操作系统原理与实践：内核与进程（第二版）

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"Operating Systems Principles and Practice V1是操作系统领域的一本经典教材，由Thomas Anderson和Mike Dahlin共同撰写，分为四卷。本书主要探讨操作系统的核心概念和进程管理，适用于教学与自学。" 《操作系统：原理与实践》第二版第一卷——内核与进程，深入解析了操作系统的基本原理和实现机制。作者Thomas Anderson来自华盛顿大学，Mike Dahlin则在德克萨斯大学和谷歌任职，他们结合丰富的教学和实践经验，为读者提供了深入浅出的讲解。该书涵盖的内容广泛，包括但不限于： 1. 操作系统概述：介绍操作系统的定义、历史发展以及在计算机系统中的角色。 2. 内核基础：讨论操作系统内核的设计目标、结构和功能，如中断处理、调度、内存管理和设备驱动等。 3. 进程管理：详述进程的概念、生命周期、同步与通信机制，如信号量、管程、消息传递等。 4. 线程与并发：分析线程的引入、优缺点及线程间的交互，介绍并发编程中的问题和解决策略。 5. 进程间通信：探讨各种IPC（Inter-Process Communication）方式，如管道、共享内存、套接字等。 6. 虚拟内存：解释虚拟内存的工作原理，包括分页、分段、地址映射和页面替换算法等。 7. I/O系统：介绍I/O模型，如同步I/O、异步I/O和DMA（直接存储器访问），以及I/O子系统的架构设计。此外，书中还包含了丰富的实例和习题，旨在帮助读者理解和应用理论知识。同时，作者鼓励读者通过电子邮件suggestions@recursivebooks.com提供反馈、建议或报告错误。本书的版权归属于作者，未经许可，不得复制或传播。对于重印和翻译等内容的使用，需事先获得出版社的书面许可。其封面设计、插图和编辑工作均由专业人士完成，确保了整体质量。《操作系统：原理与实践》是一本全面而深入的操作系统教程，对于学习和理解操作系统的工作原理及其实现，无论对于学生还是从业者，都是不可或缺的参考书目。通过阅读和实践，读者可以深入理解操作系统的核心概念，并具备解决实际问题的能力。

Section 2.3), or a full treatment of the kernel implementation details down to

the level of interrupt handlers. Some instructors start with concurrency, and

cover kernels and kernel protection afterwards. While our textbook can be

used that way, we have found that students benefit from a basic understanding

of the role of operating systems in executing user programs, before introducing

concurrency.

The Programming Interface. Chapter 3 is intended as an impedance match

for students of differing backgrounds. Depending on student background, it can

be skipped or covered in depth. The chapter covers the operating system from

a programmer’s perspective: process creation and management, device-

independent input/output, interprocess communication, and network sockets.

Our goal is that students should understand at a detailed level what happens

when a user clicks a link in a web browser, as the request is transferred

through operating system kernels and user space processes at the client,

server, and back again. This chapter also covers the organization of the

operating system itself: how device drivers and the hardware abstraction layer

work in a modern operating system; the difference between a monolithic and a

microkernel operating system; and how policy and mechanism are separated in

modern operating systems.

Concurrency and Threads. Chapter 4 motivates and explains the concept of

threads. Because of the increasing importance of concurrent programming, and

its integration with modern programming languages like Java, many students

have been introduced to multi-threaded programming in an earlier class. This

is a bit dangerous, as students at this stage are prone to writing programs with

race conditions, problems that may or may not be discovered with testing.

Thus, the goal of this chapter is to provide a solid conceptual framework for

understanding the semantics of concurrency, as well as how concurrent threads

are implemented in both the operating system kernel and in user-level

libraries. Instructors needing to go more quickly can omit these

implementation details.

