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OPERATING
SYSTEM
CONCEPTS
7(17+(',7,21
OPERATING
SYSTEM
CONCEPTS
ABRAHAM SILBERSCHATZ

:BMF
6OJWFSTJUZ

PETER BAER GALVIN

$BNCSJEHF
$PNQVUFS
BOE
4UBSGJTI
4UPSBHF

GREG GAGNE

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Publisher Laurie Rosatone
Editorial Director Don Fowley
Development Editor Ryann Dannelly
Freelance Developmental Editor Chris Nelson/Factotum
Executive Marketing Manager Glenn Wilson
Senior Content Manage Valerie Zaborski
Senior Production Editor Ken Santor
Media Specialist Ashley Patterson
Editorial Assistant Anna Pham
Cover Designer Tom Nery
Cover art © metha189/Shutterstock

This book was set in Palatino by the author using LaTeX and printed and bound by LSC Kendallville.
The cover was printed by LSC Kendallville.

Copyright © 2018, 2013, 2012, 2008 John Wiley & Sons, Inc. All rights reserved.

No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by
any means, electronic, mechanical, photocopying, recording, scanning or otherwise, except as permitted
under Sections 107 or 108 of the 1976 United States Copyright Act, without either the prior written
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Library of Congress Cataloging-in-Publication Data

Names: Silberschatz, Abraham, author. | Galvin, Peter B., author. | Gagne,

Greg, author.
Title: Operating system concepts / Abraham Silberschatz, Yale University,
Peter Baer Galvin, Pluribus Networks, Greg Gagne, Westminster College.
Description: 10th edition. | Hoboken, NJ : Wiley, [2018] | Includes
bibliographical references and index. |
Identifiers: LCCN 2017043464 (print) | LCCN 2017045986 (ebook) | ISBN
9781119320913 (enhanced ePub)
Subjects: LCSH: Operating systems (Computers)
Classification: LCC QA76.76.O63 (ebook) | LCC QA76.76.O63 S55825 2018 (print)
| DDC 005.4/3--dc23
LC record available at https://lccn.loc.gov/2017043464

The inside back cover will contain printing identification and country of origin if omitted from this page. In
addition, if the ISBN on the back cover differs from the ISBN on this page, the one on the back cover is
correct.
Enhanced ePub ISBN 978-1-119-32091-3
Printed in the United States of America
10 9 8 7 6 5 4 3 2 1
To my children, Lemor, Sivan, and Aaron
and my Nicolette

Avi Silberschatz

To my wife, Carla,
and my children, Gwen, Owen, and Maddie

Peter Baer Galvin

To my wife, Pat,
and our sons, Tom and Jay

Greg Gagne
Preface
Operating systems are an essential part of any computer system. Similarly, a
course on operating systems is an essential part of any computer science edu-
cation. This field is undergoing rapid change, as computers are now prevalent
in virtually every arena of day-to-day life—from embedded devices in auto-
mobiles through the most sophisticated planning tools for governments and
multinational firms. Yet the fundamental concepts remain fairly clear, and it is
on these that we base this book.
We wrote this book as a text for an introductory course in operating sys-
tems at the junior or senior undergraduate level or at the first-year graduate
level. We hope that practitioners will also find it useful. It provides a clear
description of the concepts that underlie operating systems. As prerequisites,
we assume that the reader is familiar with basic data structures, computer
organization, and a high-level language, such as C or Java. The hardware topics
required for an understanding of operating systems are covered in Chapter 1.
In that chapter, we also include an overview of the fundamental data structures
that are prevalent in most operating systems. For code examples, we use pre-
dominantly C, as well as a significant amount of Java, but the reader can still
understand the algorithms without a thorough knowledge of these languages.
Concepts are presented using intuitive descriptions. Important theoretical
results are covered, but formal proofs are largely omitted. The bibliographical
notes at the end of each chapter contain pointers to research papers in which
results were first presented and proved, as well as references to recent material
for further reading. In place of proofs, figures and examples are used to suggest
why we should expect the result in question to be true.
The fundamental concepts and algorithms covered in the book are often
based on those used in both open-source and commercial operating systems.
Our aim is to present these concepts and algorithms in a general setting that
is not tied to one particular operating system. However, we present a large
number of examples that pertain to the most popular and the most innovative
operating systems, including Linux, Microsoft Windows, Apple macOS (the
original name, OS X, was changed in 2016 to match the naming scheme of other
Apple products), and Solaris. We also include examples of both Android and
iOS, currently the two dominant mobile operating systems.
The organization of the text reflects our many years of teaching courses
on operating systems. Consideration was also given to the feedback provided
vii
viii Preface

by the reviewers of the text, along with the many comments and suggestions
we received from readers of our previous editions and from our current and
former students. This Tenth Edition also reflects most of the curriculum guide-
lines in the operating-systems area in Computer Science Curricula 2013, the most
recent curriculum guidelines for undergraduate degree programs in computer
science published by the IEEE Computing Society and the Association for Com-
puting Machinery (ACM).

