10th ed. chapter 01 https://www.cs.csustan.edu/~john/Classes/CS3750/Notes/Chap01/01_Int...

(Latest Revision:Aug 24, 2020)

[Aug 24, 2020: corrected two typographical errors]
[Jan 27, 2020: clarified language in first bullet under section 1.4.2]

Chapter One -- Introduction -- Lecture Notes

An OS performs as an intermediary between the user and the hardware, functioning as a virtual
computer that makes the use of the hardware more convenient and/or efficient.

• 1.0 Chapter Goals

◦ Describe the general organization of a computer system and the role of interrupts.
◦ Describe the components in a modern multiprocessor computer system.
◦ Illustrate the transition from user mode to kernel mode.
◦ Discuss how operating systems are used in various computing environments.
◦ Provide examples of free and open-source operating systems.

• 1.1 What Operating Systems Do

◦ Roughly speaking, a computing system consists of hardware, operating system, application

programs, and a user.

Figure 1.1: Abstract view of the components of a computer system

◦ 1.1.1 User View - For many personal devices, the main goal of the OS is to make the computer
easy to use.
◦ 1.1.2 System View - the computer relies on the OS to allocate, manage, and control the
resources, such as CPU time, forms of memory, and I/O devices.
◦ 1.1.3 Defining Operating Systems
▪ Operating systems first emerged as a form of automation, taking over tasks that had
previously been performed by the user, the operator, of the computer.
▪ We may think of an OS as a collection of automatic functions that make using the
hardware easier, safer, and more efficient.
▪ Usually when computer science professionals refer to the operating system, they mean

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something called the kernel.

▪ The study of operating systems is mostly about the study of kernels.

• 1.2 Computer-System Organization

Figure 1.2: A typical PC computer system

◦ Figure 1.2 in the text shows the typical components of a personal computer: a bus, CPUs,
primary memory, device controllers, and peripherals. An operating system is responsible for
operating the peripherals by sending instructions to device controllers. Different device
controllers have to be operated with their own special commands, so usually an OS has a
separate section of code called a device driver, for interacting with each different kind of device
controller.

◦ 1.2.1 Interrupts
◦ The OS tells devices what to do by sending commands through the bus to registers in the device
controllers, but how do the devices communicate with the OS??
◦ INTERRUPTS is by far the most common method.

Figure 1.3: Interrupt timeline for a single program doing output

▪ 1.2.1.1 Overview
▪ Hardware can trigger an interrupt at any time by putting a signal on the bus that is
received by the CPU.
▪ For example device controllers interrupt the CPU when they need attention from the
operating system.

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▪ When the CPU receives an interrupt, it saves some information about whatever is
currently executing in the CPU, and then jumps into a part of the OS, called an
interrupt handler.
▪ The interrupt handler performs whatever actions are required to respond to the
device.
▪ The operating system is able to use saved information to resume the execution of
whatever task was interrupted.
▪ 1.2.1.2 Implementation
▪ After executing each instruction, the CPU senses the part of the bus that carries
interrupt signals, the interrupt-request line.
▪ The details of the interrupt architecture may be quite complex, employing such
features as an interrupt vector, interrupt chaining, interrupt priority levels, interrupt
preemption, and interrupt masking.

Figure 1.4: Interrupt-driven I/O cycle

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Figure 1.5: Intel processor event-vector table

◦ 1.2.2 Storage Structure

▪ It's important to know, and to bear in mind, that computers can only fetch items from a few
locations, like registers, main memory & its caches, and certain types of read-only memory
(ROM). Therefore a computing system must copy data and instructions from secondary
memory to main memory before the CPU can directly access those items.
▪ Modern computers utilize storage hierarchies, in which each level of memory functions as
a back-up for the levels above it, and as a cache for the levels below it.
▪ The forms of memory in the upper levels are typically fast, but expensive and volatile.
▪ Non-volatile memory is required for cost-effective permanent storage of large amounts of
programs and data.
▪ The management of the various forms of memory is a major part of what operating
systems do. Chapter 9-15 of the text book all deal, in whole or in part, with memory
management issues.

