Unit 1: Introduction and operating system structure.

Syllabus:

Definition, Types of Operating system, Real-Time operating system,

System Components- System Services, Systems Calls, System
Programs, System structure. Virtual Machines, System Design and
Implementation, System Generations.

In the Computer System (comprises of Hardware and software), Hardware can

only understand machine code (in the form of 0 and 1) which doesn't make any
sense to a naive user.

We need a system which can act as an intermediary and manage all the processes
and resources present in the system.

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Operating System:

• An Operating System (OS) is a software that acts as an interface between

computer hardware and the user.

• Every computer system must have at least one operating system to run other
programs. Applications like Browsers, MS Office, Notepad Games, etc.,
need some environment to run and perform its tasks.

• The OS helps you to communicate with the computer without knowing how
to speak the computer's language.

• It is not possible for the user to use any computer or mobile device without
having an operating system.

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 operating System does???

• Processor management: it involves putting the tasks into order and pairing
them into manageable size before they go to the CPU.

• Memory management: it coordinates data to and from RAM (random-

access memory).

• Device management: it provides interface between connected devices.

• Storage management: which directs permanent data storage.

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User interface : it allows you to communicate with your computer.(Command

line,GUI)

Types of Operating system:

Following are different types of operating system,

1. Batch Processing System

2. Multiprogramming Operating System

3. Time sharing operating system

4. Real time operating System

5. Distributed Operating system

6. Clustered Operating System

7. Embedded Operating System

1. Batch Operating System:

In Batch Operating System, there is no direct interaction between user and

computer. Therefore, the user needs to prepare jobs and save offline mode to
punch card or paper tape or magnetic tape.

After creating the jobs, hand it over to the computer operator; then the operator
sort or creates the similar types of batches like B2, B3, and B4. Now, the
computer operator submits batches into the CPU to execute the jobs one by one.
After that, CPUs start executing jobs, and when all jobs are finished, the
computer operator provides the output to the user.

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Fig 1.1 Batch Operating System

Disadvantages of Batch OS:

1. Starvation

Batch processing suffers from starvation. If there are five jobs J1, J2, J3, J4, J4 and
J5 present in the batch. If the execution time of J1 is very high then other four jobs
will never be going to get executed or they will have to wait for a very high time.
Hence the other processes get starved.

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2. Not Interactive

Batch Processing is not suitable for the jobs which are dependent on the user's
input. If a job requires the input of two numbers from the console then it will never
be going to get it in the batch processing scenario since the user is not present at
the time of execution.

2. Multiprogramming Operating System:

Due to the CPU's underutilization and the waiting for I/O resource till that CPU
remains idle. It shows the improper use of system resources. Hence, the
operating system introduces a new concept that is known as
multiprogramming.

This type of OS is used to execute more than one jobs simultaneously by a

single processor. it increases CPU utilization by organizing jobs so that the
CPU always has one job to execute.All the jobs that enter the system are stored
in the job pool( in disc).

The operating system loads a set of jobs from job pool into main memory and
begins to execute.During execution, the job may have to wait for some task,
such as an I/O operation, to complete.

In a multiprogramming system, the operating system simply switches to

another job and executes.When that job needs to wait, the CPU is switched to
another job, and so on.When the first job finishes waiting and it gets the CPU
back. Multiprogramming operating systems use the mechanism of job
scheduling and CPU scheduling.

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Fig 1.2 Multiprogramming Operating System

3. Time sharing Operating System:

It is the type of operating system that allows us to connect many people located at
different locations to share and use a specific system at a single time.

The time-sharing operating system is the logical extension of the

multiprogramming through which users can run multiple tasks concurrently.

Furthermore, it provides each user his terminal for input or output that impacts the
program or processor currently running on the system.

It represents the CPU's time is shared between many user processes. Or, the
processor's time that is shared between multiple users simultaneously termed as
time-sharing.

Since each action in this system is short, only a little CPU time is needed for each
user. The system switches rapidly from one user to the next so each user feels as

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if the entire computer system is dedicated to his use, even though it is being shared
by many users.

