INTRODUCTION TO

OPERATING SYSTEMS

Nguyen Thi Le Quyen

University of Science and Technology – The University of Danang

Aug, 2020
Lesson Outline
Overview – chapter 1 (6 tiet)
Process Management – chapter 2 (9 tiet)
Memory Management – chapter 3 (sau thi giua ky)
Storage Management
I/O chapter 4
File System – chapter 5
Security and Protection
Advanced Topics
▪ Virtual Machines
▪ Networks and Distributed Systems

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Objectives
Introduction to OSs
Hardware review
OS: Concepts
System Calls
OS Structures

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Objectives
Introduction to OSs
Hardware review
OS: Concepts
System Calls
OS Structures

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Operating System: Context
Why do we install an OS before we want to use and control/
manipulate our computer/device?
How do we manipulate the computer hardware (RAM, Disks,
AGP card, Audio card, Keyboard, etc …)?
How can our computer run many programs at the time
without being worried about finitely RAM, one or two CPU?
Do they run in parallel or in sequence order?
How can our computer allocate resources to many running
programs at the time?
What’s the OS’s role in our computer? What’s it’s main
functions? Which problems do our computers take without
the present of OSs? Is the OS software or hardware?

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OS: Context
The basic question is “What is the OS?”
The important questions are:
▪ Why do we learn OS?
▪ What are the constraints between applications and OS?

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 OS: Overview

User mode Shell and Applications

Software
Kernel mode
(supervisor mode)
Operating System

Hardware

Where the operating system fits in.

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OS: Definitions
Hardware: physical elements such as CPU, mainboard, rom,
ram, hard disk, USB flash drive, …
Software: Programs that access and control hardware.
▪ System software: The most basic software must be installed to
a family of computers to make them ready to use.
▪ Application software: software are developed based on user
requirements and can execute on a specific system software.
Programs support utilities for users such as MS Power point,
MS Word, games,…
→ OS is a system software

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OS: Functions/Roles
OS is concerned as an extended machine. It hides
complexities when hardware are accessed.
It is a resource manager.
→ It includes a collection of procedures that:
▪ Manage all the system’s hardware resources
▪ Provide the users the environment in which they can
o Use the system resources
o Run their own applications

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Operating System: Goals
Execute user programs (mostly for ease of use with
performance)
Make the hardware efficiently and convenient to use
Controls and coordinates the use of hardware among the
various application programs for various users
Hides the peculiarities (sự khác biệt) of hardware accessing
such as disk or I/O device reading/writing.

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OS: Terminologies
Instruction context: a task that hardware must carry out. A current
instruction can belong to OS (kernel mode) or a running
application (user-mode).
Kernel mode/Supervisor mode (OS runs in this mode)
▪ Gains control of the computer to access all the hardware
▪ Can execute any machine instructions
▪ Supports security: Protects the OS from errant users (giang hồ).
▪ Everything running in this mode is a part of the OS or closely
associated with it.
User mode (The user software run in this mode)
▪ Can execute a subset of the machine instructions with the exception
of instructions to control of the machine or do I/O
Mode switching
▪ If the user interacts with OS: user mode → kernel mode
▪ If the system passes control to a user program: kernel mode → user
mode

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Objectives
Introduction to OSs
Hardware review
OS: Concepts
System Calls
OS Structures

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Hardware

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Hardware: Von Neumann Architecture
Multipurpose machine with following characteristics:
▪ Instruction cycle: Fetch-Decode-Execute
▪ Instructions and data are stored in main memory
▪ Instruction execution carried out by central processing unit
(CPU)

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Hardware: Von Neumann Architecture
Breakdown of typical fetch-decode-execute cycle:
1. Control unit uses the address in program counter register to
fetch an instruction from main memory
2. Instruction decoded
3. Any needed data retrieved from memory and placed into
other registers
4. ALU executes the instruction using data in registers, if
necessary
5. Input or output operations required by the instruction are
performed

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Hardware: Buses
Buses are the means by which data is transmitted from one
part of a computer to another, connecting all major internal
components to the CPU and memory.
A standard CPU system bus is comprised of a control bus,
data bus and address bus.