What’s New in This Edition

For the Tenth Edition, we focused on revisions and enhancements aimed at
lowering costs to the students, better engaging them in the learning process,
and providing increased support for instructors.
According to the publishing industry’s most trusted market research firm,
Outsell, 2015 represented a turning point in text usage: for the first time,
student preference for digital learning materials was higher than for print, and
the increase in preference for digital has been accelerating since.
While print remains important for many students as a pedagogical tool, the
Tenth Edition is being delivered in forms that emphasize support for learning
from digital materials. All forms we are providing dramatically reduce the cost
to students compared to the Ninth Edition. These forms are:
• Stand-alone e-text now with significan enhancements. The e-text format
for the Tenth Edition adds exercises with solutions at the ends of main
sections, hide/reveal definitions for key terms, and a number of animated
figures. It also includes additional “Practice Exercises” with solutions for
each chapter, extra exercises, programming problems and projects, “Fur-
ther Reading” sections, a complete glossary, and four appendices for legacy
operating systems.
• E-text with print companion bundle. For a nominal additional cost, the
e-text also is available with an abridged print companion that includes
a loose-leaf copy of the main chapter text, end-of-chapter “Practice Exer-
cises” (solutions available online), and “Further Reading” sections. Instruc-
tors may also order bound print companions for the bundled package by
contacting their Wiley account representative.
Although we highly encourage all instructors and students to take advantage
of the cost, content, and learning advantages of the e-text edition, it is possible
for instructors to work with their Wiley Account Manager to create a custom
print edition.
To explore these options further or to discuss other options, contact your
Wiley account manager (http://www.wiley.com/go/whosmyrep) or visit the
product information page for this text on wiley.com

Book Material
The book consists of 21 chapters and 4 appendices. Each chapter and appendix
contains the text, as well as the following enhancements:
 Preface ix

• A set of practice exercises, including solutions

• A set of regular exercises
• A set of programming problems
• A set of programming projects
• A Further Reading section
• Pop-up definitions of important (blue) terms
• A glossary of important terms
• Animations that describe specific key concepts

A hard copy of the text is available in book stores and online. That version has
the same text chapters as the electronic version. It does not, however, include
the appendices, the regular exercises, the solutions to the practice exercises,
the programming problems, the programming projects, and some of the other
enhancements found in this ePub electronic book.

Content of This Book

The text is organized in ten major parts:
• Overview. Chapters 1 and 2 explain what operating systems are, what
they do, and how they are designed and constructed. These chapters dis-
cuss what the common features of an operating system are and what an
operating system does for the user. We include coverage of both tradi-
tional PC and server operating systems and operating systems for mobile
devices. The presentation is motivational and explanatory in nature. We
have avoided a discussion of how things are done internally in these chap-
ters. Therefore, they are suitable for individual readers or for students in
lower-level classes who want to learn what an operating system is without
getting into the details of the internal algorithms.
• Process management. Chapters 3 through 5 describe the process concept
and concurrency as the heart of modern operating systems. A process is
the unit of work in a system. Such a system consists of a collection of
concurrently executing processes, some executing operating-system code
and others executing user code. These chapters cover methods for process
scheduling and interprocess communication. Also included is a detailed
discussion of threads, as well as an examination of issues related to multi-
core systems and parallel programming.
• Process synchronization. Chapters 6 through 8 cover methods for process
synchronization and deadlock handling. Because we have increased the
coverage of process synchronization, we have divided the former Chapter
5 (Process Synchronization) into two separate chapters: Chapter 6, Syn-
chronization Tools, and Chapter 7, Synchronization Examples.
• Memory management. Chapters 9 and 10 deal with the management of
main memory during the execution of a process. To improve both the
x Preface