Main objective of time sharing operating system is response time should be

short.

Fig 1.3 Time sharing operating system.

CPU time is divided among all the users on scheduled basis. Short period of time
during that a user gets attention of the CPU; is known as a time slice or a quantum.

4. Real time Operating System:

A real-time operating system is an important type of operating system used to

provide services and data processing resources for applications in which the time
interval required to process & respond to input/output should be so small without
any delay real-time system.

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For example, real-life situations governing an automatic car, traffic signal, nuclear
reactor or an aircraft require an immediate response to complete tasks within a
specified time delay. Hence, a real-time operating system must be fast and
responsive for an embedded system, weapon system, robots, scientific research &
experiments and various real-time objects.

Types of the real-time operating system:

Hard real Time System:

These types of OS are used with those required to complete critical tasks within the
defined time limit. If the response time is high, it is not accepted by the system or
may face serious issues like a system failure. In a hard real-time system, the
secondary storage is either limited or missing, so these system stored data in the
ROM.

Soft real Time System:

A soft real-time system is a less restrictive system that can accept software and
hardware resources delays by the operating system. In a soft real-time system, a
critical task prioritizes less important tasks, and that priority retains active until
completion of the task. Also, a time limit is set for a specific job, which enables
short time delays for further tasks that are acceptable. For example, computer audio
or video, virtual reality, reservation system, projects like undersea, etc.

5. Distributed Operating System:

A distributed operating system provides an environment in which multiple

independent CPU or processor communicates with each other through physically
separate computational nodes.
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Each node contains specific software that communicates with the global aggregate
operating system. With the ease of a distributed system, the programmer or
developer can easily access any operating system and resource to execute the
computational tasks and achieve a common goal.

It is the extension of a network operating system that facilitates a high degree of

connectivity to communicate with other users over the network.

One user can access the files or software which are not actually present on his
system but some other system connected within this network.i.e., remote access is
enabled within the devices connected in that network.

Multiple central processors are used by Distributed systems to serve multiple real-
time applications and multiple users. Jobs are distributed among the processors.

Processors communicate with each other through various communication lines

(like high-speed buses or telephone lines). These are known as loosely coupled
systems or distributed systems. Processors in this system may vary in size and
function. They are referred as sites, nodes, computers, and so on.

Example: LOCUS, Windows server 2003, Windows server 2008, Windows server
2012, Ubuntu.

Fig 1.4 Distributed Operating System

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6. Embedded Operating System:

An embedded operating system (OS) is a specialized operating system designed to

perform a specific task for a device that is not a computer. An embedded operating
system’s main job is to run the code that allows the device to do its job. The
embedded OS also makes the device’s hardware accessible to the software that is
running on top of the OS.

The Embedded operating system is the specific purpose operating system used in
the computer system's embedded hardware configuration. These operating systems
are designed to work on dedicated devices like automated teller machines (ATMs),
airplane systems, digital home assistants, and the internet of things (IoT) devices.

7. Clustered Operating System:

A computer cluster consists of a set of loosely connected computers that work

together so that in many respects they can be viewed as a single system.

The components of a cluster are usually connected to each other through fast local
area network. “Load balancing" clusters are configurations in which cluster-nodes
share computational workload to provide better overall performance.

For example, a web server cluster may assign different queries to different nodes,
so the overall response time will be optimized.

Cluster system has several nodes, and they contain individual cluster software.
This software helps to monitor entire cluster system. When, any one node of
cluster system gets halt, then other nodes manage of its storage system as well as
resources, and then you can try to restart this system.

To manage and configure above environment clustered operating system is used.

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Operating System Services:

An Operating System provides services to both the users and to the programs.

• It provides programs an environment to execute.

• It provides users the services to execute the programs in a convenient
manner.

