Deadlocks: Silberschatz, Galvin and Gagne ©2013 Operating System Concepts - 9 Edition

Deadlocks
Operating System Concepts – 9th Edition Silberschatz, Galvin and Gagne ©2013
Deadlocks
 System Model
 Deadlock Characterization
 Methods for Handling Deadlocks
 Deadlock Prevention
 Deadlock Avoidance
 Deadlock Detection
 Recovery from Deadlock
Operating System Concepts – 9th Edition 7.2 Silberschatz, Galvin and Gagne ©2013
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.
Deadlock with Mutex Locks
 Deadlocks can occur via system calls, locking, etc.
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.
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 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?
 Can request for (0,2,0) by P0 be granted?
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
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
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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Deadlocks

 To develop a description of deadlocks, which prevent

 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

 Mutual Exclusion – not required for sharable resources

 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

 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 them in a

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 at

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

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

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

2. Find an i such that both:

3. Work = Work + Allocationi

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

 5 processes P0 through P4;

 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

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

2. Find an index i such that both:

If no such i exists, go to step 4

4. If Finish[i] == false, for some i, 1  i  n, then the system is in

Algorithm requires an order of O(m x n2) operations to detect

 Snapshot at time T0:

 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

 Rollback – return to some safe state, restart process for that

 Starvation – same process may always be picked as victim,

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