Chapter 1

1.1 Introduction
1.2 Computer hardware review
1.3 Operating system concepts

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 1.1 Introduction
– What is an operating system
– History of operating systems
– The operating system zoo

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What is an operating system

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Computer system

• A computer system consists of

– hardware
– system programs
– application programs

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 What is an Operating System

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

a computer and the computer hardware

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 What is an Operating System

• OS is an extended machine
– Hides the messy details which must be performed
– Presents user with a virtual machine, easier to use

• OS is a resource manager
– Each program gets time with the resource
– Each program gets space on the resource

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History of Operating Systems

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 History of Operating Systems

• First generation 1945 - 1955

– vacuum tubes, plug boards
• Second generation 1955 - 1965
– transistors, batch systems
• Third generation 1965 – 1980
– ICs and multiprogramming
• Fourth generation 1980 – present
– personal computers

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THE DEVELOPMENT HISTORY OF COMPUTER
THE DEVELOPMENT HISTORY OF COMPUTER

ULSI, SoC(1990s)

SSI, MSI and LSI(1970s)

VLSI (1980s)
 History of Operating Systems
First generation 1945 - 1955

• Computers:ENIAC, UNIVAC…
• Operating System: No OS,
• Machine Language, plugboards
• Single group: designed, built, programmed,
operated and maintained each machine

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 History of Operating Systems
Second Generation 1955 – 1965 (1)

• Computers: IBM 1401, IBM 7094…

• Operating System : FMS (Fortran Monitor
System), IBSYS for Computer 7094
• Batch Systems
– Function of Early Batch System
– Structure of a typical FMS job
• Separation between designers, builders,
programmers, operators and maintenance
personnel

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 History of Operating Systems
Second Generation 1955 – 1965 (2)

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

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 History of Operating Systems
Second Generation 1955 – 1965 (3)

• Structure of a typical FMS job – 2nd generation

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 History of Operating Systems
Third generation 1965 – 1980 (1)

• Computers: System/360, IBM370, IBM4300…

• Operating System:
– OS/360: to work on all models
– Multiprogamming
– Time Sharing:
• CTSS (Compatible Time Sharing System),
• MULTICS (MULTiplexed Information and Computing
Service),
• Unix

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History of Operating Systems
Third generation 1965 – 1980 (2)

• Multiprogramming system
– three jobs in memory – 3rd generation

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History of Operating Systems
Third generation 1965 – 1980 (3)

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 History of Operating Systems
Fourth generation 1980 – present

• Computers: IBM PC 80x86, Macintosh…

• Operating System:
– 1977: CP/M (Control Program for Microcomputer)
– 1980: DOS (Disk Operating System)
– GUI with Macintosh
– 1985-1995: Window 3.x
– 1995: Window 95
– 1996: Window NT 4.0
– 1999: Window 2000
– Window 2003
– Unix

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The Operating System Zoo

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 The Operating System Zoo
• Mainframe operating systems
• Server operating systems
• Multiprocessor operating systems
• Personal computer operating systems
• Real-time operating systems - ROS
• Embedded operating systems
• Smart card operating systems

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 The Operating System Zoo
Mainframe operating systems
– batch
– multiprogrammed
– time-sharing, multitasking
– Application: High-End Web Server, Servers for
Business-To Business transactions
– Example: OS/390

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The Operating System Zoo
Server operating systems

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 The Operating System Zoo
Multiprocessor operating systems

– Multiple CPU
– Share computer bus, clock
– Advantage:
• High system throughput
• High availability
• Multiprocessor system and Multicomputer system

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 The Operating System Zoo
Personal computer operating systems

– Many I/O devices

– Interface to single user
– Many OS (MS Windows, Mac OS, Solaris,
Linux,...).

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 The Operating System Zoo
Real-time operating systems

– Time is a key parameter

– Two types of real-time system
• Hard real-time system for industrial process control
system…
• Soft real-time system for multimedia system

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 The Operating System Zoo
Embedded operating systems

– Personal digital assistant (PDA): Palm, Pocket-

PC, Cellular phones), control devices
– Restriction of memory size, speed of CPU,
screen size, powers
– Operating System: PalmOS, Windows CE
(Consumer Electronic)

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 The Operating System Zoo
Smart card operating systems

• CPU chips on Card

• Server processing power and memory
constraint
• Specific Application:
– Single function: electronic payments
– Multiple function: proprietary systems
– Java oriented: holds interpreter JVM

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1.2 Computer Hardware Review
- CPU
- Memory
- I/O Devices
- Buses

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 Computer Hardware Review
Monitor

Bus

• Components of a simple personal computer

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 Computer Hardware Review
The CPU (1)

• PC Program Counter
• SP Stack Pointer
• PSW Program Status Word
• General Registers
• Instruction Cycle
• Pipeline
• Superscalar
• System Call

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Computer Hardware Review
The CPU (2)

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Computer Hardware Review
The CPU (3)

(a) A three-stage pipeline

(b) A superscalar CPU

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 Computer Hardware Review
The CPU (4)

• 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

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 Computer Hardware Review
The CPU (5)

• Transition from User to Kernel Mode

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Computer Hardware Review
Memory (1)

• Typical memory hierarchy

– numbers shown are rough approximations

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 Computer Hardware Review
Memory (2)

• Storage systems organized in hierarchy.

