Chapter 4: Deadlocks

When two trains approach each other at

a crossing, both shall come to a full stop
and neither shall start up again until the
other has gone."

Operating System Concepts – 9th Edition Silberschatz, Galvin and Gagne ©2013
 Chapter 4: Deadlocks

DON’T JUST READ PPT

READ TEXT BOOK AND REFER
LESSON PLAN
Operating System Concepts – 9th Edition Silberschatz, Galvin and Gagne ©2013
 Chapter 7: Deadlocks
 System Model
 Deadlock Characterization
 Methods for Handling Deadlocks
 Deadlock Prevention
 Deadlock Avoidance
 Deadlock Detection
 Recovery from Deadlock

Operating System Concepts – 9th Edition 7.3 Silberschatz, Galvin and Gagne ©2013
 Chapter 7: Deadlocks
•Deadlock Introduction Videos
•Deadlock system model, deadlock characterization- V21,V22,V23 ,V24,V25,V26
•resource allocation graph, methods for handling And V27 (07)
deadlocks, prevention, deadlock
•avoidance- safe state, resource allocation graph Pre Test 4.1
algorithm.

Bankers algorithm, safety algorithm, resource – request V28,V29,V30,V31,V32, V33,V34,

algorithm, Deadlock detection, V35,V36
And V36A
Deadlock recovery (10)

Pre Test 4.2

Operating System Concepts – 9th Edition 7.4 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 7.5 Silberschatz, Galvin and Gagne ©2013
 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 7.6 Silberschatz, Galvin and Gagne ©2013
 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–a9 resource
Operating System Concepts
th
Edition that is held 7.7
by P . Silberschatz, Galvin and Gagne ©2013
 Deadlock with Mutex Locks
 Deadlocks can occur via system calls, locking, etc.
 See example box in text page 318 for mutex deadlock

Operating System Concepts – 9th Edition 7.8 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 7.9 Silberschatz, Galvin and Gagne ©2013
 Resource-Allocation Graph (Cont.)
 Process

 Resource Type with 4 instances

Pi
 Pi requests instance of Rj Rj

Pi
 Pi is holding an instance of Rj Rj

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

Operating System Concepts – 9th Edition 7.12 Silberschatz, Galvin and Gagne ©2013
 Graph With A Cycle

Operating System Concepts – 9th Edition 7.13 Silberschatz, Galvin and Gagne ©2013
 Graph With A Cycle

Operating System Concepts – 9th Edition 7.14 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 7.15 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
 Ignore the problem and pretend that deadlocks never
occur in the system; used by most operating systems,
including UNIX

Operating System Concepts – 9th Edition 7.16 Silberschatz, Galvin and Gagne ©2013
 Deadlock Prevention
Restrain the ways request can be made
 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

Operating System Concepts – 9th Edition 7.17 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 7.18 Silberschatz, Galvin and Gagne ©2013
 Home work
 Explain Deadlock with example of money
transactions.

Operating System Concepts – 9th Edition 7.19 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

I need I need I need

5 books 7 books 16 books

Operating System Concepts – 9th Edition 7.20 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 P i, 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
th
9 Edition 7.21 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 7.22 Silberschatz, Galvin and Gagne ©2013
 Deadlock 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 7.23 Silberschatz, Galvin and Gagne ©2013
 Resource-Allocation Graph
 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

Pi
Request Rj Pi
Claim Rj

Pi
Use Rj
Operating System Concepts – 9th Edition 7.24 Silberschatz, Galvin and Gagne ©2013
 Resource-Allocation Graph

Operating System Concepts – 9th Edition 7.25 Silberschatz, Galvin and Gagne ©2013
 Unsafe State In Resource-Allocation Graph

Operating System Concepts – 9th Edition 7.26 Silberschatz, Galvin and Gagne ©2013
 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

Operating System Concepts – 9th Edition 7.27 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 7.28 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 7.29 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 7.30 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
Operating System Concepts – 9th Edition 7.31 Silberschatz, Galvin and Gagne ©2013
 Example of Banker’s Algorithm
 Assume that there are 5 processes, P0 through P4, and 4 types of resources. A to D we have
the following system state:
 Max Instances of Resource Type A = 3 (2 allocated + 1 Available)
 Max Instances of Resource Type B = 17 (12 allocated + 5 Available)
 Max Instances of Resource Type C = 16 (14 allocated + 2 Available)
 Max Instances of Resource Type D = 12 (12 allocated + 0 Available)

Allocation Matrix Max Matrix Available

A B C D A B C D A B C D
P0 0 1 1 0 0 2 1 0 1 5 2 0
P1 1 2 3 1 1 6 5 2
P2 1 3 6 5 2 3 6 6
P3 0 6 3 2 0 6 5 2
P4 0 0 1 4 0 6 5 6