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Figure 1.6: Storage-device hierarchy

◦ 1.2.3 I/O Structure

▪ Some forms of I/O require that data be moved one byte at a time between the device
controller and the main memory. When doing I/O this way, the controller has to interrupt
the CPU after transferring every single byte. That's OK for devices that are inherently
slow, like keyboards.
▪ For devices like hard drives with the ability to transfer data at high speed, computing
systems utilize direct memory access (DMA). Only one interrupt per block transfer is
required with DMA. Software (usually the OS) gives the I/O controller the base location
and size of a large array of bytes in main memory. The controller then transfers an entire
block (multiple bytes) between the memory array and the controller's internal buffer. The
controller interrupts the CPU only once, after the entire block has been transferred.
▪ With DMA, the CPU is not interrupted as often, and so there's more opportunity to use the
CPU for other things during the time that the I/O transfer is being performed. That helps
the system get more work done sooner.

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Figure 1.7: How a modern computer system works

• 1.3 Computer-System Architecture

◦ 1.3.1 Single-Processor Systems

▪ A single-processor computing system (aka a uni-processor) is a computer with only one
CPU core, only one component capable of executing a general-purpose instruction set.
▪ Modern computing systems may contain processors that are NOT general-purpose. For
example, a disk-controller might have a special-purpose microprocessor that queues and
schedules requests for reading from and writing to the disk.
▪ Even if it has such special-purpose processors, a system with only one core is still a single-
processor system.
◦ 1.3.2 Multiprocessor Systems
▪ What is a multiprocessor? The term refers to systems that have more than one CPU core.
Even if a computer has only one CPU chip, it will usually be considered a multiprocessor
if that chip contains more than one (general-purpose) core.
▪ Most multiprocessors nowadays are symmetric multiprocessors (SMPs). All the cores are
equal peers. Each is made available to perform all the same kinds of work as the others,
including operating system functions and the execution of user applications.

Figure 1.8: Symmetric multiprocessing architecture

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▪ Multiprocessors can run more than one sequence of instructions simultaneously. More
work can be done faster than on a uni-processor.
▪ It's a challenge for operating systems to derive the maximum benefits from a
multiprocessor, to keep all the cores doing useful work as often as possible.
▪ Multiprocessors can be more or less tightly coupled depending on how much of the
hardware resources (clock, cache, memory, component connections) they share in
common.

Figure 1.9: A dual-core design with two cores on the same chip

▪ Non-uniform memory access (NUMA) architectures tend to be easier to scale up with very
large numbers of cores, and so they are of increasing importance.

Figure 1.10: NUMA multiprocessing architecture

◦ 1.3.3 Clustered Systems

Figure 1.11: General structure of a clustered system

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▪ A clustered system is a loosely-coupled form of multiprocessing.

▪ It is a group of individual computers that communicate closely using a LAN or other high-
speed interconnect.
▪ A cluster usually has the job of providing a high-availability service. Typically each of the
machines is monitored by one of the others, and if one machine has a failure, another
machine can take over for it.

• 1.4 Operating-System Operations

◦ Usually computer hardware is designed to automatically run a program in the ROM when the
machine is turned on. This is the bootstrap program. Some typical things it does are:
▪ Initialize the hardware,
▪ Find the operating system on disk or on a network,
▪ Copy the OS to the primary memory, and
▪ Execute the OS
◦ Many operating systems, at boot time, will start up a group of continuously running system
programs, often called daemons, to provide services.
◦ An operating system that has nothing to do will sleep or wait until a request for service arrives
(an interrupt).
◦ Interrupts can be generated by hardware or software. A software interrupt is often called a trap or
exception.
◦ 1.4.1 Multiprogramming and Multitasking

Figure 1.12: Memory layout for a multiprogramming system

▪ A process is an executing program.