Following are a few common services provided by an operating system:

• Process management
• Error handling
• Resource management
• Communication
• Accounting
• Protection and security
• Interface
• Program execution

Process management:

A program does nothing unless their instructions are executed by a CPU.A process
is a program in execution. A time shared user program such as a complier is a
process. A word processing program being run by an individual user on a pc is a
process. A system task such as sending output to a printer is also a process. A
process needs certain resources including CPU time, memory files & I/O devices
to accomplish its task. These resources are either given to the process when it is
created or allocated to it while it is running.

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The OS is responsible for the following activities of process management.

• Creating & deleting both user & system processes.
• Suspending & resuming processes.
• Providing mechanism for process synchronization.
• Providing mechanism for process communication.
• Providing mechanism for deadlock handling.

Error Handling:

Errors can occur anytime and anywhere. An error may occur in CPU, in I/O
devices or in the memory hardware. Following are the major activities of an
operating system with respect to error handling −

• The OS constantly checks for possible errors.

• The OS takes an appropriate action to ensure correct and consistent
computing.
OS needs to be constantly aware of possible errors may occur in the CPU and
memory hardware, in I/O devices, in user program For each type of error, OS
should take the appropriate action to ensure correct and consistent computing.

Resource management:

In case of multi-user or multi-tasking environment, resources such as main

memory, CPU cycles and files storage are to be allocated to each user or job.
Following are the major activities of an operating system with respect to resource
management −

• The OS manages all kinds of resources using schedulers.

• CPU scheduling algorithms are used for better utilization of CPU.

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Protection and Security:

If a computer system has multi users & allow the concurrent execution of multiple
processes then the various processes must be protected from one another’s
activities. For that purpose, mechanisms ensure that files, memory segments, CPU
& other resources can be operated on by only those processes that have gained
proper authorization from the OS.
Protection involves ensuring that all access to system resources is controlled.
Security of the system from outsiders requires user authentication, extends to
defending external I/O devices from invalid access attempts.

Communications:

Processes may exchange information, on the same computer or between

computers over a network. Communications may be via shared memory or through
message passing (packets moved by the OS)
In case of distributed systems nodes are loosely coupled, two processes often
require data to be transferred between them both the processes can be on one
computer or on different computers, but are connected through a computer
network.
The operating system manages communications between all the processes.

Accounting:

Accounting means to keep track of which users use how much and what kinds of
computer resources.
This service of the operating system keeps track of which users are using how
much and what kinds of computer resources have been used for accounting or
simply to accumulate usage statistics.

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User Interface:

Usually Operating system comes in two forms or types. Depending on the interface
their types have been further subdivided. These are:
• Command line interface
• Graphical User Interface
The command line interface (CLI) usually deals with using text commands and a
technique for entering those commands. Another type is the graphical user
interface (GUI): which is a window system with a pointing device (like mouse or
trackball) to point to the I/O, choose from menus driven interface and to make
choices viewing from a number of lists and a keyboard to entry the texts.

Program execution:

The operating system must have the capability to load a program into memory and
execute that program. Furthermore, the program must be able to end its execution,
either normally or abnormally / forcefully.

Operating system loads a program into memory, Executes the program, Handles
program's execution, Provides a mechanism for process synchronization.(resource
conflict),Provides a mechanism for process communication. Provides a mechanism
for deadlock handling.

System Calls:

a system call is the programmatic way in which a computer program requests a

service from the kernel of the operating system it is executed on.
System call provides the services of the operating system to the user programs via
Application Program Interface (API).

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System calls provide the interface between a process & the OS. These are usually
available in the form of assembly language instruction. Some systems allow
system calls to be made directly from a high level language program like C, BCPL
and PERL etc. systems calls occur in different ways depending on the computer in
use.
System calls are entry point to access operating system services.
In general, system calls are required in the following situations −
• If a file system requires the creation or deletion of files. Reading and
writing from files also require a system call.
• Creation and management of new processes.
• Network connections also require system calls. This includes sending and
receiving packets.
• Access to a hardware devices such as a printer, scanner etc. requires a
system call.

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As can be seen from this diagram, the processes execute normally in the user mode
until a system call interrupts this. Then the system call is executed on a priority
basis in the kernel mode. After the execution of the system call, the control returns
to the user mode and execution of user processes can be resumed.