utilization of the CPU and the speed of its response to its users, the com-
puter must keep several processes in memory. There are many different
memory-management schemes, reflecting various approaches to memory
management, and the effectiveness of a particular algorithm depends on
the situation.
• Storage management. Chapters 11 and 12 describe how mass storage and
I/O are handled in a modern computer system. The I/O devices that attach
to a computer vary widely, and the operating system needs to provide a
wide range of functionality to applications to allow them to control all
aspects of these devices. We discuss system I/O in depth, including I/O
system design, interfaces, and internal system structures and functions.
In many ways, I/O devices are the slowest major components of the com-
puter. Because they represent a performance bottleneck, we also examine
performance issues associated with I/O devices.
• File systems. Chapters 13 through 15 discuss how file systems are handled
in a modern computer system. File systems provide the mechanism for on-
line storage of and access to both data and programs. We describe the clas-
sic internal algorithms and structures of storage management and provide
a firm practical understanding of the algorithms used—their properties,
advantages, and disadvantages.
• Security and protection. Chapters 16 and 17 discuss the mechanisms nec-
essary for the security and protection of computer systems. The processes
in an operating system must be protected from one another’s activities.
To provide such protection, we must ensure that only processes that have
gained proper authorization from the operating system can operate on
the files, memory, CPU, and other resources of the system. Protection is
a mechanism for controlling the access of programs, processes, or users
to computer-system resources. This mechanism must provide a means
of specifying the controls to be imposed, as well as a means of enforce-
ment. Security protects the integrity of the information stored in the system
(both data and code), as well as the physical resources of the system, from
unauthorized access, malicious destruction or alteration, and accidental
introduction of inconsistency.
• Advanced topics. Chapters 18 and 19 discuss virtual machines and
networks/distributed systems. Chapter 18 provides an overview of
virtual machines and their relationship to contemporary operating
systems. Included is a general description of the hardware and software
techniques that make virtualization possible. Chapter 19 provides an
overview of computer networks and distributed systems, with a focus on
the Internet and TCP/IP.
• Case studies. Chapter 20 and 21 present detailed case studies of two real
operating systems—Linux and Windows 10.
• Appendices. Appendix A discusses several old influential operating sys-
tems that are no longer in use. Appendices B through D cover in great
detaisl three older operating systems— Windows 7, BSD, and Mach.
 Preface xi

Programming Environments

The text provides several example programs written in C and Java. These
programs are intended to run in the following programming environments:
• POSIX. POSIX (which stands for Portable Operating System Interface) repre-
sents a set of standards implemented primarily for UNIX-based operat-
ing systems. Although Windows systems can also run certain POSIX pro-
grams, our coverage of POSIX focuses on Linux and UNIX systems. POSIX-
compliant systems must implement the POSIX core standard (POSIX.1);
Linux and macOS are examples of POSIX-compliant systems. POSIX also
defines several extensions to the standards, including real-time extensions
(POSIX.1b) and an extension for a threads library (POSIX.1c, better known
as Pthreads). We provide several programming examples written in C
illustrating the POSIX base API, as well as Pthreads and the extensions for
real-time programming. These example programs were tested on Linux 4.4
and macOS 10.11 systems using the gcc compiler.
• Java. Java is a widely used programming language with a rich API and
built-in language support for concurrent and parallel programming. Java
programs run on any operating system supporting a Java virtual machine
(or JVM). We illustrate various operating-system and networking concepts
with Java programs tested using Version 1.8 of the Java Development Kit
(JDK).
• Windows systems. The primary programming environment for Windows
systems is the Windows API, which provides a comprehensive set of func-
tions for managing processes, threads, memory, and peripheral devices.
We supply a modest number of C programs illustrating the use of this API.
Programs were tested on a system running Windows 10.

We have chosen these three programming environments because we

believe that they best represent the two most popular operating-system
models—Linux/UNIX and Windows—along with the widely used Java
environment. Most programming examples are written in C, and we expect
readers to be comfortable with this language. Readers familiar with both the
C and Java languages should easily understand most programs provided in
this text.
In some instances—such as thread creation—we illustrate a specific con-
cept using all three programming environments, allowing the reader to con-
trast the three different libraries as they address the same task. In other situa-
tions, we may use just one of the APIs to demonstrate a concept. For example,
we illustrate shared memory using just the POSIX API; socket programming in
TCP/IP is highlighted using the Java API.

