MODERN OPERATING SYSTEMS

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1 MODERN OPERATING SYSTEMS THIRD EDITION ANDREW S. TANENBAUM Vrije Universiteit Amsterdam, The Netherlands PEARSON Prentice Hall UPPER SADDLE RIVER, NEW JERSEY 07458

PREFACE xxiv 1 INTRODUCTION 1 1.1 WHAT IS AN OPERATING SYSTEM? 3 1.1.1 The Operating System as an Extended Machine 4 1.1.2 The Operating System as a Resource Manager 6 1.

2 PREFACE xxiv 1 INTRODUCTION WHAT IS AN OPERATING SYSTEM? The Operating System as an Extended Machine The Operating System as a Resource Manager HISTORY OF OPERATING SYSTEMS The First Generation ( ) Vacuum Tubes The Second Generation ( ) Transistors and Batch Systems The Third Generation ( ) ICs and Multiprogramming The Fourth Generation (1980-Present) Personal Computers COMPUTER HARDWARE REVIEW Processors Memory Disks Tapes I/O Devices Buses Booting the Computer 33 vii

viii CONTENTS 1.4 THE OPERATING SYSTEM ZOO 33 1.4.1 Mainframe Operating Systems 34 1.4.2 Server Operating Systems 34 1.4.3 Multiprocessor Operating Systems 34 1.4.4 Personal Computer Operating Systems 35 1.

3 viii CONTENTS 1.4 THE OPERATING SYSTEM ZOO Mainframe Operating Systems Server Operating Systems Multiprocessor Operating Systems Personal Computer Operating Systems Handheld Computer Operating Systems Embedded Operating Systems Sensor Node Operating Systems Real-Time Operating Systems Smart Card Operating Systems OPERATING SYSTEM CONCEPTS Processes Address Spaces Files Input/Output Protection The Shell Ontogeny Recapitulates Phylogeny SYSTEM CALLS System Calls for Process Management System Calls for File Management System Calls for Directory Management Miscellaneous System Calls The Windows Win32 API OPERATING SYSTEM STRUCTURE Monolithic Systems Layered Systems Microkernels Client-Server Model Virtual Machines Exokernels THE WORLD ACCORDING TO C The CLanguage Header Files Large Programming Projects The Model of Run Time RESEARCH ON OPERATING SYSTEMS 76

1.10 OUTLINE OF THE REST OF THIS BOOK 77 1.11 METRIC UNITS 78 1.12 SUMMARY 79 PROCESSES AND THREADS 2.1 PROCESSES 83 2.1.1 The Process Model 84 2.1.2 Process Creation 86 2.1.3 Process Termination 88 2.

4 1.10 OUTLINE OF THE REST OF THIS BOOK METRIC UNITS SUMMARY 79 PROCESSES AND THREADS 2.1 PROCESSES The Process Model Process Creation Process Termination Process Hierarchies Process States Implementation of Processes Modeling Multiprogramming THREADS ThreadUsage The Classical Thread Model POSIX Threads Implementing Threads in User Space Implementing Threads in the Kernel Hybrid Implementations Scheduler Activations Pop-Up Threads Making Single-Threaded Code Multithreaded 2.3 INTERPROCESS COMMUNICATION Race Conditions Critical Regions Mutual Exclusion with Busy Waiting Sleep and Wakeup Semaphores Mutexes Monitors Message Passing Barriers 144

2.4 SCHEDULING 145 2.4.1 Introduction to Scheduling 145 2.4.2 Scheduling in Batch Systems 152 2.4.3 Scheduling in Interactive Systems 154 2.4.4 Scheduling in Real-Time Systems 160 2.4.5 Policy versus Mechanism 161 2.

