Operating System

Prepared by: Edward D. Bustillos

About the Professor
Hi I'm Sir Edward Bustillos, you can call me Sir Ed. I am
working here at San Beda as a part-time instructor. I
am currently connected fulltime with Adamson
University as the Director of the University Information
Security Office, Data Privacy Officer, and an Associate
Professor from the Computer Science Department.
You can reach me through the LMS or we can setup a
Group Chat in the FB Messenger. For immediate
concerns, you can alternatively reach me through my
email address: [email protected]
Course Description
• Covers the internal algorithms and structures of operating
systems, including CPU scheduling, memory management, and
device management. Considers the unifying concept of the
operating system as a collection of cooperating sequential
processes. Covers topics including file systems, virtual memory,
disk request scheduling, concurrent processes, deadlocks,
security, and integrity.
Course Outline
Module 1: Overview Module 3: Process Synchronization
• Introduction • Synchronization Tools
• Operating System Structure • Synchronization Examples
• Deadlocks

Module 2: Process Management

• Processes Module 4: Memory Management
• Thread and Concurr ency • Main Memory
• CPU Scheduling • Virtual Memory
Course Outline
Module 5: Storage Management Module 7: Security and Protection
• Mass Storage Structure • Security
• I/O Systems • Protection

Module 6: File System Module 8: Advance Topic

• File System Interface • Network and Distributed Systems
• File System Implementation
• File System Internal
Chapter 1: Introduction

Operating System
Chapter 1: Introduction
• What Operating Systems Do?
• Operating System-Structure
• Operating Systems Operations
• Process Management
• Memory Management
• Protection and Security
• Kernel Data Structures
• Computing Environments
Objectives
• 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
What is an Operating System?
• A program that acts as an intermediary between a user of a
computer and the computer hardware
• Operating system goals:
• Execute user programs and make solving user problems easier
• Make the computer system convenient to use
• Use the computer hardware in an efficient manner
 Computer System Structure
• Computer system can be divided into four
components:
• Hardware – provides basic computing resources
• CPU, memory, I/O devices
• Operating system
• Controls and coordinates use of hardware among
various applications and users
• Application programs – define the ways in which the
system resources are used to solve the computing
problems of the users
• Word processors, compilers, web browsers, database
systems, video games
• Users
• People, machines, other computers Abstract View of Components of Computer
What Operating Systems Do
• Depends on the point of view
• Users want convenience, ease of use and good performance
• Donʼt care about resource utilization
• But shared computer such as mainframe or minicomputer must keep all users
happy
• Operating system is a resource allocator and control program making efficient use of HW
and managing execution of user programs
• Users of dedicate systems such as workstations have dedicated resources but
frequently use shared resources from servers
• Mobile devices like smartphones and tables are resource poor, optimized for
usability and battery life
• Mobile user interfaces such as touch screens, voice recognition
• Some computers have little or no user interface, such as embedded computers in
devices and automobiles
• Run primarily without user intervention
Defining Operating Systems
• Term OS covers many roles
• Because of myriad designs and uses of OSes
• Present in toasters through ships, spacecraft, game machines, TVs and
industrial control systems
• Born when fixed use computers for military became more general
purpose and needed resource management and program control
Operating System Definition
• No universally accepted definition
• “Everything a vendor ships when you order an operating system” is a good
approximation
• But varies wildly
• “The one program running at all times on the computer” is the kernel, part
of the operating system
• Everything else is either
• A system program (ships with the operating system, but not part of the kernel) , or
• An application program, all programs not associated with the operating system
• Today’s OSes for general purpose and mobile computing also include
middleware – a set of software frameworks that provide additional services
to application developers such as databases, multimedia, graphics
Overview of the Computer
System Structure