▪ Most processes need to pause very often to wait for something to happen. Usually they're
waiting for I/O to complete, which often takes a huge amount of time, relative to the speed
of the CPU.
▪ How can the OS keep the CPUs busy when processes keep pausing all the time??
Multiprogramming is the answer. Keep a large number of processes in main memory.
When a process in a CPU pauses, choose one of the other process to run in the CPU.
▪ There's a form of multiprogramming called multitasking. The OS switches processes in
and out of CPUs so rapidly that a user interacting with a process does not normally notice
the delay when the process is not executing.
▪ Multiprogramming and multitasking are very desirable operating system features, but the

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OS has to be very complex and sophisticated to make it work.

▪ Challenges include memory management, memory protection, CPU scheduling, process
synchronization, and process communication.
▪ Also interactive multitasking systems require an efficient online file system, which
requires many sophisticated data structures and secondary memory management
techniques.
◦ 1.4.2 Dual-Mode and Multimode Operation
▪ In order to assure that the hardware is operated properly, usually only the operating system
should be allowed to execute certain commands, for example the commands that perform
I/O, or commands that allow one process to change the contents of the main memory of a
different process.
▪ How is it possible to enforce such rules? The answer is to have more than one mode of
execution.
▪ It is only possible to make this work by building it into the hardware of the computer.
▪ A simple way to do it is to have two modes of execution: user mode and kernel mode
(kernel mode may also called system mode, privileged mode, or supervisor mode). The
hardware is built with a special mode bit. The mode bit functions as if it was an additional
bit added to the code for each machine language instruction. There are privileged
instructions that behave differently depending on whether the mode bit is 0 (kernel mode)
or 1 (user mode).
▪ As an example, suppose a process tries to execute an instruction that performs disk I/O.
That is a privileged instruction. If the value of the mode bit is 0, then the disk I/O happens.
However, if the mode bit is 1, then something completely different happens: the hardware
sends a trap to the CPU. Next, the interrupt mechanism causes the operating system to start
executing, which gives the OS the opportunity to deal as it wishes with the user process
that attempted to execute the privileged instruction.

Figure 1.13: Transition from user to kernel mode

▪ The mode bit is supposed to be 0 whenever the OS is executing, and it's supposed to be 1
whenever a user process is executing. How is this assured? Well, the hardware
automatically sets the mode bit to 0 when someone turns on the computer. Therefore the
booting system always starts in kernel mode. The operating system always changes the
mode bit to 1 just before executing a user process. Therefore user processes always start up
(or resume) in user mode. Whenever there is an interrupt, the hardware automatically sets
the value of the mode bit to 0. Therefore the OS always resumes executing in kernel mode.
Finally changing the value of the mode bit is a privileged instruction, so a user process is
not able to change it from 1 to 0.
▪ Processes need to make requests for the services of the OS. For example, a processes may
request the OS to perform I/O, or to allocate some memory for a data structure. These
requests are system calls. Processes typically make system calls by executing an
instruction that causes a trap. The routine that responds to the trap then performs the

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service requested by the process.

◦ 1.4.3 Timer
▪ A timer is a special CPU register. Each time it executes a user process in a CPU, the OS
first places a number N in the timer. After each clock tick, the hardware automatically
decrements the timer. If the value reaches zero, the hardware immediately generates an
interrupt. This assures that the user process will allow the OS to resume execution in the
CPU after no more than N clock ticks.
▪ The user process cannot disable or change the value in the timer. Such operations are
privileged instructions.

• 1.5 Resource Management

◦ 1.5.1 Process Management The OS has to

▪ create and delete processes,
▪ schedule processes (and threads) on CPUs,
▪ suspend and resume processes,
▪ provide mechanisms for process synchronization, and
▪ provide mechanisms for process communication.
▪ Chapters 3-7 discuss these things.
◦ 1.5.2 Memory Management The OS has to
▪ keep track of which parts of memory are currently being used, and which processes are
using them;
▪ allocate and deallocate memory space as needed; and
▪ decide which processes (or parts of processes) and data to copy into or out of memory.
▪ Chapters 9-10 discuss these things.
◦ 1.5.3 File-System Management The OS has to
▪ create and delete files,
▪ create and delete directories (folders),
▪ support primitives for manipulating files and directories,
▪ map files onto mass storage, and
▪ back up files on stable (nonvolatile) storage media.
▪ Chapters 13-15 discuss these things.
◦ 1.5.4 Mass Storage Management Regarding mass storage, the OS has to
▪ mount and unmount devices,
▪ manage free space,
▪ allocate storage,
▪ schedule disk accesses,
▪ perform partitioning, and
▪ provide protection.
▪ Chapter 11 discusses these things.
◦ 1.5.5 Cache Management

