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Modern Operating Systems
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Table of Contents

1 INTRODUCTION 1.1 WHAT IS AN OPERATING SYSTEM? 1.1.1 The Operating System as an Extended Machine 1.1.2 The Operating System as a Resource Manager 1.2 HISTORY OF OPERATING SYSTEMS 1.2.1 The First Generation 1.2.2 The Second Generation 1.2.3 The Third Generation 1.2.4 The Fourth Generation 1.3 COMPUTER HARDWARE REVIEW 1.3.1 Processors 1.3.2 Memory 1.3.3 Disks 1.3.4 Tapes 1.3.5 I/O Devices 1.3.6 Buses 1.3.7 Booting the Computer 1.4 THE OPERATING SYSTEM ZOO 1.4.1 Mainframe Operating Systems 1.4.2 Server Operating Systems 1.4.3 Multiprocessor Operating Systems 1.4.4 Personal Computer Operating Systems 1.4.5 Handheld Computer Operating Systems 1.4.6 Embedded Operating Systems. 1.4.7 Sensor Node Operating Systems 1.4.8 Real-Time Operating Systems 1.4.9 Smart Card Operating Systems 1.5 OPERATING SYSTEM CONCEPTS 1.5.1 Processes 1.5.2 Address Spaces 1.5.3 Files 1.5.4 Input/Output 1.5.5 Protection 1.5.6 The Shell 1.5.7 Ontogeny Recapitulates Phylogeny 1.6 SYSTEM CALLS 1.6.1 System Calls for Process Management 1.6.2 System Calls for File Management 1.6.3 System Calls for Directory Management 1.6.4 Miscellaneous System Calls 1.6.5 The Windows Win32 API 1.7 OPERATING SYSTEM STRUCTURE 1.7.1 Monolithic Systems 1.7.2 Layered Systems 1.7.3 Microkernels 1.7.4 Client-Server Model 1.7.5 Virtual Machines 1.7.6 Exokernels 1.8 THE WORLD ACCORDING TO C 1.8.1 The C Language 1.8.2 Header Files 1.8.3 Large Programming Projects 1.8.4 The Model of Run Time 1.9 RESEARCH ON OPERATING SYSTEMS 1.10 OUTLINE OF THE REST OF THIS BOOK 1.11 METRIC UNITS 1.12 SUMMARY 2 PROCESSES AND THREADS 2.1 PROCESSES 2.1.1 The Process Model 2.1.2 Process Creation 2.1.3 Process Termination 2.1.4 Process Hierarchies 2.1.5 Process States 2.1.6 Implementation of Processes 2.1.7 Modeling Multiprogramming 2.2 THREADS 2.2.1 Thread Usage 2.2.2 The Classical Thread Model 2.2.3 POSIX Threads 2.2.4 Implementing Threads in User Space 2.2.5 Implementing Threads in the Kernel 2.2.6 Hybrid Implementations 2.2.7 Scheduler Activations 2.2.8 Pop-Up Threads 2.2.9 Making Single-Threaded Code Multithreaded 2.3 INTERPROCESS COMMUNICATION 2.3.1 Race Conditions 2.3.2 Critical Regions 2.3.3 Mutual Exclusion with Busy Waiting 2.3.4 Sleep and Wakeup 2.3.5 Semaphores 2.3.6 Mutexes 2.3.7 Monitors 2.3.8 Message Passing 2.3.9 Barriers 2.4 SCHEDULING 2.4.1 Introduction to Scheduling 2.4.2 Scheduling in Batch Systems 2.4.3 Scheduling in Interactive Systems 2.4.4 Scheduling in Real-Time Systems 2.4.5 Policy versus Mechanism 2.4.6 Thread Scheduling 2.5 CLASSICAL IPC PROBLEMS 2.5.1 The Dining Philosophers Problem 2.5.2 The Readers and Writers Problem 2.6 RESEARCH ON PROCESSES AND THREADS 2.7 SUMMARY 3 MEMORY