5 2.4 SCHEDULING Introduction to Scheduling Scheduling in Batch Systems Scheduling in Interactive Systems Scheduling in Real-Time Systems Policy versus Mechanism Thread Scheduling CLASSICAL IPC PROBLEMS The Dining Philosophers Problem The Readers and Writers Problem RESEARCH ON PROCESSES AND THREADS SUMMARY 169 MEMORY MANAGEMENT NO MEMORY ABSTRACTION A MEMORY ABSTRACTION: ADDRESS SPACES The Notion of an Address Space Swapping Managing Free Memory VIRTUAL MEMORY Paging Page Tables Speeding Up Paging Page Tables for Large Memories PAGE REPLACEMENT ALGORITHMS The Optimal Page Replacement Algorithm The Not Recently Used Page Replacement Algorithm The First-In, First-Out (FIFO) Page Replacement Algorithm The Second-Chance Page Replacement Algorithm The Clock Page Replacement Algorithm The Least Recently Used (LRU) Page Replacement Algorithm Simulating LRU in Software The Working Set Page Replacement Algorithm 209

3.4.9 The WSClock Page Replacement Algorithm 213 3.4.10 Summary of Page Replacement Algorithms 215 3.5 DESIGN ISSUES FOR PAGING SYSTEMS 216 3.5.1 Local versus Global Allocation Policies 216 3.5.2 Load Control 218 3.

6 3.4.9 The WSClock Page Replacement Algorithm Summary of Page Replacement Algorithms DESIGN ISSUES FOR PAGING SYSTEMS Local versus Global Allocation Policies Load Control Page Size Separate Instruction and Data Spaces Shared Pages Shared Libraries Mapped Files Cleaning Policy Virtual Memory Interface IMPLEMENTATION ISSUES Operating System Involvement with Paging Page Fault Handling Instruction Backup Locking Pages in Memory Backing Store Separation of Policy and Mechanism SEGMENTATION Implementation of Pure Segmentation Segmentation with Paging: MULTICS Segmentation with Paging: The Intel Pentium RESEARCH ON MEMORY MANAGEMENT SUMMARY 248 FILE SYSTEMS 4.1 FILES File Naming File Structure File Types File Access File Attributes 263

xii CONTENTS 4.1.6 File Operations 264 4.1.7 An Example Program Using File System Calls 265 4.2 DIRECTORIES 268 4.2.1 Single-Level Directory Systems 268 4.2.2 Hierarchical Directory Systems 268 4.2.3 Path Names 269 4.

7 xii CONTENTS File Operations An Example Program Using File System Calls DIRECTORIES Single-Level Directory Systems Hierarchical Directory Systems Path Names Directory Operations FILE SYSTEM IMPLEMENTATION File System Layout Implementing Files Implementing Directories Shared Files Log-Structured File Systems Journaling File Systems Virtual File Systems FILE SYSTEM MANAGEMENT AND OPTIMIZATION Disk Space Management File System Backups File System Consistency File System Performance Defragmenting Disks EXAMPLE FILE SYSTEMS CD-ROM File Systems The MS-DOS File System The UNIX V7 File System RESEARCH ON FILE SYSTEMS SUMMARY INPUT/OUTPUT PRINCIPLES OF I/O HARDWARE I/O Devices De vice Controllers 331

xiii 5.1.3 Memory-Mapped I/O 332 5.1.4 Direct Memory Access (DMA) 336 5.1.5 Interrupts Revisited 339 5.2 PRINCIPLES OF I/O SOFTWARE 343 5.2.1 Goals of the I/O Software 343 5.2.2 Programmed I/O 344 5.

8 xiii Memory-Mapped I/O Direct Memory Access (DMA) Interrupts Revisited PRINCIPLES OF I/O SOFTWARE Goals of the I/O Software Programmed I/O Interrupt-Driven I/O I/O Using DMA I/O SOFTWARE LAYERS Interrupt Handlers Device Drivers Device-Independent I/O Software User-Space I/O Software DISKS Disk Hardware Disk Formatting Disk Arm Scheduling Algorithms Error Handling Stable Storage CLOCKS Clock Hardware Clock Software Soft Timers USER INTERFACES: KEYBOARD, MOUSE, MONITOR Input Software Output Software THIN CLIENTS POWER MANAGEMENT Hardware Issues Operating System Issues Application Program Issues RESEARCH ON INPUT/OUTPUT SUMMARY 426

xiv CONTENTS 6 DEADLOCKS 433 6.1 RESOURCES 434 6.1.1 Preemptable and Nonpreemptable Resources 434 6.1.2 Resource Acquisition 435 6.2 INTRODUCTION TO DEADLOCKS 437 6.2.1 Conditions for Resource Deadlocks 438 6.

