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This page intentionally left blank
 Operating
System Concepts
E ssentials
This page intentionally left blank
 Operating
System Concepts
E ssentials

ABRAHAM SILBERSCHATZ
Yale University

PETER BAER GALVIN

Corporate Technologies, Inc.

GREG GAGNE
Westminster College

JOHN WILEY & SONS. INC

 Vice President and Executive Publisher Don Fowley
Executive Editor Beth Lang Golub
Editorial Assistant Mike Berlin
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Marketing Assistant Diana Smith
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This book was set in Palatino by the author using LaTeX and printed and bound by R.R. Donnelley Jefferson City.
The cover was printed by R.R. Donnelley.

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No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any
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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
Abraham Silberschatz is the Sidney J. Weinberg Professor & Chair of Com-
puter Science at Yale University. Prior to joining Yale, he was the Vice President
of the Information Sciences Research Center at Bell Laboratories. Prior to that,
he held a chaired professorship in the Department of Computer Sciences at the
University of Texas at Austin.
Professor Silberschatz is an ACM Fellow, an IEEE Fellow, and a member
of the Connecticut Academy of Science and Engineering. He received the 2002
IEEE Taylor L. Booth Education Award, the 1998 ACM Karl V. Karlstrom
Outstanding Educator Award, and the 1997 ACM SIGMOD Contribution
Award. In recognition of his outstanding level of innovation and technical
excellence, he was awarded the Bell Laboratories President’s Award for three
different projects—the QTM Project (1998), the DataBlitz Project (1999), and
the NetInventory Project (2004).
Professor Silberschatz’ writings have appeared in numerous ACM and
IEEE publications and other professional conferences and journals. He is a
coauthor of the textbook Database System Concepts. He has also written Op-Ed
articles for the New York Times, the Boston Globe, and the Hartford Courant,
among others.

Peter Baer Galvin is the CTO for Corporate Technologies (www.cptech.com),

a computer facility reseller and integrator. Before that, Mr. Galvin was the
systems manager for Brown University’s Computer Science Department. He is
also Sun columnist for ;login: magazine. Mr. Galvin has written articles for Byte
and other magazines, and has written columns for SunWorld and SysAdmin
magazines. As a consultant and trainer, he has given talks and taught tutorials
on security and system administration worldwide.

Greg Gagne is chair of the Computer Science department at Westminster

College in Salt Lake City where he has been teaching since 1990. In addition
to teaching operating systems, he also teaches computer networks, distributed
systems, and software engineering. He also provides workshops to computer
science educators and industry professionals.
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
education. This field is undergoing rapid change, as computers are now
prevalent in virtually every application, from games for children 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 systems
at the junior or senior undergraduate 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 included in Chapter 1. For code examples, we use predominantly
C, with some 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 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 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 existing 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. We present a large number of examples
that pertain to the most popular and the most innovative operating systems,
including Sun Microsystems’ Solaris; Linux; Microsoft Windows 7, Windows
2000, and Windows XP; and Apple Mac OS X. When we refer to Windows XP as
an example operating system, we mean Windows XP and Windows 2000. If a
feature exists in a specific release, we state this explicitly.

vii
viii Preface

Organization of This Book

The organization of this text reflects our many years of teaching courses on
operating systems. Consideration was also given to the feedback provided by
the reviewers of the text, as well as comments submitted by readers of earlier
editions. In addition, the content of the text corresponds to the suggestions
from Computing Curricula 2005 for teaching operating systems, published by
the Joint Task Force of the IEEE Computing Society and the Association for
Computing Machinery (ACM).
On the supporting Web site for this text, we provide several sample
syllabi that suggest various approaches for using the text in both introductory
and advanced courses. As a general rule, we encourage readers to progress
sequentially through the chapters, as this strategy provides the most thorough
study of operating systems. However, by using the sample syllabi, a reader can
select a different ordering of chapters (or subsections of chapters).

