is located
The interrupt service routine executes; on completion, the CPU
resumes the interrupted computation

Operating System Concepts – 9th Edition 1.14 Silberschatz, Galvin and Gagne ©2013
 Interrupt Handling (cont.)

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
Since only a predefined number of interrupts is possible, a table of
pointers to interrupt routines can be used instead to provide the
necessary speed. Windows and UNIX dispatch interrupts in this manner
After the interrupt is serviced, the saved return address is loaded into
the program counter, and the interrupted computation resumes as
though the interrupt had not occurred.

Operating System Concepts – 9th Edition 1.15 Silberschatz, Galvin and Gagne ©2013
 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

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 Storage-Device Hierarchy

Operating System Concepts – 9th Edition 1.17 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 1.18 Silberschatz, Galvin and Gagne ©2013
 Computer-System Architecture

Old 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, shared resources, memory etc.
3. Increased reliability – graceful degradation or fault tolerance
– The ability to continue providing service proportional to the level of
surviving hardware is called graceful degradation
– fault tolerant systems can suffer a failure of any single
component and still continue operation
» The HP NonStop (formerly Tandem) system uses both
hardware and software duplication to ensure continued
operation despite faults

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 Computer-System Architecture

Two types:
1. Asymmetric Multiprocessing – each processor is assigned a
specific task.
1. A boss processor controls the system; boss-worker relationship
2. Symmetric Multiprocessing (SMP) – each processor performs all
tasks
1. no boss–worker relationship exists
Multiprocessing can cause a system to change its memory access model
from uniform memory access (UMA) to non-uniform memory access
(NUMA)
UMA is defined as the situation in which access to any RAM from any
CPU takes the same amount of time.
With NUMA, some parts of memory may take longer to access than
other parts, creating a performance penalty.
multicore systems are multiprocessor systems

Operating System Concepts – 9th Edition 1.20 Silberschatz, Galvin and Gagne ©2013
 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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 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 Concepts – 9th Edition 1.23 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 1.24 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 1.25 Silberschatz, Galvin and Gagne ©2013
 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 – 9th Edition 1.26 Silberschatz, Galvin and Gagne ©2013
 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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 Performance of Various Levels of Storage

Movement between levels of storage hierarchy can be explicit or implicit

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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 ID with
more rights

Operating System Concepts – 9th Edition 1.29 Silberschatz, Galvin and Gagne ©2013
 Kernel Data Structures

n Many similar to standard programming data structures

n Singly linked list

n Doubly linked list

n Circular linked list

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 Kernel Data Structures

Binary search tree

left <= right
Search performance is O(n)
Balanced binary search tree is O(log n)

Operating System Concepts – 9th Edition 1.31 Silberschatz, Galvin and Gagne ©2013
 Kernel Data Structures

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>

Operating System Concepts – 9th Edition 1.32 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 1.33 Silberschatz, Galvin and Gagne ©2013
 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 Win10 guests, each running
applications, all on native Win10 host OS
VMM (virtual machine Manager) provides virtualization
services

Operating System Concepts – 9th Edition 1.34 Silberschatz, Galvin and Gagne ©2013
 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)

Operating System Concepts – 9th Edition 1.35 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 1.36 Silberschatz, Galvin and Gagne ©2013
 End of Chapter 1

Operating System Concepts – 9th Edit9on Silberschatz, Galvin and Gagne ©2013
 Chapter 2: Operating-System
Structures

Operating System Concepts – 9th Edit9on Silberschatz, Galvin and Gagne ©2013
 Schedule
Week 1 Introduction
Week 2 Operating System Structures
Week 3 Processes
Week 4 Threads
Week 5 Threads
Week 6 Midterm 1
Week 7 Synchronization
Week 8 Classical Problems
Week 9 CPU Scheduling
Week 10 CPU Scheduling
Week 11 Midterm 2
Week 12 Deadlocks
Week 13 Memory Management
Week 14 Virtual Memory
Week 15 Virtual Memory

Operating System Concepts – 9th Edition 1.39 Silberschatz, Galvin and Gagne ©2013
 Operating System Services
Operating systems provide:
User interface - Almost all operating systems have a user
interface (UI).
 Command-Line Interface(CLI), text commands
 Graphics User Interface (GUI),
 Batch Interface, commands and directives are entered intoa
file and file is executed

Program execution
I/O operations
File-system manipulation Programs need to read and write files
and directories, create and delete them, search them, list file
Information, permission management.
Communications – Processes may exchange information, on
the same computer or between computers over a network
 Communications may be via shared memory or through
message passing (packets moved by the OS)

Operating System Concepts – 9th Edition 1.40 Silberschatz, Galvin and Gagne ©2013
 Operating System Services (Cont.)

