Chapter 1

Introduction to
operating systems

Prepared By Hailemariam T.
Outline
 What is Operating system
 History of Operating System
 Computer System Architecture & Organization
 Operating System Structure and Operation
 Operating System Functions
 process management
 memory management
 storage management
 accounting
 protection and security
 Computing Environments
 What is an operating system?
• A program that acts as an intermediary between a user of a computer
and the computer hardware

• A program that

– controls the execution of a program

• 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

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Operating system overview

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Quantitative principle of Computer Design
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History of Operating Systems
• First generation 1945 - 1955
– vacuum tubes, plug boards
– Operating systems were unheard of
• Second generation 1955 - 1965
– transistors, assembly and FORTRAN
– Batch system was introduced
• Third generation 1965 – 1980
– ICs and multiprogramming
• Fourth generation 1980 – present
– personal computers

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 Second Generation
– Focused on cost effectiveness

– Computers were expensive

• IBM 7094: $200,000

– Two widely adopted improvements

• Computer operators: humans hired to facilitate machine

operation

• Concept of job scheduling: group together programs with

similar requirements

– Expensive time lags between CPU and I/O devices

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 Second Generation

Early batch system

– bring cards to 1401
– read cards to tape
– put tape on 7094 which does computing
– put tape on 1401 which prints output
– FMS (the Fortran Monitor System)
– IBSYS
– IBM’s operating system for the 7094

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 Third Generation
– Faster CPUs

– Speed caused problems with slower I/O devices

– Multiprogramming
• Allowed loading many programs at one time

– Program scheduling
• Initiated with second-generation systems

• Continues today

– Few advances in data management

– Total operating system customization

• Suit user’s needs

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 Third Generation

Major achievements of third generation:

• Multiprogramming
• Timesharing
• MULTICS => UNIX

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 Fourth Generation
– Faster CPUs
– Speed caused problems with slower I/O
devices
– Main memory physical capacity limitations
• Multiprogramming schemes used to increase
CPU
• Virtual memory developed to solve physical
limitation
– Database management software
• Became a popular tool
– A number of query systems introduced
– Programs started using English-like words,
modular structures, and standard
operations 11
 Fourth Generation
– Cost/performance ratio improvement of computer
components

– More flexible hardware (firmware)

– Multiprocessing

• Allowed parallel program execution

– Evolution of personal computers

– Evolution of high-speed communications

– Distributed processing and networked systems introduced

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 Fourth Generation

– Demand for Internet capability

• Sparked proliferation of networking capability

• Increased networking

• Increased tighter security demands to protect hardware

and software

– Multimedia applications

• Demanding additional power, flexibility, and

device compatibility for most operating systems

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 History of Operating Systems

Recent Developments
Second Generation
Distributed computing,
Job scheduling, JCL, faster personal computers, high-
I/O, spooling, batch, files speed communication,
multi-media

1940 1955 1965 1980 1990

First Generation Third Generation

Vacuum tube, single user, Shared processing,
early operating systems multiprogramming, virtual
memory, DBMS
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 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

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 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 Timeline
 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
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
 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
Clustered Systems
 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
 I/O Structure
Synchronous
• 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.
Asynchronous
• 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.

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Two I/O Methods
Synchronous Asynchronous

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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
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
 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
 I/O System
 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

 Kernel Data Structures
• Binary search tree
left <= right
– Search performance is O(n)
– Balanced binary search tree is O(lg n)
 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>
 Types of Operating Systems
• Five categories
– Batch
– Interactive
– Real-time
– Hybrid
– Embedded
• Two distinguishing features
– Response time
– How data enters into the system

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 Types of Operating Systems

• Batch Systems
– Input relied on punched cards or tape
– Efficiency measured in throughput
• Interactive Systems
– Faster turnaround than batch systems
– Slower than real-time systems
– Introduced to provide fast turnaround when
debugging programs
– Time-sharing software developed for operating system

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 Types of Operating Systems

• Real-time systems
– Reliability is key
– Fast and time limit sensitive
– Used in time-critical environments
• Space flights, airport traffic control, high-speed aircraft
• Industrial processes
• Sophisticated medical equipment
• Distribution of electricity
• Telephone switching
– Must be 100% responsive, 100% of the time

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 Types of Operating Systems

• Hybrid systems
– Combination of batch and interactive
– Accept and run batch programs in the background
• Interactive load is light
• Embedded systems
– Computers placed inside other products
– Adds features and capabilities
– Operating system requirements
• Perform specific set of programs
• Not interchangeable among systems
• Small kernel and flexible function capabilities
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 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..

• 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 computing
– 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
 Computing Environments - Virtualization

• 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 - Virtualization
 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),
Virtual box (open source and free on many platforms -
– Use to run guest operating systems for exploration
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