MANAGEMENT 3.1 NO MEMORY ABSTRACTION 3.2 A MEMORY ABSTRACTION: ADDRESS SPACES 3.2.1 The Notion of an Address Space 3.2.2 Swapping 3.2.3 Managing Free Memory 3.3 VIRTUAL MEMORY 3.3.1 Paging 3.3.2 Page Tables 3.3.3 Speeding Up Paging 3.3.4 Page Tables for Large Memories 3.4 PAGE LACEMENT ALGORITHMS 3.4.1 The Optimal Page Replacement Algorithm 3.4.2 The Not Recently Used Page Replacement Algorithm 3.4.3 The First-In, First-Out 3.4.4 The Second Chance Page Replacement Algorithm 3.4.5 The Clock Page Replacement Algorithm 3.4.6 The Least Recently Used 3.4.7 Simulating LRU in Software 3.4.8 The Working Set Page Replacement Algorithm 3.4.9 The WSClock Page Replacement Algorithm 3.4.10 Summary of Page Replacement Algorithms 3.5 DESIGN ISSUES FOR PAGING SYSTEMS 3.5.1 Local versus Global Allocation Policies 3.5.2 Load Control 3.5.3 Page Size 3.5.4 Separate Instruction and Data Spaces 3.5.5 Shared Pages 3.5.6 Shared Libraries 3.5.7 Mapped Files 3.5.8 Cleaning Policy 3.5.9 Virtual Memory Interface 3.6 IMPLEMENTATION ISSUES 3.6.1 Operating System Involvement with Paging 3.6.2 Page Fault Handling 3.6.3 Instruction Backup 3.6.4 Locking Pages in Memory 3.6.5 Backing Store 3.6.6 Separation of Policy and Mechanism 3.7 SEGMENTATION 3.7.1 Implementation of Pure Segmentation 3.7.2 Segmentation with Paging: MULTICS 3.7.3 Segmentation with Paging: The Intel Pentium 3.8 RESEARCH ON MEMORY MANAGEMENT 3.9 SUMMARY 4 FILE SYSTEMS 4.1 FILES 4.1.1 File Naming 4.1.2 File Structure 4.1.3 File Types 4.1.4 File Access 4.1.5 File Attributes 4.1.6 File Operations 4.1.7 An Example Program Using File System Calls 4.2 DIRECTORIES 4.2.1 Single-Level Directory Systems 4.2.2 Hierarchical Directory Systems 4.2.3 Path Names 4.2.4 Directory Operations 4.3 FILE SYSTEM IMPLEMENTATION 4.3.1 File System Layout 4.3.2 Implementing Files 4.3.3 Implementing Directories 4.3.4 Shared Files 4.3.5 Log-Structured File Systems 4.3.6 Journaling File Systems 4.3.7 Virtual File Systems 4.4 FILE SYSTEM MANAGEMENT AND OPTIMIZATION 4.4.1 Disk Space Management 4.4.2 File System Backups 4.4.3 File System Consistency 4.4.4 File System Performance 4.4.5 Defragmenting Disks 4.5 EXAMPLE FILE SYSTEMS 4.5.1 CD-ROM File Systems 4.5.2 The MS-DOS File System 4.5.3 The UNIX V7 File System 4.6 RESEARCH ON FILE SYSTEMS 4.7 SUMMARY 5 INPUT/OUTPUT 5.1 PRINCIPLES OF I/O HARDWARE 5.1.1 I/O Devices 5.1.2 Device Controllers 5.1.3 Memory-Mapped I/O 5.1.4 Direct Memory Access 5.1.5 Interrupts Revisited 5.2 PRINCIPLES OF I/O SOFTWARE 5.2.1 Goals of the I/O Software 5.2.2 Programmed I/O 5.2.3 Interrupt-Driven I/O 5.2.4 I/O Using DMA 5.3 I/O SOFTWARE LAYERS 5.3.1 Interrupt Handlers 5.3.2 Device Drivers 5.3.3 Device-Independent I/O Software 5.3.4 User-Space I/O Software 5.4 DISKS 5.4.1 Disk Hardware 5.4.2 Disk Formatting 5.4.3 Disk Arm Scheduling Algorithms 5.4.4 