Carries the addresses of data (but not the data) between the
Address Bus
processor and memory
Carries data between the processor, the memory unit and the
Data Bus
input/output devices
Carries control signals/commands from the CPU (and status
Control Bus signals from other devices) in order to control and coordinate all
the activities within the computer

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Hardware: Buses

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Hardware: CPU Structure

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Hardware: CPU Structure
Control Unit (CU)
▪ Controls the operation of the computer’s ALU, memory
and input/output devices
▪ Provides the timing and control signals required by other
computer components
Arithmetic/ Logic Unit (ALU)
▪ allows arithmetic (add, subtract etc) and logic (AND, OR,
NOT etc) operations to be carried out

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 Hardware: CPU Structure
Registers
▪ Registers are high speed storage areas in the CPU.
▪ All data must be stored in a register before it can be
processed.
Memory Address Holds the memory location of data that needs to be
MAR
Register accessed
Memory Data
MDR Holds data that is being transferred to or from memory
Register
AC Accumulator Where intermediate arithmetic and logic results are stored
Contains the address of the next instruction to be
PC Program Counter
executed
Current Instruction
CIR Contains the current instruction during processing
Register

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Hardware: Storage
Storage: family of components used to store programs and
data
Storage hierarchy
▪ Primary memory
▪ Secondary memory (mass storage)

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Hardware: Memory
Two basic flavors
▪ ROM (read-only memory)
o Memory etched into chip
o Generally cannot be modified
o BIOS (basic input/output system) in this category
▪ RAM (random access memory) basics
o Allows direct memory reference
o Allows reading and writing
o Volatile
o CPU fetches program instructions from RAM

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Hardware-Memory: Rom & Ram

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Hardware: Disks
Hard disk drives
▪ Most common form of mass storage
▪ Magnetic metal platters store
information
o Organized into concentric circles
called tracks
o Tracks divided into sectors
o Platters spin at about 7200 RPM
o Read/write heads interface with disk
surface
▪ Low cost-unit storage ratio relative to
RAM
▪ RAID (Redundant Array of Independent
Discs)

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Hardware: Disks
Optical Storage
▪ Popular formats: CDs (compact disks) and DVDs (digital video
disks)
▪ Stores data using optical (laser) technologies
o Pits burned into disks interpreted as binary data
o Data written to disks in continuous spiral
o Like hard disks, CDs and DVDs spin
o Read/write heads interface with disk surface
▪ Low cost-unit storage ratio

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Hardware: Optical Storage

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Hardware: SSD – Solid-State Drive
Using Solid State memory to store information
Using non volatile NAND Flash Memory, which enables it to
retain data when the power is removed
Benefits:
▪ Faster start up of SSD
▪ Faster access
▪ Faster application launch time
▪ More energy efficient
▪ More reliable
▪ Lighter
▪ …

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Hardware: Input/Output Systems
Final component of Von Neumann architecture
Input/Output (I/O) devices: computer’s connection to user

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Hardware: Input Devices
Keyboard
▪ Chief input device for most users
▪ Connected to motherboard through port and then to CPU by
controller circuit and system bus
▪ Keystrokes are translated into binary signals for CPU
consumption
Mouse
▪ Used in conjunction with keyboard
▪ Senses movement that can be translated into binary code
Other devices: trackballs, styluses (small pen-shaped
instrument), touch pads/screens

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Hardware: Input Devices

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Hardware: Output Devices
Communication channel to outside world
Monitors
▪ Primary output device
▪ CRTs (cathode ray tubes)
o Utilizes raster scanning techniques
o Quality based on resolution and refresh rate
▪ LCD (Liquid Crystal Display)
o Thinner and cooler than CRTs
o Utilizes transistors rather than electron beams
o Quality based on resolution and refresh rate