Types of System Calls

There are mainly five types of system calls. These are explained in detail as follows −

Process Control

These system calls deal with processes such as process creation, process termination etc.

• Create Process and Terminate Process

• End process.
• Load and Execute process.

File Management

These system calls are responsible for file manipulation such as creating a file, reading a file,
writing into a file etc.

• Create a file
• Delete file
• Open and close file

• Read, write file

• Get and set file attributes

Device Management

These system calls are responsible for device manipulation such as reading from device buffers,
writing into device buffers etc.

• Request and release device

• Get and Set device attributes

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Information Maintenance

These system calls handle information and its transfer between the operating system and the user
program.

• Get or set time and date

• Get process and device attributes

Communication

These system calls are useful for interprocess communication. They also deal with creating and
deleting a communication connection.

• Create, delete communications connections

• Send, receive message
• Help OS to transfer status information
• Attach or detach remote devices

Various System calls for windows as well as UNIX OS are as follows:

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System Programs:
System programs provide a convenient environment for program development & execution.

Mostly user’s view of operating system is defined by system programs not by actual system call.

Some system program simply provides user interface to system calls, others are considerably
more complex.

System programs are divided into the following categories:

1. Programming Language support system call

2. Status information System call
3. File management system call
4. File modification system call
5. Program loading and execution
6. Communications:

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1. Programming-Language support:

Compilers, assemblers, debuggers and interpreters for common programming languages (such as
C, C++, Java, Visual Basic, and PERL) are often provided to the user with the operating system.

(compiler and debugger)

2. Status Information:

Some programs simply ask the system for the date, time, and amount of available memory or
disk space, number of users. Status information system program provides information regarding
users and system.

3. File management:

File is the location to store data. user can store data permanently on to storage by using file.

These programs create, delete, copy, rename, print, serach,share files and directories.

4. File Modification :( text editors)

Several text editors may be available to create and modify the content of files stored on disk or
other storage devices.

There may also be special commands to search contents of files.

5. Program loading and execution:

Once a program is compiled, it must be loaded into memory to be executed. The system may
provide absolute loaders, relocatable loaders, and overlay loaders.

A loader is part of an operating system that is responsible for loading programs and libraries.

6. Communications:

These programs provide the mechanism for creating virtual connections among processes users
and different computer systems.

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Virtual connections among processes, users and computer systems are provided by
communication system programs.

User can send messages to other user on their screen; User can send e-mail, browsing on web
pages, remote login, and transformation of files from one user to another.

Operating System Structure:

Simple Structure:

Many commercial systems do not have well-defined structures. Frequently, such operating
systems started as small, simple, and limited systems and then grew beyond their original scope.
MS-DOS is an example of such a system.

It was not divided into modules carefully.

Fig 1.5 Simple structure of OS

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Earlier Operating system was having such kind of simple structure.

It was written to provide the most functionality in the least space, so it was not divided into
modules carefully. In MS-DOS, the interfaces and levels of functionality are not well separated.

For instance, application programs are able to access the basic I/O routines to write directly to
the display and disk drives. Such freedom leaves MS-DOS vulnerable to errant (or malicious)
programs, causing entire system crashes when user programs fail.

Of course, MS-DOS was also limited by the hardware of its era.

Monolithic Structure:

It consists of two separable parts: the kernel and the system programs. The kernel is further
separated into a series of interfaces and device drivers, which have been added and expanded
over the years as UNIX has evolved.

Fig 1.6 monolithic structure of OS

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Everything is packed into one so monolithic structure named as monolithic structure.

Implementation and maintenance is difficult was difficult in this structure. Suppose

developer wants to modify CPU scheduling algorithm then developer has to touch whole
kernel.

Layered Structure:

Layered approach, in which the operating system is broken up into a number of layers (levels).
The bottom layer (layer 0) is the hardware; the highest (layer N) is the user interface.