Operating System
Computer System Organization
• Computer-system operation
• One or more CPUs, device
• Concurrent execution of CPUs and devices competing for memory
cycles
Common Functions of Interrupts
• Interrupt transfers control to the interrupt service routine
generally, through the interrupt vector, which contains the
addresses of all the service routines
• Interrupt architecture must save the address of the interrupted
instruction
• A trap or exception is a software-generated interrupt caused
either by an error or a user request
• An operating system is interrupt driven
Interrupt Timeline
Interrupt Handling
• The operating system preserves the state of the CPU by storing
the registers and the program counter
• Determines which type of interrupt has occurred:
• Separate segments of code determine what action should be
taken for each type of interrupt
Interrupt-drive I/O Cycle
CPU I/O controller
1

device driver initiates I/O 2

initiates I/O

CPU executing checks for

interrupts between instructions
3

CPU receiving interrupt, 4 input ready, output

transfers control to complete, or error
interrupt handler generates interrupt signal
7
5

interrupt handler
processes data,
returns from interrupt

CPU resumes
processing of
interrupted task
I/O Structure
• Two methods for handling I/O
• After I/O starts, control returns to user program only upon I/O
completion
• After I/O starts, control returns to user program without waiting for I/O
completion
I/O Structure (Cont.)
• After I/O starts, control returns to user program only upon I/O
completion
• Wait instruction idles the CPU until the next interrupt
• Wait loop (contention for memory access)
• At most one I/O request is outstanding at a time, no simultaneous I/O
processing
• After I/O starts, control returns to user program without waiting for I/O
completion
• System call – request to the OS to allow user to wait for I/O completion
• Device-status table contains entry for each I/O device indicating its type,
address, and state
• OS indexes into I/O device table to determine device status and to modify
table entry to include interrupt
Computer Startup
• Typically stored in ROM or EPROM, generally known
as firmware
• Initializes all aspects of system
• Loads operating system kernel and starts execution
Storage Structure

Operating System
Storage Structure
• Main memory – only large storage media that the CPU can access directly
• Random access
• Typically volatile

• Typically random-access memory in the form of

Dynamic Random-access Memory (DRAM)
• Secondary storage – extension of main memory that provides large nonvolatile
storage capacity
Storage Structure (Cont.)
• Hard Disk Drives (HDD) – rigid metal or glass platters covered with magnetic
recording material
• Disk surface is logically divided into tracks, which are subdivided into sectors
• The disk controller determines the logical interaction between the device and
the computer

• Non-volatile memory (NVM) devices– faster than hard disks, nonvolatile

• Various technologies
• Becoming more popular as capacity and performance increases, price drops
Storage Definition and Notation Review
The basic unit of computer storage is the bit. A bit can contain one of two
values, 0 and 1. All other storage in a computer is based on collections of bits.
Given enough bits, it is amazing how many things a computer can represent:
numbers, letters, images, movies, sounds, documents, and programs, to name
a few. A byte is 8 bits, and on most computers it is the smallest convenient
chunk of storage. For example, most computers don’t have an instruction to
move a bit but do have one to move a byte. A less common term is word,
which is a given computer architecture’s native unit of data. A word is made
up of one or more bytes. For example, a computer that has 64-bit registers and
64-bit memory addressing typically has 64-bit (8-byte) words. A computer
executes many operations in its native word size rather than a byte at a time.

Computer storage, along with most computer throughput, is generally

measured and manipulated in bytes and collections of bytes. A kilobyte, or
KB , is 1,024 bytes; a megabyte, or MB, is 1,0242 bytes; a gigabyte, or GB, is
1,0243 bytes; a terabyte, or TB, is 1,0244 bytes; and a petabyte, or PB, is 1,0245
bytes. Computer manufacturers often round off these numbers and say that
a megabyte is 1 million bytes and a gigabyte is 1 billion bytes. Networking
measurements are an exception to this general rule; they are given in bits
(because networks move data a bit at a time).
Storage Hierarchy
• Storage systems organized in hierarchy
• Speed
• Cost
• Volatility
• Caching – copying information into faster storage system; main
memory can be viewed as a cache for secondary storage
• Device Driver for each device controller to manage I/O
• Provides uniform interface between controller and kernel
Storage Hierarchy
How a Modern Computer Works

A von Neumann architecture

Direct Memory Access Structure
• Used for high-speed I/O devices able to transmit information at
close to memory speeds
• Device controller transfers blocks of data from buffer storage
directly to main memory without CPU intervention
• Only one interrupt is generated per block, rather than the one
interrupt per byte
Operating-System Operations
• Bootstrap program – simple code to initialize the system, load
the kernel
• Kernel loads
• Starts system daemons (services provided outside of the kernel)
• Kernel 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
Multiprogramming (Batch system)
• Single user cannot always keep CPU and I/O devices busy
• Multiprogramming organizes jobs (code and data) so CPU always
has one to execute
• A subset of total jobs in system is kept in memory
• One job selected and run via job scheduling
• When job has to wait (for I/O for example), OS switches to
another job
Multitasking (Timesharing)
• A logical extension of Batch systems– the CPU switches jobs so frequently that users can
interact with each job while it is running, creating interactive computing
• Response time should be < 1 second
• Each user has at least one program executing in memory [ process
• If several jobs ready to run at the same time [ CPU scheduling
• If processes donʼt fit in memory, swapping moves them in and out to run

