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Principles of Deadlock
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 P
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:

In any system, there are number of processes which are competing for the
resources available in the system. Memory, CPU, files, input/output devices (like printer,
scanner, etc.) are called resource types. Each resource type may have many instances i.e.,
the number of resource of the same type.
For example, printer is a particular resource type and if we have two printers in
the system, we say that, we have two instances of resource type printer. If a process
requests same resource, then any instance of that resource type should satisfy the need of
process, only then they belong to same class of resource type.

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Resource types R1, R2, . . ., Rm

CPU cycles, memory space, I/O devices
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.
n

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

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Pi is holding an instance of Rj

Pi
Rj
Example of a Resource Allocation Graph

Resource Allocation Graph With A Deadlock

Graph With A Cycle But No Deadlock

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Basic Facts
If graph contains no cycles Þ no deadlocknIf graph contains a cycle Þlif 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 statenAllow the system to enter a
deadlock state and then recovernIgnore 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 nonsharable
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

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be satisfied by currently available resources + resources held by all the Pj, with j < inThat
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
Basic Facts:
nIf a system is in safe state Þ no deadlocksnIf a system is in unsafe state Þ possibility of
deadlocknAvoidance 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 linenClaim edge converts to request edge when a process requests a
resourcenRequest 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
edgenResources must be claimed a priori in the system

Resource-Allocation Graph

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Unsafe State In Resource-Allocation Graph

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 instancesnEach process must a priori claim maximum usenWhen a process
requests a resource it may have to wait nWhen 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 RjnAllocation: n x m matrix. If Allocation[i,j] = k then Pi is currently
allocated k instances of RjnNeed: 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

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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

5 processes P0 through P4;

3 resource types:
A (10 instances), B (5instances), and C (7 instances)
Snapshot at time T0:
Allocation Max
Available ABC ABC
ABC
P0 010 7 5 3
332
P1 200 322
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 nThe system is in a safe
state since the sequence < P1, P3, P4, P2, P0> satisfies safety criteria

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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 7 4 3
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
nAllow system to enter deadlock state nDetection algorithmnRecovery scheme

Single Instance of Each Resource Type

Maintain wait-for graph
Nodes are processes
Pi ® Pj if Pi is waiting for PjnPeriodically 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

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.n
Allocation: An n x m matrix defines the number of resources of each type currently
allocated to each process.nRequest: An n x m matrix indicates the current request of

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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 £ WorkIf 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
Five processes P0 through P4; three resource types
A (7 instances), B (2 instances), and C (6 instances)
Snapshot at time T0:
Allocation Request
Available
ABC ABC
ABC
P0 010 000 000
P1 200 202
P2 303 000
P3 211 100
P4 002 002
Sequence <P0, P2, P3, P1, P4> will result in Finish[i] = true for all i

P2 requests an additional instance of type C Request

ABC
P0 000
P1 201
P2 001
P3 100
P4 002
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:

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How often a deadlock is likely to occur?

How many processes will need to be rolled back?
one for each disjoint cyclenIf 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 processesnAbort one process at a time until the deadlock cycle is
eliminatednIn 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 costnRollback – return to some safe state, restart process
for that statenStarvation – 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
lPort
lBus (daisy chain or shared direct access)
lController (host adapter)
I/O instructions control devices
Devices have addresses, used by
lDirect I/O instructions
lMemory-mapped I/O

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A Typical PC Bus Structure

Device I/O Port Locations on PCs (partial)

Polling

Determines state of device

command-ready

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busy
ErrornBusy-wait cycle to wait for I/O from device
Interrupts
CPU Interrupt-request line triggered by I/O devicenInterrupt handler receives
interruptsnMaskable to ignore or delay some interruptsnInterrupt vector to dispatch
interrupt to correct handler
Based on priority
Some nonmaskablenInterrupt 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 nRequires DMA
controllernBypasses 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

Block and Character Devices

Block devices include disk drives
Commands include read, write, seek
Raw I/O or file-system access

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Memory-mapped file access possiblenCharacter devices include keyboards, mice, serial

ports
Commands include get(), put()lLibraries layered on top allow line editing

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

Clocks and Timers

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

Blocking and Nonblocking I/O

Blocking - process suspended until I/O completed
Easy to use and understand
Insufficient for some needsnNonblocking - 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 writtennAsynchronous - 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

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Some OSs try fairnessnBuffering - store data in memory while transferring between
devices
To cope with device speed mismatch
To cope with device transfer size mismatch
To maintain “copy semantics”
Device-status Table

Sun Enterprise 6000 Device-Transfer Rates

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