Chapter 1

1.1 Introduction
1.2 Computer hardware review
1.3 Operating system concepts

1
 1.1 Introduction
– What is an operating system
– History of operating systems
– The operating system zoo

2
What is an operating system

3
Computer system

• A computer system consists of

– hardware
– system programs
– application programs

4
 What is an Operating System

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

a computer and the computer hardware

5
 What is an Operating System

• OS is an extended machine
– Hides the messy details which must be performed
– Presents user with a virtual machine, easier to use

• OS is a resource manager
– Each program gets time with the resource
– Each program gets space on the resource

6
History of Operating Systems

7
 History of Operating Systems

• First generation 1945 - 1955

– vacuum tubes, plug boards
• Second generation 1955 - 1965
– transistors, batch systems
• Third generation 1965 – 1980
– ICs and multiprogramming
• Fourth generation 1980 – present
– personal computers

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 History of Operating Systems
First generation 1945 - 1955

• Computers:ENIAC, UNIVAC…
• Operating System: No OS,
• Machine Language, plugboards
• Single group: designed, built, programmed,
operated and maintained each machine

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 History of Operating Systems
Second Generation 1955 – 1965 (1)

• Computers: IBM 1401, IBM 7094…

• Operating System : FMS (Fortran Monitor
System), IBSYS for Computer 7094
• Batch Systems
– Function of Early Batch System
– Structure of a typical FMS job
• Separation between designers, builders,
programmers, operators and maintenance
personnel

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 History of Operating Systems
Second Generation 1955 – 1965 (2)

Early batch system

– bring cards to 1401
– read cards to tape
– put tape on 7094 which does computing
– put tape on 1401 which prints output

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 History of Operating Systems
Second Generation 1955 – 1965 (3)

• Structure of a typical FMS job – 2nd generation

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 History of Operating Systems
Third generation 1965 – 1980 (1)

• Computers: System/360, IBM370, IBM4300…

• Operating System:
– OS/360: to work on all models
– Multiprogamming
– Time Sharing:
• CTSS (Compatible Time Sharing System),
• MULTICS (MULTiplexed Information and Computing
Service),
• Unix

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History of Operating Systems
Third generation 1965 – 1980 (2)

• Multiprogramming system
– three jobs in memory – 3rd generation

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History of Operating Systems
Third generation 1965 – 1980 (3)

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 History of Operating Systems
Fourth generation 1980 – present

• Computers: IBM PC 80x86, Macintosh…

• Operating System:
– 1977: CP/M (Control Program for Microcomputer)
– 1980: DOS (Disk Operating System)
– GUI with Macintosh
– 1985-1995: Window 3.x
– 1995: Window 95
– 1996: Window NT 4.0
– 1999: Window 2000
– Window 2003
– Unix

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The Operating System Zoo

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 The Operating System Zoo
• Mainframe operating systems
• Server operating systems
• Multiprocessor operating systems
• Personal computer operating systems
• Real-time operating systems
• Embedded operating systems
• Smart card operating systems

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 The Operating System Zoo
Mainframe operating systems
– batch
– multiprogrammed
– time-sharing, multitasking
– Application: High-End Web Server, Servers for
Business-To Business transactions
– Example: OS/390

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The Operating System Zoo
Server operating systems

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 The Operating System Zoo
Multiprocessor operating systems

– Multiple CPU
– Share computer bus, clock
– Advantage:
• High system throughput
• High availability
• Multiprocessor system and Multicomputer system

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 The Operating System Zoo
Personal computer operating systems

– Many I/O devices

– Interface to single user
– Many OS (MS Windows, Mac OS, Solaris,
Linux,...).

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 The Operating System Zoo
Real-time operating systems

– Time is a key parameter

– Two types of real-time system
• Hard real-time system for industrial process control
system…
• Soft real-time system for multimedia system

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 The Operating System Zoo
Embedded operating systems

– Personal digital assistant (PDA): Palm, Pocket-

PC, Cellular phones), control devices
– Restriction of memory size, speed of CPU,
screen size, powers
– Operating System: PalmOS, Windows CE
(Consumer Electronic)

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 The Operating System Zoo
Smart card operating systems

• CPU chips on Card

• Server processing power and memory
constraint
• Specific Application:
– Single function: electronic payments
– Multiple function: proprietary systems
– Java oriented: holds interpreter JVM

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 Review 1
1. Xem CPU trong máy tính? Thông số tốc độ? Tốc độ xGHz
có nghĩa là gì? Chức năng CPU
2. Bộ nhớ trong là gì? Ram dùng để làm gì? Bộ nhớ Cache,
Register là gì ở đâu? Xem thông số Ram?
3. Kể ra 2 thiết bị vào, 2 thiết bị ra?
4. Bộ nhớ ngoài là gì? Lấy 3 ví dụ? HDD là gì, xem thông số
HDD trong máy?
5. Buses là gì? Chức năng? Lấy 3 ví dụ?
6. List 4 OSs in PC environments: Market shares? Which one
having the maximum market share value? Reasons to make
that one become the best
7. List 4 Operating systems in Smart Phone environments:
The same questions as above ones.
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1.2 Computer Hardware Review
- CPU
- Memory
- I/O Devices
- Buses

