Operating

Systems:
Internals Chapter 2
and Design
Principles Operating System
Overview
Seventh Edition
By William Stallings
 Operating Systems:
Internals and Design Principles
Operating systems are those programs that interface the machine
with the applications programs. The main function of these systems
is to dynamically allocate the shared system resources to the
executing programs. As such, research in this area is clearly
concerned with the management and scheduling of memory,
processes, and other devices. But the interface with adjacent levels
continues to shift with time. Functions that were originally part of the
operating system have migrated to the hardware. On the other side,
programmed functions extraneous to the problems being solved by the
application programs are included in the operating system.
—WHAT CAN BE AUTOMATED?: THE COMPUTER SCIENCE AND
ENGINEERING RESEARCH STUDY,
MIT Press, 1980
 Operating System
 A program that controls the execution of application
programs
 An interface between applications and hardware
Main objectives of an OS:
• Convenience
• Efficiency
• Ability to evolve
Computer Hardware and
Software Infrastructure
 Operating System Services

 Program development: IDE

 Program execution: process creation
 Access I/O devices
 Controlled access to files
 System access
 Error detection and response
 Accounting
 Key Interfaces
 Instruction set architecture (ISA)
 Application binary interface (ABI)
 Application programming interface (API)
 The Role of an OS
 A computer is a set of (shared) resources
for the movement, storage, and
processing of data
 TheOS is responsible for managing these
resources
 Operating System
as Software
 Functions
in the same way as ordinary
computer software
 Program, or suite of programs, executed by
the processor
 Frequentlyrelinquishes control and must
depend on the processor to allow it to regain
control
Operating
System
as
Resource
Manager
Evolution of Operating
Systems
 A major OS will evolve over time for a
number of reasons:
Hardware upgrades

New types of hardware

New services

Fixes
 Evolution of
Operating Systems
 Stages include:

Time
Sharing
Multiprogrammed Systems
Batch Systems
Simple Batch
Systems
Serial
Processing
 Serial Processing
Earliest Computers: Problems:
 Scheduling:
 No operating system  most installations used a
 programmers interacted hardcopy sign-up sheet to
directly with the computer reserve computer time
hardware
 time allocations could
 Computers ran from a console with run short or long,
display lights, toggle switches, resulting in wasted
some form of input device, and a computer time
printer
 Setup time
 Users have access to the computer  a considerable amount of time
in “series” was spent just on setting up the
program to run
 Simple Batch Systems

 Early computers were very expensive

 important to maximize processor utilization
 Monitor
 user no longer has direct access to processor
 job is submitted to computer operator who batches them
together and places them on an input device
 program branches back to the monitor when finished
 Monitor Point of View
 Monitor controls the sequence of
events
 Resident Monitor is software
always in memory
 Monitor reads in job and gives
control
 Job returns control to monitor
 Processor Point of View
 Processor executes instruction from the memory containing
the monitor
 Executes the instructions in the user program until it
encounters an ending or error condition
 “control is passed to a job” means processor is fetching
and executing instructions in a user program
 “control is returned to the monitor” means that the
processor is fetching and executing instructions from the
monitor program
Job Control Language (JCL)
Special type of programming
language used to provide $JOB
instructions to the monitor $FTN
…
[FORTRAN program]
…
what compiler to use $LOAD
$RUN
…
[data]
…
what data to use $END
Desirable Hardware
Features
Memory protection for monitor

• while the user program is executing, it must not alter the memory area containing
the monitor

Timer

• prevents a job from monopolizing the system

Privileged instructions

• can only be executed by the monitor

Interrupts

• gives OS more flexibility in controlling user programs

 Modes of Operation

User Mode Kernel Mode

• user program executes in user • monitor executes in kernel mode
mode • privileged instructions may be
• certain areas of memory are executed
protected from user access • protected areas of memory may
• certain instructions may not be be accessed
executed
 Simple Batch System
Overhead
 Processor time alternates between execution of user
programs and execution of the monitor
 Sacrifices:
 some main memory is now given over to the monitor
 some processor time is consumed by the monitor
 Despite overhead, the simple batch system improves
utilization of the computer
Multiprogrammed
Batch Systems
 Processor is
often idle
 even with
automatic job
sequencing
 I/O devices
are slow
compared to
processor
 Uniprogramming