9 xiv CONTENTS 6 DEADLOCKS RESOURCES Preemptable and Nonpreemptable Resources Resource Acquisition INTRODUCTION TO DEADLOCKS Conditions for Resource Deadlocks Deadlock Modeling THE OSTRICH ALGORITHM DEADLOCK DETECTION AND RECOVERY Deadlock Detection with One Resource of Each Type Deadlock Detection with Multiple Resources of Each Type Recovery from Deadlock DEADLOCK AVOIDANCE Resource Trajectories Safe and Unsafe States The Banker's Algorithm for a Single Resource The Banker's Algorithm for Multiple Resources DEADLOCK PREVENTION Attacking the Mutual Exclusion Condition Attacking the Hold and Wait Condition Attacking the No Preemption Condition Attacking the Circular Wait Condition OTHERISSUES Two-Phase Locking Communication Deadlocks Livelock Starvation RESEARCH ON DEADLOCKS SUMMARY 462

XV 7 MULTIMEDIA OPERATING SYSTEMS 467 7.1 INTRODUCTION TO MULTIMEDIA 468 7.2 MULTIMEDIA FILES 472 7.2.1 Video Encoding 473 7.2.2 Audio Encoding 476 7.3 VIDEO COMPRESSION 478 7.3.1 The JPEG Standard 478 7.

10 XV 7 MULTIMEDIA OPERATING SYSTEMS INTRODUCTION TO MULTIMEDIA MULTIMEDIA FILES Video Encoding Audio Encoding VIDEO COMPRESSION The JPEG Standard The MPEG Standard AUDIO COMPRESSION MULTIMEDIA PROCESS SCHEDULING Scheduling Homogeneous Processes General Real-Time Scheduling Rate Monotonie Scheduling Earliest Deadline First Scheduling MULTIMEDIA FILE SYSTEM PARADIGMS VCR Control Functions Near Video on Demand Near Video on Demand with VCR Functions FILE PLACEMENT Placing a File on a Single Disk Two Alternative File Organization Strategies Placing Files for Near Video on Demand Placing Multiple Files on a Single Disk Placing Files on Multiple Disks CACHING Block Caching File Caching DISK SCHEDULING FOR MULTIMEDIA Static Disk Scheduling Dynamic Disk Scheduling RESEARCH ON MULTIMEDIA SUMMARY 517

xvi CONTENTS 8 MULTIPLE PROCESSOR SYSTEMS 523 8.1 MULTIPROCESSORS 526 8.1.1 Multiprocessor Hardware 526 8.1.2 Multiprocessor Operating System Types 534 8.1.3 Multiprocessor Synchronization 538 8.1.4 Multiprocessor Scheduling 542 8.

11 xvi CONTENTS 8 MULTIPLE PROCESSOR SYSTEMS MULTIPROCESSORS Multiprocessor Hardware Multiprocessor Operating System Types Multiprocessor Synchronization Multiprocessor Scheduling MULTICOMPUTERS Multicomputer Hardware Low-Level Communication Software User-Level Communication Software Remote Procedure Call Distributed Shared Memory Multicomputer Scheduling Load Balancing VIRTUALIZATION Requirements for Virtualization Type 1 Hypervisors Type 2 Hypervisors Paravirtualization Memory Virtualization I/O Virtualization Virtual Appliances Virtual Machines on Multicore CPUs Licensing Issues DISTRIBUTED SYSTEMS Network Hardware Network Services and Protocols Document-Based Middleware File-System-Based Middleware Object-Based Middleware Coordination-Based Middleware Grids RESEARCH ON MULTIPLE PROCESSOR SYSTEMS SUMMARY 605

xvii 9 SECURITY 611 9.1 THE SECURITY ENVIRONMENT 613 9.1.1 Threats 613 9.1.2 Intruders 615 9.1.3 Accidental Data Loss 616 9.2 BASICS OF CRYPTOGRAPHY 616 9.2.1 Secret-Key Cryptography 617 9.2.2 Public-Key Cryptography 618 9.

