Ch8

8.1 Silberschatz, Galvin and GagneOperating System Concepts with Java
Chapter 8: DeadlocksChapter 8: Deadlocks
System Model
Deadlock Characterization
Methods for Handling Deadlocks
Deadlock Prevention
Deadlock Avoidance
Deadlock Detection
Recovery from Deadlock
Combined Approach to Deadlock Handling

DeadlocksDeadlocks
In a multiprogramming environment, several processes may
compete for a finite number of resources.
A process request resources; if the resources are not available at
that time, the process enters a wait state.
Waiting process may never again change state, because the
resources they have requested are held by other waiting
processes.

The Deadlock ProblemThe 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)

Bridge Crossing ExampleBridge 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.

System ModelSystem Model
A system consists of a finite number of resources to be
distributed among a number of competing processes.
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 CharacterizationDeadlock Characterization
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.
Deadlock can arise if four conditions hold simultaneously.

Resource-Allocation GraphResource-Allocation Graph
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
A set of vertices V and a set of edges E.

Resource-Allocation Graph (Cont.)Resource-Allocation Graph (Cont.)
Process
Resource Type with 4 instances
Pi requests instance of Rj
Pi is holding an instance of Rj
Pi
Pi
Rj
Rj

Example of a Resource AllocationExample of a Resource Allocation
GraphGraph

Resource Allocation Graph With AResource Allocation Graph With A
DeadlockDeadlock

Resource Allocation Graph With A Cycle But NoResource Allocation Graph With A Cycle But No
DeadlockDeadlock

Basic FactsBasic 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 DeadlocksMethods 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.

Deadlock PreventionDeadlock Prevention
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.
Restrain the ways request can be made.

Deadlock Prevention (Cont.)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 AvoidanceDeadlock Avoidance
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.
Requires that the system has some additional a priori information
available.

Safe StateSafe 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.

Basic FactsBasic 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 StateSafe, Unsafe , Deadlock State

Resource-Allocation Graph AlgorithmResource-Allocation Graph Algorithm
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.
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 For DeadlockResource-Allocation Graph For Deadlock
AvoidanceAvoidance

Unsafe State In Resource-Allocation GraphUnsafe State In Resource-Allocation Graph

Banker’s AlgorithmBanker’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’sData Structures for the Banker’s
AlgorithmAlgorithm
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].
Let n = number of processes, and m = number of resources types.

Safety AlgorithmSafety 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.

Resource-Request Algorithm for ProcessResource-Request Algorithm for Process
PPii
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

Example of Banker’s AlgorithmExample 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
A B C A B C A B C
P0 0 1 0 7 5 3 3 3 2
P1 2 0 0 3 2 2
P2 3 0 2 9 0 2
P3 2 1 1 2 2 2
P4 0 0 2 4 3 3

Example (Cont.)Example (Cont.)
The content of the matrix. Need is defined to be Max –
Allocation.
Need
A B C
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.

ExampleExample PP11 Request (1,0,2) (Cont.)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 C A B C
P0 0 1 0 7 4 3 2 3 0
P1 3 0 2 0 2 0
P2 3 0 1 6 0 0
P3 2 1 1 0 1 1
P4 0 0 2 4 3 1
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 DetectionDeadlock Detection
Allow system to enter deadlock state
Detection algorithm
Recovery scheme

Single Instance of Each ResourceSingle Instance of Each Resource
TypeType
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.

Resource-Allocation Graph and Wait-forResource-Allocation Graph and Wait-for
GraphGraph
Resource-Allocation Graph Corresponding wait-for graph

Several Instances of a ResourceSeveral Instances of a Resource
TypeType
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.

Detection AlgorithmDetection 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.)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 AlgorithmExample 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
A B C A B C A B C
P0 0 1 0 0 0 0 0 0 0
P1 2 0 0 2 0 2
P2 3 0 3 0 0 0
P3 2 1 1 1 0 0
P4 0 0 2 0 0 2
Sequence <P0, P2, P3, P1, P4> will result in Finish[i] = true for all i.

Example (Cont.)Example (Cont.)
P2 requests an additional instance of type C.
Request
A B C
P0 0 0 0
P1 2 0 1
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.

Detection-Algorithm UsageDetection-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 TerminatioRecovery 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?

Recovery from Deadlock: ResourceRecovery from Deadlock: Resource
PreemptionPreemption
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.

Combined Approach to DeadlockCombined Approach to Deadlock
HandlingHandling
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.

Traffic Deadlock for Exercise 8.4Traffic Deadlock for Exercise 8.4

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