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Figure 1.14: Characteristics of various types of storage

Figure 1.15: Migration of integer A from disk to register

▪ Some of the caching that goes on in computers is controlled by the operating system, and
some is not.
▪ Chapter 10 covers some cache-replacement algorithms.
◦ 1.5.6 I/O System Management
▪ Chapter 12 discusses the I/O subsystem, including such things as memory management, a
general device-driver interface, and drivers for specific devices.

• 1.6 Security and Protection

◦ Modern computing systems require security and protection.

◦ The system grants only an authorized process access to a resource.
◦ The OS must surveil the system and ensure that resources are utilized safely and correctly.
◦ Chapter 16 discusses security.
◦ Chapter 17 discusses protection.
◦ To maintain protection and security, the operating system must manage certain kinds of data,
such as user ID numbers, group ID numbers, and passwords.

• 1.7 Virtualization

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Figure 1.16: A computer running (a) a single operating system and (b) three virtual
machines

◦ Virtualization is a technology that enables one computer to function simultaneously as several

different computers, each with its own operating system.
◦ Under virtualization several guest operating systems can run 'on top of' a host operating system,
and all of these systems use the computer hardware natively.
◦ A person might use a virtualized operating systems to run an applications that is not available on
the host operating system.
◦ If someone develops versions of a new application to execute on several different operating
systems, virtualization could allow the developer to test and debug all the version on one
computer.
◦ There is a Linux virtual machine provided with the text.
◦ Chapter 18 discusses virtualization.

• 1.8 Distributed Systems

◦ A distributed system is a group of computers that are connected by a network in a way that
allows users to get services from all the individual computers.
◦ Some distributed systems are very transparent, which means that to use the system you only
have to be aware of the one machine in front of you. You don't have to be aware of the other
machines, or the network.
◦ Chapter 19 has information about distributed systems.

• 1.9 Kernel Data Structures

Figure 1.17: Singly linked list

◦ 1.9.1 Lists, Stacks, and Queues

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Figure 1.18: Doubly linked list

Figure 1.19: Circularly linked list

◦ 1.9.2 Trees

Figure 1.20: Binary search tree

◦ 1.9.3 Hash Functions and Maps

◦ 1.9.4 Bitmaps

Figure 1.21: Hash map

▪ A bitmap is just a string of bits used to keep track of resource availability. To check on the
i-th resource, examine the i-th bit. If it's 0, the resource is available. If it's 1, the resource is
not available.

• 1.10 Computing Environments

◦ 1.10.1 Traditional Computing

▪ Earlier in the history of computing, a common goal of the technology was to help large
numbers of people share a very small number of computers, which was necessary for
affordability.
▪ In the current era, it's common for each person to have exclusive access to multiple
advanced devices. Convenience is now often a higher priority than efficiency. Networks

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facilitate communication, as well as the sharing of resources.

◦ 1.10.2 Mobile Computing
▪ A mobile computer is one that is small and light enough so you can walk around with it all
the time - like a smart phone or a tablet computer.
▪ Nowadays mobile devices function as networked computers, cameras, phones,
navigational aids, they play and record music and video, and more.
▪ However, mobile computers are under-powered compared with a typical laptop computer,
and their memory capacities, and processing speeds are significantly lower.
▪ Chapter 2 has some discussion of Apple iOS and Google Android, which are two leading
operating systems used on mobile devices.
◦ 1.10.3 Client-Server Computing

Figure 1.22: General structure of a client-server system

▪ In computer networks, programs called clients connect to programs called servers and the
clients ask the servers to do something for them. This is how a lot of things get done on
computer networks.
▪ For example, a client on a PC can ask a server on a super computer to do a calculation that
would take too long if it was done on the PC. That is an example where the service is
computation.
▪ Networks also use the client-server paradigm for file service. A client running on a
machine with a small amount of space for files can keep most of its files on a remote
machine and get help from a server on the remote machine whenever it needs to read from,
or write to, one of the files.
◦ 1.10.4 Peer-to-Peer Computing

Figure 1.23: Peer-to-peer system with no centralized service

◦ If you start with client-server computing, but let clients be servers sometimes, and vice-versa,
then you get the idea of peer-to-peer computing.

