OPERATING SYSTEM

SEIT2230
S1_Module_4
Deadlocks
Syllabus
What is Deadlock?
 Deadlock
• A set of blocked processes each holding a resource and
waiting to acquire a resource held by another process in
the set is known as a Deadlock.
• A process is deadlocked if it is waiting for an event that will
never occur.

Process Process P
Hold Request
1

Request Hold
R1 DEADLOCK R2

P Hold
Request 2
Resource Resource
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
 Types of Resources
• Preemptable:-
– Preemptive resources are those which can be
taken away from a process without causing any ill
effects to the process.
– Example:- Memory.
• Non-preemptable:-
– Non-pre-emptive resources are those which
cannot be taken away from the process without
causing any ill effects.
– Example:- CD-ROM (CD recorder), Printer.
 Conditions for Deadlock

1. Mutual exclusion
– Each resource is either currently assigned to exactly one process or is
available.
2. Hold and wait
– Process currently holding resources granted earlier can request more
resources.
3. No preemption
– Previously granted resources cannot be forcibly taken away from
process.
4. Circular wait
– There must be a circular chain of 2 or more processes. Each process
is waiting for resource that is held by next member of the chain.
• All four of these conditions must be present for a deadlock to occur.
 Resource Allocation Graph
• A visual way to determine if a deadlock has, or may occur.
• Process is a circle; Resource type is square; dots represent number of
instances of resource in type.

• An arrow from the process to resource indicates the process is

requesting the resource. a An arrow from resource to process
shows an instance of the resource has been allocated to the process.
 Resource Allocation Graph

• If the graph contains no cycles, then

no process is deadlocked.
• If there is a cycle, then:
a) If resource types have multiple
instances, then deadlock MAY
exist.
b)If each resource type has 1
instance, then deadlock has
occurred.

Resource Allocation Graph

Resource Allocation Graph
 Methods for handling deadlocks
1. Just ignore the problem.
2. Detection and recovery.
– Let deadlocks occur, detect them and take action.
3. Dynamic avoidance by careful resource allocation.
4. Prevention, by structurally negating (killing) one of the
four required conditions.
 Deadlock Management
– Prevention
 Design the system in such a way that deadlocks can never
occur
– Avoidance
 Impose less stringent (tight) conditions than for prevention,
allowing the possibility of deadlock but sidestepping it as it
occurs.
– Detection
 Allow possibility of deadlock, determine if deadlock has
occurred and which processes and resources are involved.
– Recovery
 After detection, clear the problem, allow processes to
complete and resources to be reused. May involve
destroying and restarting processes.
 Deadlock ignorance (Ostrich
Algorithm)
• When storm approaches, an ostrich puts his head in the sand (ground)
and pretend (imagine) that there is no problem at all.
• Ignore the deadlock and pretend that deadlock never occur.
• Reasonable if
– deadlocks occur very rarely
– difficult to detect
– cost of prevention is high
• UNIX and Windows takes this approach.
 Deadlock Prevention
• Deadlock prevention algorithms ensure that at least one of
the necessary conditions (Mutual exclusion, hold and wait,
no preemption and circular wait) does not hold true.

• However, most prevention algorithms have poor resource

utilization, and hence result in reduced throughputs.
 Deadlock Prevention
 Mutual Exclusion:
• No deadlock if each resource can be assigned to more than one process.
• We can not assign some resources to more than one process at a time
such as CD-Recorder, Printer etc…
• So this solution is not feasible.

 Hold and Wait

1. A resource can get all required resources before it start execution. This
will avoid deadlock, but will result in reduced throughputs as resources
are held by processes even when they are not needed. They could have
been used by other processes during this time.
2. Second approach is to request for a resource only when it is not holing
any other resource. This may result in a starvation as all required
resources might not be available freely always.
 Deadlock Prevention
 No preemption
• If a process that is holding some resources requests
another resource that cannot be immediately allocated to
it, the process releases the resources currently being held.
• Pre-empted 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.
 Deadlock Prevention
 Circular Wait
 To avoid circular wait, resources may be ordered and we
can ensure that each process can request resources only in
an increasing order of these numbers. The algorithm may
itself increase complexity and may also lead to poor
resource utilization.
 Deadlock Avoidance
• If we have prior knowledge of how resources will be
requested, it's possible to determine if we are entering an
"unsafe" state.
 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.
 Deadlock Avoidance
 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 Pj with j<i.
 Deadlock Avoidance
• Possible states are:
1. Deadlock: No forward progress can be made.
2. Unsafe state: Possibility of deadlock.
3. Safe state: A state is safe if a sequence of processes exist
such that there are enough resources for the first to finish,
and as each finishes and releases its resources there are
enough for the next to finish.