(Cont.):
Error detection
 May occur in the CPU and memory hardware, in I/O devices, in user
program
 For each type of error, OS should take the appropriate action to
ensure correct and consistent computing
 Debugging facilities can greatly enhance the user’s and
programmer’s abilities to efficiently use the system

Operating System Concepts – 9th Edition 1.41 Silberschatz, Galvin and Gagne ©2013
 Operating System Services (Cont.)
Resource allocation - When multiple users or multiple jobs running
concurrently, resources must be allocated to each of them
 Many types of resources - CPU cycles, main memory, file storage,
I/O devices.
Accounting - To keep track of which users use how much and what
kinds of computer resources
Protection and security - The owners of information stored in a
multiuser or networked computer system may want to control use of
that information, concurrent processes should not interfere with each
other
 Protection involves ensuring that all access to system resources is
controlled
 Security of the system from outsiders requires user authentication,
extends to defending external I/O devices from invalid access
attempts

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 A View of Operating System Services

Operating System Concepts – 9th Edition 1.43 Silberschatz, Galvin and Gagne ©2013
 User Operating System Interface - CLI

CLI or command interpreter allows direct command entry

Sometimes implemented in kernel, sometimes by systems
program
Sometimes multiple flavors implemented – shells
Primarily fetches a command from user and executes it
Sometimes commands built-in, sometimes just names of
programs
 If the latter, adding new features doesn’t require shell
modification
 Unix example
– rm file.txt
 In this way, programmers can add new commands to the
system easily by creating new files with the proper names

Operating System Concepts – 9th Edition 1.44 Silberschatz, Galvin and Gagne ©2013
 Bourne Shell Command Interpreter

Operating System Concepts – 9th Edition 1.45 Silberschatz, Galvin and Gagne ©2013
 User Operating System Interface - GUI

User-friendly desktop metaphor interface

Usually mouse, keyboard, and monitor
Icons represent files, programs, actions, etc
Various mouse buttons over objects in the interface
cause various actions (provide information, options,
execute function, open directory (known as a
folder)
Invented at Xerox PARC
Many systems now include both CLI and GUI interfaces
Microsoft Windows is GUI with CLI “command”
shell
Apple Mac OS X is “Aqua” GUI interface with UNIX
kernel underneath and shells available
Unix and Linux have CLI with optional GUI
interfaces (CDE, KDE, GNOME)

Operating System Concepts – 9th Edition 1.46 Silberschatz, Galvin and Gagne ©2013
 XEROX PARC

Operating System Concepts – 9th Edition 1.47 Silberschatz, Galvin and Gagne ©2013
 System Calls
Programming interface to the services provided by the OS
Typically written in a high-level language (C or C++)
Mostly accessed by programs via a high-level
Application Programming Interface (API) rather than
direct system call use
Three most common APIs are Win32 API for Windows,
POSIX API for POSIX-based systems (including virtually
all versions of UNIX, Linux, and Mac OS X), and Java API
for the Java virtual machine (JVM)

Operating System Concepts – 9th Edition 1.48 Silberschatz, Galvin and Gagne ©2013
 Example of System Calls

System call sequence to copy the contents of one file to another file

Operating System Concepts – 9th Edition 1.49 Silberschatz, Galvin and Gagne ©2013
 Example of Standard API

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 API – System Call – OS Relationship

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 System Call Parameter Passing

Often, more information is required than simply identity of desired

system call
Exact type and amount of information vary according to OS
and call
Three general methods used to pass parameters to the OS
Simplest: pass the parameters in registers
 In some cases, may be more parameters than registers
Parameters stored in a block, or table, in memory, and
address of block passed as a parameter in a register
 This approach taken by Linux and Solaris

Parameters placed, or pushed, onto the stack by the program

and popped off the stack by the operating system
Block and stack methods do not limit the number or length of
parameters being passed

Operating System Concepts – 9th Edition 1.52 Silberschatz, Galvin and Gagne ©2013
 Assembly

msg db 'Hello again, World!$' ; $-terminated message

org 0x100 ; .com files always start 256 bytes into the segment
; int 21h is going to want...

mov dx, msg ; the address of or message in dx

mov ah, 9 ; ah=9 - "print string" sub-function
int 0x21 ; call dos services

mov dl, 0x0d ; put CR into dl

mov ah, 2 ; ah=2 - "print character" sub-function
int 0x21 ; call dos services

mov dl, 0x0a ; put LF into dl

mov ah, 2 ; ah=2 - "print character" sub-function
int 0x21 ; call dos services

mov ah, 0x4c ; "terminate program" sub-function

int 0x21 ; call dos services

Operating System Concepts – 9th Edition 1.54 Silberschatz, Galvin and Gagne ©2013
 Examples of Windows and Unix System Calls