• Virtual memory allows execution of processes not completely in memory

Memory Layout for Multiprogrammed System
Dual-mode Operation
• 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.
• When a user is running [ mode bit is “user”
• When kernel code is executing [ mode bit is “kernel”
• How do we guarantee that user does not explicitly set the mode bit to
“kernel”?
• System call changes mode to kernel, return from call resets it to user
• Some instructions designated as privileged, only executable in kernel
mode
Transition from User to Kernel Mode
Timer
• Timer to prevent infinite loop (or process hogging
resources)
• Timer is set to interrupt the computer after some time
period
• Keep a counter that is decremented by the physical clock
• Operating system set the counter (privileged instruction)
• When counter zero generate an interrupt
• Set up before scheduling process to regain control or
terminate program that exceeds allotted time
Process Management
• A process is a program in execution. It is a unit of work within the system.
Program is a passive entity; process is an active entity.
• Process needs resources to accomplish its task
• CPU, memory, I/O, files
• Initialization data
• Process termination requires reclaim of any reusable resources
• Single-threaded process has one program counter specifying location of
next instruction to execute
• Process executes instructions sequentially, one at a time, until completion
• Multi-threaded process has one program counter per thread
• Typically system has many processes, some user, some operating system
running concurrently on one or more CPUs
• Concurrency by multiplexing the CPUs among the processes / threads
Process Management Activities
• The operating system is responsible for the
following activities in connection with process
management:
• Creating and deleting both user and system
processes
• Suspending and resuming processes
• Providing mechanisms for process synchronization
• Providing mechanisms for process communication
• Providing mechanisms for deadlock handling
Memory Management
• To execute a program all (or part) of the instructions must be in
memory
• All (or part) of the data that is needed by the program must be in
memory
• Memory management determines what is in memory and when
• Optimizing CPU utilization and computer response to users
• Memory management activities
• Keeping track of which parts of memory are currently being used and by whom
• Deciding which processes (or parts thereof) and data to move into and out of
memory
• Allocating and deallocating memory space as needed
File-system Management
• OS provides uniform, logical view of information storage
• Abstracts physical properties to logical storage unit - file
• Each medium is controlled by device (i.e., disk drive, tape drive)
• Varying properties include access speed, capacity, data-transfer rate, access method
(sequential or random)

• File-System management
• Files usually organized into directories
• Access control on most systems to determine who can access what
• OS activities include
• Creating and deleting files and directories
• Primitives to manipulate files and directories
• Mapping files onto secondary storage
• Backup files onto stable (non-volatile) storage media
Mass Storage Management
• Usually disks used to store data that does not fit in main memory or
data that must be kept for a “long” period of time
• Proper management is of central importance
• Entire speed of computer operation hinges on disk subsystem and its
algorithms
• OS activities
• Mounting and unmounting
• Free-space management
• Storage allocation
• Disk scheduling
• Partitioning
• Protection
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
Characteristics of Various Types of Storage

Movement between levels of storage hierarchy can be explicit or implicit

Migration of data “A” from Disk to Register
• Multitasking environments must be careful to use most recent
value, no matter where it is stored in he storage hierarchy

