操作系统原理（影印版） (2009 年度畅销榜NO.4157 )

本书详细讲述了从单处理机到分布式和并行计算机系统的基本思想、原则及概念，内容包括进程管理与协作、内存管理、文件系统与输入输出、系统保护与安全等。本书不仅从商用操作系统和研究型操作系统中选用了大量的例子来阐述有关的概念，而且针对各部分内容，给出了相应的编程实验练习，以增强读者的实际动手能力。
本书可用作计算机科学或计算机工程等相关专业的“操作系统”教科书，也可作为从事计算机工作的科技人员学习计算机操作系统的参考书。

1 Introduction
1.1 The Role of Operating Systems
1.1.1 Bridging the Hardware/Application Gap
1.1.2 Three Views of Operating Systems
1.2 Organization of Operating Systems
1.2.1 Structural Organization
1.2.2 The Hardware Interface
1.2.3 The Programming Interface
1.2.4 The User Interface
1.2.5 Runtime Organization
1.3 Operating System Evolution and Concepts
1.3.1 Early Systems
1.3.2 Batch Operating Systems
1.3.3 Multiprogramming Systems
1.3.4 Interactive Operating Systems
1.3.5 Personal Computer and Workstation Operating Systems
1.3.6 Real-Time Operating Systems
1.3.7 Distributed Operating Systems
Part One Process Management and Coordination
2 Basic Concepts:Processes and Their Interactions
2.1 The Process Notion
2.2 Defining and Instantiating Processes
2.2.1 Precedence Relations Among Processes
2.2.2 Implicit Process Creation
2.2.3 Explicit Process Creation with fork and join
2.2.4 Process Declarations and Classes
2.3 Basic Process Interactions
2.3.1 Competition:The Critical Section Problem
2.3.2 Cooperation
2.4 Semaphores
2.4.1 Semaphore Operations and Data
2.4.2 Mutual Exclusion with Semaphores
2.4.3 Semaphores in Producer/Consumer Situations
2.5 Event Synchronization
3 Higher-Level Synchronization and Communication
3.1 Shared Memory Methods
3.1.1 Monitors
3.1.2 Protected Types
3.2 Distributed Synchronization and Communication
3.2.1 Message-Based Communication
3.2.2 Procedure-Based Communication
3.2.3 Distributed Mutual Exclusion
3.3 Other Classic Synchronization Problems
3.3.1 The Readers/Writers Problem
3.3.2 The Dining Philosophers Problem
3.3.3 The Elevator Algorithm
3.3.4 Event Ordering with Logical Clocks
4 The Operating System Kernel:Implementing Processes and Threads
4.1 Kernel Definitions and Objects
4.2 Queue Structures
4.2.1 Resource Queues in an Operating System
4.2.2 Implementations of Queues
4.3 Threads
4.4 Implementing Processes and Threads
4.4.1 Process and Thread Descriptors
4.4.2 Implementing Operations on Processes
4.4.3 Operations on Threads
4.5 Implementing Synchronization and Communication Mechanisms
4.5.1 Semaphores and Locks
4.5.2 Monitor Primitives
4.5.3 Clock and Time Management
4.5.4 Communication Primitives
4.6 Interrupt Handling
5 Process and Thread Scheduling
5.1 Organizating of Schedulers
5.1.1 Embedded and Autonomous Schedulers
5.1.2 Priority Scheduling
5.2 Scheduling Methods
5.2.1 A Framework for Scheduling
5.2.2 Common Scheduling Algorithms
5.2.3 Comparison of Methods
5.3 Priority Inversion
5.4 Multiprocessor and Distributed Scheduling
6 Deadlocks
6.1 Deadlock with Reusable and Consumable Resources
6.1.1 Reusable and Consumable Resources
6.1.2 Deadlocks in Computer Systems
6.2 Approaches to the Deadlock Problem
6.3 A System Model
6.3.1 Resource Graphs
6.3.2 State Transitions
6.3.3 Deadlock States and Safe States
6.4 Deadlock Detection
6.4.1 Reduction of Resource Graphs
6.4.2 Special Cases of Deadlock Detection
6.4.3 Deadlock Detection in Distributed Systems
6.5 Recovery from Deadlock
6.5.1 Process Termination
6.5.2 Resource Preemption
6.6 Dynamic Deadlock Avoidance
6.6.1 Claim Graphs
6.6.2 The Banker's Algorithm
6.7 Deadlock Prevention
6.7.1 Eliminating the Mutual-Exclusion Condition
6.7.2 Eliminating the Hold-and-Wait Condition
6.7.3 Eliminating the Circular-Wait Condition
Part Two Memory Management
7 Physical Memory
7.1 Preparing a Program for Execution
7.1.1 Program Transformations
7.1.2 Logical-to-Physical Address Binding
7.2 Memory Partitioning Schemes
7.2.1 Fixed Partitions
7.2.2 Variable Partitions
7.2.3 The Buddy System
7.3 Allocation Strategies for Variable Partitions
7.3.1 Measures of Memory Utilization
7.4 Managing Insufficient Memory
7.4.1 Memory Compaction
8 Virtual Memory
8.1 Principles of Virtual Memory
8.2 Implementations of Virtual Memory
8.2.1 Paging
8.2.2 Segmentation
8.2.3 Paging with Segmentation
8.2.4 Paging of System Tables
8.2.5 Translation Look-Aside Buffers
8.3 Memory Allocation in Paged Systems
8.3.1 Global Page Replacement Algorithms
8.3.2 Local Page Replacement Algorithms
8.3.3 Load Control and Thrashing
8.3.4 Evaluation of Paging
9 Sharing of Data and Code in Main Memory
9.1 Single-Copy Sharing
9.1.1 Reasons for Sharing
9.1.2 Requirements for Sharing
9.1.3 Linking and Sharing
9.2 Sharing in Systmes without Virtual Memory
9.3 Sharing in Paging Systems
9.3.1 Sharing of Data
9.3.2 Sharing of Code
9.4 Sharing in Segmented Systems
9.4.1 Sharing of Code and Data
9.4.2 Unrestricted Dynamic Linking
9.5 Principles of Distributed Shared Memory
9.5.1 The User's View of Distributed Shared Memory
