DEADLOCKS

UNIT III
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 tape drives.
 P1 and P2 each hold one tape drive and each needs another one.
 Example
 semaphores A and B, initialized to 1

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

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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.

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System Model
 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

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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.

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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

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Resource-Allocation Graph
(Cont.)
 Process

Resource Type with 4 instances

 Pi requests instance
Pi of Rj
Rj

 Pi is holding an instance of Rj
Pi
Rj
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 Example of a Resource Allocation
Graph

P1R1,P2  R3,R1  P2,

R2  P2,R2  P1,R3  P3

NOTE : IF the graph contains no cycles

Then no process in the system is deadlock

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 Resource Allocation Graph With A
Deadlock

P1  R1  P2  R3  P3  R2  P1
P2  R3  P3  R2  P2
Two cycles exist
P1,P2&P3 are Deadlocked

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 Resource Allocation Graph With A Cycle But No
Deadlock

P1  R1  P3  R2  P1
There is 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.

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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.
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 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.

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Deadlock Prevention (Cont.)
 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.

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 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.
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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 safe sequence of all

processes.

 Sequence <P1, P2, …, Pn> is safe if 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<i.
 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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Safe, Unsafe , Deadlock State

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Basic Facts
 If a system is in safe state  no deadlocks.

 If a system is in unsafe state  possibility of

deadlock.

 Avoidance  ensure that a system will never

enter an unsafe state.

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Resource-Allocation Graph
Algorithm
 Claim edge Pi  Rj indicated that
process Pj may request resource
Rj; represented by a dashed line.
Assignment Request
 Claim edge converts to request edge edge
edge when a process requests a
resource.

 When a resource is released by

a process, assignment edge
reconverts to a claim edge. Claim
edge
 Resources must be claimed a
priori in the system. Resource-Allocation Graph
For Deadlock Avoidance
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 Unsafe State In Resource-Allocation
Graph
In the above fig suppose that
process p2 requests R2
,although R2 is currently
free,we cannot allocate it to
P2,since this action will create
a cycle in the graph.
A cycle indicates that the
system is in an unsafe state. If
P1 requests R2,and P2
requests R1,then a dead lock
will occur

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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.

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 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
R j.
 Allocation: n x m matrix. If Allocation[i,j] = k then
Pi is currently allocated k instances of Rj.
 Need: 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].

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Safety Algorithm
This algorithm is used to find whether the system is safe or not

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

respectively. Initialize:
Work = Available
Finish [i] = false for i - 1,3, …, n.
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.

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 Resource-Request Algorithm for
Process Pi
Request = request vector for process Pi. If Requesti [j] = k then
process Pi wants k instances of resource type Rj.
1. 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 = Requesti;
Allocationi = Allocationi + Requesti;
Needi = Needi – Requesti
• If safe  the resources are allocated to Pi
• If unsafe  Pi must wait, and the old resource-allocation state is restored

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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 ABCABC
P0 0 1 07 5 3 332
P1 200322
P2 302902
P3 211222
P4 0 0 24 3 3

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Example (Cont.)
 The content of the matrix. Need is defined to be Max –
Allocation.
Need
ABC
P0 743
P1 122
P2 600
P3 011
P4 431
 The 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) (Cont.)
 Check that Request  Available (that is, (1,0,2)  (3,3,2)  true.
Allocation NeedAvailable
ABC A B CA B C
P0 010743 230
P1 3 0 20 2 0
P2 301600
P3 211011
P4 002431
 Executing safety algorithm shows that sequence <P1, P3, P4, P0,
P2> satisfies safety requirement.
 request for (3,3,0) by P4 Cannot be granted,since the resources are not available
 request for (0,2,0) by P0 Cannot be granted,even though the resources are available,
since the resulting state is unsafe

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Deadlock Detection
 Allow system to enter deadlock state

 Detection algorithm

 Recovery scheme

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 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.

 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.
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 Resource-Allocation Graph and Wait-
for Graph

Resource-Allocation Graph Corresponding wait-for graph

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 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.

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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  0, then
Finish[i] = false;otherwise, Finish[i] = true.
2.Find an index i such that both:
(a) Finish[i] == false
(b) Requesti  Work
If no such i exists, go to step 4.
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Detection Algorithm (Cont.)
3. Work = Work + Allocationi
Finish[i] = true
go to step 2.

4. 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.

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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 ABCABC
P0 010000 000
P1 200202
P2 3 0 30 0 0
P3 211100
P4 002002
 Sequence <P0, P2, P3, P1, P4> will result in Finish[i] = true for all
i.

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Example (Cont.)
 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.

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 Safe sequence: Safe sequence is calculated as follows:
1) Need of each process is compared with available. If needi < = availablej, then
the resources are allocated to that process and process will release resource.

2) If need is greater than available, next process need is taken for comparison.

3) In the above example, need of process PI is (7, 4, 3) and available is (3, 3, 2).
Need > = Available ie False
So system will move for next process.