Operating System Concepts – 9th Edition 7.32 Silberschatz, Galvin and Gagne ©2013
 Step 1: Create Need Matrix
Need
Allocation Matrix Max Matrix = max(p1)- allocated(p1) Available
A B C D A B C D A B C D A B C D
P0 0 1 1 0 0 2 1 0 0 1 0 0 1 5 2 0
P1 1 2 3 1 1 6 5 2 0 4 2 1
P2 1 3 6 5 2 3 6 6 1 0 0 1
P3 0 6 3 2 0 6 5 2 0 0 2 0
P4 0 0 1 4 0 6 5 6 0 6 4 2

Need (P0) = [0 2 1 0] – [0 1 1 0] = [0 1 0 0]
Need (P1) = [1 6 5 2] – [ 1 2 3 1] = [ 0 4 2 1]
Need (P2)
Need (P3)
Need (P4)

Operating System Concepts – 9th Edition 7.33 Silberschatz, Galvin and Gagne ©2013
 Step 2:
Use the safety algorithm to test if the system is in a safe state or not?

a. first define work and finish:

Finish Matrix Work = Available

A B C D
P0 False
1 5 2 0
P1 False
P2 False
P3 False
P4 False

Operating System Concepts – 9th Edition 7.34 Silberschatz, Galvin and Gagne ©2013
 Step 2:
Use the safety algorithm to test if the system is in a safe state or not?

Check the needs of each process

[ needs(pi) <= Work(pi)], if this condition Work = Available
is true: A B C D
1 5 2 0
 Execute the process , Change Finish[i]
=True
Finish Matrix
 Release the allocated Resources by this P0 False
process
P1 False
 Change The Work Variable = Allocated P2 False
(pi) + Work
P3 False
P4 False
Operating System Concepts – 9 Edition
th 7.35 Silberschatz, Galvin and Gagne ©2013
 Example of Banker’s Algorithm
Allocation Matrix Need Work = Available
A B C D = max(p1)- allocated(p1)
A B C D
A B C D
P0 0 1 1 0 1 5 2 0
0 1 0 0
P1 1 2 3 1
0 4 2 1
P2 1 3 6 5
1 0 0 1
P3 0 6 3 2 0 0 2 0
Finish Matrix
P4 0 0 1 4 0 6 4 2 P0 False
P1 False

P0 will be executed because need(P0) P2 False

<= Work P3 False
P0 will be True
P4 False

Operating System Concepts – 9th Edition 7.36 Silberschatz, Galvin and Gagne ©2013
 Example of Banker’s Algorithm
Allocation Matrix Need Work = Available
A B C D = max(p1)- allocated(p1)
A B C D
A B C D
P0 0 1 1 0 1 6 3 0
0 1 0 0
P1 1 2 3 1
0 4 2 1
P2 1 3 6 5
1 0 0 1
P3 0 6 3 2 0 0 2 0
Finish Matrix
P4 0 0 1 4 0 6 4 2 P0 TRUE
P1 False
P2 False
P3 False
P4 False

Operating System Concepts – 9th Edition 7.37 Silberschatz, Galvin and Gagne ©2013
 Example of Banker’s Algorithm
Allocation Matrix Need Work = Available
= max(p1)- allocated(p1)
A B C D A B C D
A B C D
P0 0 1 1 0 1 6 3 0
0 1 0 0
P1 1 2 3 1
0 4 2 1
P2 1 3 6 5
1 0 0 1
P3 0 6 3 2 0 0 2 0
Finish Matrix
P4 0 0 1 4 0 6 4 2 P0 TRUE
P1 False
P2 False
P3 False
P4 False

Operating System Concepts – 9th Edition 7.38 Silberschatz, Galvin and Gagne ©2013
 Example of Banker’s Algorithm
Allocation Matrix Need Work = Available
A B C D = max(p1)- allocated(p1)
A B C D
P0 0 1 1 0 A B C D
1 12 6 2
0 1 0 0
P1 1 2 3 1
0 4 2 1
P2 1 3 6 5
1 0 0 1
P3 0 6 3 2 Finish Matrix
0 0 2 0
P4 0 0 1 4
0 6 4 2 P0 TRUE
P1 False
P3 will be executed because need(P3) P2 False
<= Work
P3 will be True P3 TRUE
P4 False

Operating System Concepts – 9th Edition 7.39 Silberschatz, Galvin and Gagne ©2013
 Example of Banker’s Algorithm
Allocation Matrix Need Work = Available
A B C D = max(p1)- allocated(p1)
A B C D
P0 0 1 1 0 A B C D
1 12 7 6
0 1 0 0
P1 1 2 3 1
0 4 2 1
P2 1 3 6 5
1 0 0 1
P3 0 6 3 2 Finish Matrix
0 0 2 0
P4 0 0 1 4
0 6 4 2 P0 TRUE
P1 False
P4 will be executed because need(P4) P2 False
<= Work
P3 TRUE
P4 will be True
P4 TRUE

