08/11/2021

CpE 422: Operating Systems

Computer Engineering Department
College of Engineering

Operating Systems as Resource

Managers
 Example of resources
 Sharable VS non-sharable resources
 Preemptible VS non-preemptible resources
 Potential problem: Deadlocks

1
 08/11/2021

What are deadlocks?

 A deadlock occurs when each process in a set of
processes is waiting for some event that only another
process in the set can cause. [after Tannenbaum]
 Example:
 P1: needs CD-ROM and sound card
 P1: asks for CD-ROM and receives it
 P2: needs CD-ROM and sound card
 P2: asks for sound card and gets it
 P1: asks for sound card ➔ blocks
 P2: asks for CD-ROM ➔ blocks

Bridge Crossing Example

 Traffic only in one direction.

 Each section of a bridge can be viewed as a resource.
 If a deadlock occurs, it can be resolved if one car backs
up (preempt resources and rollback).
 Several cars may have to be backed up if a deadlock
occurs.
 Starvation is possible.

2
 08/11/2021

Conditions for Deadlocks

 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.

Digression: Directed Graphs

 Many areas of CS require us to think of objects and
relationships between them; e.g., paths between
locations, data dependencies, constraints in logic
puzzles
 Can represent this formally as a graph :
 Vertices (or nodes) represent the objects
 Edges (or arcs, or links) represent the relationships
 Sometimes, relationship is directional – think “one-
way streets”
 Now the edges have direction, and the graph is called a
directed graph or digraph

3
 08/11/2021

Modeling Deadlocks as Digraphs

 Circles: processes
 Squares: resources
 Link from process → resource: process requests
resource
 Link from resource→ process: process has control of
resource
R1 R1

P1 P2

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 P1 → Rj
 assignment edge – directed edge Rj → Pi

4
 08/11/2021

Example of a Resource Allocation

Graph
R1 R3

P1 P1 P1

R2a

R2b

Resource Allocation Graph with

Deadlock
R1 R3

P1 P1 P1

R2a

R2b

5
 08/11/2021

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.

What do we do about Deadlocks?

 Ignore them
 Detect them and (try to) recover
 Prevent them altogether
 Predict and avoid them

6
 08/11/2021

Ignoring deadlocks:
The Ostrich Algorithm
 Sounds stupid, but...
 Consider:
 How often will a deadlock happen?
 How severe will it be if it does happen?
 How hard would it be to avoid/prevent/detect?

Deadlock detection/recovery
 Detection:
 Monitor resource allocation using (e.g.) a digraph
 If detect a cycle ➔ deadlock has occurred
 Recovery:
 Kill one of the processes
 If that doesn’t work: kill another, etc.
 Another alternative: just look for processes that have
been idle for a long time and kill them
 May be okay when aborting and restarting is okay
(e.g., batch jobs)

7
 08/11/2021

Deadlock prevention
 Set things up so that deadlocks cannot occur at all
 Done by attacking one of the deadlock conditions
 Attacking mutual exclusion condition:
 Don’t let non-sharable resources be assigned to anyone
 E.g., spooling

Deadlock prevention
 Attacking hold-and-wait condition:
 Process can’t request a resource if holding any
 One way: processes request all resources up front
 Problem: may not know ahead of time what you need!
 Problem: hold resources too long in general
 Another approach: release all you’re holding
momentarily to request another
 Attacking no preemption condition: not realistic

8
 08/11/2021

Deadlock prevention
 Attacking the circular wait condition:
 Stupid way: processes can only hold a single resource at
a time
 Better way:
 Number the resources
 Process can request whatever it wants, whenever it wants...as
long as the requests are in numerical order
 No cycles – why not?

Deadlock prevention
 Attacking the circular wait condition (cont’d):
 Resource allocation graph can’t have cycles in this
scheme – why not?
 Consider the case where process A holds resource i and B
holds j – deadlock only possible if A requests j and B requests i
 If i > j, then A can’t request j
 If j > i, then B can’t request i
 Problem – may not be able to find an ordering that
satisfies everyone!

9
 08/11/2021

Deadlock avoidance
 Idea: predict when some action → deadlock, avoid it
 Dijkstra’s Banker’s Algorithm (single resource version)
 Modeled on the way a banker might deal with lines of credit
to customers
 Deadlock if there is no way to guarantee that all customers
can borrow up to their maximum resource limit
 Bank: let Bmax be maximum amount of money bank has to
loan
 Each customer: let Ci be maximum amount he/she can
max
borrow
 Banker can’t let C  Bmax
imax

Dijkstra’s Banker’s Algorithm

 Safety:
A state is safe if some sequence of other possible states
exists that allows all customers (processes) to get up to
their maximum resource limit at some time
 Keep track of Ci and current allocation for each
max
customer
 Start in a safe state
 When process requests additional amount of resource,
make sure that next state will also be safe
 If so, allow request, else disallow it

10
 08/11/2021

Banker’s Algorithm Example

 Initial state:
Process Current Maximum
A 0 7
B 0 3
C 0 2
D 0 4
Remaining: 8

Banker’s Algorithm Example1

 Initial state:
Process Current Maximum
A 3 7
B 2 3
C 0 2
D 2 4
Remaining: 1
 Safe or not?

