The deadlock problem

n A set of blocked processes each holding a resource and

waiting to acquire a resource held by another process in
the set.
Deadlocks n Example
n System has 2 tape drives.
n P1 and P2 each hold one tape drive and each needs another one.
n Example
Arvind Krishnamurthy n locks A and B

Spring 2001
P0 P1
lock (A); lock (B)
lock (B); lock (A)

The bridge-crossing example The dining philosophers problem

n Five philosophers around a table --- thinking or eating
n Five plates of spaghetti + five forks (placed between each plate)
n Each philosopher needs two forks to eat the spaghetti

void philosopher (int i) {

while (TRUE) {
n Traffic only in one direction.
think();
n Each section of a bridge can be viewed as a resource. take_fork (i);
n If a deadlock occurs, it can be resolved if one car backs up take_fork ((i+1) % 5);
(preempt resources and rollback). eat();
put_fork (i);
n Several cars may have to be backed up if a deadlock occurs. put_fork ((i+1) % 5);
n Starvation is possible. }
}

System model Resource-allocation graph

n Resource types R1, R2, . . ., Rm CPU cycles, memory space, I/O devices A set of vertices V and a set of edges E.
n Each resource type Ri has Wi instances.
n Each process utilizes a resource as follows: request, use, release n V is partitioned into two types:
n Deadlock can arise if four conditions hold simultaneously: n P = {P1, P2, …, Pn }, the set consisting of all the
processes in the system.
n Mutual exclusion: only one process at a time can use a resource.

n Hold and wait: a process holding at least one resource is waiting n R = {R1, R2, …, Rm }, the set consisting of all resource
to acquire additional resources held by other processes. types in the system.

n No preemption: a resource can be released only voluntarily by

the process holding it, after that process has completed its task. n request edge – directed edge P1 → Rj

n Circular wait: there exists a set {P0, P1, …, Pn} of waiting n assignment edge – directed edge Rj → Pi
processes such that Pi is waiting for a resource that is held by Pi+1,
Pn is waiting for a resource that is held by P0.

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 Resource Allocation Graph Deadlocked Resource Allocation

n Process

n Resource type with 4 instances

n Pi requests instance of Rj

Pi
Rj
n Pi is holding an instance of Rj
Pi
Rj

Graph with cycle but no deadlock Methods for handling deadlocks

n Ensure that the system will never enter a deadlock state.
(deadlock prevention and avoidance)
n problems: low device utilization, reduced throughput
n avoidance also requires prediction of resource needs

n Allow the system to enter a deadlock state and then

recover. (deadlock detection and recovery)
n costly; sometimes impossible to recover

nIf graph contains no cycles ⇒ no deadlock

n Ignore the problem and pretend that deadlocks never
occur in the system; used by most operating systems,
nIf graph contains a cycle ⇒ including UNIX.
n if only one instance per resource type, then deadlock.
n if several instances per resource type, possibility of deadlock.

Deadlock prevention (1) Deadlock prevention (2)

n No Preemption –
Restrain the ways request can be made.
n If a process that is holding some resources requests another
n Mutual Exclusion – resource that cannot be immediately allocated to it, then all
resources currently being held are released
n not required for sharable resources; must hold for
nonsharable resources. n Preempted resources are added to the list of resources for which
the process is waiting
n Process will be restarted only when it can regain its old resources,
n Hold and Wait – as well as the new ones that it is requesting
n must guarantee that whenever a process requests a
resource, it does not hold any other resources.
n Circular Wait –
n Require process to request and be allocated all its
resources before it begins execution (or allow process n impose a total ordering of all resource types, and require that each
to request resources only when the process has none) process requests resources in an increasing order of enumeration
n Low resource utilization; starvation possible.

