System Programming - II

Chapter 8

Deadlocks
 Deadlocks
• Objective
• System Model
• Deadlock Characterization
• Methods for Handling Deadlocks
• Deadlock Prevention
• Deadlock Avoidance
• Deadlock Detection
• Recovery from Deadlock
• Combined Approach to Deadlock Handling

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 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
 What is Deadlock?
• Deadlock occurs when a set of processes are in a wait
state, because each process is waiting for a resource that
is held by some other waiting process.

• Permanent blocking of a set of processes that either

compete for system resources or communicate with each
other
• Deadlock is defined as the permanent blocking of a set
of processes that compete for system resources,
including database records and communication lines.

• The cause of deadlocks: Each process needing what

another process has. This results from sharing resources
such as memory, devices, links.
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 System Model
• In an operating system, deadlock is a state in which two
or more processes are "stuck" in a circular wait state.
• 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:
1. Request: If the request can not be granted immediately
(resource being used by another process), then the
requesting process must wait until it can acquire the
resource.
2. Use: The process can operate on the resource (resource
is a printer, the process can print on the printer).
3. Release: The process release the resource.
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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, …, 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.
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An example of Deadlock

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An example of Deadlock

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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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 Resource-Allocation Graph
• A graph consist of set of vertices V and a set of edges E.

• V is partitioned into two types of nodes:

– 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.

• A directed edge from Pi to resource type Rj is denoted by

Pi  Rj.
• A directed edge from Rj to resource type Pi is denoted by
Rj  Pi.
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 Resource-Allocation Graph (Cont.)

• Request edge – directed edge Pi  Rj.

• Assignment edge – directed edge Rj  Pi.

• Process is a circle, resource type is square; dots represent

number of instances of resource in type. Request points to
square, assignment comes from dot.

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 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
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Example of a Resource Allocation Graph

R3 Assigned to P3

P2 Requests R3

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 Resource -Allocation Graph (Cont.)
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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 Resource-Allocation Graph (Cont.)

Resource allocation graph Resource allocation graph

with a deadlock. with a cycle but no deadlock.

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Cycle is Necessary, But….

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Resource-Allocation Graph (Cont.)

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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

• Use a protocol to 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
There are Four (4) Methods for Deadlock Prevention

(1) Mutual Exclusion:

Must hold for non-shareable resources. Shareable
resources do not require mutually exclusive access.

– Printer cannot be simultaneously shared by several

processes.
– If several processes attempt to open a read-only file at
the same time, they can be granted simultaneously
access to the file.
– A process never needs to wait for a shareable resource.
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 Deadlock Prevention (Cont.)

(2) 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. 21

 Deadlock Prevention (Cont.)

(3) 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.
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 Deadlock Prevention (Cont.)

(4) Circular wait :

• Impose total ordering of resources and require process to

request resource in increasing number.

• If process holds Ri, it can only request another, Rj, if and

only if Rj > Ri.

• If process hold Rj and requests Ri (assuming Rj > Ri), then it

must release Rj

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 Deadlock Avoidance

• Requires that the system has some additional a priori

information available.

• For example, in a system with one tape drive and one

printer, process P will request first the tape drive, and later
the printer.

• On the other hand process Q will requests printer first then

tape drive next.

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 Deadlock Avoidance (Contd.)

• Simplest and most useful model requires that each process

declare the maximum number of resources of each type that
it may need.

• Resource-allocation state is defined by the number of

available and allocated resources, and the maximum
demands of the processes.

• The deadlock-avoidance algorithm dynamically examines

the resource-allocation state to ensure that there can never
be a circular-wait condition.

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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.

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 Safe State (Contd.)
– 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 into an

unsafe state.
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 Safe and Unsafe States (1)

(a) (b) (c) (d) (e)

Demonstration that the state is safe

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 Safe and Unsafe States (2)

(a) (b) (c) (d)

Demonstration that the state is not safe

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 Safe State (Example)

A system with 12 tape drives and 3 processes: p0, p1 and p2

In this example, < p1, Process Max Allocated Current

p0, p2 > is a workable Needs Needs
sequence.
P0 10 5 5

Suppose p2 requests P1 4 2 2
and is given one more
tape drive. What P2 9 2 7
happens then?

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Safe, Unsafe , Deadlock State

Deadlock

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 Avoidance algorithms

• Single instance of a resource type

– Use a resource-allocation graph algorithm

• Multiple instances of a resource type

– Use the banker’s algorithm
 Resource-Allocation Graph Algorithm

• Claim edge Pi Rj indicates that process Pi may request

resource Rj at some time in the future (represented by a
dashed line).

• Claim edge converts to request edge when a process

requests a resource.

• 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 For Deadlock
Avoidance

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Unsafe State In Resource-Allocation Graph

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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 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 - 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
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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The Banker's Algorithm for a Single Resource

(a) (b) (c)

• Three resource allocation states

– safe
– safe
– unsafe
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 Example of Banker’s 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 200 322
P2 302 902
P3 211 222
P4 002 433

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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 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 Need Available
A B C 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.
• 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

• An algorithm that examines the state of the system to

determine whether a deadlock has occurred.

• An algorithm to recover from the deadlock.

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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.
– Pi  Rq and Rq Pj for some resource Rq.

• 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 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 0 1 0 000 000
P1 2 0 0 202
P2 303 000
P3 2 1 1 100
P4 0 0 2 002
• Sequence <P0, P2, P3, P1, P4> will result in Finish[i] = true
for all i. 50
 Example (Cont.)
• P2 requests an additional instance of type C.
Request
ABC
P0 0 0 0
P1 2 0 1
P2 001
P3 1 0 0
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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 Detection-Algorithm Usage
• When should we invoke the detection algorithm?

– How often a deadlock is likely to occur?

– How many processes will be affected?

• 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?

– 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.
- Cost factor includes; number of resources a deadlock
process is holding; amount of time consumed.

• Rollback – return to some safe state, restart process for

that state.
– Abort the process and then restart it.

• Starvation – same process may always be picked as

victim, include number of rollback in cost factor.
– Process can be picked as a victim only a (small) finite
number of times.
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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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