12 xvii 9 SECURITY THE SECURITY ENVIRONMENT Threats Intruders Accidental Data Loss BASICS OF CRYPTOGRAPHY Secret-Key Cryptography Public-Key Cryptography One-Way Functions Digital Signatures Trusted Platform Module PROTECTION MECHANISMS Protection Domains Access Control Lists Capabilities Trusted Systems Trusted Computing Base Formal Models of Secure Systems Multilevel Security Covert Channels AUTHENTICATION Authentication Using Passwords Authentication Using a Physical Object Authentication Using Biometrics INSIDER ATTACKS Logic Bombs Trap Doors Login Spoofing EXPLOITING CODE BUGS Buffer Overflow Attacks Format String Attacks Return to libc Attacks Integer Overflow Attacks Code Injection Attacks Privilege Escalation Attacks 667

xviii CONTENTS 9.7 MALWARE 667 9.7.1 Trojan Horses 670 9.7.2 Viruses 672 9.7.3 Worms 682 9.7.4 Spyware 684 9.7.5 Rootkits 688 9.8 DEFENSES 692 9.8.1 Firewalls 693 9.8.2 Antivirus and Anti-Antivirus Techniques 695 9.

13 xviii CONTENTS 9.7 MALWARE Trojan Horses Viruses Worms Spyware Rootkits DEFENSES Firewalls Antivirus and Anti-Antivirus Techniques CodeSigning Jailing Model-Based Intrusion Detection Encapsulating Mobile Code Java Security RESEARCH ON SECURITY SUMMARY CASE STUDY 1: LINUX HISTORY OF UNIX AND LINUX UNICS PDP-11 UNIX Portable UNIX Berkeley UNIX Standard UNIX MINIX Linux OVERVIEW OF LINUX Linux Goals Interfaces to Linux The Shell Linux Utility Programs Kernel Structure 736

xix 10.3 PROCESSES IN LINUX 739 10.3.1 Fundamental Concepts 739 10.3.2 Process Management System Calls in Linux 741 10.3.3 Implementation of Processes and Threads in Linux 745 10.3.4 Scheduling in Linux 752 10.

14 xix 10.3 PROCESSES IN LINUX Fundamental Concepts Process Management System Calls in Linux Implementation of Processes and Threads in Linux Scheduling in Linux Booting Linux MEMORY MANAGEMENT IN LINUX Fundamental Concepts Memory Management System Calls in Linux Implementation of Memory Management in Linux Paging in Linux INPUT/OUTPUT IN LINUX Fundamental Concepts Networking Input/Output System Calls in Linux Implementation of Input/Output in Linux Modules in Linux THE LINUX FILE SYSTEM Fundamental Concepts File System Calls in Linux Implementation of the Linux File System NFS: The Network File System SECURITY IN LINUX Fundamental Concepts Security System Calls in Linux Implementation of Security in Linux SUMMARY CASE STUDY 2: WINDOWS VISTA HISTORY OF WINDOWS VISTA s: MS-DOS s: MS-DOS-based Windows s: NT-based Windows Windows Vista 818

XX CONTENTS 11.2 PROGRAMMING WINDOWS VISTA 819 11.2.1 The Native NT Application Programming Interface 822 11.2.2 The Win32 Application Programming Interface 825 11.2.3 The Windows Registry 829 11.

15 XX CONTENTS 11.2 PROGRAMMING WINDOWS VISTA The Native NT Application Programming Interface The Win32 Application Programming Interface The Windows Registry SYSTEM STRUCTURE Operating System Structure Booting Windows Vista Implementation of the Object Manager Subsystems, DLLs, and User-Mode Services PROCESSES AND THREADS IN WINDOWS VISTA Fundamental Concepts Job, Process, Thread, and Fiber Management API Calls Implementation of Processes and Threads MEMORY MANAGEMENT Fundamental Concepts Memory Management System Calls Implementation of Memory Management CACHING IN WINDOWS VISTA INPUT/OUTPUT IN WINDOWS VISTA Fundamental Concepts Input/Output API Calls Implementation of I/O THE WINDOWS NT FILE SYSTEM Fundamental Concepts Implementation of the NT File System SECURITY IN WINDOWS VISTA Fundamental Concepts Security API Calls Implementation of Security SUMMARY 924

