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UNIT – V

DEADLOCKS

To develop a description of deadlocks, which prevent sets of concurrent processes from completing their tasks.
To present a number of different methods for preventing or avoiding deadlocks in a computer system.

The Deadlock Problem

A set of blocked processes each holding a resource and waiting to acquire a resource held by another process in
the set
Example
System has 2 disk drives
P1 and P2 each hold one disk drive and each needs another
one Example
semaphores A and B, initialized to 1

P0 P1
wait (A); wait(B)
wait (B); wait(A)

Bridge Crossing Example

 Traffic only in one direction

 Each section of a bridge can be viewed as a resource
 If a deadlock occurs, it can be resolved if one car backs up (preempt resources and rollback)
 Several cars may have to be backed up if a deadlock occurs
 Starvation is possible
 Note – Most OSes do not prevent or deal with deadlocks

System Model
 Resource types R1, R2, . . ., Rm
 CPU cycles, memory space, I/O devices

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 Each resource type Ri has Wi instances. Each

process utilizes a resource as follows:
request
use
release

Deadlock Characterization
Deadlock can arise if four conditions hold simultaneously
Mutual exclusion: only one process at a time can use a resource
Hold and wait: a process holding at least one resource is waiting to acquire additional resources held by other
processes
No preemption: a resource can be released only voluntarily by the process holding it, after that process has
completed its task
Circular wait: there exists a set {P0, P1, …, P0} of waiting processes such that P0 is waiting for a resource
that is held by P1, P1 is waiting for a resource that is held by
P2, …, Pn–1 is waiting for a resource that is held by
Pn, and P0 is waiting for a resource that is held by P0.

Resource-Allocation Graph
A set of vertices V and a set of edges
E V is partitioned into two types:
P = {P1, P2, …, Pn}, the set consisting of all the processes in the system
R = {R1, R2, …, Rm}, the set consisting of all resource types in the
system request edge – directed edge P1 ® Rj
assignment edge – directed edge Rj ® Pi

Process

Resource Type with 4 instances

Pi requests instance of Rjn Pi

Rj
Pi is holding an instance of Rj
Pi

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Example of a Resource Allocation Graph

Rj

Resource Allocation Graph With A Deadlock

Graph With A Cycle But No Deadlock

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Basic Facts
If graph contains no cycles no deadlock If graph contains a cycle if only one instance per resource type, then
deadlock
if several instances per resource type, possibility of deadlock

Methods for Handling Deadlocks

Ensure that the system will never enter a deadlock state Allow the system to enter a deadlock state and then
recover Ignore the problem and pretend that deadlocks never occur in the system; used by most operating
systems, including UNIX

Deadlock Prevention
Restrain the ways request can be made

Mutual Exclusion – not required for sharable resources; must hold for non sharable resources

Hold and Wait – must guarantee that whenever a process requests a resource, it does not hold any other
resources
Require process to request and be allocated all its resources before it begins execution, or allow process to
request resources only when the process has none
Low resource utilization; starvation possible

No Preemption –
If a process that is holding some resources requests another resource that cannot be immediately allocated to it,
then all resources currently being held are released Preempted resources are added to the list of resources for
which the process is waiting Process will be restarted only when it can regain its old resources, as well as the
new ones that it is requesting

Circular Wait – impose a total ordering of all resource types, and require that each process requests resources
in an increasing order of enumeration

Deadlock Avoidance
Requires that the system has some additional a priori information
available
Simplest and most useful model requires that each process declare the maximum number of resources of
each type that it may need
The deadlock-avoidance algorithm dynamically examines the resource-allocation state to ensure that there can
never be a circular-wait condition
Resource-allocation state is defined by the number of available and allocated resources, and the maximum
demands of the processes