Content of This Book

The text is organized in eight major parts:

• Overview. Chapters 1 and 2 explain what operating systems are, what they
do, and how they are designed and constructed. These chapters discuss what
the common features of an operating system are, what an operating system
does for the user, and what it does for the computer-system operator. The
presentation is motivational and explanatory in nature. We have avoided a
discussion of how things are done internally in these chapters. 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 6 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 of which are operating-system
processes (those that execute system code) and the rest of which are user
processes (those that execute user code). These chapters cover methods for
process scheduling, interprocess communication, process synchronization,
and deadlock handling. Also included is a discussion of threads, as well
as an examination of issues related to multicore systems.
• Memory management. Chapters 7 and 8 deal with the management of
main memory during the execution of a process. To improve both the
utilization of the CPU and the speed of its response to its users, the
computer 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 9 through 12 describe how the file system,
mass storage, and I/O are handled in a modern computer system. The
 Preface ix

file system provides the mechanism for on-line storage of and access
to both data and programs. We describe the classic internal algorithms
and structures of storage management and provide a firm practical
understanding of the algorithms used —their properties, advantages, and
disadvantages. Our discussion of storage also includes matters related
to secondary and tertiary storage. Since the I/O devices that attach to a
computer vary widely, 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 computer. Because
they represent a performance bottleneck, we also examine performance
issues associated with I/O devices.
• Protection and security. Chapters 13 and 14 discuss the mechanisms
necessary for the protection and security of computer systems. The
processes in an operating system must be protected from one another’s
activities, and 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 the resources defined by a computer system. This mechanism
must provide a means of specifying the controls to be imposed, as
well as a means of enforcement. 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.
• Case studies. Chapters 15 and 16 in the book, and Appendices A through
C (which are available on www.wiley.com/college/silberschatz and in
www.os-book.com), integrate the concepts described in the earlier chapters
by describing real operating systems. Chapters 15 and 16 cover the
Linux and Windows 7 operating systems. The online Appendices include
FreeBSD, Mach, and Windows 2000. We chose Linux and FreeBSD because
UNIX —at one time—was almost small enough to understand yet was not
a “toy” operating system. Most of its internal algorithms were selected for
simplicity, rather than for speed or sophistication. Both Linux and FreeBSD
are readily available to computer-science departments, so many students
have access to these systems. We chose Windows 7 and Windows 2000
because they provide an opportunity for us to study a modern operating
system with a design and implementation drastically different from those
of UNIX.

Operating-System Environments
This book uses examples of many real-world operating systems to illustrate
fundamental operating-system concepts. However, particular attention is paid
to the Microsoft family of operating systems (including Windows 7, Windows
2000, and Windows XP) and various versions of UNIX (including Solaris, BSD,
and Mac OS X). We also provide a significant amount of coverage of the Linux
x Preface

operating system reflecting the most recent version of the kernel—Version 2.6
—at the time this book was written.
The text also provides several example programs written in C and
Java. These programs are intended to run in the following programming
environments:

• Windows systems. The primary programming environment for Windows

systems is the Win32 API (application programming interface), which pro-
vides a comprehensive set of functions for managing processes, threads,
memory, and peripheral devices. We provide several C programs illustrat-
ing the use of the Win32 API. Example programs were tested on systems
running Windows XPand Windows 7.
• POSIX. POSIX (which stands for Portable Operating System Interface) repre-
sents a set of standards implemented primarily for UNIX-based operating
systems. Although Windows 7, Windows XP, and Windows 2000 systems
can also run certain POSIX programs, our coverage of POSIX focuses primar-
ily on UNIX and Linux systems. POSIX-compliant systems must implement
the POSIX core standard (POSIX.1): Linux, Solaris, and Mac OS X are exam-
ples of POSIX-compliant systems. POSIX also defines several extensions to
the standards, including real-time extensions (POSIX1.b) and an extension
for a threads library (POSIX1.c, 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 Debian Linux 2.4 and 2.6 systems,
Mac OS X 10.6, and Solaris 10 using the gcc 3.3 and 4.0 compilers.
• Java. Java is a widely used programming language with a rich API and
built-in language support for thread creation and management. Java
programs run on any operating system supporting a Java virtual machine
(or JVM). We illustrate various operating system concepts with several Java
programs tested using the Java 1.5 JVM.

We have chosen these three programming environments because it is our

opinion that they best represent the two most popular models of operating
systems: Windows and UNIX/Linux, along with the widely used Java environ-
ment. 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
concept using all three programming environments, allowing the reader to
contrast the three different libraries as they address the same task. In other
situations, we may use just one of the APIs to demonstrate a concept. For
example, we illustrate shared memory using just the POSIX API.

