Chapter 7: Deadlocks

Chapter 7: Deadlocks
 System Model
 Deadlock Characterization
 Methods for Handling Deadlocks
 Deadlock Prevention
 Deadlock Avoidance
 Deadlock Detection
 Recovery from Deadlock
 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
 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
 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.
 Deadlock with Mutex Locks

 Deadlocks can occur via system calls,

locking, etc.
 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

 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
Example of a Resource Allocation Graph
Resource Allocation Graph With A Deadlock
Graph With A Cycle But No Deadlock
 Basic Facts

 If graph contains no cycles  no deadlock

 If graph contains a cycle 

 ifonly one instance per resource type,
then deadlock
 if
several instances per resource type,
possibility of deadlock
 Methods for Handling Deadlocks

 Ensure that the system will never enter a

deadlock state

 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
 Deadlock Prevention
Restrain the ways request can be made

 Mutual Exclusion – not required for sharable

resources; 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
 Low resource utilization; starvation possible
 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
 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
 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
 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.
Safe, Unsafe, Deadlock State
 Avoidance Algorithms

 Single instance of a resource type

 Use a resource-allocation graph

 Multiple instances of a resource type

 Use the banker’s algorithm
 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

 Resource-Allocation Graph

Assignment Edge
Request Edge

Claim Edge Claim Edge

Unsafe State In Resource-Allocation Graph
 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
 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
 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]

 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
 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
 Ifunsafe  Pi must wait, and the old resource-allocation
state is restored
 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
 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
 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?

 Deadlock Detection
 Allow system to enter deadlock state

 Detection algorithm

 Recovery scheme
 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
Resource-Allocation Graph and Wait-for Graph

Resource-Allocation Graph Corresponding wait-for graph

 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.
 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

 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
 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
 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
 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.
 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?
 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
End of Chapter 7