The rule is simple: If a request allocation would cause an

unsafe state, do not honor that request.
NOTE: All deadlocks are unsafe, but all unsafe are NOT
deadlocks.
Deadlock Avoidance
 Safe and unsafe states
• Total resources are 10
• 7 resources already allocated
• So there are 3 still free Process Has Max
• A need 6 resources more to complete it. A 3 9
• B need 2 resources more to complete it. B 2 4
C 2 7
• C need 5 resources more to complete it. Free : 3
 Safe states

Process Has Max Process Has Max Process Has Max

A 3 9 A 3 9 A 3 9
4
B 2 4 2 B 4 4 B 0 -
C 2 7 C 2 7 C 2 7
Free : 3 Free : 1 Free : 5

Process Has Max Process Has Max Process Has Max

5
A 3 9 A 3 9 6 A 9 9
B 0 - 7 B 0 - B 0 -
C 7 7 C 0 - C 0 -
Free : 0 Free : 7 Free : 1
 Unsafe states

Process Has Max Process Has Max Process Has Max

A 3 9 A 4 9 A 4 9
1
B 2 4 2 B 4 4
B 2 4
C 2 7 C 2 7 C 2 7
Free : 3 Free : 2 Free : 0

Process Has Max

4
A 4 9
B 0 -
C 2 7
Free : 4
 Banker’s Algorithm
• Used for multiple instances of each resource type.
• Each process must a priori claim maximum use of each
resource type.
• 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
Banker’s Algorithm
• Let n = number of processes and m = number of resource
types.
 Available: Vector of length m. If Available[j] = k, there
are k instances of resource type Rj available.
 Max: n  m matrix. If Max[i,j] = k, then process Pi may
request at most k instances of resource type Rj.
 Allocation: n  m matrix. If Allocation[i,j] = k, then
process Pi is currently allocated k instances of resource
type Rj.
 Need: n  m matrix. If Need[i,j] = k, then process Pi may
need k more instances of resource type Rj to complete
its task.
Need[i,j] = Max[i,j] - Allocation[i,j]
 Safety Algorithm
Step 1:Let Work and Finish be vectors of length m and n,
respectively. Initialize
– Work := Available
– Finish[i] := false for i = 1,2,…,n.
Step 2:Find an i (i.e. process Pi) such that both:
– Finish[i] = false
– Need_i <= Work
– If no such i exists, go to step 4.
Step 3: Work := Work + Allocation_i
– Finish[i] := true
– go to step 2
Step 4: If Finish[i] = true for all i, then the system is in a safe
state.
Resource-Request Algorithm
 Banker’s algorithm for
single resource
• What the algorithm does is check to see if granting the
request leads to an unsafe state. If it does, the request is
denied.
• If granting the request leads to a safe state, it is carried out.
• If we have situation as per figure Process Has Max

– then it is safe state A 0 6

– because with 10 free units B 0 5
C 0 4
– one by one all customers can be served. D 0 7
Free : 10
 Banker’s algorithm for
single resource

Process Has Max Process Has Max Process Has Max

A 1 6 A 1 6 A 1 6
B 1 5 B 1 5 B 1 5
C 2 4 C 4 4 C 0 0
D 4 7 D 4 7 D 4 7
Free : 2 Free : 0 Free : 4

Process Has Max Process Has Max Process Has Max

A 1 6 A 1 6 A 1 6
B 1 5 B 1 5 B 5 5
C 0 - C 0 - C 0 -
D 7 7 D 0 - D 0 -
Free : 1 Free : 8 Free : 4
 Banker’s algorithm for
single resource

Process Has Max Process Has Max Process Has Max

A 1 6 A 6 6 A 0 -
B 0 - B 0 - B 0 -
C 0 - C 0 - C 0 -
D 0 - D 0 - D 0 -
Free : 9 Free : 4 Free : 10

• The order of execution is C, D, B, A. So if we can find

proper order of execution then there is no deadlock.
 Banker’s algorithm for
single resource

Process Has Max

A 1 6
B 2 5
C 2 4
D 4 7
Free : 1
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 Deadlock Detection
• If deadlocks are not avoided, then another approach is to
detect when they have occurred and recover somehow.