Error Handling 5.4.5 Stable Storage 5.5 CLOCKS 5.5.1 Clock Hardware 5.5.2 Clock Software 5.5.3 Soft Timers 5.6 USER INTERFACES: KEYBOARD, MOUSE, MONITOR 5.6.1 Input Software 5.6.2 Output Software 5.7 THIN CLIENTS 5.8 POWER MANAGEMENT 5.8.1 Hardware Issues 5.8.2 Operating System Issues: 5.8.3 Application Program Issues 5.9 RESEARCH ON INPUT/OUTPUT 5.10 SUMMARY 6 DEADLOCKS 6.1 RESOURCES 6.1.1 Preemptable and Nonpreemptable Resources 6.1.2 Resource Acquisition 6.2 INTRODUCTION TO DEADLOCKS 6.2.1 Conditions for Resource Deadlocks 6.2.2 Deadlock Modeling 6.3 THE OSTRICH ALGORITHM 6.4 DEADLOCK DETECTION AND RECOVERY 6.4.1 Deadlock Detection with One Resource of Each Type 6.4.2 Deadlock Detection with Multiple Resources of Each Type 6.4.3 Recovery from Deadlock 6.5 DEADLOCK AVOIDANCE 6.5.1 Resource Trajectories 6.5.2 Safe and Unsafe States 6.5.3 The Banker's Algorithm for a Single Resource 6.5.4 The Banker's Algorithm for Multiple Resources 6.6 DEADLOCK PREVENTION 6.6.1 Attacking the Mutual Exclusion Condition 6.6.2 Attacking the Hold and Wait Condition 6.6.3 Attacking the No Preemption Condition 6.6.4 Attacking the Circular Wait Condition 6.7 OTHER ISSUES 6.7.1 Two-Phase Locking 6.7.2 Communication Deadlocks 6.7.3 Livelock 6.7.4 Starvation 6.8 RESEARCH ON DEADLOCKS 6.9 SUMMARY 7 MULTIMEDIA OPERATING SYSTEMS 7.1 INTRODUCTION TO MULTIMEDIA 7.2 MULTIMEDIA FILES 7.2.1 Video Encoding 7.2.2 Audio Encoding 7.3 VIDEO COMPRESSION 7.3.1 The JPEG Standard 7.3.2 The MPEG Standard 7.4 AUDIO COMPRESSION 7.5 MULTIMEDIA PROCESS SCHEDULING 7.5.1 Scheduling Homogeneous Processes 7.5.2 General Real-Time Scheduling 7.5.3 Rate Monotonic Scheduling 7.5.4 Earliest Deadline First Scheduling 7.6 MULTIMEDIA FILE SYSTEM PARADIGMS 7.6.1 VCR Control Functions 7.6.2 Near Video on Demand 7.6.3 Near Video on Demand with VCR Functions 7.7 FILE PLACEMENT 7.7.1 Placing a File on a Single Disk 7.7.2 Two Alternative File Organization Strategies 7.7.3 Placing Files for Near Video on Demand 7.7.4 Placing Multiple Files on a Single Disk 7.7.5 Placing Files on Multiple Disks 7.8 CACHING 7.8.1 Block Caching 7.8.2 File Caching 7.9 DISK SCHEDULING FOR MULTIMEDIA 7.9.1 Static Disk Scheduling 7.9.2 Dynamic Disk Scheduling 7.10 RESEARCH ON MULTIMEDIA 7.11 SUMMARY 8 MULTIPLE PROCESSOR SYSTEMS 8.1 MULTIPROCESSORS 8.1.1 Multiprocessor Hardware 8.1.2 Multiprocessor Operating System Types 8.1.3 Multiprocessor Synchronization 8.1.4 Multiprocessor Scheduling 8.2 MULTICOMPUTERS 8.2.1 Multicomputer Hardware 8.2.2 Low-Level Communication Software 8.2.3 User-Level Communication Software 8.2.4 Remote Procedure Call 8.2.5 Distributed Shared Memory 8.2.6 Multicomputer Scheduling 8.2.7 Load Balancing 8.3 VIRTUALIZATION 8.3.1 Requirements for Virtualization 8.3.2 Type 1 Hypervisors 8.3.3 Type 2 Hypervisors 8.3.4 Paravirtualization 8.3.5 