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Hardware: Output Devices
Printers
▪ Important output device
▪ Chief varieties: ink jet and laser printers
▪ Quality measured by resolution (dots per inch) and speed
(pages per minute)
Sound cards
▪ Fit into PCI expansion slot on main board
▪ Used to digitize sound for storage
▪ Also converts binary sound files into analog sounds

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Hardware: Interrupts and Polling
How the CPU knows signals from IO?
CPU instruction cycle equals clock speed
CPU commits to cycle based on processing need
Processing need determined by (2) techniques
▪ Polling (quét dò tìm định kỳ): CPU interrogates I/O device
▪ Interrupt Handling (báo tín hiệu ngắt): I/O device initiates
request for service

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Objectives
Introduction to OSs
Hardware review
OS: Concepts
System Calls
OS Structures

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Lists, Stacks, Queues – Cấu trúc dữ liệu
Linked list (next)
Stack (First in, last out)
Queue (First in, first out)

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OS Concepts
Processes
Address Spaces
Files
Input/Output
Protection
Shell
Ontogeny Recapitulates Phylogeny (tóm tắt về sự phát triển)

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Concepts: Processes
What is the process?
When do the process
appear on?
Many processes exist at
any time, do the many
programs run in parallel?
How do the OS manage
them?

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 Concepts: Processes
Process: A program in execution → Program: executable file
is stored in a disk
For each process, OS allocates a set of resources such as
memory blocks for executable code, data, stack, CPU
registers value, PC, and other information needing to run a
program → Each process has an unique address space (i.e.,
all memory locations that the process can read and write)

program
Steps for
creating and
running a
program
source
code

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Concepts: Processes
OS manages some processes → Information about processes
must be maintained in the memory of the OS.
Process table (array or linked list) stores all the information of
processes
▪ A system consists of a collection of processes (many programs)
▪ Based on this table, OS switches the CPU between processes
Process hierarchy (tree)
▪ A process (parent) can create another
processes, then the child process can
create many processes, forming a process
hierarchy
▪ A process has only one parent, but it has
zero, one, or more children.
▪ A particular OS will implement this
concept in different ways.
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Concepts: Swapping Mechanism
Problems: The RAM capacity is limited, How does OS allow
multiple programs loaded into memory? → Swapping
mechanism.
▪ At a time, only one process holds the control (current process)
→ Memory map of a non-current process can be
automatically swapped out of memory, and later swapped
back to the memory at somewhere (OS will update the
addresses if needed).
▪ Developer determine intentionally the absolute address of
program located in the memory at the time (old programming
model)

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Concepts: Address Spaces
How OS can determine accessed address? → Address space
▪ Address space: set of address values which can be accessed by
a process.
▪ Each process has it’s own address space.
▪ An instruction of this process can not access an address of
another (protection mechanism).
▪ Make the different programs think they have the hardware on
their own (protection mechanism).
▪ Address space can be split into some decoupled (tách riêng)
pages/segments. Each byte in a part is numbered from 0 to it’s
maximum. Page/segment sizes can be various (larger or
smaller).

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Concepts: Files
File
A pipe
Special files
Directory

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Concepts: Files
File: A collection of related information
It is an abstraction of data stored on HDD
Correlated information
▪ path name, root directory, file descriptor (Windows)
▪ Mounted file system: some file structures are linked to each
other and are managed by OS.