XXI 12 CASE STUDY 3: SYMBIAN OS 929 12.1 THE HISTORY OF SYMBIAN OS 930 12.1.1 Symbian OS Roots: Psion and EPOC 930 12.1.2 Symbian OS Version 6 931 12.1.3 Symbian OS Version 7 932 12.1.4 Symbian OS Today 932 12.

16 XXI 12 CASE STUDY 3: SYMBIAN OS THE HISTORY OF SYMBIAN OS Symbian OS Roots: Psion and EPOC Symbian OS Version Symbian OS Version Symbian OS Today AN OVERVIEW OF SYMBIAN OS Object Orientation Microkernel Design The Symbian OS Nanokernel Client/Server Resource Access Features of a Larger Operating System Communication and Multimedia PROCESSES AND THREADS IN SYMBIAN OS Threads and Nanothreads Processes Active Objects Interprocess Communication MEMORY MANAGEMENT Systems with No Virtual Memory How Symbian OS Addresses Memory INPUT AND OUTPUT Device Drivers Kernel Extensions Direct Memory Access Special Case: Storage Media Blockingl/O Removable Media STORAGE SYSTEMS File Systems for Mobile Devices Symbian OS File Systems File System Security and Protection SECURITY IN SYMBIAN OS 950

xxii CONTENTS 12.8 COMMUNICATION IN SYMBIAN OS 953 12.8.1 Basic Infrastructure 953 12.8.2 A Closer Look at the Infrastructure 954 12.9 SUMMARY 957 13 OPERATING SYSTEM DESIGN 959 13.

17 xxii CONTENTS 12.8 COMMUNICATION IN SYMBIAN OS Basic Infrastructure A Closer Look at the Infrastructure SUMMARY OPERATING SYSTEM DESIGN THE NATURE OF THE DESIGN PROBLEM Goals Why Is It Hard to Design an Operating System? INTERFACE DESIGN Guiding Principles Paradigms The System Call Interface IMPLEMENTATION System Structure Mechanism versus Policy Orthogonality Naming BindingTime Static versus Dynamic Structures Top-Down versus Bottom-Up Implementation Useful Techniques PERFORMANCE Why Are Operating Systems Slow? What Should Be Optimized? Space-Time Trade-offs Caching Hints Exploiting Locality Optimize the Common Case PROJECT MANAGEMENT The Mythical Man Month Team Structure 995

xxiii 13.5.3 The Role of Experience 997 13.5.4 No Silver Bullet 998 13.6 TRENDS IN OPERATING SYSTEM DESIGN 998 13.6.1 Virtualization 999 13.6.2 Multicore Chips 999 13.6.3 Large Address Space Operating Systems 1000 13.

18 xxiii The Role of Experience No Silver Bullet TRENDS IN OPERATING SYSTEM DESIGN Virtualization Multicore Chips Large Address Space Operating Systems Networking Parallel and Distributed Systems Multimedia Battery-Powered Computers Embedded Systems Sensor Nodes SUMMARY READING LIST AND BIBLIOGRAPHY SUGGESTIONS FOR FURTHER READING Introduction and General Works Processes and Threads Memory Management Input/Output File Systems Deadlocks Multimedia Operating Systems Multiple Processor Systems Security Linux Windows Vista The Symbian OS Design Principles ALPHABETICAL BIBLIOGRAPHY 1016 INDEX 1049

CIS 21 Final Study Guide. Final covers ch. 1-20, except for 17. Need to know:

CIS 21 Final Study Guide. Final covers ch. 1-20, except for 17. Need to know: CIS 21 Final Study Guide Final covers ch. 1-20, except for 17. Need to know: I. Amdahl's Law II. Moore s Law III. Processes and Threading A. What is a process? B. What is a thread? C. Modes (kernel mode,