– Speed
– Cost
– Size
– Volatility

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 Computer Hardware Review
Memory (3)

Registers:
• Small number, Fast
• Capacity:
– 32*32 bit on 32-bit CPU
– 64*64 bit on 64-bit CPU

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 Computer Hardware Review
Memory (4)

Caching – copying information into faster

storage system; main memory can be
viewed as a last cache for secondary
storage.

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 Computer Hardware Review
Memory (5)
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

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 Computer Hardware Review
Memory (6)
Main Memory
• RAM (Random Access Memory)
• Problem:
– How protect the program from one another and the kernel from
them all
– How to handle relocation
• Solution: CPU equipped with two special registers
• Base Register and Limit Register
• MMU (Memory Management Unit) convert Virtual Address to
Physical Address
• Context Switch; switching from one to another

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 Computer Hardware Review
Memory (7)
Relocation and Protection
• Cannot be sure where program will be loaded in memory
– address locations of variables, code routines cannot be absolute
– must keep a program out of other processes’ partitions

• Use base and limit values

– address locations added to base value to map to physical addr
– address locations larger than limit value is an error

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 Computer Hardware Review
Memory (8)

One base-limit pair and two base-limit pairs

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Computer Hardware Review
Memory (9)

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 Computer Hardware Review
Memory (10)

Other memory in computer

• ROM (Read Only Memory)
• EEPROM (Electrically Erasable ROM):
– BIOS Basic Input Output System
• CMOS:
– Real time clock
– Configuration Information

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Computer Hardware Review
Memory (11)

Structure of a disk drive

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 Computer Hardware Review
Memory (12)

Disk: Cylinder, Track, sector

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 Computer Hardware Review
I/O Devices (1)
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.

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 Computer Hardware Review
I/O Devices (2)

How interrupts happens. Connections between devices and

interrupt controller actually use interrupt lines on the bus rather
than dedicated wires
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 Computer Hardware Review
I/O Devices (3)
Example of Interrupt processing for PC

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 Computer Hardware Review
I/O Devices (3)
Common Functions of Interrupts
• Interrupt transfers control to the interrupt service routine
generally, through the interrupt vector table, 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.

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 Computer Hardware Review
I/O Devices (4)

(a) (b)

(a) Steps in starting an I/O device and getting interrupt

(b) How the CPU is interrupted
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Computer Hardware Review
I/O Devices (6)

Operation of a DMA transfer

DMA (Direct Memory Access)
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 Computer Hardware Review
I/O Devices (7)

DMA
• 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.

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Computer Hardware Review
Structure of a large Pentium system

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 Computer Hardware Review
BUS
• Cache BUS
• Local BUS
• System BUS
• ISA Industry Standard Architecture
• PCI Peripheral Component Interconnect
• USB Universal Serial BUS
• SCSI Small Computer System Interface
• IDE Integrated Drive Electronic

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Computer Hardware Review
Personal Computer (PC)

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1.3 Operating System Concepts

– OS Components
– System calls
– Operating system structure

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 OS Components
– Process Management
– Main Memory Management
– File management
– I/O Management
– Secondary Storage Management
– Protection and Security

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 Operating System Concepts
OS Components (1)

• Process Management
– Process is a Program in execution
– A process needs certain resources, including CPU time,
memory, files, and I/O devices, to accomplish its task.
– Tasks of process management of OS:
• Process creation and deletion.
• process suspension and resume
• Provision of mechanisms for:
- Process synchronization
- Interprocess communication
- Prevent or avoid deadlock

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 Operating System Concepts
OS Components (2)

• A process tree
– A created two child processes, B and C
– B created three child processes, D, E, and F

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Operating System Concepts
OS Components (3)

Two processes connected by a pipe

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 Operating System Concepts
OS Components (4)

(a) A potential deadlock. (b) an actual deadlock.

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 Operating System Concepts
OS Components (5)
The Deadlock Problem
• A set of blocked processes each holding
a resource and waiting to acquire a
resource held by another process in the
set.
• Example
– System has 2 disk drives.
– P1 and P2 each hold one disk drive and each
needs another one.

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 Operating System Concepts
OS Components (6)
• Main Memory Management:
– Motivations:
• Increase system performance
• Maximize memory utilization
– Task of main memory of management:
• Keep track of which parts of memory are currently being used
and by whom.
• Decide which processes to load when memory space becomes
available.
• Allocate and deallocate memory space as needed

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 Operating System Concepts
OS Components (7)

• File management
– File system
• File
• Directory
– Task of file management of OS:
• Create and delete File/Dicrectory
• Manipulate: rename, copy, move, new,…
• Mapping files onto secondary storage.
• File backup on stable (nonvolatile) storage media

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 Operating System Concepts
OS Components (8)

File system for a university department

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 Operating System Concepts
OS Components (9)

• I/O Management
– Hide the specialty of H/W devices
– Task of I/O Management of OS:
• Manage main memory for the devices using
caching, buffering, and spooling
• Maintain and provide a general device-driver
interfaces
• Drivers for specific hardware devices.

