Chapter 7: Deadlocks

7.2
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Chapter 7: Deadlocks
The Deadlock Problem
System Model
Deadlock Characterization
Methods for Handling Deadlocks
Deadlock Prevention
Deadlock Avoidance
Deadlock Detection
Recovery from Deadlock
7.3
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
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.

7.4
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
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
System has 2 tape drives.
P
1
and P
2
each hold one tape drive and each needs another one.
Example
semaphores A and B, initialized to 1
P
0
P
1

wait (A); wait(B)
wait (B); wait(A)

7.5
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
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.
7.6
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
System Model
Resource types R
1
, R
2
, . . ., R
m
CPU cycles, memory space, I/O devices
Each resource type R
i
has W
i
instances.
Each process utilizes a resource as follows:
request
use
release
7.7
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Deadlock 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 {P
0
, P
1
, , P
0
} of waiting
processes such that P
0
is waiting for a resource that is held by P
1
,
P
1
is waiting for a resource that is held by
P
2
, , P
n1
is waiting for a resource that is held by
P
n
, and P
0
is waiting for a resource that is held by P
0
.

Deadlock can arise if four conditions hold simultaneously.
7.8
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Resource-Allocation Graph
V is partitioned into two types:
P = {P
1
, P
2
, , P
n
}, the set consisting of all the processes in
the system.

R = {R
1
, R
2
, , R
m
}, the set consisting of all resource types
in the system.
request edge directed edge P
1
R
j

assignment edge directed edge R
j
P
i

A set of vertices V and a set of edges E.
7.9
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Resource-Allocation Graph (Cont.)
Process



Resource Type with 4 instances


P
i
requests instance of R
j



P
i
is holding an instance of R
j

P
i

P
i

R
j

R
j

7.10
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Example of a Resource Allocation Graph
7.11
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Resource Allocation Graph With A Deadlock
7.12
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Resource Allocation Graph With A Cycle But No Deadlock
7.13
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
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.
7.14
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Methods 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.
7.15
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Deadlock 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.
7.16
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
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.

7.17
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Deadlock 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.
7.18
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
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 <P
1
, P
2
, , P
n
> is safe if for each P
i
, the resources that P
i
can
still request can be satisfied by currently available resources + resources
held by all the P
j
, with j<I.
If P
i
resource needs are not immediately available, then P
i
can wait
until all P
j
have finished.
When P
j
is finished, P
i
can obtain needed resources, execute, return
allocated resources, and terminate.
When P
i
terminates, P
i+1
can obtain its needed resources, and so on.
7.19
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
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.
7.20
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Safe, Unsafe , Deadlock State
7.21
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Resource-Allocation Graph Algorithm
Claim edge P
i
R
j
indicated that process P
j
may request
resource R
j
; 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.
7.22
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Resource-Allocation Graph For Deadlock Avoidance
7.23
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Unsafe State In Resource-Allocation Graph
7.24
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
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.
7.25
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Data Structures for the Bankers Algorithm
Available: Vector of length m. If available [j] = k, there are k
instances of resource type R
j
available.
Max: n x m matrix. If Max [i,j] = k, then process P
i
may request at
most k instances of resource type R
j
.
Allocation: n x m matrix. If Allocation[i,j] = k then P
i
is currently
allocated k instances of R
j.
Need: n x m matrix. If Need[i,j] = k, then P
i
may need k more
instances of R
j
to complete its task.

Need [i,j] = Max[i,j] Allocation [i,j].
Let n = number of processes, and m = number of resources types.
7.26
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
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) Need
i
Work
If no such i exists, go to step 4.
3. Work = Work + Allocation
i

Finish[i] = true
go to step 2.
4. If Finish [i] == true for all i, then the system is in a safe state.
7.27
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Resource-Request Algorithm for Process P
i

Request = request vector for process P
i
. If Request
i
[j] = k then process
P
i
wants k instances of resource type R
j.
1. If Request
i
Need
i
go to step 2. Otherwise, raise error condition,
since process has exceeded its maximum claim.
2. If Request
i
Available, go to step 3. Otherwise P
i
must wait,
since resources are not available.
3. Pretend to allocate requested resources to P
i
by modifying the
state as follows:
Available = Available = Request
i
;
Allocation
i
= Allocation
i
+ Request
i
;
Need
i
= Need
i
Request
i
;
If safe the resources are allocated to Pi.
If unsafe Pi must wait, and the old resource-allocation state
is restored
7.28
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Example of Bankers Algorithm
5 processes P
0
through P
4
; 3 resource types A
(10 instances),
B (5instances, and C (7 instances).
Snapshot at time T
0
:
Allocation Max Available
A B C A B C A B C
P
0
0 1 0 7 5 3 3 3 2
P
1
2 0 0 3 2 2
P
2
3 0 2 9 0 2
P
3
2 1 1 2 2 2
P
4
0 0 2 4 3 3
7.29
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Example (Cont.)
The content of the matrix. Need is defined to be Max Allocation.
Need
A B C
P
0
7 4 3
P
1
1 2 2
P
2
6 0 0
P
3
0 1 1
P
4
4 3 1

The system is in a safe state since the sequence < P
1
, P
3
, P
4
, P
2
, P
0
>
satisfies safety criteria.

7.30
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Example P
1
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
P
0
0 1 0 7 4 3 2 3 0
P
1
3 0 2 0 2 0
P
2
3 0 1 6 0 0
P
3
2 1 1 0 1 1
P
4
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?

7.31
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Deadlock Detection
Allow system to enter deadlock state

Detection algorithm

Recovery scheme
7.32
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Single Instance of Each Resource Type
Maintain wait-for graph
Nodes are processes.
P
i
P
j
if P
i
is waiting for P
j
.

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 n
2

operations, where n is the number of vertices in the graph.
7.33
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Resource-Allocation Graph and Wait-for Graph
Resource-Allocation Graph Corresponding wait-for graph
7.34
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
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 P
i
is requesting k more
instances of resource type. R
j
.
7.35
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
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 Allocation
i
0, then
Finish[i] = false;otherwise, Finish[i] = true.
2. Find an index i such that both:
(a) Finish[i] == false
(b) Request
i
Work

If no such i exists, go to step 4.
7.36
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Detection Algorithm (Cont.)
3. Work = Work + Allocation
i

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 P
i
is deadlocked.

Algorithm requires an order of O(m x n
2)
operations to detect whether the system
is in deadlocked state.

7.37
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Example of Detection Algorithm
Five processes P
0
through P
4
;

three resource types
A (7 instances), B (2 instances), and C (6 instances).
Snapshot at time T
0
:
Allocation Request Available
A B C A B C A B C
P
0
0 1 0 0 0 0 0 0 0
P
1
2 0 0 2 0 2
P
2
3 0 3 0 0 0
P
3
2 1 1 1 0 0
P
4
0 0 2 0 0 2
Sequence <P
0
, P
2
, P
3
, P
1
, P
4
> will result in Finish[i] = true for all i.

7.38
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
Example (Cont.)
P
2
requests an additional instance of type C.
Request
A B C
P
0
0 0 0
P
1
2 0 1
P
2
0 0 1
P
3
1 0 0
P
4
0 0 2
State of system?
Can reclaim resources held by process P
0
, but insufficient resources
to fulfill other processes; requests.
Deadlock exists, consisting of processes P
1
,

P
2
, P
3
, and P
4
.
7.39
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
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.
7.40
Silberschatz, Galvin and Gagne 2005
Operating System Concepts

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?
7.41
Silberschatz, Galvin and Gagne 2005
Operating System Concepts
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.
End of Chapter 7