Linux Virtual Machine

To help students gain a better understanding of the Linux system, we pro-
vide a Linux virtual machine running the Ubuntu distribution with this text.
The virtual machine, which is available for download from the text website
xii Preface

(http://www.os-book.com), also provides development environments includ-

ing the gcc and Java compilers. Most of the programming assignments in the
book can be completed using this virtual machine, with the exception of assign-
ments that require the Windows API. The virtual machine can be installed and
run on any host operating system that can run the VirtualBox virtualization
software, which currently includes Windows 10 Linux, and macOS.

The Tenth Edition

As we wrote this Tenth Edition of Operating System Concepts, we were guided by
the sustained growth in four fundamental areas that affect operating systems:
1. Mobile operating systems
2. Multicore systems
3. Virtualization
4. Nonvolatile memory secondary storage
To emphasize these topics, we have integrated relevant coverage throughout
this new edition. For example, we have greatly increased our coverage of the
Android and iOS mobile operating systems, as well as our coverage of the
ARMv8 architecture that dominates mobile devices. We have also increased
our coverage of multicore systems, including increased coverage of APIs that
provide support for concurrency and parallelism. Nonvolatile memory devices
like SSDs are now treated as the equals of hard-disk drives in the chapters that
discuss I/O, mass storage, and file systems.
Several of our readers have expressed support for an increase in Java
coverage, and we have provided additional Java examples throughout this
edition.
Additionally, we have rewritten material in almost every chapter by bring-
ing older material up to date and removing material that is no longer interest-
ing or relevant. We have reordered many chapters and have, in some instances,
moved sections from one chapter to another. We have also greatly revised
the artwork, creating several new figures as well as modifying many existing
figures.

Major Changes
The Tenth Edition update encompasses much more material than previous
updates, in terms of both content and new supporting material. Next, we
provide a brief outline of the major content changes in each chapter:

• Chapter 1: Introduction includes updated coverage of multicore systems,

as well as new coverage of NUMA systems and Hadoop clusters. Old
material has been updated, and new motivation has been added for the
study of operating systems.
• Chapter 2: Operating-System Structures provides a significantly revised
discussion of the design and implementation of operating systems. We
have updated our treatment of Android and iOS and have revised our
 Preface xiii