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◦ Successful applications include the file-sharing technologies of Napster and Gnutella, as well as
the voice-over-IP technology of Skype.
◦ 1.10.5 Cloud Computing

Figure 1.24: Cloud computing

▪ Cloud computing might be considered a form of client-server computing.

▪ Often the facilities where the servers execute have very large numbers of processors, and
amounts of secondary storage.
▪ Clients pay by the month just for what they use.
▪ Servers can run software for clients, which is referred to as software as a service (SaaS).
The software can be something sophisticated, or quite common, like a word processor.
▪ There is also platform as a service (PaaS). A database server would be an example.
▪ There is infrastructure as a service (IaaS). Paying for the ability to keep your files backed
up on the server machines in the cloud would be an example of IaaS.
◦ 1.10.6 Real-Time Embedded Systems
▪ Most computers are actually embedded in devices like car engines, factory robots,
microwave ovens, and computer peripherals.
▪ Many embedded computers don't have user interfaces.
▪ Many don't have operating systems.
▪ When they do have an OS it's usually a real-time OS.
▪ A real-time system has to deal with time constraints imposed by the (real) external
environment, which means starting and stopping activities at optimal times, as time is
measured in the outside world.
▪ Issues regarding real time systems are discussed in chapter 5 and chapter 20.

• 1.11 Free and Open Source Operating Systems

◦ When software is open-source, it means that anyone is allowed to obtain a copy of the source
code. Free software is open-source software to which additional rights are added, such as low or
no cost, permission to redistribute, possibly after modification.
◦ Often communities of users and developers associated with open source and free software spring
up. They help debug and make useful modifications to the software.

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◦ Reading and experimenting with free and open source operating systems can be a good way to
learn about operating systems.
◦ 1.11.1 History
▪ In about the period 1950-1975, free and open source software was very common.
▪ By 1980, it was much less common. Companies had decided to try to protect their profits
by drastically limiting access to source code, and giving most customers just compiled
code.
◦ 1.11.2 Free Operating Systems
▪ In the mid 1980s, notably led by Richard Stallman, the idea was put forward that software
should be "free," not necessarily in the sense of "the price is 0," but in the sense of the
word "freedom."
▪ The four principles of this kind of free software are that users are entitled to:
1. freely run the program,
2. study and change the source code, and give or sell copies either
3. with, or
4. without changes.
▪ Stallman published a GNU Manifesto that argued all software should be "free." He also
formed a foundation called the Free Software Foundation (FSF).
▪ Nowadays "free" software can be routinely released through the GNU General Public
License (GPL).
◦ 1.11.3 GNU/Linux
▪ GNU/Linux is a free operating system released under the (GPL).
▪ The development of the software was greatly influenced by Richard Stallman and Linus
Torvalds. However there were many other contributors.
▪ There are references to Linux throughout the text, and chapter 20 is about Linux.
◦ 1.11.4 BSD UNIX
▪ BSD Unix - The flavor of unix developed at UC Berkeley - was tied to AT&T unix for
some time & required a license, but now is free of AT&T code, and is open source.
▪ There are many descendants of BSD Unix, including the Darwin kernel component code
used in the Mac OS X.
◦ 1.11.5 Solaris
▪ Solaris - originally the OS of Sun Microsystems was based on Berkeley unix. Sun
migrated to the AT&T based Solaris in the 1990s, and eventually open-sourced most of the
code it developed.
◦ 1.11. 6 Open-Source Systems as Learning Tools
▪ Open-sourcing is encouraging lots of creative projects.
▪ Computer enthusiasts of all levels can participate in the study and development of shared
software.

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