9.6 Implementations of Distributed Shared Memory
9.6.1 Implementing Unstructured Distributed Shared Memory
9.6.2 Implementing Structured Distributed Shared Memory
Part Three File Systems and Imput/Output
10 File Systems
10.1 Basic Functions of File Management
10.2 Hierarchical Model of a File System
10.3 The User's View of Files
10.3.1 File Names and Types
10.3.2 Logical File Organization
10.3.3 Other File Attributes
10.3.4 Operations on Files
10.4 File Directories
10.4.1 Hierarchical Directory Organizations
10.4.2 Operations on Directories
10.4.3 Implementation of File Directories
10.5 Basic File System
10.5.1 File Descriptors
10.5.2 Opening and Closing Files
10.6 Device Organization Methods
10.6.1 contiguous Organization
10.6.2 Linked Organization
10.6.3 Indexed Organization
10.6.4 Management of Free Storgae Space
10.7 Principles of Distributed File Systems
10.7.1 Directory Structures and Sharing
10.7.2 Semantics of File Sharing
10.8 Implementing Distributed File System
10.8.1 Basic Architecture
10.8.2 Caching
10.8.3 Stateless Versus Stateful Servers
10.8.4 File Replication
11 Input/Output Systems
11.1 Basic Issues in Device Management
11.2 A Hierarchical Model of the Input/Output System
11.2.1 The Input/Output System Interface
11.3 Input/Output Devices
11.3.1 User Terminals
11.3.2 Printers and Scanners
11.3.3 Secondary Storage Devices
11.3.4 Performance Characteristics of Disks
11.3.5 Networks
11.4 Device Drivers
11.4.1 Memory-Mapped Versus Explicit Device Interfaces
11.4.2 Programmed Input/Output with Poling
11.4.3 Programmed Input/Output with Interrupts
11.4.4 Direct Memory Access
11.5 Device Management
11.5.1 Buffering and Caching
11.5.2 Error Handling
11.5.3 Disk Scheduling
11.5.4 Device Sharing
Part Four Protection and Security
12 The Protection and Security Interface
12.1 Security Threats
12.1.1 Damage Types
12.1.2 Vulnerable Resources
12.1.3 Attack Types
12.2 Functions of a Protection System
12.2.1 External Safeguards
12.2.2 Verification of User Identity
12.2.3 Communication Safeguards
12.2.4 Threat Monitoring
12.3 User Authentication
12.3.1 Approaches to Authentication
12.3.2 Passwords
12.4 Secure Communication
12.4.1 Principles of Cryptography
12.4.2 Secret-Key Cryptosystems
12.4.3 Public-Key Cryptosystems
13 Internal Protection Mechanisms
13.1 The Access Control Environment
13.2 Instruction-Level Access Control
13.2.1 Register and Input/Output Protection
13.2.2 Main Memory Protection
13.3 High-Level Access Control
13.3.1 The Access Matrix Model
13.3.2 Access Lists and Capability Lists
13.3.3 A Comprehensive Example:Client/Server Protection
13.3.4 Combining Access Lists and Capability Lists
13.4 Information Flow Control
13.4.1 The Confinement Problem
13.4.2 Hierarchical Information Flow
13.4.3 The Selective Confinement Problem
Part Five Programming Projects
I Process/Thread Synchronization
1 Project Overview
2 Setting Up a Race Condition
3 Solutions to the Critical Section Problem
3.1 Solution Using mutex Locks
3.2 Software Solution
4 Implementing General Semaphores
4.1 Solution Using Mutex Locks and Condition Variables
4.2 Software Solution
5 Bounded Buffer
6 Summary of Specific Tasks
7 Ideas for Additional Tasks
II Process and Resource Management
1 Project Overview
2 Basic Process and Resource Manager
2.1 Process States
2.2 Representation of Processes
2.3 Representation of Resources
2.4 Operations on Processes and Resources
2.5 The Scheduler
2.6 The Presentation Shell
3 Extended Process and Resource Manager
3.1 Timeout Interrupts
3.2 Input/Output Processng
3.3 The Extended Shell
4 Summary of Specific Tasks
5 Ideas for Additional Tasks
III Main Memory Management
1 Project Overview
2 The Memory Manager
2.1 Main Memory
2.2 The User Interface
3 The Simulation Experiment
3.1 Generating Request Sizes
3.2 Gathering Performance Data
3.3 Choosing a Block to Release
4 Summary of Specific Tasks
5 Ideas for Additional Tasks
IV Page Replacement Algorithms
1 Project Overview
2 Global Page Replacement Algorithms
3 Local Page Replacement Algorithms
4 Generating Reference Strings
5 Performance Evaluations
6 Summary of Specific Tasks
7 Ideas for Additional Tasks
V File System
1 Project Overview
2 The Input/Output System
3 The File System
3.1 Interface Between User and File System
3.2 Organization of the File System
3.3 The Directory
3.4 Creating and Destroying a File
3.5 Opening and Closing a File
3.6 Reading,Writing and Seeking in a File
3.7 Listing the Directory
4 The Presentation Shell
5 Summary of Specific Tasks
6 Ideas for Additional Tasks
Other Programming Projects
1 Timer Facility
2 Process Scheduling
3 The Banker's Algorithm
4 Disk Scheduling Algorithms
5 Stable Storage
Glossary
Bibliograhy
Author Index
Subject Index

