CH 1

Chapter 1: Introduction
Operating System Concepts – 10h Edition Silberschatz, Galvin and Gagne ©2018
 What Operating Systems Do

 Computer-System Organization
 Computer-System Architecture
 Operating-System Operations
 Resource Management
 Security and Protection
 Virtualization
 Distributed Systems
 Kernel Data Structures
 Computing Environments
 Free/Libre and Open-Source Operating Systems
Operating System Concepts – 10th Edition 1.2 Silberschatz, Galvin and Gagne ©2018
Qué hacen los sistemas operativos

Organización del sistema informático
Arquitectura del sistema de computadoras
Operaciones del sistema operativo
Administración de recursos
Seguridad y protección
Virtualización
Sistemas Distribuidos
Estructuras de datos del kernel
Entornos informáticos
 Sistemas operativos libres/libres y de código abierto
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
 Provide examples of free and open-source operating systems
Objectives
Describir la organización general de un sistema informático y el papel de

las interrupciones
Describir los componentes de un sistema informático moderno y
multiprocesador
Ilustra la transición del modo de usuario al modo kernel
Analizar cómo se utilizan los sistemas operativos en diversos entornos
informáticos
 Proporcionar ejemplos de sistemas operativos libres y de código
abierto
What Does the Term Operating System Mean?
 An operating system is “fill in the blanks”

 What about:
• Car
• Airplane
• Printer
• Washing Machine
• Toaster
• Compiler
• Etc.
What Does the Term Operating System Mean?
Un sistema operativo es "rellenar los espacios en blanco"

 Qué dices:
 coche
 avión
 impresora
 lavadora
 tostador
 compilador
• etc.
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
What is an Operating System?
Un programa que actúa como intermediario entre un usuario de un

equipo y el hardware del equipo
 Objetivos del sistema operativo:
 Ejecutar programas de usuario y facilitar la resolución de
problemas de usuario
 Hacer que el sistema informático sea conveniente de usar
• Utilice el hardware del equipo de una manera eficiente
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
Computer System Structure
El sistema informático se puede dividir en cuatro componentes:

 Hardware: proporciona recursos informáticos básicos
 CPU, memoria, dispositivos de E/S
• Sistema operativo
 Controla y coordina el uso del hardware entre diversas
aplicaciones y usuarios
• Programas de aplicación : defina las formas en que se utilizan los
recursos del sistema para resolver los problemas informáticos de
los usuarios
 Procesadores de texto, compiladores, navegadores web,
sistemas de bases de datos, videojuegos
• Usuarios
 Personas, máquinas, otras computadoras
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
• Don’t 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
What Operating Systems Do
Depende del punto de vista
 Los usuarios quieren comodidad, facilidad de uso y buen rendimiento
• No se preocupe por la utilización de recursos
 Pero la computadora compartida, como mainframe o miniordenador, debe
mantener contentos a todos los usuarios
• El sistema operativo es un asignador de recursos y un programa de control
que hace un uso eficiente de HW y administra la ejecución de programas de
usuario
 Los usuarios de sistemas dedicados, como las estaciones de trabajo, tienen
recursos dedicados, pero con frecuencia utilizan recursos compartidos de
servidores
 Los dispositivos móviles como los teléfonos inteligentes y las tablets son pobres
en recursos, optimizados para la usabilidad y la duración de la batería
• Interfaces de usuario móviles como pantallas táctiles, reconocimiento de voz
 Algunas computadoras tienen poca o ninguna interfaz de usuario, como
computadoras integradas en dispositivos y automóviles
• Ejecutar principalmente sin intervención del usuario
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
Defining Operating Systems
 El término OS cubre muchos roles
Debido a la miríada de diseños y usos de los sistemas operativos

Presente en tostadoras a través de naves, naves espaciales, máquinas
de juego, televisores y sistemas de control industrial
• Nació cuando las computadoras de uso fijo para militares se
convirtieron en un propósito más general y necesitaban
administración de recursos y control de programas
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 addition services
to application developers such as databases, multimedia, graphics
Overview of Computer System Structure
Computer System Organization
 Computer-system operation
• One or more CPUs, device controllers connect through common
bus providing access to shared memory
• Concurrent execution of CPUs and devices competing for memory
cycles
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
 Each device controller type has an operating system device driver
to manage it
 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
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
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
Storage Structure
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 Definitions 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-Device 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 don’t 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 the 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
Distributed Systems
 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
End of Chapter 1
Operating System Concepts – 10h Edition Silberschatz, Galvin and Gagne ©2018

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Chapter 1: Introduction

 What Operating Systems Do

Qué hacen los sistemas operativos

 Describe the general organization of a computer system and the role

Describir la organización general de un sistema informático y el papel de

 An operating system is “fill in the blanks”

Un sistema operativo es "rellenar los espacios en blanco"

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

Un programa que actúa como intermediario entre un usuario de un

 Computer system can be divided into four components:

El sistema informático se puede dividir en cuatro componentes:

 Term OS covers many roles

 El término OS cubre muchos roles

Debido a la miríada de diseños y usos de los sistemas operativos

 No universally accepted definition

 I/O devices and the CPU can execute concurrently

 Interrupt transfers control to the interrupt service routine

 The operating system preserves the state of the CPU by

 Two methods for handling I/O

Computer storage, along with most computer throughput, is generally

A von Neumann architecture

 Used for high-speed I/O devices able to transmit information

 A logical extension of Batch systems– the CPU switches jobs

 Dual-mode operation allows OS to protect itself and other

The operating system is responsible for the following activities in

 To execute a program all (or part) of the instructions must be in

 Important principle, performed at many levels in a computer

Movement between levels of storage hierarchy can be explicit or implicit

 Multitasking environments must be careful to use most recent value,

 Multiprocessor environment must provide cache coherency in

 Allows operating systems to run applications within other OSes

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