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 Computer Hardware Review
Monitor

Bus

• Components of a simple personal computer

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 Computer Hardware Review
The CPU (1)

• PC Program Counter
• SP Stack Pointer
• PSW Program Status Word
• General Registers
• Instruction Cycle
• Pipeline
• Superscalar
• System Call

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Computer Hardware Review
The CPU (2)

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Computer Hardware Review
The CPU (3)

(a) A three-stage pipeline

(b) A superscalar CPU

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 Computer Hardware Review
The CPU (4)

• Dual-mode operation allows OS to protect

itself and other system components
– User mode and kernel mode
– Mode bit provided by hardware
• Provides ability to distinguish when system is
running user code or kernel code
• 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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 Computer Hardware Review
The CPU (5)

• Transition from User to Kernel Mode

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Computer Hardware Review
Memory (1)

• Typical memory hierarchy

– numbers shown are rough approximations

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 Computer Hardware Review
Memory (2)

• Storage systems organized in hierarchy.

– Speed
– Cost
– Size
– Volatility

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 Computer Hardware Review
Memory (3)

Registers:
• Small number, Fast
• Capacity:
– 32*32 bit on 32-bit CPU
– 64*64 bit on 64-bit CPU

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 Computer Hardware Review
Memory (4)

Caching – copying information into faster

storage system; main memory can be
viewed as a last cache for secondary
storage.

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 Computer Hardware Review
Memory (5)
Caching
• Important principle, performed at many levels in a
computer (in hardware, operating system, software)
• Information in use copied from slower to faster storage
temporarily
• Faster storage (cache) checked first to determine if
information is there
– If it is, information used directly from the cache (fast)
– If not, data copied to cache and used there
• Cache smaller than storage being cached
– Cache management important design problem
– Cache size and replacement policy

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 Computer Hardware Review
Memory (6)
Main Memory
• RAM (Random Access Memory)
• Problem:
– How protect the program from one another and the kernel from
them all
– How to handle relocation
• Solution: CPU equipped with two special registers
• Base Register and Limit Register
• MMU (Memory Management Unit) convert Virtual Address to
Physical Address
• Context Switch; switching from one to another

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 Computer Hardware Review
Memory (7)
Relocation and Protection
• Cannot be sure where program will be loaded in memory
– address locations of variables, code routines cannot be absolute
– must keep a program out of other processes’ partitions

• Use base and limit values

– address locations added to base value to map to physical addr
– address locations larger than limit value is an error

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 Computer Hardware Review
Memory (8)

One base-limit pair and two base-limit pairs

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Computer Hardware Review
Memory (9)

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 Computer Hardware Review
Memory (10)

Other memory in computer

• ROM (Read Only Memory)
• EEPROM (Electrically Erasable ROM):
– BIOS Basic Input Output System
• CMOS:
– Real time clock
– Configuration Information

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Computer Hardware Review
Memory (11)

Structure of a disk drive

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 Computer Hardware Review
Memory (12)

Disk: Cylinder, Track, sector

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 Computer Hardware Review
I/O Devices (1)
Computer-System Operation
• I/O devices and the CPU can execute concurrently.
• Each device controller is in charge of a particular
device type.
• Each device controller has a local buffer.
• 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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 Computer Hardware Review
I/O Devices (2)

How interrupts happens. Connections between devices and

interrupt controller actually use interrupt lines on the bus rather
than dedicated wires
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 Computer Hardware Review
I/O Devices (3)
Example of Interrupt processing for PC

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 Computer Hardware Review
I/O Devices (3)
Common Functions of Interrupts
• Interrupt transfers control to the interrupt service routine
generally, through the interrupt vector table, which
contains the addresses of all the service routines.
• Interrupt architecture must save the address of the
interrupted instruction.
• 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 driven.

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 Computer Hardware Review
I/O Devices (4)

(a) (b)

(a) Steps in starting an I/O device and getting interrupt

(b) How the CPU is interrupted
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Computer Hardware Review
I/O Devices (6)

Operation of a DMA transfer

DMA (Direct Memory Access)
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 Computer Hardware Review
I/O Devices (7)

DMA
• Used for high-speed I/O devices able to transmit
information at close to memory speeds.
• Device controller transfers blocks of data from
buffer storage directly to main memory without
CPU intervention.
• Only one interrupt is generated per block, rather
than the one interrupt per byte.