Safe State
When a process requests an available resource, system must decide if immediate allocation leaves the system in
a safe state
System is in safe state if there exists a sequence <P1, P2, …, Pn> of ALL the processes is the systems such that
for each Pi, the resources that Pi can still request can be satisfied by currently available resources + resources
held by all the Pj, with j < in That is:
If Pi resource needs are not immediately available, then Pi can wait until all Pj have finished
When Pj is finished, Pi can obtain needed resources, execute, return allocated resources, and
terminate When Pi terminates, Pi +1 can obtain its needed resources, and so on

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Basic Facts
If a system is in safe state Þ no deadlocks. If a system is in unsafe state Þ possibility of deadlock Avoidance Þ
ensure that a system will never enter an unsafe state.
Safe, Unsafe , Deadlock State

Avoidance algorithms
 Single instance of a resource type
 Use a resource-allocation graph
 Multiple instances of a resource type
 Use the banker’s algorithm

Resource-Allocation Graph Scheme

Claim edge Pi ® Rj indicated that process Pj may request resource Rj; represented by a dashed linen Claim edge
converts to request edge when a process requests a resource Request edge converted to an assignment edge
when the resource is allocated to the process
When a resource is released by a process, assignment edge reconverts to a claim edge Resources must be
claimed a priori in the system

Resource-Allocation Graph

Unsafe State In Resource-Allocation Graph

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Resource-Allocation Graph Algorithm

Suppose that process Pi requests a resource Rj
The request can be granted only if converting the request edge to an assignment edge does not result in
the formation of a cycle in the resource allocation graph

Banker’s Algorithm
Multiple instances Each process must a priori claim maximum use When a process requests a resource it
may have to wait When a process gets all its resources it must return them in a finite amount of time

Data Structures for the Banker’s Algorithm

Let n = number of processes, and m = number of resources types.
Available: Vector of length m. If available [j] = k, there are k instances of resource type Rj available
Max: n x m matrix. If Max [i,j] = k, then process Pi may request at most k instances of resource type Rj
Allocation: n x m matrix. If Allocation[i,j] = k then Pi is currently allocated k instances of RjNeed: n x m
matrix. If Need[i,j] = k, then Pi may need k more instances of Rj to complete its task

Need [i,j] = Max[i,j] – Allocation [i,j]

Safety Algorithm
1. Let Work and Finish be vectors of length m and n, respectively. Initialize:
Work = Available
Finish [i] = false for i = 0, 1, …, n- 1
2. Find and i such that both:
(a) Finish [i] = false(b) Needi £ Work
If no such i exists, go to step 4

3. Work = Work + Allocationi

Finish[i] = true
go to step 2

4. If Finish [i] == true for all i, then the system is in a safe state

Resource-Request Algorithm for Process Pi

1. Request = request vector for process Pi. If Requesti [j] = k then process Pi wants k instances of resource type
Rj1. If Requesti £ Needi go to step 2. Otherwise, raise error condition, since process has exceeded its maximum
claim
2. If Requesti £ Available, go to step 3. Otherwise Pi must wait, since resources are not available
3. Pretend to allocate requested resources to Pi by modifying the state as follows:
Available = Available – Request;
Allocationi = Allocationi + Requesti;
Needi = Needi – Requesti;
If safe Þ the resources are allocated to Pi
If unsafe Þ Pi must wait, and the old resource-allocation state is restored

Example of Banker’s Algorithm

n5 processes P0 through P4;

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3 resource types:
A (10 instances), B (5instances), and C (7 instances)
Snapshot at time T0:

Allocation Max Available ABC ABC AB

C
P0 010 753 P1 2 0 0 32
2
P2 302 902
P3 211 222
P4 002 433

The content of the matrix Need is defined to be Max – Allocation

Need ABC
P0 7 4 3
P1 1 2 2
P2 6 0 0
P3 0 1 1
P4 4 3 1
The system is in a safe state since the sequence < P1, P3, P4, P2, P0> satisfies safety criteria

Example: P1 Request (1,0,2)