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Concepts: Files
A pipe (UNIX)
▪ A mechanism for passing data among
processes
▪ Is a sort of pseudofile(tệp giả) that can be
used to connect 2 processes
▪ Allows a child process to inherit (kế thừa) a
communication channel from its parent; data
written to one end of the pipe can be read at
the other.

write read

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Concepts: Files
Special files ( in UNIX): Make I/O devices look like file that are
used for reading or writing (each I/O device is identified by a
file). These files associate with appropriate device drivers.
They are classified into 2 kinds:
▪ Block special files (ex. disks): Is one consisting of sequence of
numbered blocks, each block can be individually (randomly)
addressed and accessed (read/write using unit of block)
▪ Character special files (Ex: printer, modem, mouse, …)
o Is used for devices that input or output a character stream
(read/write using unit of character)
o Cannot be randomly accessed (not block and not addressed)
Directory: a place to keep files/ a way of grouping files
together.

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Concepts: Input/ Output
All computers have physical devices for acquiring input and
producing output.
▪ Some of them can be shared devices
▪ Others can be dedicated devices
→ How does OS manage/manipulate I/O (physical) devices?
Every OS has an I/O subsystem for managing its I/O devices
▪ Some of I/O software are device independent (standard
devices).
▪ Others are specific to particular I/O devices using device driver
(non-standard devices)
→ OS uses the I/O software basing on I/O hardware.

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Concepts: Input/Output

Program Program

OS Library OS Library

Driver

Device Device

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Concepts: Protection
Is a mechanism for controlling accesses of processes or users
on the resources defined by OS. It ensures that all access to
system resources is controlled.
Protect the code of OS against the processes → Code of shell
can not access address space of OS.
Protect one process against other processes → Code of a
process can not access address space of others.
Can improve reliability be detecting latent(tiềm ẩn) errors at
the interface between component subsystems
Techniques:
▪ Authentication(việc xác thực), protecting the system from
unwanted intruders (view of user managing)
▪ Give attributes of file to protect the file accession → Each user
can access a subset of the file system only.

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Concepts: Shell
It is a piece of software (it is not a part of OS)that essentially
provides a kind of interface for end-users to access the
computer resource.
2 Types of shells:
▪ Command interpreter. Command line interface: example: the
Command prompt in Widows.
▪ Graphical user interface (GUI): example: the Window Explorer,
Gnome in Linux, KDE- K Desktop Environment
Although it is not part of the OS, it makes heavy use of many
OS features
Many shells exist such as sh – Shell, csh – C Shell, ksh – Korn
Shell, and bash – Bourne Again Shell (default shell in most
Linux system).

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Concepts: Shell
Functionalities
▪ Is started up (when user logs in) with prompt ($) character
▪ Has the terminal as standard input and output
Shell scripts: A file containing a list of shell command they are
executed in order (same as the bat file in DOS)

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Ontogeny Recapitulates Phylogeny
(Quá trình phát triển của OS)
Early computers had hardwired instruction sets
▪ The instructions were executed directly by hardware and
could not be changed (Not flexible)
▪ Then came microprogramming (faster)
Large Memories
▪ Had just over 128 KB (from 1959 to 1964) using assembly
language
▪ Have lots of memory nowadays (up to Gigabytes, Terabytes …)

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Ontogeny Recapitulates Phylogeny
Protection Hardware
▪ No protection hardware on IBM 7090/7094 so they just ran one
program at a time, minicomputer and Intel 8080 – 80286 CPU
running multiprogramming
▪ Microcomputer protect hardware run ability multiprogramming at
once.
Disks
▪ Largely magnetic-tape based (no disks, no file system concepts)
▪ First hard disk (by IBM in 1956) named RAMMAC (4m2, store 5
million 7 bit characters, 35.000 $)
▪ CDC 6600 in 1964 (permanent files)
▪ In 1970, the standard disk with 2.5 MB (40cm diameter and 5cm
high) had single directory
▪ Floppy disk (512KB, 1.2MB, 1.4 MB …), Hard disk, Optical, Smart card
….

