ch08v3 Deadlock

Chapter 8: Deadlocks
Operating System Concepts – 10th Edition Silberschatz, Galvin and Gagne ©2018
Chapter 8: Deadlocks
System Model
Deadlock Characterization
Methods for Handling Deadlocks
Deadlock Prevention
Deadlock Avoidance
Deadlock Detection
Recovery from Deadlock
Operating System Concepts – 10th Edition 8.2 Silberschatz, Galvin and Gagne ©2018
Chapter Objectives
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
System Model
System consists of resources

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, …, Pn} 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 Pn 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 Pi  Rj
assignment edge – directed edge Rj  Pi
Resource-Allocation Graph (Cont.)
Process
Resource Type with 4 instances
Pi requests instance of Rj
Pi
Rj
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
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:
Deadlock prevention
Deadlock avoidence
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 (e.g., read-only files); 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 allocated to it.
Low resource utilization; starvation possible
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
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 in 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 < i
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
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.
To illustrate, consider a system with twelve resources and three threads: T0, T1,
and T2. Thread T0 requires ten resources, thread T1 may need as many as four, and
thread T2 may need up to nine resources. Suppose that, at time t0, thread T0 is holding
five resources, thread T1 is holding two resources, and thread T2 is holding two
resources. (Thus, there are three free resources.)
12 Tapes
Maximum needs Current needs
T0 10 5
T1 4 2
T2 9 2
At time t0, the system is in a safe state. The sequence <T1, T0, T2> satisfies the safety
condition.
A system can go from a safe state to an unsafe state. Suppose that, at time t1, thread T2
requests and is allocated one more resource. The system is no longer in a safe state. At
this point, only thread T1 can be allocated all its resources.
When it returns them, the system will have only four available resources. Since thread
T0 is allocated five resources but has a maximum of ten, it may request five more
resources. If it does so, it will have to wait, because they are unavailable. Similarly,
thread T2 may request six additional resources and have to wait, resulting in a deadlock.
Our mistake was in granting the request from thread T2 for one more resource. If we
had made T2 wait until either of the other threads had finished and released its
resources, then we could have avoided the deadlock.
12 Tapes
Maximum needs Current needs

T0 10 5
T1 4 2
T2 9 3
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 line
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
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 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]
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 an 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
Requesti = 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
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 010 753 332
P1 200 322
P2 302 902
P3 211 222
P4 002 433
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
Example: P1 Request (1,0,2)
Check that Request  Available (that is, (1,0,2)  (3,3,2)  true
Allocation Need Available
ABC ABC ABC
P0 010 743 230
P1 302 020
P2 302 600
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?
Example: P1 Request (1,0,2)
Check that Request  Available (that is, (1,0,2)  (3,3,2)  true
Allocation Need Available
ABC ABC ABC
P0 030 723 210
P1 302 020
P2 302 600
P3 211 011
P4 002 431
Executing safety algorithm shows that sequence < P1, P3, P4, P0, P2>
satisfies safety requirement
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
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 [i][j] = 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  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

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]
Operating System Concepts == false, then Pi is
– 10 Edition
th 8.37 Silberschatz, Galvin and Gagne ©2018
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
Example (Cont.)
P2 requests an additional instance of type C

Request
ABC
P0 000
P1 202
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:
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?

1. Priority of the process
2. How long process has computed, and how much longer to
completion
3. Resources the process has used
4. Resources process needs to complete
5. How many processes will need to be terminated
6. 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

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Chapter 8: Deadlocks

To develop a description of deadlocks, which prevent sets

System consists of resources

Mutual exclusion: only one process at a time can use a

R = {R1, R2, …, Rm}, the set consisting of all resource

request edge – directed edge Pi  Rj

assignment edge – directed edge Rj  Pi

Resource Type with 4 instances

If graph contains no cycles  no deadlock If

Ensure that the system will never enter a deadlock

Mutual Exclusion – not required for sharable

When a process requests an available resource, system must decide

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

Maximum needs Current needs

Single instance of a resource type

Multiple instances of a resource type

Suppose that process Pi requests a resource Rj

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

Let n = number of processes, and m = number of resources types.

Available: Vector of length m. If available [j] = k, there are k

Max: n x m matrix. If Max [i,j] = k, then process Pi may request

Allocation: n x m matrix. If Allocation[i,j] = k then Pi is

Need: n x m matrix. If Need[i,j] = k, then Pi may need k

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

2. Find an i such that both:

Requesti = request vector for process Pi. If Requesti [j] = k then

Can request for (3,3,0) by P4 be granted?

Can request for (0,2,0) by P0 be granted?

Can request for (3,3,0) by P4 be granted?

Can request for (0,2,0) by P0 be granted?

Allow system to enter deadlock state

Maintain wait-for graph

Periodically invoke an algorithm that searches for a cycle in the

An algorithm to detect a cycle in a graph requires an order of n2

Resource-Allocation Graph Corresponding wait-for graph

If no such i exists, go to step 4

4. If Finish[i] == false, for

Snapshot at time T0:

P2 requests an additional instance of type C

If detection algorithm is invoked arbitrarily, there may be many

Abort all deadlocked processes

Abort one process at a time until the deadlock cycle is eliminated

In which order should we choose to abort?

Selecting a victim – minimize cost

Starvation – same process may always be picked as victim,

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