Memory Virtualization 8.3.6 I/O Virtualization 8.3.7 Virtual Appliances 8.3.8 Virtual Machines on Multicore CPUs 8.3.9 Licensing Issues 8.4 DISTRIBUTED SYSTEMS 8.4.1 Network Hardware 8.4.2 Network Services and Protocols 8.4.3 Document-Based Middleware 8.4.4 File System-Based Middleware 8.4.5 Object-Based Middleware 8.4.6 Coordination-Based Middleware 8.5 RESEARCH ON MULTIPLE PROCESSOR SYSTEMS 8.6 SUMMARY 9 SECURITY 9.1 THE SECURITY ENVIRONMENT 9.1.1 Threats 9.1.2 Intruders 9.1.3 Accidental Data Loss 9.2 BASICS OF CRYPTOGRAPHY 9.2.1 Secret-Key Cryptography 9.2.2 Public-Key Cryptography 9.2.3 One-Way Functions 9.2.4 Digital Signatures 9.2.5 Trusted Platform Module 9.3 PROTECTION MECHANISMS 9.3.1 Protection Domains 9.3.2 Access Control Lists 9.3.3 Capabilities 9.3.4 Trusted systems 9.3.5 Trusted Computing Base 9.3.6 Formal Models of Secure Systems 9.3.7 Multilevel Security 9.3.8 Covert Channels 9.4 AUTHENTICATION 9.4.1 Authentication Using Passwords 9.4.2 Authentication Using a Physical Object 9.4.3 Authentication Using Biometrics 9.5 INSIDER ATTACKS 9.5.1 Logic Bombs 9.5.2 Trap Doors 9.5.3 Login Spoofing 9.6 EXPLOITING CODE BUGS 9.6.1 Buffer Overflow Attacks 9.6.2 Format String Attacks 9.6.3 Return to libc Attacks 9.6.4 Integer Overflow Attacks 9.6.5 Code Injection Attacks 9.6.6 Privilege Escalation Attacks 9.7 MALWARE 9.7.1 Trojan Horses 9.7.2 Viruses 9.7.3 Worms 9.7.4 Spyware 9.7.5 Rootkits 9.8 DEFENSES 9.8.1 Firewalls 9.8.2 Antivirus and Anti-Antivirus Techniques 9.8.3 Code Signing 9.8.4 Jailing 9.8.5 Model-Based Intrusion Detection 9.8.6 Encapsulating Mobile Code 9.8.7 Java Security 9.9 RESEARCH ON SECURITY 9.10 SUMMARY 10 OPERATING SYSTEMS DESIGN 10.1 THE NATURE OF THE DESIGN PROBLEM 10.1.1 Goals 10.1.2 Why is it Hard to Design an Operating System? 10.2 INTERFACE DESIGN 10.2.1 Guiding Principles 10.2.2 Paradigms 10.2.3 The System Call Interface 10.3 IMPLEMENTATION 10.3.1 System Structure 10.3.2 Mechanism versus Policy 10.3.3 Orthogonality 10.3.4 Naming 10.3.5 Binding Time 10.3.6 Static versus Dynamic Structures 10.3.7 Top-Down versus Bottom-Up Implementation 10.3.8 Useful Techniques 10.4 PERFORMANCE 10.4.1 Why Are Operating Systems Slow? 10.4.2 What Should Be Optimized? 10.4.3 Space-Time Trade-offs 10.4.4 Caching 10.4.5 Hints 10.4.6 Exploiting Locality 10.4.7 Optimize the Common Case 10.5 PROJECT MANAGEMENT 10.5.1 The Mythical Man Month 10.5.2 Team Structure 10.5.3 The Role of Experience 10.5.4 No Silver Bullet 10.6 TRENDS IN OPERATING SYSTEM DESIGN 10.6.1 Virtualization 10.6.2 Multicore Chips 10.6.3 Large Address Space Operating Systems 10.6.4 Networking 10.6.5 Parallel and Distributed Systems 10.6.6 Multimedia 10.6.7 Battery-Powered Computers 10.6.8 Embedded Systems 10.6.9 Sensor Nodes 10.7 SUMMARY 11 CASE STUDY 1: LINUX 11.1 HISTORY OF UNIX AND LINUX 11.1.1 UNICS 11.1.2 