Check that Request £ Available (that is, (1,0,2) £ (3,3,2) Þ true

Allocation Need Available

ABC ABC ABC
P0 010 743 230
P1 302 020
P2 301 600
P3 211 011
P4 002 431

Executing safety algorithm shows that sequence < P1, P3, P4, P0, P2> satisfies safety
requirement Can request for (3,3,0) by P4 be granted?
Can request for (0,2,0) by P0 be granted?
Deadlock Detection
Allow system to enter deadlock state Detection algorithm Recovery scheme

Single Instance of Each Resource Type

Maintain wait-for graph
Nodes are processes
Pi ® Pj if Pi is waiting for Pj Periodically invoke an algorithm that searches for a cycle in the graph. If there is
a cycle, there exists a deadlock
An algorithm to detect a cycle in a graph requires an order of n2 operations, where n is the number of vertices
in the graph
Resource-Allocation Graph and Wait-for Graph

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Resource-Allocation Graph Corresponding wait-for graph

Several Instances of a Resource Type
Available: A vector of length m indicates the number of available resources of each type. Allocation: An n x m
matrix defines the number of resources of each type currently allocated to each process. Request: An n x m
matrix indicates the current request of each process. If Request [ij] = k, then process Pi is requesting k more
instances of resource type. Rj.

Detection Algorithm

1. Let Work and Finish be vectors of length m and n, respectively Initialize:

(a) Work = Available(b) For i = 1,2, …, n, if Allocationi ¹ 0, then
Finish[i] = false; otherwise, Finish[i] = true2. Find an index i such that both:
(a) Finish[i] == false(b) Requesti £ Work If no such i exists, go to step 4
3. Work = Work + Allocationi
Finish[i] = true
go to step 24. If Finish[i] == false, for some i, 1 £ i £ n, then the system is in deadlock state. Moreover, if
Finish[i] == false, then Pi is deadlocked

Algorithm requires an order of O(m x n2) operations to detect whether the system is in deadlocked state
Example of Detection Algorithm
nFive processes P0 through P4; three resource types
A (7 instances), B (2 instances), and C (6 instances)
nSnapshot at time T0:

Allocation Need Available

ABC ABC ABC
P0 010 000 000
P1 200 202
P2 303 000
P3 211 100
P4 002 002

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Sequence <P0, P2, P3, P1, P4> will result in Finish[i] = true for all i

P2 requests an additional instance of type C

Request A B C
P0 0 0 0
P1 2 0 1
P2 0 0 1
P3 1 0 0
P4 0 0 2

State of system?
Can reclaim resources held by process P0, but insufficient resources to fulfill other processes; requests
Deadlock exists, consisting of processes P1, P2, P3, and P4

Detection-Algorithm Usage
When, and how often, to invoke depends on:
How often a deadlock is likely to occur?
How many processes will need to be rolled back?
one for each disjoint cycle If detection algorithm is invoked arbitrarily, there may be many cycles in the
resource graph and so we would not be able to tell which of the many deadlocked processes ―caused‖ the
deadlock.

Recovery from Deadlock: Process Termination

Abort all deadlocked processes Abort one process at a time until the deadlock cycle is eliminated. In
which order should we choose to abort?
Priority of the process
How long process has computed, and how much longer to
completion Resources the process has used
Resources process needs to complete
How many processes will need to be
terminated Is process interactive or batch?

Recovery from Deadlock: Resource Preemption

Selecting a victim – minimize cost Rollback – return to some safe state, restart process for that state Starvation
– same process may always be picked as victim, include number of rollback in cost factor

I/O Systems
Explore the structure of an operating system’s I/O subsystem
Discuss the principles of I/O hardware and its complexity
Provide details of the performance aspects of I/O hardware and software

I/O Hardware
Incredible variety of I/O devices
Common concepts
Port
Bus (daisy chain or shared direct access)
Controller (host adapter)
I/O instructions control devices
Devices have addresses, used by

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Direct I/O instructions

Memory-mapped I/O

A Typical PC Bus Structure

Device I/O Port Locations on PCs (partial)

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Polling
Determines state of
device command-ready
busy
Error Busy-wait cycle to wait for I/O from device

Interrupts
CPU Interrupt-request line triggered by I/O device Interrupt handler receives interrupts Markable to ignore or
delay some interrupts Interrupt vector to dispatch interrupt to correct handler Based on priority Some
nonmarkable Interrupt mechanism also used for exceptions

Interrupt-Driven I/O Cycle

Intel Pentium Processor Event-Vector Table

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Direct Memory Access

Used to avoid programmed I/O for large data movement Requires DMA controller Bypasses CPU to transfer
data directly between I/O device and memory.

