Chapter 1: Introduction
Rev. by Kyungeun Park, 2015
Operating System Concepts Essentials– 8th Edition
Silberschatz, Galvin and Gagne ©2011
Chapter 1: Introduction
 What Operating Systems Do
 Computer-System Organization
 Computer-System Architecture
 Operating-System Structure
 Operating-System Operations
 Process Management
 Memory Management
 Storage Management
 Protection and Security
 Special-Purpose Systems
 Computing Environments
 Open-Source Operating Systems
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Objectives
 To provide a grand tour of the major operating systems components
 To provide coverage of basic computer system organization
 To understand the function of operating system in combination with
Unix/Linux system (commands)
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What is an Operating System?
 A program that acts as an intermediary between a user of a computer
and the computer hardware

OS manages the computer hardware,

provides a basis for application programs, and

acts as a mediator between the computer user 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
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Computer System Structure
 Computer system can be divided into four components:

Hardware – provides basic computing resources



Operating system

Controls and coordinates use of hardware among various
applications and users

Provides the means for proper use of computing resources
Application programs – define the ways in which the system
resources are used to solve the computing problems of the
users


CPU, memory, I/O devices
Word processors, compilers, web servers, web browsers,
database systems, video games, etc.
Users

People, machines, other computers
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Four Components of a Computer System
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What Operating Systems Do
 User’s view depends on the interface being used.
 PC Users want convenience, ease of use

Don’t care about resource utilization
 But shared computer such as super computer, mainframe or
minicomputer must keep all users happy
 Users of dedicate systems such as workstations have dedicated
resources but frequently use shared resources from servers
 Handheld computers are resource poor, optimized for usability and battery
life
 Some computers have little or no user interface, such as embedded
computers in devices and automobiles
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OS from Computer’s View
 OS is a resource allocator

Manages all resources

Decides between conflicting requests for efficient and fair resource
use
 OS is a control program

Controls execution of programs to prevent errors and improper use
of the computer
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Operating System Definition
 No universally accepted definition

OS manages certain common operations (functions) for various
application programs.

Controlling and allocating resources are packaged into one piece
of software, the operating system.
 “Everything a vendor ships when you order an operating system” is
good approximation

But varies greatly.
 “The one program running at all times on the computer” is the
kernel. Everything else is either a system program (ships with the
operating system) or an application program.
Tools & Applications
Shell & Utilities
Bare Hardware
OS Kernel
CPU
Memory
Devices
Ref: http://comebill.blogspot.com/2009/11/kernel-definition-computing.html
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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
memory controller
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Computer Device Communication
 Devices typically connected via device controllers

Device controller is a special processor that knows how to talk
to the device.

OS talks to controller using device driver; controller talks to
device
 OS code that talks to controller: device driver

Device driver is a special program to manage controller.

consists of a collection of functions which perform operations on
device.

provides standardized interface: dev_read(), dev_write(),
dev_status(), etc.

allows OS to deal uniformly with many types of devices
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Computer Startup
 Bootstrap program is loaded at power-up or reboot

Basic Input/Output System (BIOS) is responsible for loading the initial
portion of the operating system into memory  Bootstrapping process

Typically stored in ROM or EEPROM, generally known as firmware

Initializes all aspects of system

Loads operating system kernel into memory

The OS starts execution, for example, “init”, the first process.

Waits for some event (interrupt from h/w or s/w) to occur.
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Computer-System Operation
 I/O devices and the CPU can work concurrently
 Each device controller is in charge of a particular device type
 Each device controller has a local buffer

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
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Common Functions of Interrupts
 Interrupt transfers control to the interrupt service routine generally,
through the interrupt vector (table of pointers to interrupt service
routines), which contains the addresses of all the service routines
 Incoming interrupts are disabled while another interrupt is being
processed to prevent a lost interrupt
 A trap is a software-generated interrupt caused either by an error or
a user request
 An operating system is interrupt (event) driven.