Operating System Essentials

We have based Operating System Essentials on the Eighth Edition of Operating

System Concepts, published in 2009. Our intention behind developing this
Essentials edition is to provide readers with a textbook that focuses on the
 Preface xi

core concepts that underlie contemporary operating systems. By focusing on

core concepts, we believe students are able to grasp the essential features of a
modern operating system more easily and more quickly.
To achieve this, Operating System Essentials omits the following coverage
from the Eighth Edition of Operating System Concepts:

• We remove coverage of pipes as a form of interprocess communication in

Chapter 3.
• We remove coverage of Atomic Transactions in Chapter 6.
• We remove Chapter 7—Deadlocks—and instead offer a brief overview of
deadlocks in Chapter 6.
• We remove Chapters 16 through 18, which cover distributed systems.
• Chapter 19 (Real-Time Systems) and Chapter 20 (Multimedia Systems) are
removed.
• Chapter 16, which covers Windows 7 and is a new chapter, replaces the
chapter on Windows XP in the Eighth Edition.

This Essentials edition includes updated coverage of many topics relevant to

the study of operating systems. Most importantly, it includes updated coverage
of multicore CPUs, virtual machines, and open-source operating systems as well
as updated content on file and I/O Systems.

Programming Problems and Projects

To emphasize the concepts presented in the text, we have several programming

problems and projects that use the POSIX and Win32 APIs, as well as Java. The
programming problems emphasize processes, threads, shared memory and
process synchronization. In addition, we have included several programming
projects that are more involved than standard programming exercises. These
projects include adding a system call to the Linux kernel, using UNIX mes-
sage queues, creating multithreaded applications, and solving the producer–
consumer problem using shared memory.

Teaching Supplements

The site www.wiley.com/college/silberschatz contains the following teaching

supplements: a set of slides to accompany the book, model course syllabi, all
C and Java source code, up-to-date errata, and two case study appendices.
To obtain restricted supplements, such as the solution guide to the exercises
in the text, contact your local John Wiley & Sons sales representative. Note that
these supplements are available only to faculty who use this text. You can find
your Wiley representative by going to www.wiley.com/college and clicking
“Who’s my rep?”
xii Preface

Contacting Us

We have attempted to clean up every error in this edition, but—as happens

with operating systems—a few obscure bugs may remain; an up-to-date errata
list is accessible from the book’s home page. We would appreciate hearing from
you about any textual errors or omissions in the book that are not on the current
list of errata.
We would be glad to receive suggestions on improvements to the book. We
also welcome any contributions to the book’s Web page that could be of use
to other readers, such as programming exercises, project suggestions, on-line
labs and tutorials, and teaching tips.
E-mail should be addressed to [email protected]. Any other
correspondence should be sent to Avi Silberschatz, Department of Computer
Science, Yale University, 51 Prospect Street, P.O. Box 208285, New Haven, CT
06520-8285 USA.

Acknowledgments
This book is derived from the previous editions, the first three of which
were coauthored by James Peterson. Others who helped us with previous
editions include Hamid Arabnia, Rida Bazzi, Randy Bentson, David Black,
Joseph Boykin, Jeff Brumfield, Gael Buckley, Roy Campbell, P. C. Capon, John
Carpenter, Gil Carrick, Thomas Casavant, Bart Childs, Ajoy Kumar Datta,
Joe Deck, Sudarshan K. Dhall, Thomas Doeppner, Caleb Drake, M. Racsit
Eskicioğlu, Hans Flack, Robert Fowler, G. Scott Graham, Richard Guy, Max
Hailperin, Rebecca Hartman, Wayne Hathaway, Christopher Haynes, Don
Heller, Bruce Hillyer, Mark Holliday, Dean Hougen, Michael Huangs, Ahmed
Kamel, Morty Kewstel, Richard Kieburtz, Carol Kroll, Morty Kwestel, Thomas
LeBlanc, John Leggett, Jerrold Leichter, Ted Leung, Gary Lippman, Carolyn
Miller, Michael Molloy, Euripides Montagne, Yoichi Muraoka, Jim M. Ng,
Banu Özden, Ed Posnak, Boris Putanec, Charles Qualline, John Quarterman,
Mike Reiter, Gustavo Rodriguez-Rivera, Carolyn J. C. Schauble, Thomas P.
Skinner, Yannis Smaragdakis, Jesse St. Laurent, John Stankovic, Adam Stauffer,
Steven Stepanek, John Sterling, Hal Stern, Louis Stevens, Pete Thomas, David
Umbaugh, Steve Vinoski, Tommy Wagner, Larry L. Wear, John Werth, James
M. Westall, J. S. Weston, and Yang Xiang
Chapter 16 was written by Dave Probert and was derived from Chapter
22 of the Eighth Edition of Operating System Concepts. Parts of Chapter 11
were derived from a paper by Hillyer and Silberschatz [1996]. Chapter 15 was
derived from an unpublished manuscript by Stephen Tweedie. Cliff Martin
helped with updating the UNIX appendix to cover FreeBSD. Some of the exer-
cises and accompanying solutions were supplied by Arvind Krishnamurthy.
Mike Shapiro, Bryan Cantrill, and Jim Mauro answered several Solaris-
related questions and Bryan Cantrill helped with the ZFS coverage. Josh Dees
and Rob Reynolds contributed coverage of Microsoft’s .NET. The project for
POSIX message queues was contributed by John Trono of Saint Michael’s
 Preface xiii