 The processor spends a certain amount of time

executing, until it reaches an I/O instruction; it
must then wait until that I/O instruction
concludes before proceeding
 Multiprogramming

 There must be enough memory to hold the OS (resident monitor)

and one user program
 When one job needs to wait for I/O, the processor can switch to the
other job, which is likely not waiting for I/O
 Multiprogramming

 Multiprogramming
 also known as multitasking
 memory is expanded to hold three, four, or more programs and
switch among all of them
Multiprogramming Example
Effects on Resource
Utilization

Table 2.2 Effects of Multiprogramming on Resource Utilization

Utilization Histograms
 Time-Sharing Systems
 Can be used to handle multiple interactive jobs
 Processor time is shared among multiple users
 Multipleusers simultaneously access the system
through terminals, with the OS interleaving the
execution of each user program in a short burst or
quantum of computation
Batch Multiprogramming
vs. Time Sharing

Table 2.3 Batch Multiprogramming versus Time Sharing

Compatible Time-Sharing
Systems
CTSS Time Slicing
 One of the first time-sharing operating  System clock generates interrupts at a rate
systems of approximately one every 0.2 seconds
 At each interrupt OS regained control
 Developed at MIT by a group known as and could assign processor to another
Project MAC user
 Ran on a computer with 32,000 36-  At regular time intervals the current user
bit words of main memory, with the would be preempted and another user
resident monitor consuming 5000 of loaded in
that  Old user programs and data were written
out to disk
 To simplify both the monitor and
memory management a program was  Old user program code and data were
always loaded to start at the location of restored in main memory when that
the 5000th word program was next given a turn
CTSS Operation
 Major Advances
 Operating Systems are among the most complex
pieces of software ever developed

Major advances in
development include:
• Processes
• Memory management
• Information protection and security
• Scheduling and resource
management
• System structure
 Process
 Fundamental to the structure of operating systems

A process can be defined as:

a program in execution
an instance of a running program

the entity that can be assigned to, and executed on, a processor

a unit of activity characterized by a single sequential thread of execution, a

current state, and an associated set of system resources
 Development of the Process
 Three major lines of computer system development
created problems in timing and synchronization that
contributed to the development:
multiprogramming batch operation
• processor is switched among the various programs residing in main
memory

time sharing
• be responsive to the individual user but be able to support many users
simultaneously

real-time transaction systems

• a number of users are entering queries or updates against a database
 Causes of Errors
 Improper synchronization  Nondeterminate program
 a program must wait until the operation
data are available in a buffer  program execution is interleaved
 improper design of the signaling by the processor when memory is
mechanism can result in loss or shared
duplication  the order in which programs are
scheduled may affect their outcome
 Deadlocks
 Failed mutual exclusion
 it is possible for two or more
 more than one user or program programs to be hung up
attempts to make use of a shared
waiting for each other
resource at the same time
 may depend on the chance
 only one routine at at time
timing of resource allocation
allowed to perform an update
against the file and release
 Components of
a Process
 A process contains  The execution context is
three components: essential:
 an executable program  it is the internal data by which
the OS is able to supervise and
 the associated data control the process
needed by the program  includes the contents of the
(variables, work space, various process registers
buffers, etc.)  includes information such as
 the execution context (or the priority of the process and
whether the process is waiting
“process state”) of the for the completion of a
program particular I/O event
Process
Management
 The entire state of the
process at any instant is
contained in its context