Operating systems bridge the gap between the hardware of a computer system and the user. Consequently, they are strongly influenced by hardware technology and architecture, both of which have advanced at a breathtaking pace since the first computers emerged in the 1940s. Many changes have been quantitative: the speed of processors, memories, and devices has been increasing continuously, whereas their size, cost, and power consumption have been decreasing. But many qualitative changes also have occurred. For example, personal computers with sophisticated input, output, and storage devices are now omnipresent; most also are connected to local area networks or the Internet. These advances have dramatically reshaped the world within which operating systems must exist and cooperate, instead of managing a single processor controlling a collection of local memories and I/O devices, contemporary operating systems are required to manage highly parallel, distributed, and increasingly more heterogeneous configurations. This book is an introduction to operating systems, appropriate for computer science or computer engineering majors at the junior or senior level. One objective is to respond to a major paradigm shift from single-processor to distributed and parallel computer systems, especially in a world where it is no longer possible to draw a clear line between operating systems for centralized environments and those for distributed ones, Although most of the book is devoted to traditional topics, we extend and integrate these with basic ideas in distributed computing. The authors express their sincere appreciation to Gary Harkin, Montana State University; Mukkal Krisnimoorthy, Rensselaer Polytechnic Institute; Scott Cannon, Utah State University; John Hartman, University of Arizona; Gopal Lakhani, Texas Tech; Herb Mayer, Portland State University; and Chung Kuang-Shene, Michigan Technological University for their review of the book. CONTENTS After the introductory chapter, the book is organized into four main sections: Process Management and Coordination, Memory Management,File and I/O Management, and Protection and Security. At the end of each chapter, there is a list of the key concepts, terms, and abbreviations defined in the chapter; the back of the book contains a glossary. Processes and Threads Processes and, more recently, threads, are the basis of concurrency and parallelism, and have always been prominent parts of the study of operating systems. This area can be subdivided into two components: the creation of processes or threads, and their coordination. In Chapters 2 and 3, we treat the topic from the programming point of view, presenting a spectrum of constructs for expressing concurrency and for coordinating the execution of the resulting processes or threads. This includes the coordination of processes in a distributed environment, which must be based ultimately on 'mesaag~passing rather than shared variables. In Chapters 4 and 5, we examine the from the implementation point of view by presenting the necessary data structures and operations to implement and manage processes and threads at the operating systems level. This discussion also includes issues of process and threads scheduling, interrupt handling, and other kernel functions. Chapter 6 is concerned with the important problem of deadlocks in both centralized and distributed systems. Main Memory Main memory has always been a scarce resource, and much of the past operating systems research has been devoted to its efficient use. Many of these results have become classical topics of operating systems; these are covered in Chapters 7, 8, and 9. Among these topics are techniques for physical memory allocation, implementation of virtual memory using paging or segmentation, and static and dynamic sharing of data and code. We also present the principles of distributed shared memory, which may be viewed as an extension of virtual memory over multiple computers interconnected by a conununication network. File Systems and I/O Files were devised in the early days of computing as a convenient way to organize and store data on secondary storage devices. Although the devices have evolved dramatically, the basic principles of files have not. In Chapter 10, we discuss file types and their representations on disks or tapes. We also present ways of organizing and implementing file directories. In recent years, the most significant developments in the file systems area have been driven by the proliferation of networking. Many systems today do not maintain their own file systems on local drives. Instead, a more typical configuration is a network of machines, all accessing dedicated file servers. Frequently, the file systems are distributed over multiple servers or multiple networks. The last section of the chapter addresses file systems issues in such