Chapter One

___________________________
Introduction to Operating Systems

1
 Outline
Definition
Objectives of OS
History of OS
Computer HW review
Interrupts
OS services
System calls
OS structures

2
 What is Operating System?
No universally accepted definition
A program that acts as an intermediary between user applications
and the computer hardware

User
Applications
Virtual Machine Interface

Operating
System
Physical Machine Interface

Hardware

A special pieces of software that abstracts and arbitrates the use

of computer systems
 Abstract (simplify, multiplex h/w)
 Arbitrate (referees the use of computing resources )
Operating system is the one program running at all times on the
computer—usually called the kernel.
3
What is operating system?

Important feaures of OS
abstracts the computer hardware
 Hides the messy details of the underlying
hardware
 Presents users with a resource abstraction that
is easy to use
 Extends or virtualizes the underlying machine
Manages computing resources
 Resources
 Processors, memory, timers, disks, mice,
network interfaces, printers, displays, …
 Responsible for allocating resources for users
and processes
 Should ensure that no starvation, allocation is
based on desired policy( like FCFS) and efficient
system utilization.
Provides isolation and protection
 Isolates user programs from the OS
 Isolates one user program from another
 Protects illegal access/actions

4
 What Operating Systems Do ?

The role of OS can be viewed from two perspectives:

user view and system view

User view -As seen by the end user

 Varies according to the interface being used.
Users sit at PC (have dedicated resources):
 OS goal is Providing ease of use and good performance
User at the terminal connected to mainframe or
minicomputer
 must keep all users happy
 OS goal is resource utilization (Sharing resources)
Users sit at PC connected to other workstation and
servers
 OS goal is to compromise between usability and resource
utilization
5
 Cont’d

System view – from the computer point of view, OS

is related with HW
OS is a resource allocator
 Manages all resources such as I/O devices, memory, CPU etc
 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(Especially the I/O devices)

6
 Operating System Objectives
Convenience
 Make the computer more convenient to use
Abstraction
 Hardware-independent programming model
Efficiency
 Allows the computer system to be used in an efficient manner
Ability to evolve
 Permit effective development, testing, and introduction of
new system functions without interfering with existing
services
Protection
 allow only authorised access to data, computation, services,
etc.

7
 History of Operating Systems

First generation: 1945–1955

 Vacuum tubes and plugboards (no OS)
Second generation: 1955–1965
 Transistors, batch systems
Third generation: 1965–1980
 Integrated circuits and multiprogramming
Fourth generation: 1980–present
Personal computers, mobile devices, sensors

8
 History of Operating Systems
(1955–1965)

Early batch system

Single user
Secure
Programmer/user as the operator
But low CPU utilization: slow mechanical I/O devices
9
 History of Operating Systems
(1965–1980)

Multiprogramming system
Three jobs in memory: 3rd generation
Spooling: use disk as very large buffer for input/output devices
Timesharing: quick response time

10
 History of Operating Systems
(1980–present)

Mainframe operating systems

Server operating systems
Personal computer operating systems
Real-time operating systems
Embedded operating systems
Smart card operating systems

11
 Reading assignment 1
Read about history of OS and types of OS
References
 MOS book

12
 Computer System Organization

Computer organization specifies the different parts of the system

and how they do fit together

13
 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
 Device controller informs CPU that it has finished its
operation by causing an interrupt

14
 Common Functions of Interrupts

Interrupt is a mechanism that force the CPU to stop

what it’s doing currently and moves the control to
other routine
Interrupt transfers control to the interrupt service
routine
 Generally, through the interrupt vector, which
contains the addresses of all the service routines

A trap or exception is a software-generated interrupt

caused either by an error or a user request
An operating system is interrupt driven

15
 Interrupt Handling

When interrupt occurs

 The operating system preserves the state of the
CPU by storing registers and the program counter
 Determines which type of interrupt has occurred:
 vectored interrupt system
 Separate segments of code (Interrupt Handler)
determine what action should be taken for each type
of interrupt