 New features can be

designed and incorporated
into the OS by expanding
the context to include any
new information needed to
support the feature
 Memory Management
 TheOS has five principal storage management
responsibilities:

automatic support of
process protection and long-term
allocation and modular
isolation access control storage
management programming
 Virtual Memory
 A facilitythat allows programs to address
memory from a logical point of view, without
regard to the amount of main memory physically
available
 Conceived to meet the requirement of having
multiple user jobs reside in main memory
concurrently
Paging
 Allows processes to be comprised of a number of fixed-size
blocks, called pages
 Program references a word by means of a virtual address
 consists of a page number and an offset within the page
 each page may be located anywhere in main memory
 Provides for a dynamic mapping between the virtual
address used in the program and a real (or physical) address
in main memory
Virtual
Memory
Virtual Memory
Addressing
 Information Protection
and Security
 The nature of the
threat that concerns an
organization will vary Main
greatly depending on issues availability
the circumstances
 The problem involves
authenticity confidentiality
controlling access to
computer systems and data
the information stored integrity
in them
 Scheduling and
Resource Management
 Key responsibility of an OS is managing
resources
 Resource allocation policies must consider:

differential fairness
efficiency
responsiveness
Key Elements of an
Operating System
 Different Architectural
Approaches
 Demands on operating systems require new
ways of organizing the OS

Different approaches and design elements have been tried:

• Microkernel architecture
• Multithreading
• Symmetric multiprocessing
• Distributed operating systems
• Object-oriented design
 Microkernel Architecture
 Assigns only a few essential functions to the
kernel:
interprocess
address basic
communication
spaces scheduling
(IPC)

 The approach:
is well suited to a
simplifies provides
distributed
implementation flexibility
environment
 Multithreading
 Technique in which a process, executing an application, is
divided into threads that can run concurrently

Thread
• dispatchable unit of work
• includes a processor context and its own data area to enable subroutine branching
• executes sequentially and is interruptible

Process
• a collection of one or more threads and associated system resources
• programmer has greater control over the modularity of the application and the
timing of application related events
 Symmetric
Multiprocessing (SMP)
 Term that refers to a computer hardware architecture and also to
the OS behavior that exploits that architecture
 Several processes can run in parallel
 Multiple processors are transparent to the user
 these processors share same main memory and I/O facilities
 all processors can perform the same functions

 The OS takes care of scheduling of threads or processes on

individual processors and of synchronization among processors
 SMP Advantages
more than one process can be running
Performance simultaneously, each on a different
processor

failure of a single process does not

Availability halt the system

performance of a system can be

Incremental
enhanced by adding an additional
Growth processor

vendors can offer a range of products

Scaling based on the number of processors
configured in the system
Multi
progr
ammi
ng

Multi
 OS Design
Distributed Operating
Object-Oriented Design
System
 Provides the illusion of  Used for adding modular
extensions to a small kernel
 a single main memory space
 single secondary memory space  Enables programmers to
 unified access facilities customize an operating system
without disrupting system
 State of the art for distributed integrity
operating systems lags that of
uniprocessor and SMP operating  Eases the development of
systems distributed tools and full-blown
distributed operating systems
Virtual Machines and
Virtualization
 Virtualization
 enables a single PC or server to simultaneously run multiple
operating systems or multiple sessions of a single OS
 a machine can host numerous applications, including those
that run on different operating systems, on a single platform
 host operating system can support a number of
virtual machines (VM)
 each has the characteristics of a particular OS
and, in some versions of virtualization, the
characteristics of a particular hardware platform
Virtual
Memory
Concept
 Virtual Machine
Architecture
Process perspective:
• the machine on which it executes consists of the virtual memory space assigned to
the process
• the processor registers it may use
• the user-level machine instructions it may execute
• OS system calls it may invoke for I/O
• ABI defines the machine as seen by a process

Application perspective:
• machine characteristics are specified by high-level language capabilities and OS
system library calls
• API defines the machine for an application