4) Need for process P2 is (1, 2, 2) and available (3, 3, 2), so

Need < = Available (Work)
(1, 2, 2) < = (3, 3, 2) = True

Then Finish [i] = True

Request of P2 is granted and processes P2 is release the resource to the
system.

Work: = Work + Allocation

Work: = (3, 3, 2) + (2, 0, 0) = (5, 3, 2)

This procedure is continued for all processes.

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 i) Is the current allocation in a safe state?
ii) can the request made by process P1
(1,1,0)be granted?

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 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?

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 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.

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 Combined Approach to Deadlock
Handling
 Combine the three basic approaches
 prevention
 avoidance
 detection
allowing the use of the optimal approach for each of
resources in the system.
 Partition resources into hierarchically ordered classes.

 Use most appropriate technique for handling

deadlocks within each class.

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Protection
 Goals of Protection
 Domain of Protection
 Access Matrix
 Implementation of Access Matrix

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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 so.

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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

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Access Matrix
 View protection as a matrix (access matrix)

 Rows represent domains

 Columns represent objects

 Access(i, j) is the set of operations that a process

executing in Domaini can invoke on Objectj

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Access Matrix

Figure A
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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 D i to Dj

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Use of Access Matrix (Cont.)
 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.

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 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
 Each Row = Capability List (like a key)
Fore each domain, what operations allowed on
what objects.
Object 1 – Read
Object 4 – Read, Write, Execute
Object 5 – Read, Write, Delete, Copy

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Access Matrix of Figure A With Domains
as Objects

Figure B

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Access Matrix with Copy
Rights

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Access Matrix With Owner
Rights

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 Security
 The Security Problem
 Authentication
 Program Threats
 System Threats
 Encryption

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The Security Problem
 Security must consider external environment
of the system, and protect it from:
 unauthorized access.
 malicious modification or destruction
 accidental introduction of inconsistency.

 Easier to protect against accidental than

malicious misuse.

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Authentication
 User identity most often established through passwords,
can be considered a special case of either keys or
capabilities.

 Passwords must be kept secret.

 Frequent change of passwords.
 Use of “non-guessable” passwords.
 Log all invalid access attempts.

 Passwords may also either be encrypted or allowed to

be used only once.

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 Program Threats
 Trojan Horse
 Code segment that misuses its environment.
 Exploits mechanisms for allowing programs written by
users to be executed by other users.

 Trap Door
 Specific user identifier or password that circumvents normal
security procedures.
 Could be included in a compiler.
 Stack and Buffer Overflow
 Exploits a bug in a program (overflow either the stack or
memory buffers.)

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 System Threats
 Worms – use spawn mechanism; standalone program
 Internet worm
 Exploited UNIX networking features (remote access) and bugs in finger
and sendmail programs.
 Grappling hook program uploaded main worm program.
 Viruses – fragment of code embedded in a legitimate program.
 Mainly effect microcomputer systems.
 Downloading viral programs from public bulletin boards or exchanging
floppy disks containing an infection.
 Safe computing.
 Denial of Service
 Overload the targeted computer preventing it from doing any useful work.

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Threat Monitoring
 Check for suspicious patterns of activity – i.e.,
several incorrect password attempts may
signal password guessing.
 Audit log – records the time, user, and type of
all accesses to an object; useful for recovery
from a violation and developing better security
measures.
 Scan the system periodically for security holes;
done when the computer is relatively unused.

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Threat Monitoring (Cont.)
 Check for:
 Short or easy-to-guess passwords
 Unauthorized set-uid programs
 Unauthorized programs in system directories
 Unexpected long-running processes
 Improper directory protections
 Improper protections on system data files
 Dangerous entries in the program search path (Trojan
horse)
 Changes to system programs: monitor checksum values

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 Encryption
 Encrypt clear text into cipher text.
 Properties of good encryption technique:
 Relatively simple for authorized users to incrypt and decrypt
data.
 Encryption scheme depends not on the secrecy of the algorithm
but on a parameter of the algorithm called the encryption key.
 Extremely difficult for an intruder to determine the encryption
key.
 Data Encryption Standard substitutes characters and
rearranges their order on the basis of an encryption key provided to
authorized users via a secure mechanism. Scheme only as secure
as the mechanism.

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 Encryption (Cont.)
 Public-key encryption based on each user having two
keys:
 public key – published key used to encrypt data.
 private key – key known only to individual user used to decrypt
data.
 Must be an encryption scheme that can be made public
without making it easy to figure out the decryption
scheme.
 Efficient algorithm for testing whether or not a number is prime.
 No efficient algorithm is know for finding the prime factors of a
number.

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 Encryption Example - SSL
 SSL – Secure Socket Layer

 Cryptographic protocol that limits two computers

to only exchange messages with each other.

 Used between web servers and browsers for secure

communication (credit card numbers)
 The server is verified with a certificate.
 Communication between each computers uses symmetric
key cryptography.

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