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Computer Hardware Review
Structure of a large Pentium system

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 Computer Hardware Review
BUS
• Cache BUS
• Local BUS
• System BUS
• ISA Industry Standard Architecture
• PCI Peripheral Component Interconnect
• USB Universal Serial BUS
• SCSI Small Computer System Interface
• IDE Integrated Drive Electronic

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Computer Hardware Review
Personal Computer (PC)

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1.3 Operating System Concepts

– OS Components
– System calls
– Operating system structure

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 OS Components
– Process Management
– Main Memory Management
– File management
– I/O Management
– Secondary Storage Management
– Protection and Security

57
 Operating System Concepts
OS Components (1)

• Process Management
– Process is a Program in execution
– A process needs certain resources, including CPU time,
memory, files, and I/O devices, to accomplish its task.
– Tasks of process management of OS:
• Process creation and deletion.
• process suspension and resume
• Provision of mechanisms for:
- Process synchronization
- Interprocess communication
- Prevent or avoid deadlock

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 Operating System Concepts
OS Components (2)

• A process tree
– A created two child processes, B and C
– B created three child processes, D, E, and F

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Operating System Concepts
OS Components (3)

Two processes connected by a pipe

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 Operating System Concepts
OS Components (4)

(a) A potential deadlock. (b) an actual deadlock.

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 Operating System Concepts
OS Components (5)
The Deadlock Problem
• A set of blocked processes each holding
a resource and waiting to acquire a
resource held by another process in the
set.
• Example
– System has 2 disk drives.
– P1 and P2 each hold one disk drive and each
needs another one.

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 Operating System Concepts
OS Components (6)
• Main Memory Management:
– Motivations:
• Increase system performance
• Maximize memory utilization
– Task of main memory of management:
• Keep track of which parts of memory are currently being used
and by whom.
• Decide which processes to load when memory space becomes
available.
• Allocate and deallocate memory space as needed

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 Operating System Concepts
OS Components (7)

• File management
– File system
• File
• Directory
– Task of file management of OS:
• Create and delete File/Dicrectory
• Manipulate: rename, copy, move, new,…
• Mapping files onto secondary storage.
• File backup on stable (nonvolatile) storage media

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 Operating System Concepts
OS Components (8)

File system for a university department

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 Operating System Concepts
OS Components (9)

• I/O Management
– Hide the specialty of H/W devices
– Task of I/O Management of OS:
• Manage main memory for the devices using
caching, buffering, and spooling
• Maintain and provide a general device-driver
interfaces
• Drivers for specific hardware devices.

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 Operating System Concepts
OS Components (10)

• Secondary Storage Management:

– Since main memory (primary storage) is volatile and
too small to accommodate all data and programs
permanently, the computer system must provide
secondary storage to back up main memory.
– Common secondary storage devices: Magnetic disk and
Optical disk
– Task of Secondary Storage Management of OS:
• Free space management
• Storage allocation
• Disk scheduling

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 Operating System Concepts
OS Components (11)

Protection and Security

• Protection – any mechanism for controlling access of
processes or users to resources defined by the OS
• Security – defense of the system against internal and
external attacks
– Huge range, including denial-of-service, worms,
viruses, identity theft, theft of service

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 Operating System Concepts
OS Components (12)

Protection and Security

• Systems generally first distinguish among users, to determine who can
do what
– User identities (user IDs, security IDs) include name and
associated number, one per user
– User ID then associated with all files, processes of that user to
determine access control
– Group identifier (group ID) allows set of users to be defined and
controls managed, then also associated with each process, file
– Privilege escalation allows user to change to effective ID with
more rights

69
 Operating System Concepts
Operating System Services
• One set of operating-system services provides
functions that are helpful to the user:
– User interface - Almost all operating systems have a user interface (UI)
• Varies between Command-Line (CLI), Graphics User Interface
(GUI)
– Program execution - The system must be able to load a program into
memory and to run that program, end execution, either normally or
abnormally (indicating error)
– Control access to I/O device.
– File-system manipulation

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 Operating System Concepts
Operating System Services

– Communications – Processes may exchange

information, on the same computer or between
computers over a network
– Error detection – OS needs to be constantly aware
of possible errors
– ….