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Ontogeny Recapitulates Phylogeny
Virtual Memory
▪ Gives the ability to run programs larger than the machine’s
physical memory by moving pieces back and forth between
RAM and disk
▪ Enabled the ability to have a program dynamically link on a
library at run time instead of having it compiled in

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Objectives
Introduction to OSs
Hardware review
OS: Concepts
System Calls
OS Structures

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System Calls
OS supports application programming Process <code>
…
interfaces (APIs – OS libraries) for …
accessing resources // system call
Processes use APIs using system calls. Read( fp, buffer, nBytes)
…
User mode
The interface between user programs …
and the OS (hidden to user)
Permit application programs to access OS < services>
protected resources
Making a system call is like making a Read( fp, buffer. nBytes)
<code> Kernel mode
special of procedure call located in the
kernel.

Hardware

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System Calls
Events in a system call:
▪ A process is running in user mode and needs a system service,
it has to execute a trap instruction (interrupt) to transfer
control to the OS (kernel mode).
▪ The OS figures out what the calling process wants by
inspecting the parameter, then it carries out the system call
and returns the control to the instruction following the system
call.

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System Calls
Steps in making a system call
1. Programs put the arguments in registers or on the stack
(prepare to pass argument to OS function)
2. Then, it issues trap instructions to switch form user mode to
kernel mode at the fixed address where the procedure
located (OS saves the return position of the next instruction
of the process).
3. The kernel mode dispatches to the correct system call
handler (OS function executes).
4. When the system call handler has completed its work, the
trap instructions is issued to switch form kernel to user
mode.
5. Then, the procedure returns to the user program in the
usual way procedure calls return.

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System Calls
System calls vs. System Programs
▪ System programs provide a convenient environment for
program development and execution (e.g, file manipulation,
status, etc…)
▪ System programs define the view of the OS seen by most
users (they can be understood as shells)
▪ Are a simply user interfaces to system call
▪ Ex: Norton Commander, Window Explorer,…

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System Calls: Example

C, C++ compilers will

put parameters to
the stack in reverse
order.

There are 11 steps executing the system call: read (fd, buffer, nbytes)
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System Calls: Example

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Some System Calls
For Process Management:
▪ Create a child process - fork(),
▪ Wait for a child process to terminate – waitpid(…)
▪ Execute a process - exec(),
▪ Terminate process and return status - exit(status) …
File management:
▪ open(), close(), read(), write(), lseek(),
▪ Get file status: stat()
▪…

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Some System Calls
For File System management:
▪ mkdir(…), rmdir(…),
▪ mount(…), unmount(…),
▪ link(), unlink(), chown() - change file owner
▪ …
Miscellaneous:
▪ Change the working diretory: chdir(),
▪ Change the file’s protection bits: chmod(),
▪ Send a signal to a process: kill()
▪ Get the elapsed time since Jan, 1, 1970: time()
▪ ….

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Some System Calls
UNIX System Calls vs Windows Win32 API

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Objectives
Introduction to OSs
Hardware review
OS: Concepts
System Calls
OS Structures

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OS Structures
Monolithic Systems – Hệ nguyên khối
Layered Systems – Hệ phân lớp
Micro Kernels – Hệ vi nhân
Client-Server Model
Virtual Machines: Máy ảo
Exokernels: Trình quản lý tài nguyên trong hệ thống nhiều
máy ảo.

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OS Structure: Monolithic Systems
The entire OS runs as a single program in kernel mode
The OS is written as a collection of procedures, linked together into a
single large executable binary program.
A basic structure
A main program that invokes the requested service procedure.
A set of service procedures that carry out the system calls.
For each system call there is one service procedure that takes care of it
and executes it.
A set of utility procedures that
Help the service procedures.
Do things that are needed by several
service procedures (e.g fetch data)

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OS Structure: Monolithic Systems
Disadvantages
▪ Run only on one single large executable binary program (not
flexibility)
▪ Do not protection, but hide information
o The system is free to call any other ones
o Can uses low level language (assembly)
o Having thousands of procedure can call each other
o Using procedure (static) → cannot manage user environments
Advantages
▪ Simple (→ running fast)
Ex: MS-DOS