Six Step Process to Perform DMA Transfer

Application I/O Interface

I/O system calls encapsulate device behaviors in generic classes

Device-driver layer hides differences among I/O controllers from
kernel Devices vary in many dimensions
Character-stream or block
Sequential or random-access
Sharable or dedicated Speed
of operation
read-write, read only, or write only

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A Kernel I/O Structure

Characteristics of I/O Devices

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Block and Character Devices

Block devices include disk drives
Commands include read, write, seek
Raw I/O or file-system access
Memory-mapped file access possible Character devices include keyboards, mice, serial ports
Commands include get(), put()Libraries layered on top allow line editing

Network Devices
Varying enough from block and character to have own interface Unix and Windows NT/9x/2000 include socket
interface
Separates network protocol from network operation
Includes select() functionality Approaches vary widely (pipes, FIFOs, streams, queues, mailboxes)

Clocks and Timers

Provide current time, elapsed time, timer Programmable interval timer used for timings,
periodic interruptsnioctl() (on UNIX) covers odd aspects of I/O such as clocks and timers

Blocking and Non blocking I/O

Blocking - process suspended until I/O completed

Easy to use and understand
Insufficient for some needs Nonblocking - I/O call returns as much as
available User interface, data copy (buffered I/O)
Implemented via multi-threading
Returns quickly with count of bytes read or written Asynchronous - process runs while I/O
executes Difficult to use
I/O subsystem signals process when I/O completed
Two I/O Methods

Synchronous Asynchronous

Kernel I/O Subsystem

Scheduling
Some I/O request ordering via per-device queue
Some OSs try fairness Buffering - store data in memory while transferring between
devices To cope with device speed mismatch

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To cope with device transfer size mismatch

To maintain ―copy semantics‖
Device-status Table

Sun Enterprise 6000 Device-Transfer Rates

Kernel I/O Subsystem

Caching - fast memory holding copy of
data Always just a copy
Key to performance Spooling - hold output for a device
If device can serve only one request at a time
i.e., Printing Device reservation - provides exclusive access to a device
System calls for allocation and deallocation
Watch out for deadlock

Error Handling
OS can recover from disk read, device unavailable, transient write failures Most return an error number or code
when I/O request fails System error logs hold problem reports

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I/O Protection
User process may accidentally or purposefully attempt to disrupt normal operation via illegal I/O
instructions All I/O instructions defined to be privileged
I/O must be performed via system calls
Memory-mapped and I/O port memory locations must be protected too

Use of a System Call to Perform I/O

Kernel Data Structures

Kernel keeps state info for I/O components, including open file tables, network connections, character device
state Many, many complex data structures to track buffers, memory allocation, ―dirty‖ blocks Some use object-
oriented methods and message passing to implement I/O

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UNIX I/O Kernel Structure

I/O Requests to Hardware Operations

Consider reading a file from disk for a process:

Determine device holding file Translate

name to device representation
Physically read data from disk into buffer
Make data available to requesting process
Return control to process
Life Cycle of An I/O Request

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STREAMS

STREAM – a full-duplex communication channel between a user-level process and a device in Unix System
V and beyond
A STREAM consists of:
- STREAM head interfaces with the user process
- driver end interfaces with the device
- zero or more STREAM modules between them.
Each module contains a read queue and a write queue
Message passing is used to communicate between queues
The STREAMS Structure