• Multiprocessor environment must provide cache coherency in

hardware such that all CPUs have the most recent value in their
cache
• Distributed environment situation even more complex
• Several copies of a datum can exist
• Various solutions covered in Chapter 19
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
Protection and Security
• Protection – any mechanism for controlling access of processes or
users to resources defined by the OS
• Security – defense of the system against internal and external attacks
• Huge range, including denial-of-service, worms, viruses, identity theft, theft of
service
• Systems generally first distinguish among users, to determine who
can do what
• User identities (user IDs, security IDs) include name and associated number,
one per user
• User ID then associated with all files, processes of that user to determine
access control
• Group identifier (group ID) allows set of users to be defined and controls
managed, then also associated with each process, file
• Privilege escalation allows user to change to effective ID with more rights
Virtualization
• Allows operating systems to run applications within other OSes
• Vast and growing industry
• Emulation used when source CPU type different from target type
(i.e. PowerPC to Intel x86)
• Generally slowest method
• When computer language not compiled to native code – Interpretation
• Virtualization – OS natively compiled for CPU, running guest
OSes also natively compiled
• Consider VMware running WinXP guests, each running applications, all
on native WinXP host OS
• VMM (virtual machine Manager) provides virtualization services
Virtualization (cont.)
• Use cases involve laptops and desktops running multiple OSes
for exploration or compatibility
• Apple laptop running Mac OS X host, Windows as a guest
• Developing apps for multiple OSes without having multiple systems
• Quality assurance testing applications without having multiple systems
• Executing and managing compute environments within data centers
• VMM can run natively, in which case they are also the host
• There is no general-purpose host then (VMware ESX and Citrix
XenServer)
Computing Environments - Virtualization

processes

processes

processes processes

programming
kernel kernel kernel
interface
VM1 VM2 VM3
kernel
virtual machine
manager
hardware
hardware

(a) (b)
Distributed System
• Collection of separate, possibly heterogeneous, systems
networked together
• Network is a communications path, TCP/IP most common
• Local Area Network (LAN)
• Wide Area Network (WAN)
• Metropolitan Area Network (MAN)
• Personal Area Network (PAN)
• Network Operating System provides features between systems
across network
• Communication scheme allows systems to exchange messages
• Illusion of a single system
Computer System
Architecture

Operating System
Computer-System Architecture
• Most systems use a single general-purpose processor
• Most systems have special-purpose processors as well
• Multiprocessors systems growing in use and importance
• Also known as parallel systems, tightly-coupled systems
• Advantages include:
1. Increased throughput
2. Economy of scale
3. Increased reliability – graceful degradation or fault tolerance
• Two types:
1. Asymmetric Multiprocessing – each processor is assigned a specie task.
2. Symmetric Multiprocessing – each processor performs all tasks
Symmetric Multiprocessing Architecture
Dual-Core Design

• Multi-chip and multicore

• Systems containing all chips
• Chassis containingmultiple
separate systems
Clustered Systems
• Like multiprocessor systems, but multiple systems working
together
• Usually sharing storage via a storage-area network (SAN)
• Provides a high-availability service which survives failures
• Asymmetric clustering has one machine in hot-standby mode
• Symmetric clustering has multiple nodes running applications, monitoring each
other
• Some clusters are for high-performance computing (HPC)
• Applications must be written to use parallelization
• Some have distributed lock manager (DLM) to avoid conflicting
operations
Clustered System
PC Motherboard
Computer System
Environment

Operating System
Computing Environments
• Traditional
• Mobile
• Client Server
• Peer-to-Peer
• Cloud computing
• Real-time Embedded
Traditional
• Stand-alone general-purpose machines
• But blurred as most systems interconnect with others (i.e., the
Internet)
• Portals provide web access to internal systems
• Network computers (thin clients) are like Web terminals
• Mobile computers interconnect via wireless networks
• Networking becoming ubiquitous – even home systems use
firewalls to protect home computers from Internet attacks
Mobile
• Handheld smartphones, tablets, etc.
• What is the functional difference between them and a
“traditional” laptop?
• Extra feature – more OS features (GPS, gyroscope)
• Allows new types of apps like augmented reality
• Use IEEE 802.11 wireless, or cellular data networks for
connectivity
• Leaders are Apple iOS and Google Android
Client Server
• Client-Server Computing
• Dumb terminals supplanted by smart PCs
• Many systems now servers, responding to requests generated by clients
• Compute-server system provides an interface to client to request services (i.e.,
database)
• File-server system provides interface for clients to store and retrieve files
client
desktop