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 Operating System Concepts
OS Components (10)

• Secondary Storage Management:

– Since main memory (primary storage) is volatile and
too small to accommodate all data and programs
permanently, the computer system must provide
secondary storage to back up main memory.
– Common secondary storage devices: Magnetic disk and
Optical disk
– Task of Secondary Storage Management of OS:
• Free space management
• Storage allocation
• Disk scheduling

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 Operating System Concepts
OS Components (11)

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

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 Operating System Concepts
OS Components (12)

Protection and Security

• 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

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 Operating System Concepts
Operating System Services
• One set of operating-system services provides
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)
– 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)
– Control access to I/O device.
– File-system manipulation

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 Operating System Concepts
Operating System Services

– Communications – Processes may exchange

information, on the same computer or between
computers over a network
– Error detection – OS needs to be constantly aware
of possible errors
– ….

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 System Calls
– Making System Calls
– Major POSIX System Calls
– Examples of System Calls

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 System Calls
Making System Calls (1)

There are 11 steps in making the system call

read (fd, buffer, nbytes)
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 System Calls
Making System Calls (2)
• C program invoking printf() library call,
which calls write() system call

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 System Calls
POSIX System Calls (1)

Some System Calls For Process Management

POSIX (Portable Operating System Interface)

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 System Calls
POSIX System Calls (2)

• Some System Calls For File Management

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 System Calls
POSIX System Calls (3)

• Some System Calls For Directory Management

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 System Calls
POSIX System Calls (4)

Some System Calls For Miscellaneous Tasks

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 System Calls
Examples (1)

• A stripped down shell:

while (TRUE) { /* repeat forever */
type_prompt( ); /* display prompt */
read_command (command, parameters) /* input from terminal */
if (fork() != 0) { /* fork off child process */
/* Parent code */
waitpid( -1, &status, 0); /* wait for child to exit */
} else {
/* Child code */
execve (command, parameters, 0); /* execute command */
}
}

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 System Calls
Examples (2)

• Processes have three segments: text, data, stack

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 System Calls
Examples (3)

(a) Two directories before linking

/usr/jim/memo to ast's directory
(b) The same directories after linking

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 System Calls
Examples (4)

(a) File system before the mount

(b) File system after the mount

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 System Calls

Some Win32 API calls

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 Operating System Structure
– Monolithic system
– Layered System
– Virtual Machine
– Client-server model
– Microkernel

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 Operating System Structure
Monolithic system (1)

Simple structuring model for a monolithic system

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 Operating System Structure
Monolithic system (2)

Structure of Operating System:

• A main program that invokes the requested
service procedure.
• A set of service procedures that carry out
the system calls.
• A set of utility procedures that help the
service procedures.

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 Operating System Structure
Monolithic system (3) : Example

• Monolithic
– 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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 Operating System Structure
Layered System (1)

• Many Layers
• Each layer has well defined functions
• Upper layer can only calls functions of
closely lower layer
• Advantages:
– Easier to extend
– Easier to debug from lower to upper layer

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Operating System Structure
Layered System (2): Example

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 Operating System Structure
Layered System (3): Example

Structure of the THE operating system

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 Operating System Structure
Virtual Machine (1)

processes

processes
processes

processes
programming kernel kernel kernel
interface
VM1 VM2 VM3
kernel Virtual-machine
implementation
hardware hardware

Non-virtual machine
Virtual machine system model
system model
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 Operating System Structure
Virtual Machine (2)

• A virtual machine takes the layered approach to its

logical conclusion. It treats hardware and the operating
system kernel as though they were all hardware
• A virtual machine provides an interface identical to the
underlying bare hardware
• The operating system creates the illusion of multiple
processes, each executing on its own processor with its
own (virtual) memory

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 Operating System Structure
Virtual Machine (3)

• The resources of the physical computer are

shared to create the virtual machines
– CPU scheduling can create the appearance that
users have their own processor
– Spooling and a file system can provide virtual
card readers and virtual line printers
– A normal user time-sharing terminal serves as
the virtual machine operator’s console

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Operating System Structure
Client-server model (1)

The client-server model

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 Operating System Structure
Client-server model (2)

The client-server model in a distributed system

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 Operating System Structure
Microkernel: Example
Microkernel
OS design: The operating system is divided into microkernel
(CMU Mach OS - 1980)
– Moves as much from the kernel into “user” space
– kernel  microkernel
– Communication takes place between user modules using message
passing.

Application
Application POSIX
POSIX
X-application
X-application application
File application
File X-window POSIX
POSIX
server
server X-window server
server
server server

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 Metric Units

The metric prefixes

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