Trap – S/W generated request

Fault – S/W generated error

Interrupt – H/W generated signal
 The operating system preserves the address of the interrupted
current instruction and the state (context) of the CPU of user process
by storing registers and the program counter
 Before returning back to user process, the saved context of the
current process is restored.
 Context save and restore a.k.a. context switch
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Interrupts
 H/W signals to the CPU which causes it to suspend the current task
and process the interrupt

Interrupt Service Routine (ISR): OS function

Separate segments of code determine what action should be taken
for each type of interrupt

invoked by H/W when an interrupt occurs
 General operation:

Devices (clock, disk, etc.) generates interrupt

CPU recognizes interrupt; completes current instruction(s)

Current process is suspended, and processor mode is saved

Processor mode set to ‘supervisor’; control transfers to ISR in OS

ISR saves context of user process

ISR services interrupt, resulting in process switch

ISR restores context of “current” process

Control returns to user process after restoring processor mode
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Interrupt Processing
ISR
Interrupt
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ISR
Interrupt
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Storage Structure
 Main memory

The only large storage medium directly accessible by the CPU

Must provide protection to prevent unauthorized access by
software


OS, ISRs, etc. from user code / users from each other
Random access, typically volatile
 Cache

Very high-speed memory

Holds recently-accessed data and code from main memory

Duplicates information held in main memory

Requires data that is simultaneously stored in more than one
level to be consistent
 Secondary storage

provides large nonvolatile extension to main memory

multiple levels:

Magnetic disks, optical disk, magnetic tape
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Storage-Device Hierarchy
Speed/Cost
Size
Volatility
Inside the CPU
Primary memory
Ramdisk
Secondary memory
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Caching mechanism
 Caching – copying information into faster storage system;
main memory can be viewed as a cache for secondary storage
 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
 Generally, cache smaller than storage being cached

Cache management important design problem

Cache size and replacement policy
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Synchronous vs. Asynchronous I/O
 Synchronous I/O:

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
 Asynchronous I/O

After I/O starts, control returns to user program without waiting
for I/O completion

Process can use a system call to pause until I/O completion
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Direct Memory Access Structure
 Direct memory access (DMA)

device controllers can read/write memory without CPU intervention
 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
 Main advantage: controller only interrupts after entire block is
transferred

Only one interrupt per block, rather than the one interrupt per
byte

Allows more continuous execution of user code


CPU and DMA share access to memory
Ultimately, this reduces system overhead
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How a Modern Computer Works
A von Neumann architecture
Device Controller + Devices….
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Computer-System Architecture
 Most systems use a single general-purpose processor (PDAs through
mainframes)

Most systems have special-purpose (micro)processors as well, but not
regarded as a multiprocessor system.
 Multiprocessors systems growing in use and importance

Also known as parallel systems, tightly-coupled systems

Advantages include:

1.
Increased throughput
2.
Economy of scale : sharing of peripherals, mass storage, and
power supplies
3.
Increased reliability – graceful degradation or fault tolerance
Two types:
1.
Asymmetric Multiprocessing : master-slave relationship
2.
Symmetric Multiprocessing : physical memory sharing
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Symmetric Multiprocessing Architecture
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A Dual-Core Design
 Dual core design with two cores on the same chip.
 Each core has its own register set as well as its own local cache
 Or a shared cache or a combination of local and shared caches are
available.
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Clustered Systems
 Like multiprocessor systems (multiple CPUs), but multiple, two or more
individual 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
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Clustered Systems
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Hadoop Big Data Cluster System
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Operating System Structure
 Multiprogramming needed for
efficiency
 Increases CPU utilization by
organizing jobs (code and data) so
CPU always has one to execute
 A single program cannot keep CPU
and I/O devices busy at all times.
 A single users have multiple
programs running.
 OS keeps several jobs in memory
simultaneously.
 The jobs are kept initially on the
disk in the job pool of all
processes awaiting allocation of
main memory

Memory Layout for
Multiprogrammed System
One job selected and run via job
scheduling

When it has to wait (for I/O for
example), OS switches to another
job
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Operating System Structure
 Timesharing (multitasking) is logical extension of multiprogramming

The CPU executes multiple jobs by switching among them.


The switches occur so frequently that the users can interact with each
program while it is running.
Interactive computing system based policy
 Input devices: keyboard, mouse, touch pad, or touch screen

Response time should be < 1 second on output devices (e.g. display)

Interactive I/O runs at “people speeds,” slow for computes.

Switch the CPU to the program of some other user
If several jobs ready to run at the same time  CPU scheduling
 A time-shared OS uses CPU scheduling and multiprogramming

to provide each user with a small portion of a time-shared computer.

Having several programs in memory at the same time requires some form of
memory management.