Server client
Network
laptop

client
smartphone
Peer-to-Peer
• Another model of distributed system
• P2P does not distinguish clients and servers
• Instead all nodes are considered peers
• May each act as client, server or both
• Node must join P2P network
• Registers its service with central lookup service on network, or
• Broadcast request for service and respond to requests for service via discovery
protocol
• Examples include Napster and Gnutella, Voice over IP (VoIP) such as
Skype
Cloud Computing
• Delivers computing, storage, even apps as a service across a
network
• Logical extension of virtualization because it uses virtualization
as the base for it functionality.
• Amazon EC2 has thousands of servers, millions of virtual machines,
petabytes of storage available across the Internet, pay based on usage
Cloud Computing (Cont.)
• Many types
• Public cloud – available via Internet to anyone willing to pay
• Private cloud – run by a company for the company’s own use
• Hybrid cloud – includes both public and private cloud components
• Software as a Service (SaaS) – one or more applications available via the
Internet (i.e., word processor)
• Platform as a Service (PaaS) – software stack ready for application use
via the Internet (i.e., a database server)
• Infrastructure as a Service (IaaS) – servers or storage available over
Internet (i.e., storage available for backup use)
Cloud Computing (cont.)
Internet
• Cloud computing environments customer
requests

composed of traditional OSes, plus cloud

VMMs, plus cloud management firewall customer

interface

tools
load balancer cloud
management
commands

• Internet connectivity requires security virtual virtual cloud

like firewalls machines machines
storage
managment
services

• Load balancers spread traffic across

servers servers
multiple applications
Real-Time Embedded Systems
• Real-time embedded systems most prevalent form of computers
• Vary considerable, special purpose, limited purpose OS, real-time OS
• Use expanding
• Many other special computing environments as well
• Some have OSes, some perform tasks without an OS
• Real-time OS has well-defined fixed time constraints
• Processing must be done within constraint
• Correct operation only if constraints met
Free and Open-Source Operating Systems
• Operating systems made available in source-code format rather than
just binary closed-source and proprietary
• Counter to the copy protection and Digital Rights Management (DRM)
movement
• Started by Free Software Foundation (FSF), which has “copyleft” GNU
Public License (GPL)
• Free software and open-source software are two different ideas championed by different groups of people
• https://www.gnu.org/philosophy/open-source-misses-the-point.en.html
• Examples include GNU/Linux and BSD UNIX (including core of Mac OS
X), and many more
• Can use VMM like VMware Player (Free on Windows), Virtualbox
(open source and free on many platforms - http://www.virtualbox.com)
• Use to run guest operating systems for exploration
The Study of Operating Systems
There has never been a more interesting time to study operating systems, and it has never been
easier. The open-source movement has overtaken operating systems, causing many of them to be
made available in both source and binary (executable) format. The list of operating
systems available in both formats includes Linux, BUSD UNIX, Solaris, and part of macOS.
The availability of source code allows us to study operating systems from the inside out.
Questions that we could once answer only by looking at documentation or the behavior of an
operating system we can now answer by examining the code itself.
Operating systems that are no longer commercially viable have been open-sourced as well, enabling
us to study how systems operated in a time of fewer CPU, memory, and storage resources.
An extensive but incomplete list of open-source operating-system projects is available
from https://curlie.org/Computers/Software/Operating_Systems/Open_Source/
In addition, the rise of virtualization as a mainstream (and frequently free) computer function
makes it possible to run many operating systems on top of one core system. For example, VMware
(http://www.vmware.com) provides a free “player” for Windows on which hundreds of free
“virtual appliances” can run. Virtualbox (http://www.virtualbox.com) provides a free, open-source
virtual machine manager on many operating systems. Using such tools, students can try out
hundreds of operating systems without dedicated hardware.
The advent of open-source operating systems has also made it easier to make the move from
student to operating-system developer. With some knowledge, some effort, and an Internet
connection, a student can even create a new operating-system distribution. Just a few years ago,
it was difficult or impossible to get access to source code. Now, such access is limited only by
how much interest, time, and disk space a student has.
Kernel Data Structure

Operating System
Kernel Data Structure
• Many similar to standard programming data structures
• Singly linked list
data data data null
• • •

• Doubly linked list

data null data data data null
• • •

• Circular linked list

data data data data

• • •
Kernel Data Structure
• Binary search tree 17
left <= right
• Search performance is O(n)
• Balanced binary search tree is O(lg n) 12 35

6 14 32 40
Kernel Data Structures
• Hash function can create a hash
map
hash_function(key)

• Bitmap – string of n binary digits hash map

representing the status of n items 0 1 . . n

• Linux data structures defined in value

include files <linux/list.h>,

<linux/kfifo.h>,
<linux/rbtree.h>