16
Interrupt Timeline

17
 Storage Structure
Main memory ( RAM )
 Programs must be loaded into RAM to run.
 Instructions and data fetched from RAM into registers.
 RAM is volatile
 "Medium" size and speed
ROM stores relatively static programs E.g. bootstrap
Other electronic ( volatile ) memory is faster, smaller, and more expensive
per bit:
 Registers
 CPU Cache
Non-volatile memory ( "permanent" storage ) is slower, larger, and less
expensive per bit:

 Magnetic disks
 Optical disks
 Magnetic Tapes

18
 Storage Hierarchy

Storage systems organized in hierarchy

Speed
Cost
Volatility

19
Storage-Device Hierarchy

20
 Caching
Caching – copying information from slower into faster
storage system;
 main memory can be viewed as a cache for secondary
storage
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 is smaller than storage being cached
 Cache management important design problem
(Inconsistency management)
 Cache size and replacement policy

21
 I/O Structure

Large portion of OS code is dedicated to handle I/O

 Relevant for system reliability and performance
 I/O devices have various natures
A typical I/O operation involves
 CPU send I/O request for the controller
 The controller examine the request and transfer data to/from local
buffer and device
 Send interrupt to OS when data transfer is done
 CPU handle the interrupt
This approach has overhead when used for bulk of data
movement
 The CPU waste time responding for the interrupts generated for every
byte

22
 Direct Memory Access Structure

Used for bulk data movement such as disk I/O.

CPU sets the parameters for the controller
 Buffers and pointers
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

23
OPERATING SYSTEM
OPERATIONS

24
 Operating-System Operations

OS is 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 (System Call)
 Other process problems include infinite loop, processes
modifying each other or the operating system

25
 Operating-System Operations (cont.)
The sytem operate in either user mode or kernel mode
Dual-mode operation allows to
 Keep user programs from crashing OS
 Keep user programs from crashing each other
CPU mode bit added to computer hardware to indicate current
CPU mode: 0 (kernel) or 1 (user).
 When interrupt occurs, CPU hardware switches to kernel
mode.
 Switching to user mode (from kernel mode) done by setting
CPU mode bit (by an instruction).
 privileged instructions execute only in kernel mode
Exception/Interrupt/Fault

kernel user
Set user mode
26
 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.
 When counter reaches to zero, generate an interrupt
 Set up before scheduling process to regain control or terminate
program that exceeds allotted time

27
 Major OS tasks
Process management
Memory management
Storage Management
Protection and security

28
 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

29
 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 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

30
 Storage Management

OS provides uniform, logical view of information storage

 Abstracts physical properties to logical storage unit - file
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 (open, close …)
 Mapping files onto secondary storage
 Backup files onto stable (non-volatile) storage media

31
 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)

32
 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

33
 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

34
OS SERVICES

35
 Operating System Services
Operating systems provide an environment for execution of
programs and services to programs and users
The services can be grouped in to two
 Functions intended to help users
 Services to ensure the operation of the system
itself
1. Functions that are helpful to the user:
 User interface - Almost all operating systems have
a user interface (UI).
 Varies between Command-Line (CLI), Graphics User
Interface (GUI), Batch
 Program execution - The system must be able to
load a program into memory and to run that program,
end execution, either normally or abnormally
(indicating error)
 I/O operations - A running program may require 36
 Operating System Services (Cont.)

File-system manipulation - The file system is of particular interest.