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
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Operating-System Operations
 Modern OSs

Interrupt driven by hardware
 Software error or request creates trap or exception
Division by zero, invalid memory access, or request for operating
system service
 Other process problems include infinite loop, processes modifying each other
or the operating system
 OS should ensure that an incorrect (or malicious) program cannot cause
other programs to execute incorrectly.
 Dual-mode operation allows OS to protect itself and other components
 Mode bit: kernel (0) or user (1)
 User mode and kernel mode


Mode bit added to the hardware of the computer
 Provides ability to distinguish when system is running user code or
kernel code
Some instructions designated as privileged, only executable in
kernel mode
 System call changes mode to kernel, return from call resets it to user

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Transition from User to Kernel Mode
 Timer to prevent infinite loop / process hogging resources

Set interrupt after specific period to terminate the user program

Operating system decrements counter

When counter zero, generate an interrupt

Counter set up before scheduling process to regain control or
terminate program that exceeds allotted time
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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 the next instruction to execute
 Process executes instructions sequentially, one at a time, until
completion
 Multi-threaded process has multiple program counters, each
pointing to the next instruction to execute for a given 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
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Process Management Activities
The operating system is responsible for the following activities in
connection with process management:
 Scheduling processes and threads on the CPUs
 Creating and deleting both user and system processes
 Suspending and resuming processes
 Providing mechanisms for process synchronization
 Providing mechanisms for process communication
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Memory Management
 All data in memory before and after processing
 All instructions in memory in order to execute
 Memory management scheme determines what is in memory when

Optimizing CPU utilization and computer response to users
 OS’s Memory management activities

Keeping track of which parts of memory are currently being used
and who is using them

Deciding which processes (or parts of processes) and data to
move into and out of memory

Allocating and deallocating memory space as needed
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Storage Management
 OS provides uniform, logical view of information storage

Abstracts physical properties to define a logical storage unit - file
 OS maps files onto physical media and accesses these files via
the storage devices
 Each medium is controlled by device (i.e., disk drive, tape drive)
Varying properties include access speed, capacity, datatransfer rate, access method (sequential or random)
 File-System management
 Files usually organized into directories
 Access control on most systems to determine who can access in
what ways (for example, read, write, append)
 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
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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:

Free-space management

Storage allocation

Disk scheduling
 Some storages need not to be fast

Tertiary storage includes optical storage, magnetic tape

Still must be managed – by OS or applications

Varies between WORM (write-once, read-many-times) and RW
(read-write)
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Performance of Various Levels of Storage
 Movement between levels of storage hierarchy can be explicit or
implicit
 Refer to Figure 1.11 at page 28
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Migration of Integer 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

Copy of A exists simultaneously in several caches.
 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 the same file kept on different computers
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I/O Systems
 One purpose of OS is to hide peculiarities of hardware devices from
the user
 Let the device driver know and handle the peculiarities of the specific
device
 I/O subsystem is 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 (print queue,
mail spool)

General device-driver interface

Drivers for specific hardware devices
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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 worms, viruses, denial-of-service attacks,
identity theft, theft of service
 Systems generally first distinguish among users, to determine who
can do what by maintaining a list of user names and associated user
identifiers.

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 have extra permissions for an
activity with effective UID with more rights
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Types of Cyber Attack or Threats
 Backdoors – the attacker uses a back door to install a keylogging software
 (Distributed) Denial-of-Service (DDOS) Attack – attacking the network to
bring it down completely with useless traffic by affecting the host device

A DOS targets the websites or the services of banks and credit card
payment gateways.
 Advanced Persistent Threat (APT) – a set of stealthy and continuous
computer hacking processes which monitor and extract data from a target
 Direct-access Attack –gaining physical access to the computer or its part




and performing various functions or installing various types of devices to
compromise security
Eavesdropping –secretly listening to a conversation between the hosts on
a network
Spoofing – Email with the sender’s address spoffed
Malware – Malicious software designed to damage or perform unwanted
actions into the system
Privilege Escalation Attack – a network intrusion allowing the user to have
an elevated access to the network primarily not allowed
http://www.cybersecuritycrimes.com/types-of-cyber-attacks/
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Kernel Data Structures
 Lists, Stacks (LIFO), and Queues (FIFO)

Lists for varying sizes

Stacks for processing function calls

Queues for print spooler and waiting queue
 Trees

Binary search tree for CPU scheduling
 Hash functions and maps

data look-up table

page table

c.f. hash collision
 Bitmaps

resource status bits

disk block maintenance
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Kernel Data Structures
 Many similar to standard programming data structures
 Singly linked list
 Doubly linked list
 Circular linked list
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Kernel Data Structures
 Binary search tree
left <= right

Search performance is O(n)