OS perspective:
• processes share a file system and other I/O resources
• system allocates real memory and I/O resources to the processes
• ISA provides the interface between the system and machine
Process and System Virtual Machines
Process and System Virtual Machines
 Symmetric Multiprocessor
OS Considerations
 A multiprocessor OS must provide all the functionality of a multiprogramming
system plus additional features to accommodate multiple processors

 Key design issues:

Simultaneous Scheduling Memory Reliability

concurrent Synchronization
management and fault
processes or tolerance
threads any processor with multiple the reuse of
may perform active processes physical
kernel routines scheduling, pages is the
having potential the OS should
need to be which biggest
access to shared provide
reentrant to complicates problem of
address spaces graceful
allow several the task of concern
or shared I/O degradation in
processors to enforcing a resources, care the face of
execute the scheduling must be taken to processor
same kernel policy provide effective failure
code
synchronization
simultaneously
 Multicore OS
Considerations
 The design challenge for a
many-core multicore system is
to efficiently harness the hardware parallelism within each
multicore processing power and core processor, known as
intelligently manage the instruction level parallelism
substantial on-chip resources
efficiently potential for multiprogramming
and multithreaded execution
 Potential for parallelism exists within each processor
at three levels:
potential for a single application
to execute in concurrent
processes or threads across
multiple cores
 Grand Central Dispatch
 Developer must decide what pieces can or should
be executed simultaneously or in parallel
Grand Central Dispatch (GCD)
• implemented in Mac Os X 10.6
• helps a developer once something has been identified that
can be split off into a separate task
• thread pool mechanism
• allows anonymous functions as a way of specifying tasks
Virtual Machine Approach
 Allows one or more cores to be dedicated to a
particular process and then leave the processor
alone to devote its efforts to that process
 Multicore OS could then act as a hypervisor that
makes a high-level decision to allocate cores to
applications but does little in the way of resource
allocation beyond that
Microsoft Windows Overview
 MS-DOS 1.0 released in 1981  Windows 2000
 4000 lines of assembly language source  included services and functions to
code
support distributed processing
 ran in 8 Kbytes of memory
 Active Directory
 used Intel 8086 microprocessor
 plug-and-play and power-
 Windows 3.0 shipped in 1990 management facilities
 16-bit
 GUI interface  Windows XP released in 2001
 implemented as a layer on top of MS-  goal was to replace the versions of
DOS Windows based on MS-DOS with an
OS based on NT
 Windows 95
 32-bit version
 Windows Vista shipped in 2007
 led to the development of Windows 98  Windows Server released in 2008
and Windows Me
 Windows 7 shipped in 2009, as well as
 Windows NT (3.1) released in 1993 Windows Server 2008 R2
 32-bit OS with the ability to support older
DOS and Windows applications as well  Windows Azure
as provide OS/2 support  targets cloud computing
Windows
Architecture
 Kernel-Mode Components
of Windows
 Executive
 contains the core OS services

 Kernel
 controls execution of the processors

 Hardware Abstraction Layer (HAL)

 maps between generic hardware commands and responses and those unique to a
specific platform

 Device Drivers
 dynamic libraries that extend the functionality of the Executive

 Windowing and Graphics System

 implements the GUI functions
 User-Mode Processes
 Four basic types are supported by Windows:
Special System • user-mode services needed to manage the system
Processes
• the printer spooler, event logger, and user-mode components that
Service Processes cooperate with device drivers, and various network services

Environment • provide different OS personalities (environments)

Subsystems
• executables (EXEs) and DLLs that provide the functionality users run
User Applications to make use of the system
 Client/Server Model
 Windows OS services,  Advantages:
environmental subsystems,  it simplifies the Executive
and applications are all  it improves reliability
structured using the
client/server model
 it provides a uniform means
for applications to
 Common in distributed communicate with services
systems, but can be used via RPCs without restricting
internal to a single system flexibility