Synchronization. Chapter 5 discusses the synchronization of multi-threaded

programs, a central part of all operating systems and increasingly important in

many other contexts. Our approach is to describe one effective method for

structuring concurrent programs (based on Mesa monitors), rather than to

attempt to cover several different approaches. In our view, it is more

important for students to master one methodology. Monitors are a particularly

robust and simple one, capable of implementing most concurrent programs

efficiently. The implementation of synchronization primitives should be

included if there is time, so students see that there is no magic.

Multi-Object Synchronization. Chapter 6 discusses advanced topics in

concurrency — specifically, the twin challenges of multiprocessor lock

contention and deadlock. This material is increasingly important for students

working on multicore systems, but some courses may not have time to cover it

in detail.

Scheduling. This chapter covers the concepts of resource allocation in the

specific context of processor scheduling. With the advent of data center

computing and multicore architectures, the principles and practice of resource

allocation have renewed importance. After a quick tour through the tradeoffs

between response time and throughput for uniprocessor scheduling, the chapter

covers a set of more advanced topics in affinity and multiprocessor

scheduling, power-aware and deadline scheduling, as well as basic queueing

theory and overload management. We conclude these topics by walking

students through a case study of server-side load management.

Address Translation. Chapter 8 explains mechanisms for hardware and

software address translation. The first part of the chapter covers how

hardware and operating systems cooperate to provide flexible, sparse address

spaces through multi-level segmentation and paging. We then describe how to

make memory management efficient with translation lookaside buffers (TLBs)

and virtually addressed caches. We consider how to keep TLBs consistent

when the operating system makes changes to its page tables. We conclude with

a discussion of modern software-based protection mechanisms such as those

found in the Microsoft Common Language Runtime and Google’s Native

Client.

Caching and Virtual Memory. Caches are central to many different types of

computer systems. Most students will have seen the concept of a cache in an

earlier class on machine structures. Thus, our goal is to cover the theory and

implementation of caches: when they work and when they do not, as well as

how they are implemented in hardware and software. We then show how these

ideas are applied in the context of memory-mapped files and demand-paged

virtual memory.

Advanced Memory Management. Address translation is a powerful tool in

system design, and we show how it can be used for zero copy I/O, virtual

machines, process checkpointing, and recoverable virtual memory. As this is

more advanced material, it can be skipped by those classes pressed for time.

File Systems: Introduction and Overview. Chapter 11 frames the file system

portion of the book, starting top down with the challenges of providing a

useful file abstraction to users. We then discuss the UNIX file system

interface, the major internal elements inside a file system, and how disk

device drivers are structured.

Storage Devices. Chapter 12 surveys block storage hardware, specifically

magnetic disks and flash memory. The last two decades have seen rapid

change in storage technology affecting both application programmers and

operating systems designers; this chapter provides a snapshot for students, as a

building block for the next two chapters. If students have previously seen this

material, this chapter can be skipped.

Files and Directories. Chapter 13 discusses file system layout on disk. Rather

than survey all possible file layouts — something that changes rapidly over

time — we use file systems as a concrete example of mapping complex data

structures onto block storage devices.

Reliable Storage. Chapter 14 explains the concept and implementation of

reliable storage, using file systems as a concrete example. Starting with the ad

hoc techniques used in early file systems, the chapter explains checkpointing

and write ahead logging as alternate implementation strategies for building

reliable storage, and it discusses how redundancy such as checksums and

replication are used to improve reliability and availability.

We welcome and encourage suggestions for how to improve the presentation of the

material; please send any comments to the publisher’s website,

suggestions@recursivebooks.com.

Acknowledgements

We have been incredibly fortunate to have the help of a large number of people in

the conception, writing, editing, and production of this book.

We started on the journey of writing this book over dinner at the USENIX NSDI

conference in 2010. At the time, we thought perhaps it would take us the summer to

complete the first version and perhaps a year before we could declare ourselves

done. We were very wrong! It is no exaggeration to say that it would have taken us

a lot longer without the help we have received from the people we mention below.

Perhaps most important have been our early adopters, who have given us

enormously useful feedback as we have put together this edition:

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