Balanced binary search tree is O(log n)
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Kernel Data Structures
 Hash function can create a hash map
 Bitmap – string of n binary digits representing the status of n items
 Linux data structures defined in
include files
<linux/list.h>
<linux/kfifo.h>
<linux/rbtree.h>
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Computing Environments - Traditional
 Stand-alone general purpose machines
 But blurred as most systems interconnect with others (i.e., the Internet)
 Trend toward providing more ways to access the computing
environments

Portals provide Web access to internal systems

Network computers (thin clients) are like Web terminals,
replacing workstations

Mobile computers interconnect via wireless networks,
synchronized with PCs

Networking becoming ubiquitous – even home systems use
firewalls to protect home computers from Internet attacks
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Computing Environments – Mobile
 Mobile Computing

Handheld smartphones and tablet computers sharing the
distinguishing physical features of being portable and
lightweight: rich features are incorporated.
 Extra (Unique) features including GPS chips, accelerometers,
and gyroscopes for positioning, tilting and shaking, rotating,
etc.
 Uses wireless network connections
 IEEE 802.11 wireless
 cellular data networks

Limited memory capacity
 Power consumption

Two dominant OSs:

Apple’s iOS for iPhone and iPad

Google’s Android for smartphones and tablet computers
available from many manufacturers
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Computing Environments – Distributed
 Distributed computing

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

oriented to computer networking
–
server side: to manage data, users, groups, security,
applications, and other networking functions

Communication scheme allows systems to exchange
messages

Illusion of a single system
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Computing Environments – 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
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Computing Environments - 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
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Computing Environments – Cloud Computing
 Delivers computing, storage, and even applications as a service
across a network
 Logical extension of virtualization
 Amazon Web Services (AWS) Elastic Compute Cloud (EC2)
facility

Thousands of servers, millions of virtual machines, and
petabytes of storage available for use by anyone on the
Internet

Users pay per month based on how much of those resources
they use
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Types of Cloud Computing
 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)
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OpenStack: Open Source Cloud Operating System
 OpenStack

a cloud operating system that controls large pools of compute,
storage, and networking resources throughout a datacenter

all managed through a dashboard that gives administrators control
while empowering their users to provision resources through a web
interface
 Components of OpenStack: compute, storage, networking,
dashboard
http://www.openstack.org/software/
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Computing Environments – Cloud Computing
 Cloud computing environments composed of traditional OSes,
plus VMMs, plus cloud management tools

Internet connectivity requires security like firewalls

Load balancers spread traffic across multiple applications
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Amazon Elastic Compute Cloud (EC2)
 Provides scalable computing capacity in the Amazon Web Services
(AWS) cloud.
 Enables to launch virtual servers as needed, configure security and
networking, and manage storage
 Scale up or down to handle changes
 Features of Amazon EC2

Virtual computing environments: instances

Preconfigured template instances: Amazon Machine Images (AMIs)

Various configurations of CPU, memory, storage, and networking capacity: instance types

Secure login : key pairs (public key and private key mechanism)
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(Scalable) Storage volumes: Amazon Elastic Block Store (EBS) volumes

Multiple physical locations: regions and Availability Zones

A firewall: security groups

Static IP addresses: Elastic IP addresses

Metadata: tags to Amazon EC2 resources

Virtual networks: virtual private clouds (VPCs)
http://docs.aws.amazon.com/AWSEC2/latest/UserGuide/concepts.html
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Special-Purpose Systems
 Real-time embedded systems most prevalent form of computers

Vary considerable, special purpose, limited purpose OS, real-time OS

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
 Multimedia systems

Streams of data must be delivered according to time restrictions
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Open-Source Operating Systems
 Open-source operating systems are those made available in
source-code format (Linux) rather than just binary closed-source
(Microsoft Windows)
 Counter to the copy protection and Digital Rights Management
(DRM) movement
 Started by Free Software Foundation (FSF), which has “copyleft”
GNU General Public License (GPL)
 GNU/Linux and BSD UNIX (including core of Mac OS X), and many
more

GNU Project released many UNIX-compatible tools, including
compilers, editors, and utilities, but incomplete kernel.

Linux kernel was initiated by Linus Torvalds in 1991, as a terminal
emulator.

In 1992, announced Linux under GNU GPL
 Unix on a Windows system: Can use VMM like VMware Player (Free
on Windows), Virtualbox (open source and free on many platforms http://www.virtualbox.com)

run guest operating systems for exploration
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