College in Colchester, Vermont. Judi Paige and Marilyn Turnamian helped

generate figures and presentation slides. Mark Wogahn has made sure that the
software to produce the book (e.g., Latex macros, fonts) works properly.
Our executive editor, Beth Golub, provided expert guidance as we prepared
this edition. She was assisted by Mike Berlin, who managed many details of this
project smoothly. The Senior Production Editor, Ken Santor, was instrumental
in handling all the production details.
The cover illustrator was Susan Cyr, and the cover designer was Howard
Grossman. Beverly Peavler copy-edited the manuscript. The freelance proof-
reader was Katrina Avery; the freelance indexer was WordCo, Inc.

Abraham Silberschatz, New Haven, CT, 2010

Peter Baer Galvin, Burlington, MA, 2010
Greg Gagne, Salt Lake City, UT, 2010
This page intentionally left blank
Contents
PART ONE OVERVIEW
Chapter 1 Introduction
1.1 What Operating Systems Do 3 1.9 Protection and Security 29
1.2 Computer-System Organization 6 1.10 Distributed Systems 30
1.3 Computer-System Architecture 12 1.11 Special-Purpose Systems 31
1.4 Operating-System Structure 18 1.12 Computing Environments 34
1.5 Operating-System Operations 20 1.13 Open-Source Operating Systems 37
1.6 Process Management 23 1.14 Summary 40
1.7 Memory Management 24 Exercises 42
1.8 Storage Management 25 Bibliographical Notes 45

Chapter 2 Operating-System Structures

2.1 Operating-System Services 47 2.8 Virtual Machines 74
2.2 User Operating-System Interface 50 2.9 Operating-System Debugging 82
2.3 System Calls 53 2.10 Operating-System Generation 86
2.4 Types of System Calls 56 2.11 System Boot 87
2.5 System Programs 64 2.12 Summary 88
2.6 Operating-System Design and Exercises 89
Implementation 66 Bibliographical Notes 95
2.7 Operating-System Structure 68

PART TWO PROCESS MANAGEMENT

Chapter 3 Processes
3.1 Process Concept 99 3.6 Communication in Client –
3.2 Process Scheduling 103 Server Systems 126
3.3 Operations on Processes 108 3.7 Summary 132
3.4 Interprocess Communication 114 Exercises 133
3.5 Examples of IPC Systems 121 Bibliographical Notes 143

xv
xvi Contents

Chapter 4 Threads
4.1 Overview 145 4.5 Operating-System Examples 163
4.2 Multithreading Models 149 4.6 Summary 166
4.3 Thread Libraries 151 Exercises 166
4.4 Threading Issues 157 Bibliographical Notes 173

Chapter 5 CPU Scheduling

5.1 Basic Concepts 175 5.6 Operating System Examples 198
5.2 Scheduling Criteria 179 5.7 Algorithm Evaluation 205
5.3 Scheduling Algorithms 180 5.8 Summary 210
5.4 Thread Scheduling 191 Exercises 211
5.5 Multiple-Processor Scheduling 194 Bibliographical Notes 215

Chapter 6 Process Synchronization

6.1 Background 217 6.7 Monitors 236
6.2 The Critical-Section Problem 219 6.8 Synchronization Examples 245
6.3 Peterson’s Solution 221 6.9 Deadlocks 249
6.4 Synchronization Hardware 223 6.10 Summary 258
6.5 Semaphores 226 Exercises 259
6.6 Classic Problems of Bibliographical Notes 273
Synchronization 232

PART THREE MEMORY MANAGEMENT

Chapter 7 Main Memory

7.1 Background 277 7.6 Segmentation 304
7.2 Swapping 284 7.7 Example: The Intel Pentium 307
7.3 Contiguous Memory Allocation 286 7.8 Summary 311
7.4 Paging 290 Exercises 312
7.5 Structure of the Page Table 299 Bibliographical Notes 316

