Chapter 7: Deadlocks
Operating System Concepts – 9th Edition Silberschatz, Galvin and Gagne
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
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
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
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.
Operating System Concepts – 9th Edition 7.5 Silberschatz, Galvin and Gagne
Deadlock Characterization
Possible strategies
Mutual exclusion: allow shared resources to be
used with ME.
Hold and wait: Let a process start only after it
receives all resources it requires (starvation) OR
acquire only when you need it.
No preemption: A process should wait only if the
resources it needs is not available and they are
not in possession of another waiting process. If
being used by another waiting process then grab
them and see if you can run. You wait only if the
resource is with a running process. While
waiting some of your resoures might get grabbed
Circular wait: Total ordering of resources so
wont be cycle. Each process attains resources
in order as in the total ordering.
Operating System Concepts – 9th Edition 7.6 Silberschatz, Galvin and Gagne
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
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
Operating System Concepts – 9th Edition 7.8 Silberschatz, Galvin and Gagne
Example of a Resource Allocation Graph
Operating System Concepts – 9th Edition 7.9 Silberschatz, Galvin and Gagne
Resource Allocation Graph With A Deadlock
Is there a deadlock?
How can we detect
a deadlock?
Is it a iff condition?
Operating System Concepts – 9th Edition 7.10 Silberschatz, Galvin and Gagne
Graph With A Cycle But No Deadlock
Operating System Concepts – 9th Edition 7.11 Silberschatz, Galvin and Gagne
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
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
Operating System Concepts – 9th Edition 7.13 Silberschatz, Galvin and Gagne
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
(waiting for nothing), or allow process to
request resources only when the process
has none allocated to it(hold nothing).
Low resource utilization; starvation possible
Operating System Concepts – 9th Edition 7.14 Silberschatz, Galvin and Gagne
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
Alternatively, if you need something that is not available
then, it is held either by another waiting process or a
running process. If held by waiting process then make
the waiting process reliquish so that you can proceed. If
held by running process then you wait.A process
restarts after it gets relinguished and desired resources.
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
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 7.16 Silberschatz, Galvin and Gagne
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 for j<i 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
Operating System Concepts – 9th Edition 7.17 Silberschatz, Galvin and Gagne
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 7.18 Silberschatz, Galvin and Gagne
Safe, Unsafe, Deadlock State
Operating System Concepts – 9th Edition 7.19 Silberschatz, Galvin and Gagne
Example
Total resources of type printer=12
max current
P0 10 5
P1 4 2
P2 9 2
Safe sequence P1,P0,P2
Instead if P2 has current as 3 then unsafe state
Operating System Concepts – 9th Edition 7.20 Silberschatz, Galvin and Gagne
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 7.21 Silberschatz, Galvin and Gagne
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 7.22 Silberschatz, Galvin and Gagne
Resource-Allocation Graph
Safe state since there is a
Sequence P1, P2 that can
ensure that the system
exits without deadlock. This
can happen if R2 allocated to P1
Operating System Concepts – 9th Edition 7.23 Silberschatz, Galvin and Gagne
Unsafe State In Resource-Allocation Graph
UnSafe state since
there is no Sequence of n
(#processes) length that can
ensure that the system exits
without deadlock. The sequence
P1, p2, P1 can avoid deadlock
(not n length). However
possibility of deadlock exists if
P1 needs both R1 and R2
to complete.
Operating System Concepts – 9th Edition 7.24 Silberschatz, Galvin and Gagne
Safe state vs Unsafe State
Bankers Algorithm assumes the strict case that a process
needs all its mentioned resources simultaneously. Hence, on making
available to each process, all its requested resources at some point in
time, the algorithm checks if there is a sequence of the processes that
can permit all processes to complete without a deadlock.
If such a sequence exists that then state is a safe state. However, if
such a sequence does not exists it is not necessary that there be a
deadlock since the processes might not in reality be requesting all the
resources at one go but might be relinquishing resources in between.
