Principles of

Operating Systems
Lecture 11 - Deadlocks
Ardalan Amiri Sani (ardalan@uci.edu)

[lecture slides contains some content adapted from previous slides by Prof. Nalini Venkatasubramanian, and
course text slides Silberschatz]

1
Outline

System Model
Deadlock Characterization
Methods for handling deadlocks
Deadlock Prevention
Deadlock Avoidance
Deadlock Detection
Recovery from Deadlock

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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 1
Consider two files. P1 and P2 each holds exclusive access
to one file and needs access to the other file.
Example 2
Semaphores A and B each initialized to 1
P0 P1
wait(A) wait(B)
wait(B) wait(A)

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Definitions

A process is deadlocked if it is waiting for an

event that will never occur.
Typically, more than one process will be involved in a
deadlock (the deadly embrace).
A process is indefinitely postponed if it is
delayed repeatedly over a long period of time
while the attention of the system is given to
other processes,
i.e. the process is ready to proceed but never gets the
CPU.

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Example - Bridge Crossing

Assume traffic in one direction.

Each section of the bridge is viewed as a resource.
If a deadlock occurs, it can be resolved only 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
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

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Conditions for Deadlock
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, , Pn1
is waiting for a resource that is held by Pn, and Pn is waiting
for a resource that is held by P0. 7
Resource Allocation Graph

A set of vertices V and a set of edges E

V is partitioned into 2 types
P = {P1, P2,,Pn} - the set of processes in the system
R = {R1, R2,,Rn} - the set of resource types in the
system
Two kinds of edges
Request edge - Directed edge Pi Rj
Assignment edge - Directed edge Rj Pi

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Resource Allocation Graph
Process

Resource Type with 4 instances

Pi requests instance of Rj
Pi

Rj
Pi is holding an instance of Rj

Pi

Rj

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Graph with no cycles

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Graph with cycles (but no
deadlock)

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Graph with cycles and 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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14
Methods for handling deadlocks

Ensure that the system will never enter a

deadlock state.
Deadlock prevention
Deadlock avoidance
Allow the system to potentially enter a
deadlock state, detect it and then recover
Deadlock detection
Deadlock recovery
Ignore the problem and pretend that
deadlocks never occur in the system;
Used by many operating systems, e.g. UNIX
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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
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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

Set of resources, set of customers, banker

Rules
Each customer tells banker maximum number of resources
it needs.
Customer borrows resources from banker.
Customer returns resources to banker.
Customer eventually pays back loan.
Banker only lends resources if the system
will be in a safe state after the loan.

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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 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 20
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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Safe, Unsafe, Deadlock State

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Avoidance Algorithms
Single instance of a resource type
Use a resource-allocation graph

Multiple instances of a resource type

Use the bankers algorithm

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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

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Resource Allocation Graph (aka
Claim Graph)

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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

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Bankers 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 Bankers
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]

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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

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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

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Example of Bankers Algorithm
5 processes P0 through P4;
3 resource types:
A (10 instances), B (5 instances), and C (7 instances)
Snapshot at time T0:
Allocation Max Available
ABC ABC ABC
P0 0 1 0 753 332
P1 2 0 0 322
P2 3 0 2 902
P3 2 1 1 222
P4 0 0 2 433

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Example (Cont.)
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

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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 0 1 0 743 230
P1 3 0 2 020
P2 3 0 2 600
P3 2 1 1 011
P4 0 0 2 431

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?

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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. 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

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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 [i][j] = 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 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

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Example (Cont.)
P2 requests an additional instance of type C
Request
ABC
P0 0 0 0
P1 2 0 2
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

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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.

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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?

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?

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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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