Fig 1.7 Layered Structure

An operating-system layer is an implementation of an abstract object made up of data and the
operations that can manipulate those data. A typical operating-system layer—say, layer M—
consists of data structures and a set of routines that can be invoked by higher-level layers. Layer
M, in turn, can invoke operations on lower-level layers. The main advantage of the layered
approach is simplicity of construction and debugging. The layers are selected so that each uses
functions (operations) and services of only lower-level layers.

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This approach simplifies debugging and system verification. The first layer can be debugged
without any concern for the rest of the system, because, by definition, it uses only the basic
hardware (which is assumed correct) to implement its functions. Once the first layer is debugged,
its correct functioning can be assumed while the second layer is debugged, and so on. If an error
is found during the debugging of a particular layer, the error must be on that layer, because the
layers below it are already debugged.
Thus, the design and implementation of the system is simplified. Each layer is implemented
with only those operations provided by lower level layers. A layer does not need to know how
these operations are implemented; it needs to know only what these operations do. Hence, each
layer hides the existence of certain data structures, operations, and hardware from higher-level
layers.
The major difficulty with the layered approach involves appropriately defining the various
layers.
Microkernel:

Fig 1.8 Microkernel

This method structures the operating system by removing all nonessential components from the
kernel and implementing them as system and user-level programs. The result is a smaller kernel.
microkernel’s provide minimal process and memory management, in addition to a

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communication facility. The main function of the microkernel is to provide a communication

facility between the client program and the various services that are also running in user space.
One benefit of the microkernel approach is ease of extending the operating system. All new
services are added to user space and consequently do not require modification of the kernel.
When the kernel does have to be modified, the changes tend to be fewer, because the
microkernel is a smaller kernel.
The resulting operating system is easier to port from one hardware design to another.
The microkernel also provides more security and reliability, since most services are running as
user rather than kernel processes. If a service fails, the rest of the operating system remains
untouched.

Modules:

Fig 1.9 Modules structure.

The best current methodology for operating-system design involves using object-oriented
programming techniques to create a modular kernel. Here, the kernel has a set of core
components and dynamically links in additional services either during boot time or during run
time. Such a strategy uses dynamically loadable modules and is common in modern
implementations of UNIX, such as Solaris, Linux, and Mac OS X.

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A core kernel with seven types of loadable kernel modules:

1. Scheduling classes
2. File systems
3. Loadable system calls
4. Executable formats
5. STREAMS modules
6. Miscellaneous
7. Device and bus drivers
Such a design allows the kernel to provide core services yet also allows certain features to be

Implemented dynamically. The overall result resembles a layered system in that each kernel

section has defined, protected interfaces; but it is more flexible than a layered system in that any

module can call any other module. The approach is like the microkernel approach in that the

primary module has only core functions and knowledge of how to load and communicate with

other modules; but it is more efficient, because modules do not need to invoke message passing

in order to communicate.

Virtual Machines:
By using CPU scheduling & virtual memory techniques an operating system can create the
illusion of multiple processes, each executing on its own processors & own virtual memory.
Each processor is provided a virtual copy of the underlying computer.
The resources of the computer are shared to create the virtual machines. CPU scheduling can be
used to create the appearance that users have their own processor.

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Virtual Machine abstracts the hardware of our personal computer such as CPU, disk drives,
memory, NIC (Network Interface Card) etc, into many different execution environments
thereby creating the illusion that each separate execution environment is running its own private
computer.
Advantages:
• There are no protection problems because each virtual machine is completely isolated
from all other virtual machines.
• Virtual machine can provide an instruction set architecture that differs from real
computers.
• Easy maintenance, availability and convenient recovery.
Disadvantages:
• Virtual machines are not as efficient as a real one when accessing the hardware.
Implementation of Virtual Machine:
Just as physical machine has two modes
User mode
Kernel mode
Virtual Machine software will always runs in kernel mode.
Virtual machine itself will runs in user mode
Consequently there will have two virtual modes as like virtual user mode and virtual kernel
mode of physical user mode.
Virtual user mode
Virtual Kernel mode
Both of which run in a physical user mode.

