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 7.1 Silberschatz, Galvin and Gagne ©2013
 Deadlock Characterization
Deadlock can arise if four conditions hold simultaneously.
1. Mutual exclusion: only one process at a time
can use a resource

Operating System Concepts – 9th Edition 7.2 Silberschatz, Galvin and Gagne ©2013
 Deadlock Characterization
Deadlock can arise if four conditions hold simultaneously.
2. Hold and wait: a process holding at least one resource
is waiting to acquire additional resources held by other
processes
Process 2 holds Resource 2 and Resource 3 and is
requesting the Resource 1 which is held by Process 1.

Operating System Concepts – 9th Edition 7.3 Silberschatz, Galvin and Gagne ©2013
 Deadlock Characterization
Deadlock can arise if four conditions hold simultaneously.

3. No preemption: A resource cannot be preempted

from a process by force. A resource can be released only
voluntarily by the process holding it, after that process
has completed its task.
Process 2 cannot preempt Resource 1 from Process 1. It
will only be released when Process 1 relinquishes it
voluntarily after its execution is complete.

Operating System Concepts – 9th Edition 7.4 Silberschatz, Galvin and Gagne ©2013
 Deadlock Characterization
Deadlock can arise if four conditions hold simultaneously.

4. 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 ©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 7.6 Silberschatz, Galvin and Gagne ©2013
 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 7.7 Silberschatz, Galvin and Gagne ©2013
 Single instance type resource – It represents as
a box, inside the box, there will be one dot.So the
number of dots indicate how many instances are
present of each resource type.
Multi-resource instance type resource – It also
represents as a box, inside the box, there will be
many dots present.

Operating System Concepts – 9th Edition 7.8 Silberschatz, Galvin and Gagne ©2013
 Single instances RAG

Operating System Concepts – 9th Edition 7.9 Silberschatz, Galvin and Gagne ©2013
 Single instances RAG

Operating System Concepts – 9th Edition 7.10 Silberschatz, Galvin and Gagne ©2013
 Example of a Resource Allocation Graph

Operating System Concepts – 9th Edition 7.11 Silberschatz, Galvin and Gagne ©2013
 Resource Allocation Graph With A Deadlock

Operating System Concepts – 9th Edition 7.12 Silberschatz, Galvin and Gagne ©2013
 Graph With A Cycle But No Deadlock

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

Operating System Concepts – 9th Edition 7.15 Silberschatz, Galvin and Gagne ©2013
 Deadlock Prevention
 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,
Allow process to request resources only when
the process has none allocated to it.
Low resource utilization; starvation possible
Operating System Concepts – 9th Edition 7.16 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 7.17 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 7.18 Silberschatz, Galvin and Gagne ©2013
 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 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 7.19 Silberschatz, Galvin and Gagne ©2013
 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 7.20 Silberschatz, Galvin and Gagne ©2013
 Safe, Unsafe, Deadlock State

Operating System Concepts – 9th Edition 7.21 Silberschatz, Galvin and Gagne ©2013
 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 Algorithm
 Claim edge Pi → Rj indicated that process Pi 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

Operating System Concepts – 9th Edition 7.24 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 7.25 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 7.26 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

Operating System Concepts – 9th Edition 7.27 Silberschatz, Galvin and Gagne ©2013
 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 7.28 Silberschatz, Galvin and Gagne ©2013
 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 2 0 0 322
P2 3 0 2 902
P3 2 1 1 222
P4 0 0 2 433

Operating System Concepts – 9th Edition 7.29 Silberschatz, Galvin and Gagne ©2013
 Example (Cont.)
 The content of the matrix Need is defined to be Max –
Allocation
Need
ABC
P0 7 4 3
P1 1 2 2
P2 6 0 0
P3 0 1 1
P4 4 3 1
The system is in a safe state since the sequence < P1, P3,
P4, P2, P0> satisfies safety criteria

Operating System Concepts – 9th Edition 7.30 Silberschatz, Galvin and Gagne ©2013
 Example: P1 Request (1,0,2)
 Check that Request ≤ Available (that is, (1,0,2) ≤ (3,3,2) ⇒ true
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 7.31 Silberschatz, Galvin and Gagne ©2013
 Deadlock Detection

 Allow system to enter deadlock state

 Detection algorithm

 Recovery scheme

Operating System Concepts – 9th Edition 7.32 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 7.33 Silberschatz, Galvin and Gagne ©2013
 Resource-Allocation Graph and Wait-for Graph

Resource-Allocation Graph Corresponding wait-for graph

Operating System Concepts – 9th Edition 7.34 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 7.35 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
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

Operating System Concepts – 9th Edition 7.36 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 7.37 Silberschatz, Galvin and Gagne ©2013
 Example (Cont.)

 P2 requests an additional instance of type C

Request
ABC
P0 000
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 7.38 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 7.39 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 7.40 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 7.41 Silberschatz, Galvin and Gagne ©2013
 End of Chapter 7

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