distributed environments. Hiding the details of individual I/O devices by supporting higher-level abstractions has always been one of the main tasks of operating systems. Modern systems must continue to provide this essential service, but with a larger variety of faster and more sophisticated devices. Chapter 11 is devoted to this topic, presenting the principles of polling, interrupts, and DMA, as employed by various device drivers. Also discussed are device-independent aspects of IlO processing, including buffering and caching, errorhandling, and device scheduling. Protection and Security Protecting a computing facility from various attacks requires a broad spectrum of safeguards. Chapter 12 focuses on the protection and security interface of the system, which guards the system access. This requires authentication of users, remote services, and clients. Despite many technological breakthroughs, user authentication still relies largely on passwords presented by users at the time of login. But the existence of computer networks has again stimulated the most dramatic developments in protection and security: the vulnerability of communication lines makes it necessary to employ techniques in secret or public key cryptography. We discuss the application of cryptographic methods both to protect information transmitted between computers and to verify its authenticity. Once a user has entered the system, the system must control the set of resources accessible to that user. This is accomplished by hardware mechanisms at the instruction level and by access or capability lists at the software level. In addition, mechanisms to prevent unauthorized flow of information among different users also must be provided. Chapter 13 discusses such internal protection mechanisms. EXERCISES AND PROGRAMMING PROJECTS Each chapter ends with a set of exercises reflecting the presented topics. The exercises have been chosen carefully to satisfy the needs of different teaching styles. Each exercise set contains both analytical and constructive exercises, where students must apply conceptual knowledge acquired from the chapter to solve specific problems. We also have included questions that lend themselves to discussion or speculative analysis. A solutions manual is available to professors; they can obtain a copy from their local Prentice-Hall representative. The set of five large programming projects and several smaller programming exercises at the end of the book are designed to complement the conceptual understanding gained from the book with practical hands-on experience. They may be used selectively as term projects or can serve as the basis for a separate laboratory component in operating systems. APPROACH AND PHILOSOPHY As expected, we provide in-depth coverage of all standard topics in the field of operating systems. A conventional approach typically also includes separate chapters on operating systems support for distributed network-based environments, usually appearing at the end of the text. The problem with this organization is that it makes an artificial distinction between centralized and distributed systems. In reality, there is often no clear demarcation line between the two, and they have many issues in common. Concurrency and parallelism have always been a major topic of operating systems. Even the earliest mainframes of the 1950s and 1960s attempted to overlap CPU execution with I/O processing to achieve better utilization of both. Advanced programming techniques of the 1970s and 1980s made it necessary to support concurrent processes at the user level, leading operating systems designers to provide new process synchronization and scheduling techniques, many of which also apply to networked environments. The last two decades have forced software manufacturers to seriously consider networking and physical distribution, and to integrate the necessary tools and techniques into their operating systems products. We have chosen to preserve the natural relationship and overlap between centralized and distributed operating systems issues by integrating them within each chapter. The main distributed operating systems topics presented include message-based synchronization and remote procedure calls, distributed deadlocks, distributed shared memory, distributed file systems, and secure communication using cryptography. Following the above philosophy, we also have refrained from presenting case studies of existing operating systems in separate chapters. Instead, we have distributed and integrated all case studies--from Unix, Linux, Windows, and many other influential operating systems--throughout the chapters. They illustrate the relevance of each concept at the time of its presentation. Lubomir Bic September 2002 Alan Shaw