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OS Structure: Layered Systems
The OS is broken up into a number of layer, each built on top
of lower
Assuming that the bottom layer is the hardware, and the
highest layer is the user interface, layers are selected so that
each one uses functions, operations and services of only
lower-level layers.
Lower layers (usually called the kernel) contains the most
fundamental functions to manage system resources.
There are 6 layers:

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OS Structure: Layered Systems
Disadvantages
▪ How many layers?
▪ What’re functions?
▪ Slow
Advantages
▪ Easy to maintain, support, manage errors
▪ Modularity, encapsulation
▪ Ex: OS/2, Windows NT, Vista and Unix

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OS Structure: Microkernels
OS Kernels have problems
▪ 10 bugs/ 1000 lines code (buggy, bring down the system)
▪ All the layers went in the kernel (complexity, large, and
difficult to manage)

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OS Structure:Microkernels
Microkernels
▪ Remove all nonessential components from the kernel, and
implement them on user mode (splitting the OS into small,
well-defined modules)
▪ Running each task as an independent (separate) process →
resist (chịu được) crashing the entire system
▪ The modules run user mode → protection against bugs
▪ Making a minimal kernel by put the mechanism for doing
something in the kernel but not the policy (scheduling with
highest priority process)
▪ Provide a communication facility using message passing
between the client program and the various series in user
mode

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Architecture of a typical microkernel

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OS Structure: Microkernels
Disadvantages
▪ How to define the components are nonessential or essential?
(depending on the design ideas or requirements).
▪ Performance overhead of user space to kernel space
communication.
Advantages
▪ Easy of extending and port the operating system to new
architectures.
▪ Advance security and reliability (less code is running in kernel
mode).
Ex: Symbian, Apple MacOS X Server.

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OS Structure: Client–Server Model
Server provides some service that satisfy the client’s request
Client uses the server’s services
Message passing is used to communication
Can run on different or same computers

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OS Structure: Virtual Machines (VM)
Each virtual machine
▪ Are not extended machine but all hardware are abstracted by codes.
▪ Is identical to the true hardware (provide an exact duplicate of the
underlying real machine)
▪ Can run any OS that will run directly on the bare hardware
Different VMs can run different OS
Supports to run more OSs at the same time (Windows, Linux)
Software:
▪ VMware Workstation
▪ OS running on CD (Linux, Ubuntu …)
▪ JVM (Java Virtual Machine):
o Java compiler produces code through Java interpreter.
o Can be shipped on Internet and run on the computer that has a
JVM.

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OS Structure: VM
Advantages:
▪ Completely protecting system resources
▪ Solving system compatibility system and
▪ do not disrupt(phá vỡ) the normal system operation
Disadvantages:
▪ can not allocate all disks to VM

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OS Structure: VM

(a) Nonvirtual machine (b) virtual machine

Virtual-machine implementation is called virtual machine

monitor, or virtualization layer, or hypervisor
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OS Structure: VM
Berkeley Software
Distribution. A
UNIX version
developed at the
University of
California at
Berkeley,
providing
additional
capabilities such
as networking,
extra peripheral
support, and use
of extended
filenames.

VMWare Architecture
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OS Structure: VM

Java Virtual Machine - JVM

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OS Structure: Exokernels
Is a program running in kernel mode
It partitions the machine and gives each user a subset of the
resource (instead of exact copies entire of underlying real
machine)
Allocate resources to virtual machines and ensure the
protection of them.
Moreover, exokernels make the VM thinking that it has its
own disk (0 to maximum size of partition area)
Advantages
▪ The exokernel scheme is saved a layer mapping
▪ Need keep track of which virtual machine has been assigned
which resource
▪ Separate the multiprogramming in user mode (protection
from real machine) with less overhead.

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Objectives
Introduction to OSs
Hardware review
OS: Concepts
System Calls
OS Structures

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