Operating System Concepts – 9th Edition 7.25 Silberschatz, Galvin and Gagne
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
Banker’s Algorithm
Multiple instances of resources
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
Bankers algorithm is a resource allocation and
deadlock avoidance algorithm. Before allocating a
particular resource it checks whether resource can be
allocated without deadlock condition arising.
-Determine if current state is safe. Else report unsafe
- If current state safe and a new request comes, then
check if state is safe on granting request. Else do not
grant request
Operating System Concepts – 9th Edition 7.27 Silberschatz, Galvin and Gagne
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
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
Else unsafe state
Operating System Concepts – 9th Edition 7.29 Silberschatz, Galvin and Gagne
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
Operating System Concepts – 9th Edition 7.30 Silberschatz, Galvin and Gagne
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
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
New Request Made
When a process makes a new request then
first check if we have resource available to
meet the request
Second check whether the system will be in a
safe state if the request is granted.
Operating System Concepts – 9th Edition 7.33 Silberschatz, Galvin and Gagne
Example: P1 Request (1,0,2)
Check that Request Available (that is, (1,0,2) (3,3,2) true
P1 now becomes (2,0,0)old + (1,0,2)new= (3,0,2)
Available becomes (3,3,2)- (1,0,2)= (2,3,0)
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 next?
Can request for (0,2,0) by P0 be granted after P1s request?
Operating System Concepts – 9th Edition 7.34 Silberschatz, Galvin and Gagne
Example:
Check P4 Request (3,3,0): Request Available (that is,
(3,3,0) (2,3,0) false
Check P0 request (0,2,0) . Request Available
P0 now becomes (0, 3, 0). Available is (2 0 0)
Allocation Need Available
ABC ABC ABC
P0 030 723 200
P1 302 020
P2 302 600
P3 211 011
P4 002 431
No Deadlocked!
Operating System Concepts – 9th Edition 7.35 Silberschatz, Galvin and Gagne
Safe state: There exists at least
one permutation that will let all
process’ complete
Unsafe state: If all process
request for its max resources
without returning any it holds in
between, then, all process’ can
not complete.
Operating System Concepts – 9th Edition 7.36 Silberschatz, Galvin and Gagne
Deadlock Detection
Allow system to enter deadlock state
Detection algorithm
Recovery scheme
Operating System Concepts – 9th Edition 7.37 Silberschatz, Galvin and Gagne
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 7.38 Silberschatz, Galvin and Gagne
Resource-Allocation Graph and Wait-for Graph
Resource-Allocation Graph
Corresponding wait-for graph
Operating System Concepts – 9th Edition 7.39 Silberschatz, Galvin and Gagne
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 7.40 Silberschatz, Galvin and Gagne
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 7.41 Silberschatz, Galvin and Gagne
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
Will the sequence in which the request is made make a
difference to deadlock detection ?
Operating System Concepts – 9th Edition 7.42 Silberschatz, Galvin and Gagne
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 0 1 0 000 000
P1 200 202
P2 3 0 3 000
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 7.43 Silberschatz, Galvin and Gagne
Example (Cont.)
P2 requests an additional instance of type C
Request
ABC
P0 000
P1 202
P2 001
P3 1 0 0
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 7.44 Silberschatz, Galvin and Gagne
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 7.45 Silberschatz, Galvin and Gagne
Deadlock Recovery
Deadlock Recovery can be done in one of the two
ways:
Process Termination: Terminate processes to break
the circular wait
Resource Preemption: preempt one or more
resources from the deadlocked processes.
Operating System Concepts – 9th Edition 7.46 Silberschatz, Galvin and Gagne
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 7.47 Silberschatz, Galvin and Gagne
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 7.48 Silberschatz, Galvin and Gagne
End of Chapter 7
Operating System Concepts – 9th Edition Silberschatz, Galvin and Gagne