• In addition to the performance hit of constantly checking

for deadlocks, a policy / algorithm must be in place for
recovering from deadlocks.
 Deadlock detection for
single resource
• We are starting from node D.
• Empty list L = ()
R A B • Add current node so Empty list
= (D).
C S D T E • From this node there is one
outgoing arc to T so add T to
F U V list.
• So list become L = (D, T).
W G • Continue this step….so we get
list as below
• L = (D, T, E)………… L = (D, T, E,
V, G, U, D)
• In the above step in empty list
the node D appears twice, so
deadlock.
 Deadlock detection for
single resource
• Algorithm for detecting deadlock for single resource
 For each node, N in the graph, perform the following five steps
with N as the starting node.
1. Initialize L to the empty list, designate all arcs as unmarked.
2. Add current node to end of L, check to see if node now appears in L
two times. If it does, graph contains a cycle (listed in L), algorithm
terminates.
3. From given node, see if any unmarked outgoing arcs. If so, go to step 4;
if not, go to step 5.
4. Pick an unmarked outgoing arc at random and mark it. Then follow it
to the new current node and go to step 2.
5. If this is initial node, graph does not contain any cycles, algorithm
terminates. Otherwise, dead end. Remove it, go back to previous node,
make that one current node, go to step 2.
 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.
Several instances of a resource type

• Data Structures
 Available: Vector of length m. If Available[j] = k, there are k
instances of resource type Rj available.
 Allocation: n  m matrix. If Allocation[i,j] = k, then process
Pi is currently allocated k instances of resource type Rj.
 Request: An n  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 .
 Deadlock Detection Algorithm
• Step 1: Let Work and Finish be vectors of length m and n,
respectively. Initialize
– Work := Available
– For i = 1,2,…,n, if Allocation(i)  0, then Finish[i] := false,
otherwise Finish[i] := true.
• Step 2: Find an index i such that both:
– Finish[i] = false
– Request (i)  Work
– If no such i exists, go to step 4.
 Deadlock Detection Algorithm
• Step 3: Work := Work + Allocation(i)
– Finish[i] := true
– go to step 2
• Step 4: If Finish[i] = false for some i, 1  i  n, then the
system is in a deadlock state. Moreover, if Finish[i] = false,
then Pi is deadlocked.
• Algorithm requires an order of m  (n^2) operations to
detect whether the system is in a deadlocked state.
 Deadlock detection for
multiple resource

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4 2 3 1 2 1 0 0
total no of each no of resources that
E= A=
resource are available (free)

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Process
Process

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Drive

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P1 0 0 1 0 P1 2 0 0 1

P2 2 0 0 1 P2 1 0 1 1

P3 0 1 2 0 P3 2 1 0 0
no of resources held by each no of resources still needed
C= process
R= by each process to proceed
 Deadlock detection for
multiple resource

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4 2 3 1 0 0 0 0
E= total no of each no of resources that
resource A= are available (free)

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Process
Process

Drive
Drive

Tape
Tape

P1 0 0 1 0 P1 2 0 0 1

P2 2 0 0 1 P2 1 0 1 1

P3 2 2 2 0 P3 0 0 0 0
no of resources held by each no of resources still needed
C= process
R = by each process to proceed
 Deadlock detection for
multiple resource

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CD Roms

CD Roms
Plotters

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Drive

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Tape

Tape
4 2 3 1 2 2 2 0
total no of each no of resources that
E= resource A = are available (free)

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Process
Process

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P1 0 0 1 0 DEADLOCK P1 2 0 0 1

P2 2 0 0 1 P2 1 0 1 1

P3 0 0 0 0 P3 0 0 0 0
no of resources held by each no of resources still needed
C= process
R= by each process to proceed
 Detection-Algorithm Use
•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
•How often --
– Every time a request for allocation cannot be granted immediately
• Allows us to detect set of deadlocked processes and process that
“caused” deadlock. Extra overhead.
• Every hour or whenever CPU utilization drops.
– With arbitrary invocation there may be many cycles in the resource
graph and we would not be able to tell which of the many
deadlocked processes “caused” the deadlock.
 Deadlock recovery
1. Recovery through pre-emption
– In this method resources are temporarily taken away
from its current owner and give it to another process.
– The ability to take a resource away from a process, have
another process use it, and then give it back without the
process noticing it is highly dependent on the nature of
the resource.
– Recovering this way is frequently difficult or impossible.
Request
P
Hold
1 Hold

R1 R2

P Hold
2
 Deadlock recovery
2. Recovery through rollback
– PCB (Process Control Block) and resource state are periodically
saved at “checkpoint”.
– When deadlock is detected, rollback the preempted process up
to the previous safe state before it acquired that resource.
– Discard the resource manipulation that occurred after that
checkpoint.
– Start the process after it is determined it can run again.

A A A

F1 F2
R R

Second B
Checkpoint
First
Checkpoint
 Deadlock recovery
3. Recovery through killing processes
– The simplest way to break a deadlock is to kill one or more
processes.
• Kill all the process involved in deadlock
• Kill process one by one.
– After killing each process check for deadlock
» If deadlock recovered then stop killing more process
» Otherwise kill another process
Thank you🙂