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 System Calls
– Making System Calls
– Major POSIX System Calls
– Examples of System Calls

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 System Calls
Making System Calls (1)

There are 11 steps in making the system call

read (fd, buffer, nbytes)
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 System Calls
Making System Calls (2)
• C program invoking printf() library call,
which calls write() system call

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 System Calls
POSIX System Calls (1)

Some System Calls For Process Management

POSIX (Portable Operating System Interface)

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 System Calls
POSIX System Calls (2)

• Some System Calls For File Management

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 System Calls
POSIX System Calls (3)

• Some System Calls For Directory Management

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 System Calls
POSIX System Calls (4)

Some System Calls For Miscellaneous Tasks

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 System Calls
Examples (1)

• A stripped down shell:

while (TRUE) { /* repeat forever */
type_prompt( ); /* display prompt */
read_command (command, parameters) /* input from terminal */
if (fork() != 0) { /* fork off child process
*/
/* Parent code */
waitpid( -1, &status, 0); /* wait for child to exit
*/
} else {
/* Child code */
execve (command, parameters, 0); /* execute command */
}
}
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 System Calls
Examples (2)

• Processes have three segments: text, data, stack

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 System Calls
Examples (3)

(a) Two directories before linking

/usr/jim/memo to ast's directory
(b) The same directories after linking

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 System Calls
Examples (4)

(a) File system before the mount

(b) File system after the mount

82
 System Calls

Some Win32 API calls

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 Operating System Structure
– Monolithic system
– Layered System
– Virtual Machine
– Client-server model
– Microkernel

84
 Operating System Structure
Monolithic system (1)

Simple structuring model for a monolithic system

85
 Operating System Structure
Monolithic system (2)

Structure of Operating System:

• A main program that invokes the requested
service procedure.
• A set of service procedures that carry out
the system calls.
• A set of utility procedures that help the
service procedures.

86
 Operating System Structure
Monolithic system (3) : Example

• Monolithic
– MS-DOS – written to
provide the most
functionality in the least
space:
• not divided into modules;
• Although MS-DOS has some
structure, its interfaces and
levels of functionality are not
well separated

87
 Operating System Structure
Layered System (1)

• Many Layers
• Each layer has well defined functions
• Upper layer can only calls functions of
closely lower layer
• Advantages:
– Easier to extend
– Easier to debug from lower to upper layer

88
Operating System Structure
Layered System (2): Example

89
 Operating System Structure
Layered System (3): Example

Structure of the THE operating system

90
 Operating System Structure
Virtual Machine (1)

processes

processes
processes

processes
programming kernel kernel kernel
interface
VM1 VM2 VM3
kernel Virtual-machine
implementation
hardware
hardware

Non-virtual machine
Virtual machine system model
system model
91
 Operating System Structure
Virtual Machine (2)

• A virtual machine takes the layered approach to its

logical conclusion. It treats hardware and the operating
system kernel as though they were all hardware
• A virtual machine provides an interface identical to the
underlying bare hardware
• The operating system creates the illusion of multiple
processes, each executing on its own processor with its
own (virtual) memory

92
 Operating System Structure
Virtual Machine (3)

• The resources of the physical computer are

shared to create the virtual machines
– CPU scheduling can create the appearance that
users have their own processor
– Spooling and a file system can provide virtual
card readers and virtual line printers
– A normal user time-sharing terminal serves as
the virtual machine operator’s console

93
Operating System Structure
Client-server model (1)

The client-server model

94
 Operating System Structure
Client-server model (2)

The client-server model in a distributed system

95
 Operating System Structure
Microkernel: Example
Microkernel
OS design: The operating system is divided into microkernel
(CMU Mach OS - 1980)
– Moves as much from the kernel into “user” space
– kernel  microkernel
– Communication takes place between user modules using message
passing.

Application POSIX
X-application application
File POSIX
server X-window
server server

96
1. Explain terms: multiprogramming, Register (Program
counter, stack pointer, Program status word).
2. List all security functions are provided by your OS?
3. Study to know how to turn on your firewall and block
some programs.
4. One reason GUIs were initially slow to be adopted was
the cost of the hardware needed to support them. How
much video RAM is needed to support a 25 line × 80 row
character monochrome text screen? How much for a 1024
× 768 pixel 24-bit color bitmap? What was the cost of this
RAM at 1980 prices ($5/KB)? How much is it now?
5. List 5 antivirus softwares? Which one is the best in your
opinion?

97
 Reivew 1
1. List 4 Operating systems in PC environments
– Market shares? Which one having the maximum
market share value?
– Reasons to make that one become the best one?
2. List 4 Operating systems in Smart Phone
environments
– The same questions as above ones.

98
 Review 2

• Install Ubuntu OS
• Virtual Machine: VMWare, Virtual Box

99
 Review 3: OS Structure
• Android OS
http://www.techotopia.com/index.php/
An_Overview_of_the_Android_Architecture
• Mac OS X
https://developer.apple.com/library/mac/
documentation/Darwin/Conceptual/
KernelProgramming/Architecture/Architecture.html
• iOS
http://code.tutsplus.com/tutorials/exploring-the-ios-
sdk--mobile-13959
10
 Review 2
1. List 5 OS & its market share in PC environment
2. The same question with Smart Phone
environment?
3. List some security functions are provided by your
OS?
4. List 5 antivirus softwares? Which one is the best
in your opinion?
5. Study to know how to turn on your firewall and
block some programs…
10