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)

Error detection – OS needs to be constantly aware of possible errors

 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

37
 Operating System Services (Cont.)
2. OS services for ensuring the efficient operation of the system
itself ( via resource sharing)

 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
 Involves ensuring that all access to system resources is
controlled

38
A View of Operating System Services

39
 System Calls
Programming interface to the services provided by the
OS
 Typically written in a high-level language (C or C++)
Sys calls can be viewed as special function calls
 Provides for a controlled entry into the kernel
 While in kernel, they perform a privileged operation
 Returns to original caller with the result

Mostly accessed by programs via a high-level

Application Programming Interface (API) rather than
direct system call use
A

Three most common APIs are

 Win32 API for Windows,
 POSIX API for UNIX, Linux, and Mac OS X), and
 Java API for the Java virtual machine (JVM)
40
 API – System Call – OS Relationship

The system call interface represents the abstract

machine provided by the operating system.
41
 Standard C Library Example

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

call

42
 System Call Parameter Passing
Often, more information is required than simple 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

Note that block and stack methods do not limit the number
or length of parameters being passed

43
Examples of Windows and Unix System Calls

44
Operating system Design and Structure

45
 Operating System Design and Implementation

Design and Implementation of OS not “solvable”, but

some approaches have proven successful
Internal structure of different Operating Systems can vary
widely
Start the design by defining goals and specifications
Affected by choice of hardware, type of system
User goals and System goals
 User goals – operating system should be convenient to use, easy
to learn, reliable, safe, and fast
 System goals – operating system should be easy to design,
implement, and maintain, as well as flexible, reliable, error-free,
and efficient

46
 Operating System Design and Implementation (Cont.)

Important principle to separate

Policy: What will be done?
Mechanism: How to do it?
Mechanisms determine how to do something, policies
decide what will be done
The separation of policy from mechanism is a very
important principle, it allows maximum flexibility if policy
decisions are to be changed later (example – timer)
Specifying and designing an OS is highly creative task of
software engineering

47
 Implementation
Much variation
 Early OSes in assembly language
 Then system programming languages like Algol, PL/1
 Now C, C++
Actually usually a mix of languages
 Lowest levels in assembly
 Main body in C
 Systems programs in C, C++, scripting languages like PERL,
Python, shell scripts
More high-level language easier to port to other
hardware
 But slower

48
 Operating System Structure

General-purpose OS is very large program, therefore need to be structured

well
 Especially, how they structure functionality relative to protection
boundaries.

Various ways
 Simple structure (monolithic)
 Layered
 Microkernel
 Module
 Hybrid

49
 Monolithic/Simple Structure -- MS-DOS

The entire kernel is run as a single

privileged entity .
Functionality can be broken up into modules
but
 The modules’ code is highly integrated
Advantage
 Utilizes the underlying system efficiently
Disadvantage
 Difficult to maintain

MS-DOS is one example

 written to provide the most functionality
in the least space
 Although MS-DOS has some structure,
its interfaces and levels of functionality
are not well separated

50
 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

51
 Traditional UNIX System Structure

Beyond simple but not fully layered

52
 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.

Each layer provides a different type of

functionality.
With modularity, layers are selected such
that each uses functions (operations) and
services of only lower-level layers

Advantage
 Easy for maintenance
Disadvantage
 Difficult to modularize the whole OS
 Makes OS design very difficult

53
 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 and secure (less code is running in kernel mode)
Detriments:
 Performance overhead of user space to kernel space communication

54
Microkernel System Structure

55
 Modules

Many modern operating systems implement loadable kernel

modules
 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
 Linux, Solaris, etc

56
Solaris Modular Approach

57
 Hybrid Systems
Most modern operating systems are actually not one pure model
 Hybrid combines multiple approaches to address performance, security,
usability needs

Linux and Solaris kernels in kernel address space, so monolithic, plus

modular for dynamic loading of functionality

Windows mostly monolithic, plus microkernel

Apple Mac OS X hybrid, layered, Aqua UI plus Cocoa programming

environment
 Below is kernel consisting of Mach microkernel and BSD Unix parts, plus
I/O kit and dynamically loadable modules (called kernel extensions)

58
Mac OS X Structure

59
 Summary
OS is a system s/w that
 Hides complexity of computer hardware
 Manages h/w oh behalf of user programs
 Has direct privileged access to underlying H/W
 Ensures user applications are isolated and protected from
one another
The following are some of the important concepts of
this chapter
 Computer system operations
 Interrupts,
 Major OS tasks
 OS services,
 System calls,
 OS structures
60
End of Chapter One

61