OS design and Implementation:

Operating System Design Goals:
It is quite complicated to define all the goals and specifications of the operating system while
designing it.
The design changes depending on the type of the operating system i.e if it is batch system, time
shared system, single user system, multi user system, distributed system etc.
There are basically two types of goals while designing an operating system.

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These are −
User Goals
The operating system should be convenient, easy to use, reliable, safe and fast according to the
users. However, these specifications are not very useful as there is no set method to achieve these
goals.
System Goals
The operating system should be easy to design, implement and maintain. These are specifications
required by those who create, maintain and operate the operating system. But there is not specific
method to achieve these goals as well.
Operating System Mechanisms and Policies:
There is no specific way to design an operating system as it is a highly creative task. However,
there are general software principles that are applicable to all operating systems.

Difference between mechanism and policy is that mechanism shows how to do something and
policy shows what to do. Policies may change over time and this would lead to changes in
mechanism. So, it is better to have a general mechanism that would require few changes even
when a policy change occurs.

For example - If the mechanism and policy are independent, then few changes are required in
mechanism if policy changes.

If a policy favors I/O intensive processes over CPU intensive processes, then a policy change to
preference of CPU intensive processes will not change the mechanism.

Operating System Implementation:

• Once OS is designed then it must be implemented.

• Os must be implemented in higher level languages(c/c++)

Advantages of writing in high level language:

• code can be faster

• Easier to understand and debug.
• Easy to port from one HW to another hw.

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System Generations:

Developer can design, code and implement an OS specifically for one machine. Or other choice
is to design OS to run on any of a class of machines with variety of peripheral configurations.

If operating system is general then it should be configured according to particular hardware and
software environment. The system must be configured or generated for each specific computer, a
process sometimes known as system generation (SYSGEN).

In computing System generation or SYSGEN is the process of creating a particular unique

instance of an operating system by combining user-specified options and parameters with
manufacturer-supplied general-purpose program code to produce an operating system tailored for
a particular hardware and software environment

The following kinds of information must be determined by SYSGEN program.

• What CPU is to be used?
• How much memory is available?
• What devices are available?
• What operating system options are desired?

Once this information is determined, it can be used in several ways. It can be used by the system
administrator to modify a copy of the source code of the OS. OS is then completely compiled. It
is also possible to construct a system that is completely table driven. All the code is always part
of the system and selection occurs at execution time rather than compile time or link time.

System Boot:
Procedure of starting computer by loading the kernel in main memory is known as booting
system.

Hardware doesn’t know how to load kernel in memory, On most computer systems, a small
piece of code known as the bootstrap program or bootstrap loader, it locates the kernel and help
to load that kernel into main memory. Bootstrap loader program resides in ROM.

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This program is in the form of read-only (ROM), because RAM is an unknown state at system
start up.ROM is convenient because it needs no initialization and can’t be affected by computer
virus.ROM-read only memory can’t be modified.ROM-Content never erased.

The bootstrap program can perform a variety of tasks. Usually, one task is to run diagnostics to
determine the state of the machine. If the diagnostics pass, the program can continue with the
booting steps. It can also initialize all aspects of the system, from CPU registers to device
controllers and the contents of main memory. Sooner or later, it starts the operating system.
Some systems—such as cellular phones, PDAs, and game consoles—store the entire operating
system in ROM.
Storing the operating system in ROM is suitable for small operating systems, simple supporting
hardware, and rugged operation. A problem with this approach is that changing the bootstrap
code requires changing the ROM hardware chips. Some systems resolve this problem by using
erasable programmable read-only memory (EPROM), which is read only except when explicitly
given a command to become writable. All forms of ROM are also known as firmware, since their
characteristics fall somewhere between those of hardware and those of software.
A problem with firmware in general is that executing code there is slower than executing code in
RAM. Some systems store the operating system in firmware and copy it to RAM for fast
execution. A final issue with firmware is that it is relatively expensive, so usually only small
amounts are available.

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