Chapter 8 Virtual Memory

8.1 Background 319 8.8 Allocating Kernel Memory 358
8.2 Demand Paging 323 8.9 Other Considerations 361
8.3 Copy-on-Write 329 8.10 Operating-System Examples 367
8.4 Page Replacement 331 8.11 Summary 370
8.5 Allocation of Frames 344 Exercises 371
8.6 Thrashing 348 Bibliographical Notes 379
8.7 Memory-Mapped Files 352
 Contents xvii

PART FOUR STORAGE MANAGEMENT

Chapter 9 File-System Interface
9.1 File Concept 383 9.6 Protection 413
9.2 Access Methods 392 9.7 Summary 418
9.3 Directory and Disk Structure 395 Exercises 419
9.4 File-System Mounting 406 Bibliographical Notes 421
9.5 File Sharing 408

Chapter 10 File-System Implementation

10.1 File-System Structure 423 10.6 Efficiency and Performance 444
10.2 File-System Implementation 426 10.7 Recovery 448
10.3 Directory Implementation 432 10.8 Summary 452
10.4 Allocation Methods 433 Exercises 453
10.5 Free-Space Management 441 Bibliographical Notes 455

Chapter 11 Mass-Storage Structure

11.1 Overview of Mass-Storage 11.6 Swap-Space Management 472
Structure 457 11.7 RAID Structure 474
11.2 Disk Structure 460 11.8 Summary 483
11.3 Disk Attachment 461 Exercises 485
11.4 Disk Scheduling 462 Bibliographical Notes 491
11.5 Disk Management 468

Chapter 12 I/O Systems

12.1 Overview 493 12.6 STREAMS 518
12.2 I/O Hardware 494 12.7 Performance 520
12.3 Application I/O Interface 503 12.8 Summary 523
12.4 Kernel I/O Subsystem 509 Exercises 524
12.5 Transforming I/O Requests to Bibliographical Notes 526
Hardware Operations 516

PART FIVE PROTECTION AND SECURITY

Chapter 13 Protection
13.1 Goals of Protection 529 13.7 Revocation of Access Rights 544
13.2 Principles of Protection 530 13.8 Capability-Based Systems 545
13.3 Domain of Protection 531 13.9 Summary 548
13.4 Access Matrix 536 Exercises 549
13.5 Implementation of Access Matrix 540 Bibliographical Notes 551
13.6 Access Control 543
xviii Contents

Chapter 14 Security
14.1 The Security Problem 553 14.6 An Example: Windows 586
14.2 Program Threats 557 14.7 Summary 587
14.3 System and Network Threats 565 Exercises 588
14.4 Cryptography as a Security Tool 570 Bibliographical Notes 589
14.5 User Authentication 581

PART SIX CASE STUDIES

Chapter 15 The Linux System
15.1 Linux History 595 15.8 Input and Output 629
15.2 Design Principles 600 15.9 Interprocess Communication 631
15.3 Kernel Modules 603 15.10 Network Structure 633
15.4 Process Management 606 15.11 Security 635
15.5 Scheduling 609 15.12 Summary 637
15.6 Memory Management 614 Exercises 638
15.7 File Systems 623 Bibliographical Notes 639

Chapter 16 Windows 7
16.1 History 641 16.5 File System 675
16.2 Design Principles 643 16.6 Networking 681
16.3 System Components 650 16.7 Programmer Interface 686
16.4 Terminal Services and Fast User 16.8 Summary 695
Switching 674 Exercises 696

PART SEVEN APPENDICES

Appendix A The FreeBSD System (contents online)
A.1 UNIX History A1 A.7 File System A24
A.2 Design Principles A6 A.8 I/O System A32
A.3 Programmer Interface A8 A.9 Interprocess Communication A35
A.4 User Interface A15 A.10 Summary A40
A.5 Process Management A18 Exercises A41
A.6 Memory Management A22 Bibliographical Notes A42

Appendix B The Mach System (contents online)

B.1 History of the Mach System B1 B.6 Memory Management B18
B.2 Design Principles B3 B.7 Programmer Interface B23
B.3 System Components B4 B.8 Summary B24
B.4 Process Management B7 Exercises B25
B.5 Interprocess Communication B13 Bibliographical Notes B26
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