coverage of the system boot process with a focus on GRUB for Linux
systems. New coverage of the Windows subsystem for Linux is included
as well. We have added new sections on linkers and loaders, and we now
discuss why applications are often operating-system specific. Finally, we
have added a discussion of the BCC debugging toolset.
• Chapter 3: Processes simplifies the discussion of scheduling so that it
now includes only CPU scheduling issues. New coverage describes the
memory layout of a C program, the Android process hierarchy, Mach
message passing, and Android RPCs. We have also replaced coverage of
the traditional UNIX/Linux init process with coverage of systemd.
• Chapter 4: Threads and Concurrency (previously Threads) increases the
coverage of support for concurrent and parallel programming at the API
and library level. We have revised the section on Java threads so that it
now includes futures and have updated the coverage of Apple’s Grand
Central Dispatch so that it now includes Swift. New sections discuss fork-
join parallelism using the fork-join framework in Java, as well as Intel
thread building blocks.
• Chapter 5: CPU Scheduling (previously Chapter 6) revises the coverage of
multilevel queue and multicore processing scheduling. We have integrated
coverage of NUMA-aware scheduling issues throughout, including how
this scheduling affects load balancing. We also discuss related modifica-
tions to the Linux CFS scheduler. New coverage combines discussions of
round-robin and priority scheduling, heterogeneous multiprocessing, and
Windows 10 scheduling.
• Chapter 6: Synchronization Tools (previously part of Chapter 5, Process
Synchronization) focuses on various tools for synchronizing processes.
Significant new coverage discusses architectural issues such as instruction
reordering and delayed writes to buffers. The chapter also introduces lock-
free algorithms using compare-and-swap (CAS) instructions. No specific
APIs are presented; rather, the chapter provides an introduction to race
conditions and general tools that can be used to prevent data races. Details
include new coverage of memory models, memory barriers, and liveness
issues.
• Chapter 7: Synchronization Examples (previously part of Chapter 5,
Process Synchronization) introduces classical synchronization problems
and discusses specific API support for designing solutions that solve
these problems. The chapter includes new coverage of POSIX named and
unnamed semaphores, as well as condition variables. A new section on
Java synchronization is included as well.
• Chapter 8: Deadlocks (previously Chapter 7) provides minor updates,
including a new section on livelock and a discussion of deadlock as an
example of a liveness hazard. The chapter includes new coverage of the
Linux lockdep and the BCC deadlock detector tools, as well as coverage
of Java deadlock detection using thread dumps.
• Chapter 9: Main Memory (previously Chapter 8) includes several revi-
sions that bring the chapter up to date with respect to memory manage-
Another Random Scribd Document
with Unrelated Content
[44] Reading and Pate some three years afterwards figured in
another kind of Duo; the Post-Boy, June 20th, 1695, has the
following paragraph:—"I am informed that the Lord Chamberlain
hath been pleased to displace Mr. Pate and Mr. Reading from their
places in the Playhouse for being in the late riot at Drury Lane."
The riot had occurred at the "Dog Tavern," and in consequence
several persons were prosecuted and found guilty; some were
fined 500 marks each, but Reading and Pate were fined only
twenty marks each; probably their fines were reduced in
consideration of their dismissal by the Lord Chamberlain. They
were, however, soon afterwards reinstated in their previous
appointments.
[45] Nichol's Select Collection of Poems.
[46] In the thirteenth edition published in 1697, the third part has
the following heading:—"The art of Descant, or composing musick
in parts; made very plain and easie by the late Mr. Henry Purcell."
[47] The last piece Dryden wrote for the stage.
[48] The music was published by Walsh with the following new
title, "Te Deum et Jubilate for voices and instruments perform'd
before the Sons of the Clergy at the Cathedral Church of St. Paul.
Composed by the late Mr. Henry Purcel." This led to a notion that
the music had been composed for the "Sons of the Clergy"
festival.
[49] This third part is so scarce that probably only one or two
perfect copies now exist.
[50] In my own library.
[51] It is evident from this will that Purcell's youngest child, Mary
Peters, had died since her father's decease.
[52] Anecdotes, Biographical Sketches, by Letitia Matilda
Hawkins.
[53] "The English affect more the Italian than the French music,
and their own compositions are between the gravity of the first
and the levity of the other. They have had several great masters
of their own. Henry Purcell's works in that kind are esteemed
beyond Lully's everywhere, and they have now a good many very
eminent masters; but the taste of the town being at this day all
Italian, it is a great discouragement to them."—Mackay's Journey
Through England, 1722-3.
 [54] Dr. King's Bibliotheca, 1712.
[55] The flute of Purcell's day was blown at the extreme end like
a flageolet, the modern flauto traverso was unknown.
[56] Stafford Smith's Collection of English Songs, 1779.
[57] Purcell is named as one of the possessors of property in a
map of Ireland made about the middle of the seventeenth
century.
[58] Cosyn usually meant nephew.
[59] Meaning buried in the Church.
[60] The autograph score is in the British Museum.
[61] "On Wednesday next will be performed at York Buildings Mr.
Daniel Purcell's musick, made for last St. Cecilia's Feast, for the
benefit of Mr. Howel and Mr. Shore, with an addition of new vocal
and instrumental musick."—London Gazette, December 29, 1698.
[62] 1700 according to the new style.
[63] A pupil of Henry Purcell.
[64] "A Song sung by Mr. Mason in Magbeth, sett by Mr. D.
Purcell, 'Cease, gentle Swain,' in the Queen's library, Buckingham
Palace."
[65] Vol. ii. p. 759, new Edition. Novello & Co.
[66] Extracted from the Vestry books of St. Andrew's, Holborn.
[67] Baker's History of Northamptonshire, vol. i. p. 17.
[68] "Frances, daughter of Leonard Welsted, Gent, and Frances
his wife."
[69] 1750.
[70] The master was Bernard Gates.
[71] Mr. Turle having retired from active duty, Dr. J. F. Bridge is
now appointed permanent deputy organist.

TRANSCRIBER NOTES:
P. 2. 'set in on fire' changed to 'set it on fire'.
P. 36. 'Harpsecord' changed to 'Harpsichord'.
P. 37. 'he complete' changed to 'the completed'.
P. 69. Added footnote anchor.
P. 77. 'permaturely' changed to 'prematurely'.
P. 95. 'genuises' changed to 'geniuses'.
Footnote 29. 'harpischord' changed to 'harpsichord'.
P. 107. 'founders of he' changed to founders of the'.
Index: Wood, 4, 91
Corrected various punctuation.
*** END OF THE PROJECT GUTENBERG EBOOK THE GREAT
MUSICIANS: PURCELL ***

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