Operating System Concepts – 9th Edition 7.40 Silberschatz, Galvin and Gagne ©2013
 Example of Banker’s Algorithm
Allocation Matrix Need Work = Available
A B C D = max(p1)- allocated(p1)
A B C D
P0 0 1 1 0 A B C D
2 14 10 7
0 1 0 0
P1 1 2 3 1
0 4 2 1
P2 1 3 6 5
1 0 0 1
P3 0 6 3 2 Finish Matrix
0 0 2 0
P4 0 0 1 4
0 6 4 2 P0 TRUE
P1 TRUE
P1 will be executed because need(P1) P2 False
<= Work
P1 will be True P3 TRUE
P4 TRUE

Operating System Concepts – 9th Edition 7.41 Silberschatz, Galvin and Gagne ©2013
 Example of Banker’s Algorithm
Allocation Matrix Need Work = Available
A B C D = max(p1)- allocated(p1)
A B C D
P0 0 1 1 0 A B C D
3 17 16 12
0 1 0 0
P1 1 2 3 1
0 4 2 1
P2 1 3 6 5
1 0 0 1
P3 0 6 3 2 Finish Matrix
0 0 2 0
P4 0 0 1 4
0 6 4 2 P0 TRUE
P1 TRUE
P2 will be executed because need(P2) P2 TRUE
<= Work
P2 will be True P3 TRUE
P4 TRUE

Operating System Concepts – 9th Edition 7.42 Silberschatz, Galvin and Gagne ©2013
 Example of Banker’s Algorithm

 The system is in a safe state and the

processes will be executed in the following
order:
 P0,P3,P4,P1,P2 (Safe sequence)

Operating System Concepts – 9th Edition 7.43 Silberschatz, Galvin and Gagne ©2013
 Homework

Operating System Concepts – 9th Edition 7.44 Silberschatz, Galvin and Gagne ©2013
 Homework

Considering the state of the system at time T:

Answer the following questions using Banker’s algorithm.
•Is the system in a safe state?
•If a additional request arrives by P2 for (1,1), can the request be granted immediate

Allocation Maximum Need Available

Proce R1 R2 R1 R2 R1 R2 R1 R2
sses

P1 7 2 9 4 2 2 2 1
P2 1 3 2 4 1 1

P3 1 1 2 2 1 1
Operating System Concepts – 9th Edition 7.45 Silberschatz, Galvin and Gagne ©2013
 Home work
 Explain “safety algorithm” and “Resource-
Request Algorithm for Process Pi” in
Banker’s Algorithm

Operating System Concepts – 9th Edition 7.46 Silberschatz, Galvin and Gagne ©2013
 Deadlock Detection
 Allow system to enter deadlock state

 Detection algorithm

 Recovery scheme

Operating System Concepts – 9th Edition 7.47 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

Pi R1 Pj Pi Pj

Resource allocation graph Wait for graph

Operating System Concepts – 9th Edition 7.48 Silberschatz, Galvin and Gagne ©2013
 Resource-Allocation Graph and Wait-for Graph

Resource-Allocation Graph Corresponding wait-for graph

Operating System Concepts – 9th Edition 7.49 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 7.50 Silberschatz, Galvin and Gagne ©2013
 Several Instances of a Resource Type

Operating System Concepts – 9th Edition 7.51 Silberschatz, Galvin and Gagne ©2013
 Several Instances of a Resource Type
 Five processes P0 through P4; three resource types
A (7 instances), B (2 instances), and C (6 instances)

Allocation Need
Available
Matrix = max(p1)- allocated(p1)
A B C A B C
A B C
P0 0 1 0 0 0 0
0 0 0
P1 2 0 0 2 0 2
P2 3 0 3 0 0 0
P3 2 1 1 1 0 0
P4 0 0 2 0 0 2

Sequence <P0, P2, P3, P1, P4> will result in Finish[i] = true for all i

Operating System Concepts – 9th Edition 7.52 Silberschatz, Galvin and Gagne ©2013
 Several Instances of a Resource Type
 Five processes P0 through P4; three resource types
A (7 instances), B (2 instances), and C (6 instances)
Allocation Need
Available
Matrix = max(p1)- allocated(p1)
A B C
A B C A B C
0 0 0
P0 0 1 0 0 0 0
P1 2 0 0 2 0 2
P2 3 0 3 0 0 1
P3 2 1 1 1 0 0
P4 0 0 2 0 0 2

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 7.53 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 7.54 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 7.55 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 7.56 Silberschatz, Galvin and Gagne ©2013
 End of Chapter 4

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