Operating Systems

Phan Xuan Hieu

Data Science & Knowledge Technology Lab
Faculty of IT, VNU-UET
[email protected]
Deadlocks
Objectives
§ Illustrate how deadlock can occur when mutex locks are used
§ Define the four necessary conditions that characterize deadlock
§ Identify a deadlock situation in a resource allocation graph
§ Evaluate the four different approaches for preventing deadlocks
§ Apply the banker’s algorithm for deadlock avoidance
§ Apply the deadlock detection algorithm
§ Evaluate approaches for recovering from deadlock

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Materials
§ Textbook:
• A. Silberschatz, P. B. Galvin, and G. Gagne: Operating System Concepts,
10th edition, John Wiley & Sons, 2018.
• Chapter 8

§ Futher reading:
• W. Stallings: Operating Systems: Internals and Design Principles, 9th
edition, Pearson Education Limited, 2018.
• Chapter 6
• A. S. Tanenbaum and H. Bos: Modern Operating Systems, 4th edition,
Pearson Prentice Hall, 2015.
• Chapter 6

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Contents
§ System model
§ Deadlock characterization
§ Methods for handling deadlocks
§ Deadlock prevention
§ Deadlock avoidance
§ Deadlock detection
§ Recovery from deadlock

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Contents
§ System model
§ Deadlock characterization
§ Methods for handling deadlocks
§ Deadlock prevention
§ Deadlock avoidance
§ Deadlock detection
§ Recovery from deadlock

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System model
§ System consists of resources
§ Resource types R1, R2, …, Rn
• CPU cycles, memory space, I/O devices

§ Each resource type Ri has Wi instances.

§ Each process utilizes a resource as follows:
• request
• use
• release

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Contents
§ System model
§ Deadlock characterization
§ Methods for handling deadlocks
§ Deadlock prevention
§ Deadlock avoidance
§ Deadlock detection
§ Recovery from deadlock

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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 of {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.
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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

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Resource-allocation graph example
§ One instance of R1
§ Two instances of R2
§ One instance of R3
§ Three instances of R4
§ T1 holds one instance of R2 and is
waiting for an instance of R1
§ T2 holds one instance of R1, one
instance of R2, and is waiting for an
instance of R3
§ T3 holds on instance of R3
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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 containing a cycle →
• If only one instance per resource type, then deadlock
• If several instances per resource type, possibility of deadlock

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Contents
§ System model
§ Deadlock characterization
§ Methods for handling deadlocks
§ Deadlock prevention
§ Deadlock avoidance
§ Deadlock detection
§ Recovery from deadlock

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Methods for handling deadlocks
§ Ensure that the system will never enter a deadlock state:
• Deadlock prevention
• Deadlock avoidance

§ Allow the system to enter a deadlock state and then

recover
§ Ignore the problem and pretend that deadlocks never
occur in the system

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Contents
§ System model
§ Deadlock characterization
§ Methods for handling deadlocks
§ Deadlock prevention
§ Deadlock avoidance
§ Deadlock detection
§ Recovery from deadlock

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Dealock prevention
Invalidate one of the four necessary conditions for deadlock:
§ 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, or allow process to request resources only
when the process has none allocated to it.
• Low resource utilization; starvation possible

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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

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Circular wait
§ Invalidating the circular wait
condition is most common.
§ Simply assign each resource
(i.e., mutex locks) a unique
number.
§ Resources must be acquired in
order.
§ If:
first_mutex = 1
second_mutex = 5
Code for thread_two could not
be written as follows:
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Contents
§ System model
§ Deadlock characterization
§ Methods for handling deadlocks
§ Deadlock prevention
§ Deadlock avoidance
§ Deadlock detection
§ Recovery from deadlock

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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
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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 system 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

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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

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Avoidance algorithms
§ Single instance of a resource type
• Use a resource-allocation graph

§ Multiple instances of a resource type

• Use the Banker’s algorithm

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Resource-allocation graph scheme
§ 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

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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

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Banker’s algorithm
§ Multiple instances of resources
§ Each process must a priori claim maxium 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

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Data structures for the 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 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]
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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

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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 Þ the resources are allocated to Pi
• If unsafe Þ Pi must wait, and the old resource-allocation state is
restored
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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
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Example of Banker’s algorithm (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

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Example of Banker’s algorithm (cont’d)
§ 5 processes P0 through P4;
3 resource types:
A (10 instances), B (5instances), and C (7 instances)
§ Snapshot at time T0:
Allocation Need Available
ABC ABC ABC
P0 010 743 332
P1 200 122
P2 302 600
P3 211 011
P4 002 431
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Example: P1 request (1, 0, 2)
§ Check that Request £ Available (that is, (1,0,2) £ (3,3,2) Þ 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?

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Can request for (3,3,0) by P4 be granted?
§ 5 processes P0 through P4;
3 resource types:
A (10 instances), B (5instances), and C (7 instances)
§ Snapshot at time T0:
Allocation Need Available
ABC ABC ABC
P0 010 743 002
P1 200 122
P2 302 600
P3 211 011
P4 332 101
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Can request for (0,2,0) by P0 be granted?
§ 5 processes P0 through P4;
3 resource types:
A (10 instances), B (5instances), and C (7 instances)
§ Snapshot at time T0:
Allocation Need Available
ABC ABC ABC
P0 030 723 312
P1 200 122
P2 302 600
P3 211 011
P4 002 431
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Contents
§ System model
§ Deadlock characterization
§ Methods for handling deadlocks
§ Deadlock prevention
§ Deadlock avoidance
§ Deadlock detection
§ Recovery from deadlock

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Deadlock detection
§ Allow system to enter deadlock state
§ Detection algorithm
§ Recovery scheme

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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

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Resource-allocation graph and wait-for graph

Resource-Allocation Graph Corresponding wait-for graph

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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.

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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 ¹ 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

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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

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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
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Example of detection algorithm (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

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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.

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Contents
§ System model
§ Deadlock characterization
§ Methods for handling deadlocks
§ Deadlock prevention
§ Deadlock avoidance
§ Deadlock detection
§ Recovery from deadlock

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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?
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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

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Summary
§ Four deadlock conditions
• Mutual exclusion; Hold and wait; No preemption; Circular wait
§ Resource-allocation graph
§ Methods for handling deadlocks
• Deadlock prevention; Deadlock avoidance; Deadlock recovery; Ignoring
deadlocks
§ Deadlock prevention
§ Deadlock avoidance
• Safe state
• Resource-allocation graph; Banker’s algorithm
§ Deadlock detection algorithm
§ Recovery from deadlocks
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