Operating System Concepts – 9th Edition 1.55 Silberschatz, Galvin and Gagne ©2013
 Standard C Library Example

C program invoking printf() library call, which calls write() system call

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 OS Structure
General-purpose OS is very large program
Various ways to structure ones
Simple structure – MS-DOS
More complex -- UNIX
Layered – an abstraction
Microkernel –Mach
Modules Approach

Operating System Concepts – 9th Edition 1.57 Silberschatz, Galvin and Gagne ©2013
 Example: MS-DOS

Single-tasking
Shell invoked when system
booted
Simple method to run
program
No process created
Single memory space
Loads program into memory,
overwriting all but the kernel
Program exit -> shell
reloaded

At system startup running a program

Operating System Concepts – 9th Edition 1.58 Silberschatz, Galvin and Gagne ©2013
 Simple Structure -- MS-DOS

MS-DOS – written to provide the

most functionality in the least
space
Not divided into modules
Although MS-DOS has some
structure, its interfaces and
levels of functionality are not
well separated

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 Non Simple Structure -- UNIX

UNIX – limited by hardware functionality, the original UNIX

operating system had limited structuring. The UNIX OS
consists of two separable parts
Systems programs
The kernel
 Consists of everything below the system-call interface
and above the physical hardware
 Provides the file system, CPU scheduling, memory
management, and other operating-system functions; a
large number of functions for one level

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 Layered Approach

The operating system is divided

into a number of layers (levels),
each built on top of lower
layers. The bottom layer (layer
0), is the hardware; the highest
(layer N) is the user interface.
With modularity, layers are
selected such that each uses
functions (operations) and
services of only lower-level
layers

Operating System Concepts – 9th Edition 1.61 Silberschatz, Galvin and Gagne ©2013
 Microkernel System Structure
Moves as much from the kernel into user space
Mach example of microkernel
Mac OS X kernel (Darwin) partly based on Mach
Communication takes place between user modules using
message passing
Benefits:
Easier to extend a microkernel
Easier to port the operating system to new architectures
More reliable (less code is running in kernel mode)
More secure
Detriments:
Performance overhead of user space to kernel space
communication

Operating System Concepts – 9th Edition 1.62 Silberschatz, Galvin and Gagne ©2013
 Microkernel System Structure

Application File Device user

Program System Driver mode

messages messages

Interprocess memory CPU kernel

Communication managment scheduling mode

microkernel

hardware

Operating System Concepts – 9th Edition 1.63 Silberschatz, Galvin and Gagne ©2013
 Modules
Many modern operating systems implement loadable kernel
modules. In computing, a loadable kernel module (LKM) is an
object file that contains code to extend the running kernel, or
so-called base kernel, of an operating system.
Uses object-oriented approach
Each core component is separate
Each talks to the others over known interfaces
Each is loadable as needed within the kernel
Overall, similar to layers but with more flexible
Most current Unix-like systems and Microsoft Windows support
loadable kernel modules, although they might use a different
name for them, such as
 kernel loadable module (kld) in FreeBSD,
 kernel extension (kext) in macOS,
 kernel extension module in AIX,
 kernel-mode driver in Windows NT and downloadable
kernel module (DKM) in VxWorks.
 They are also known as kernel loadable modules (or KLM),
and simply as kernel modules (KMOD).
Disadvantage : fragmentation penalty!
Operating System Concepts – 9th Edition 1.64 Silberschatz, Galvin and Gagne ©2013
 Monolithic vs Microkernel
A monolithic kernel is an operating A microkernel (also known as μ-kernel) is the
system architecture where the entire near-minimum amount of software that can
operating system is working in kernel provide the mechanisms needed to implement
space and is alone in supervisor mode an operating system (OS)

Operating System Concepts – 9th Edition 1.65 Silberschatz, Galvin and Gagne ©2013
 Linux Kernels

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 Operating-System Debugging

Debugging is finding and fixing errors, or bugs

Failure analysis
Log files
 OS generate log files containing error information
Core dump
 Failure of an application can generate core dump file
capturing memory of the process
Crash dump
 Operating system failure can generate crash dump file
containing kernel memory
Kernighan’s Law
“Debugging is twice as hard as writing the code in the first place.
Therefore, if you write the code as cleverly as possible, you are, by
definition, not smart enough to debug it.”

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 Operating-System Debugging

Performance tuning
Monitor system performance
 Add code to kernel
 Use system tools like “top”

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 End of Chapter 2

Operating System Concepts – 9th Edit9on Silberschatz, Galvin and Gagne ©2013