PDP-11 UNIX 11.1.3 Portable UNIX 11.1.4 Berkeley UNIX 11.1.5 Standard UNIX 11.1.6 MINIX 11.1.7 Linux 11.2 OVERVIEW OF LINUX 11.2.1 Linux Goals 11.2.2 Interfaces to Linux 11.2.3 The Shell 11.2.4 Linux Utility Programs 11.2.5 Kernel Structure 11.3 PROCESSES IN LINUX 11.3.1 Fundamental Concepts 11.3.2 Process Management System Calls in Linux 11.3.3 Implementation of Processes and Threads in Linux 11.3.4 Scheduling in Linux 11.3.5 Booting Linux 11.4 MEMORY MANAGEMENT IN LINUX 11.4.1 Fundamental Concepts 11.4.2 Memory Management System Calls in Linux 11.4.3 Implementation of Memory Management in Linux 11.4.4 Paging in Linux 11.5 INPUT/OUTPUT IN LINUX 11.5.1 Fundamental Concepts 11.5.2 Networking 11.5.3 Input/Output System Calls in Linux 11.5.4 Implementation of Input/Output in Linux 11.5.5 Modules in Linux 11.6 THE LINUX FILE SYSTEM 11.6.1 Fundamental Concepts 11.6.2 File System Calls in Linux 11.6.3 Implementation of the Linux File System 11.6.4 NFS: The Network File System 11.7 SECURITY IN LINUX 11.7.1 Fundamental Concepts 11.7.2 Security System Calls in Linux 11.7.3 Implementation of Security in Linux 11.8 SUMMARY 12 CASE STUDY 2: WINDOWS VISTA 12.1 HISTORY OF WINDOWS VISTA 12.1.1 1980s: MS-DOS 12.1.2 1990s: MS-DOS-based Windows 12.1.3 2000s: NT-based Windows 12.1.4 Windows Vista 12.2 PROGRAMMING WINDOWS VISTA 12.2.1 The Native NT Application Programming Interface 12.2.2 The Win32 Application Programming Interface 12.2.3 The Windows Registry 12.3 SYSTEM STRUCTURE 12.3.1 Operating System Structure 12.3.2 Booting Windows Vista 12.3.3 Implementation of the Object Manager 12.3.4 Subsystems, DLLs, and User-mode Services 12.4 PROCESSES AND THREADS IN WINDOWS VISTA 12.4.1 Fundamental Concepts 12.4.2 Job, Process, Thread and Fiber Management API Calls 12.4.3 Implementation of Processes and Threads 12.5 MEMORY MANAGEMENT 12.5.1 Fundamental Concepts 12.5.2 Memory Management System Calls 12.5.3 Implementation of Memory Management 12.6 CACHING IN WINDOWS VISTA 12.7 INPUT/OUTPUT IN WINDOWS VISTA 12.7.1 Fundamental Concepts 12.7.2 Input/Output API Calls 12.7.3 Implementation of I/O 12.8 THE WINDOWS NT FILE SYSTEM 12.8.1 Fundamental Concepts 12.8.2 Implementation of the NT File System 12.9 SECURITY IN WINDOWS VISTA 12.9.1 Fundamental Concepts 12.9.2 Security API Calls 12.9.3 Implementation of Security 12.10 SUMMARY 13 READING LIST AND BIBLIOGRAPHY 13.1 SUGGESTIONS FOR FURTHER READING 13.1.1 Introduction and General Works 13.1.2 Processes and Threads 13.1.3 Memory Management 13.1.4 Input/Output 13.1.5 File Systems 13.1.6 eadlocks 13.1.7 Multimedia Operating Systems 13.1.8 Multiple Processor Systems 13.1.9 ecurity 13.1.10 Linux 13.1.11 Windows Vista 13.1.12 The Symbian OS 13.1.13 Design Principles 13.2 ALPHABETICAL BIBLIOGRAPHY INDEX

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