Module 3 Part 2 : Deadlocks

Operating System Concepts – 9th Edition Silberschatz, Galvin and Gagne ©2013
 Chapter 7: 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

Operating System Concepts – 9th Edition 7.3 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 7.4 Silberschatz, Galvin and Gagne ©2013
 Deadlock Characterization

Necessary Conditions:

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
Operating System Concepts – 9 Edition
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Pn is waiting for a resource that is held by P0.
 Deadlock with Mutex Locks
 Deadlocks can occur via system calls, locking,
etc
 See example box in text page 318 for mutex
deadlock

Operating System Concepts – 9th Edition 7.6 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 7.7 Silberschatz, Galvin and Gagne ©2013
 Resource-Allocation Graph (Cont.)
 Proces
s

 Resource Type with 4

instances

 Pi requests instance of
Rj
Pi
Rj
 Pi is holding an instance
of Rj

Pi
Rj

Operating System Concepts – 9th Edition 7.8 Silberschatz, Galvin and Gagne ©2013
 Example of a Resource Allocation Graph

Operating System Concepts – 9th Edition 7.9 Silberschatz, Galvin and Gagne ©2013
 Resource Allocation Graph With A Deadlock

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 Graph With A Cycle But No Deadlock

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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

Operating System Concepts – 9th Edition 7.12 Silberschatz, Galvin and Gagne ©2013
 Methods for Handling Deadlocks

 We can use a protocol to prevent or avoid deadlocks and

ensure that the system will never enter a deadlock state

 We can allow the system to enter a deadlocked state ,

detect it and then recover

 Ignore the problem and pretend that deadlocks never

occur in the system; used by most operating systems,
including UNIX

Operating System Concepts – 9th Edition 7.13 Silberschatz, Galvin and Gagne ©2013
 Deadlock Prevention

Restrain the ways request can be made

 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

Operating System Concepts – 9th Edition 7.14 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 7.15 Silberschatz, Galvin and Gagne ©2013
 Deadlock Example with Lock Ordering
void transaction(Account from, Account to, double amount)
{
mutex lock1, lock2;
lock1 = get lock(from);
lock2 = get lock(to);
acquire(lock1);
acquire(lock2);
withdraw(from, amount);
deposit(to, amount);
release(lock2);
release(lock1);
}

Operating System Concepts – 9th Edition 7.16 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 7.17 Silberschatz, Galvin and Gagne ©2013
 Safe State

 A state is safe if the system can allocate resources to each

process (upto its maximum) in some order and still avoid a
deadlock
 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 only if there exists a safe

sequence.
 A sequence of processes <P1, P2, …, Pn> is a safe sequence
for the current allocation state, if for each Pi, the resource
request that Pi can still make can be satisfied by the
currently available resources + resources held by all the Pj,
with j < I

 That is:
 If Pi resource needs are not immediately available,
then
Operating System Concepts
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 When P is finished, P can obtain needed resources,

 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.

Operating System Concepts – 9th Edition 7.19 Silberschatz, Galvin and Gagne ©2013
 Safe, Unsafe, Deadlock State

Operating System Concepts – 9th Edition 7.20 Silberschatz, Galvin and Gagne ©2013
 Safe, Unsafe, Deadlock State

Consider a system with 12 magnetic tape drives and three processes : P0,P1
and P2.
Requirement : P0 – 10 P1-4 P2 – 9
At time to, they hold resources as P0 – 5 P1 – 2 P2 – 2

At time t0, system is in safe state.

Suggest a safe state.

What happens if P2 requests and allocated one resource at t1?

Operating System Concepts – 9th Edition 7.21 Silberschatz, Galvin and Gagne ©2013
 Deadlock Avoidance algorithms

 Single instance of a resource type

 Use a resource-allocation graph

 Multiple instances of a resource type

 Use the banker’s algorithm

Operating System Concepts – 9th Edition 7.22 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 7.23 Silberschatz, Galvin and Gagne ©2013
 Resource-Allocation Graph

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 Unsafe State In Resource-Allocation Graph

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 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

Operating System Concepts – 9th Edition 7.26 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 7.27 Silberschatz, Galvin and Gagne ©2013
 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]

Operating System Concepts – 9th Edition 7.28 Silberschatz, Galvin and Gagne ©2013
 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

If Finish [i] == false ,

Operating then the system
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unsafe state
 Resource-Request Algorithm for Process Pi

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

– Request; Allocationi = Allocationi

+ Requesti; Needi = Needi –
Requesti;
 If safe  the resources are allocated to
Pi
 If unsafe  Pi must wait, and the old resource-
Operating System Concepts – 9th Edition 7.30 Silberschatz, Galvin and Gagne ©2013
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

Operating System Concepts – 9th Edition 7.31 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 7.32 Silberschatz, Galvin and Gagne ©2013
 Example: P1 Request (1,0,2)
 Suppose now that process P1 requests one additional instance of resource
typesA and two instances of resource type C. To decide whether this request
can be granted Check that Request  Available (that is, (1,0,2)  (3,3,2)  true.
Now pretend that this request has been fulfilled and we arrive at the following
new state: 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?

Operating System Concepts – 9th Edition 7.33 Silberschatz, Galvin and Gagne ©2013
 Deadlock Detection
 Allow system to enter deadlock
state

 Detection algorithm

 Recovery scheme

Operating System Concepts – 9th Edition 7.34 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 7.35 Silberschatz, Galvin and Gagne ©2013
 Resource-Allocation Graph and Wait-for Graph
There are five processes
P1,P2,P3,P4 and P5 and five
resource types R1,R2,R3,R4
and R5. P1 is allocated R2, P2
is allocated R2, P3 is allocated
R4, P4 is allocated R5 and P5
is allocated R3. P1 is
requesting R1,P2 is requesting
R3,R4 and R5, P3 is
requesting R5, P4 is
requesting R2. Construct the
Resource allocation graph and
Wait-for graph for the above
scenario.

Resource-Allocation Corresponding wait-for

Graph graph

Operating System Concepts – 9th Edition 7.36 Silberschatz, Galvin and Gagne ©2013
 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.

Operating System Concepts – 9th Edition 7.37 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 7.38 Silberschatz, Galvin and Gagne ©2013
 Detection Algorithm (Cont.)

3. Work = Work + Allocationi

Finish[i] = true
go to step 2

4. If Finish[i] == false, for some i, 0  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

Operating System Concepts – 9th Edition 7.39 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 7.40 Silberschatz, Galvin and Gagne ©2013
 Example (Cont.)
 P2 requests an additional instance of
type C
Request
P0 A0
0 B0
C
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

Operating System Concepts – 9th Edition 7.41 Silberschatz, Galvin and Gagne ©2013
 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.

Operating System Concepts – 9th Edition 7.42 Silberschatz, Galvin and Gagne ©2013
 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?

Operating System Concepts – 9th Edition 7.43 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 7.44 Silberschatz, Galvin and Gagne ©2013