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Performance

I/O a major factor in system performance: Demands CPU to execute device driver, kernel I/O
code Context switches due to interrupts
Data copying
Network traffic especially stressful
Intercomputer Communications

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Improving Performance

Reduce number of context

switches Reduce data copying
Reduce interrupts by using large transfers, smart controllers,
polling Use DMA
Balance CPU, memory, bus, and I/O performance for highest throughput

Device-Functionality Progression

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PROTECTION

Goals of Protection
Operating system consists of a collection of objects, hardware or software. Each object has a unique name and
can be accessed through a well-defined set of operations Protection problem - ensure that each object is
accessed correctly and only by those processes that are allowed to do son

Principles of Protection
Guiding principle – principle of least privilege
Programs, users and systems should be given just enough privileges to perform their tasks

Domain Structure
Access-right = <object-name, rights-set>
where rights-set is a subset of all valid operations that can be performed on the object. Domain = set of
access-rights

System consists of 2 domains:

 User
 Supervisor UNIX
Domain = user-id
Domain switch accomplished via file system

Each file has associated with it a domain bit (setuid bit)
When file is executed and setuid = on, then user-id is set to owner of the file being executed. When execution
completes user-id is reset
Domain Implementation (MULTICS)
Let Di and Dj be any two domain rings
If j < I Þ Di Í Dj

Access Matrix
View protection as a matrix (access matrix)
Rows represent domains
Columns represent objects

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Access(i, j) is the set of operations that a process executing in Domaini can invoke on Objectj

Use of Access Matrix

If a process in Domain Di tries to do ―op‖ on object Oj, then ―op‖ must be in the access matrix Can be
expanded to dynamic protection
Operations to add, delete access rights
Special access rights:
 Owner of Oi
  Copy op from Oi to Oj
 Control – Di can modify Dj access rights
 Transfer – switch from domain Di to Dj

Access matrix design separates mechanism from policy

Mechanism
Operating system provides access-matrix + rules
If ensures that the matrix is only manipulated by authorized agents and that rules are strictly enforced

Policy
User dictates policy
Who can access what object and in what mode

Implementation of Access Matrix

Each column = Access-control list for one object
Defines who can perform what operation.

Domain 1 = Read, Write

Domain 2 = Read
Domain 3 = Read

M Each Row = Capability List (like a key)

Fore each domain, what operations allowed on what objects.
Object 1 – Read
Object 4 – Read, Write, Execute

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Object 5 – Read, Write, Delete, Copy

Access Matrix of Figure A With Domains as Objects

Access Matrix with Copy Rights

Access Matrix With Owner Rights

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Modified Access Matrix of Figure B

Access Control
Protection can be applied to non-file resources
Solaris 10 provides role-based access control (RBAC) to implement least privilege
Privilege is right to execute system call or use an option within a system call
Can be assigned to processes
Users assigned roles granting access to privileges and programs

Role-based Access Control in Solaris 10

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Revocation of Access Rights

Access List – Delete access rights
from access list Simple
Immediate Capability List – Scheme required to locate capability in the system before capability
can be revoked Reacquisition

Capability-Based Systems
Hydra
Fixed set of access rights known to and interpreted by the system
Interpretation of user-defined rights performed solely by user's program; system provides
access protection for use of these rights Cambridge CAP System
Data capability - provides standard read, write, execute of individual storage segments
associated with object Software capability -interpretation left to the subsystem, through its
protected procedures

Language-Based Protection
Specification of protection in a programming language allows the high-level description of
policies for the allocation and use of resources Language implementation can provide software
for protection enforcement when automatic hardware-supported checking is unavailable Interpret
protection specifications to generate calls on whatever protection system is provided by the
hardware and the operating system

Protection in Java 2
nProtection is handled by the Java Virtual Machine (JVM)nA class is assigned a protection
domain when it is loaded by the JVMnThe protection domain indicates what operations the class
can (and cannot) performnIf a library method is invoked that performs a privileged operation, the
stack is inspected to ensure the operation can be performed by the library

Stack Inspection

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