11
 08/11/2021

Banker’s Algorithm Example1

 Initial state:
Process Current Maximum
A 3 7
B 2 3
C 0 2
D 2 4
Remaining: 1
 Safe or not?
 Safe
 Possible sequence of processes running to
 completion: B → D → C → A

Banker’s Algorithm Example1

 Initial state:
Process Current Maximum
A 3 7
B 3 3
C 0 2
D 2 4
Remaining: 0
 Safe or not?
 Safe
 Possible sequence of processes running to
 completion: B → D → C → A

12
 08/11/2021

Banker’s Algorithm Example1

 Initial state:
Process Current Maximum
A 3 7
B - -
C 0 2
D 2 4
Remaining: 3
 Safe or not?
 Safe
 Possible sequence of processes running to
 completion: B → D → C → A

Banker’s Algorithm Example1

 Initial state:
Process Current Maximum
A 3 7
B - -
C 0 2
D 4 4
Remaining: 1
 Safe or not?
 Safe
 Possible sequence of processes running to
 completion: B → D → C → A

13
 08/11/2021

Banker’s Algorithm Example1

 Initial state:
Process Current Maximum
A 3 7
B - -
C 0 2
D - -
Remaining: 5
 Safe or not?
 Safe
 Possible sequence of processes running to
 completion: B → D → C → A

Banker’s Algorithm Example1

 Initial state:
Process Current Maximum
A 3 7
B - -
C 2 2
D - -
Remaining: 3
 Safe or not?
 Safe
 Possible sequence of processes running to
 completion: B → D → C → A

14
 08/11/2021

Banker’s Algorithm Example1

 Initial state:
Process Current Maximum
A 3 7
B - -
C - -
D - -
Remaining: 5
 Safe or not?
 Safe
 Possible sequence of processes running to
 completion: B → D → C → A

Banker’s Algorithm Example1

 Initial state:
Process Current Maximum
A 7 7
B - -
C - -
D - -
Remaining: 1
 Safe or not?
 Safe
 Possible sequence of processes running to
 completion: B → D → C → A

15
 08/11/2021

Banker’s Algorithm Example1

 Initial state:
Process Current Maximum
A - -
B - -
C - -
D - -
Remaining: 8
 Safe or not?
 Safe
 Possible sequence of processes running to
 completion: B → D → C → A

Banker’s Algorithm Example2

Proc Curr Max Proc Curr Max

A 3 7 A 3 7

B 2 3 B 3 3
B wants 1
C 0 2 C 0 2

D 2 4 D 2 4

Remaining: 1 Remaining: 0

Allow the request?

16
 08/11/2021

Banker’s Algorithm Example2

Proc Curr Max Proc Curr Max

A 3 7 A 3 7

B 2 3 B 3 3
B wants 1
C 0 2 C 0 2

D 2 4 D 2 4

Remaining: 1 Remaining: 0

Allow the request?

• Yes
•Possible sequence of processes running to completion:
B→D→C→A

Banker’s Algorithm Example3

Proc Curr Max Proc Curr Max

A 6 7 A 7 7

B 0 3 B 0 3
A wants 1
C 0 2 C 0 2

D 1 4 D 1 4

Remaining: 1 Remaining: 0

Allow the request?

17
 08/11/2021

Banker’s Algorithm Example3

Proc Curr Max Proc Curr Max

A 6 7 A 7 7

B 0 3 B 0 3
A wants 1
C 0 2 C 0 2

D 1 4 D 1 4

Remaining: 1 Remaining: 0

Allow the request?

• Yes
•Possible sequence of processes running to completion:
A→B→C→D

Banker’s Algorithm Example4

Proc Curr Max Proc Curr Max

A 4 7 A 4 7

B 1 3 B 1 3
D wants 1
C 0 2 C 0 2

D 1 4 D 2 4

Remaining: 2 Remaining: 1

Allow the request?

18
 08/11/2021

Banker’s Algorithm Example4

Proc Curr Max Proc Curr Max

A 4 7 A 4 7

B 1 3 B 1 3
D wants 1
C 0 2 C 0 2

D 1 4 D 2 4

Remaining: 2 Remaining: 1

Allow the request?

• NO!
•No sequence possible where they all can finish

Banker’s Algorithm: Critique

 Is it too strong?
 After all – no guarantee that in the previous
 example:

D might not give back 1 immediately, moving back

into safe state
 But we’re interested in guarantee that there will be no
deadlock, so this is what we need.

19
 08/11/2021

Banker’s Algorithm: Critique

 Scales to multiple processes/resources
 Problems:
 Need to know maximum resources needed per process –
often (usually?) impossible for multiprocess system
 Number of processes constantly changes
 Resources can disappear
 But: Really no better general-purpose algorithm exists
for this

Summary
 Handling deadlocks is difficult
 No best general solution
 How you choose to handle it depends on your
situation: trade-offs

20