 Processes
 it provides a suitable base
communicate via
for distributed computing
RPC
 Threads and SMP
 Two important characteristics of Windows are its support for
threads and for symmetric multiprocessing (SMP)
 OS routines can run on any available processor, and different routines can
execute simultaneously on different processors

 Windows supports the use of multiple threads of execution within a single

process. Multiple threads within the same process may execute on different
processors simultaneously

 Server processes may use multiple threads to process requests from more than
one client simultaneously

 Windows provides mechanisms for sharing data and resources between

processes and flexible interprocess communication capabilities
Windows Objects
 Windows draws heavily on the concepts of object-
oriented design
 Key object-oriented concepts used by Windows are:

Object
Encapsulation class and Inheritance Polymorphism
instance
n
C
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ew
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o
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 Windows 7
 Changes and improvements:
 Engineering improvements
 the system is now built in layers which can be separately tested
 Performance improvements
 amount of memory required has been reduced
 Reliability improvements
 user-mode heap is more tolerant of memory allocation errors by C/C++
programmers
 Energy efficiency
 many improvements have been made
 Security
 BitLocker is now easier to set up and use
 Thread improvements
 can support hundreds of CPUs
 Dynamic Fair Share Scheduling (DFSS)
 Traditional UNIX Systems
 Were developed at Bell Labs and became operational on a PDP-7 in 1970

 Incorporated many ideas from Multics

 PDP-11was a milestone because it first showed that UNIX would be an OS for all computers

 Next milestone was rewriting UNIX in the programming language C

 demonstrated the advantages of using a high-level language for system code

 Was described in a technical journal for the first time in 1974

 First widely available version outside Bell Labs was Version 6 in 1976

 Version 7, released in 1978 is the ancestor of most modern UNIX systems

 Most important of the non-AT&T systems was UNIX BSD (Berkeley Software Distribution)
Description

of UNIX
Traditional
UNIX
Kernel
Modern
UNIX
Kernel
 LINUX Overview
 Started out as a UNIX variant for the IBM PC
 Linus Torvalds, a Finnish student of computer science, wrote the initial
version
 Linux was first posted on the Internet in 1991
 Today it is a full-featured UNIX system that runs on several platforms
 Is free and the source code is available
 Key to success has been the availability of free software packages
 Highly modular and easily configured
 Modular
Monolithic Kernel
Loadable Modules
 Includes virtually all of the OS  Relatively independent blocks
functionality in one large block of
code that runs as a single process  A module is an object file whose
with a single address space code can be linked to and unlinked
from the kernel at runtime
 All the functional components of
the kernel have access to all of its  A module is executed in kernel
internal data structures and
routines mode on behalf of the current
process
 Linux is structured as a collection
of modules  Have two important characteristics:
 Dynamic linking
 Stackable modules
 Linux
Kernel
Modules
Linux Kernel Components
Linux Signals

Table 2.5 Some Linux Signals

 Linux Vserver Virtual
Machine Architecture
 Open-source, fast, lightweight
approach to implementing chroot – UNIX or
virtual machines on a Linux Linux command to
chcontext –
make the root
server directory become
allocates a new
security context
something other
 Only a single copy of the than its default
Linux kernel is involved
 Supports a number of separate chbind – executes
virtual servers a command and
locks the resulting
capabilities – a
partitioning of the
 Each virtual server is isolated process and its
children into using
privileges
available to a root
from the others a specific IP
address
user

 Involves four elements:

Linux Vserver Architecture
 Summary
 Operating system objectives and functions:  Process
 convenience, efficiency, ability to
evolve
 Memory management
 user/computer interface
 real address, virtual address
 resource manager  Scheduling and resource management
 Evolution:  Multithreading
 serial processing, simple batch  Symmetric multiprocessing (SMP)
systems, multiprogrammed batch  distributed OS
systems, time sharing systems  object oriented design
 Microsoft Windows/Windows 7  Virtual machines
 UNIX/Linux systems  virtualization