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 Deadlock avoidance Safe state
n When a process requests an available resource, system must decide if
Requires that the system has some additional a priori information
immediate allocation leaves the system in a safe state.
available.

n System is in safe state if there exists a safe sequence of all processes.

n Each process declares the maximum number of resources
of each type that it may need. n Sequence <P1, P2, …, Pn > is safe if for each Pi, the resources that Pi
can still request can be satisfied by currently available resources +
n The deadlock-avoidance algorithm dynamically examines resources held by all the Pj, with j<i.
the resource-allocation state to ensure that there can n If Pi resource needs are not immediately available, then Pi can wait until all
never be a circular-wait condition. Pj have finished.
n When Pj is finished, Pi can obtain needed resources, execute, return
allocated resources, and terminate.
n Resource-allocation state is defined by the number of
n When Pi terminates, Pi+1 can obtain its needed resources, and so on.
available and allocated resources, and the maximum
demands of the processes.

Resource-allocation graph
Deadlock avoidance algorithm
n If a system is in safe state ⇒ no deadlocks. n Claim edge Pi → Rj indicated that process Pi may request
resource Rj ; represented by a dashed line.
n If a system is in unsafe state ⇒ possibility of deadlock.
n Claim edge converts to request edge when a process
n Avoidance ⇒ ensure that a system will never enter an requests a resource.
unsafe state.
n When a resource is released by a process, assignment
edge reconverts to a claim edge.

n Resources must be claimed a priori in the system.

Resource Allocation Graph Banker’s algorithm: a summary

n Multiple instances.
Safe state Unsafe state n Each process must a priori claim maximum use.
n When a process requests a resource it may have to wait.
n When a process gets all its resources it must return them in
a finite amount of time.

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 Data Structures for Banker’s Algo Banker’s algorithm: safety test
Let n = number of processes, and m = number of resources types.
1. Let Work and Finish be vectors of length m and n, respectively.
n Available: Vector of length m. If available [j] = k, there are k Initialize:
instances of resource type Rj available. Work := Available
Finish [i] = false for i =1,2, …, n.
n Max: n x m matrix. If Max [i,j] = k, then process Pi may
request at most k instances of resource type Rj.
2. Find an i such that both:
n Allocation: n x m matrix. If Allocation[i,j] = k then Pi is (a) Finish [i] = false
currently allocated k instances of Rj. (b) Needi ≤ Work
If no such i exists, go to step 4.
n Need: n x m matrix. If Need[i,j] = k, then Pi may need k
more instances of Rj to complete its task.
3. Work := Work + Allocationi
Finish[i] := true
Need [i,j] = Max[i,j] – Allocation [i,j]. go to step 2.

4. If Finish [i] = true for all i, then the system is in a safe state.

Resource Request Deadlock detection and recovery

Requesti = request vector for process Pi. If Requesti [j] = k then n Allow system to enter deadlock state
process Pi wants k instances of resource type Rj. n Detection algorithm
1. If Requesti ≤ Needi go to step 2. Otherwise, raise error condition, n use wait-for graph if single instance of each resource type
since process has exceeded its maximum claim. n Nodes are processes.

2. If Requesti ≤ Available, go to step 3. Otherwise Pi must wait, since n Pi → Pj if Pi is waiting for Pj .

resources are not available. n periodically searches for a cycle in the graph; when and how often
3. Pretend to allocate requested resources to Pi by modifying the state depends on:
as follows: n How often a deadlock is likely to occur?

Available := Available - Requesti; n How many processes will need to be rolled back

Allocationi := Allocationi + Requesti; n hard if multiple instances of each resource type

Needi := Needi – Requesti;; n Recovery scheme
• If safe ⇒ the resources are allocated to Pi. n process termination
• If unsafe ⇒ Pi must wait, and the old resource-allocation state n resource premption
is restored

Waits-For Graph Combined Approach

n Combine the three basic approaches
n prevention
n avoidance
n detection
allowing the use of the optimal approach for each of
resources in the system.

n Partition resources into hierarchically ordered classes.

n Use most appropriate technique for handling deadlocks

Corresponding wait-for graph
within each class.
Resource-Allocation Graph