Operating Systems

College of Science
Computer Dept.
Higher Diploma

By
Aree Ali M.
2007
 Deadlock I

 Deadlock Problem
 A set of blocked processes each holding a resource and waiting
to acquire a resource held by another process in the set.
 Example
– System has 2 disk drives.
– P1 and P2 each hold one disk drive and each needs another
one.

 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 II

 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.
 Deadlock IV

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, …, P0} 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 P0 is waiting for a resource that is held by P0.
 Resource-Allocation Graph
Process

A set of vertices V and a set of edges E.

 V is partitioned into two types: Resource Type with 4 instances

– 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 Pi requests instance of Rj
 assignment edge – directed edge Rj  Pi
Pi
Rj

Pi is holding an instance of Rj

Pi
Rj
 Resource-Allocation Graph

 Example Graph
Graph With
With A
A Deadlock
Deadlock
Graph
Graph With
With A
A Cycle
Cycle
But
But No
No Deadlock
Deadlock
 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.
 Deadlock III

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.

Methods for Handling Deadlocks

Deadlock Prevention
Deadlock Avoidance
Deadlock Detection
Recovery from Deadlock
 Deadlock Prevention

Restrain the ways request can be made.

 Mutual Exclusion – not required for sharable resources; must hold for nonsharable
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.
 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 is 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.
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
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 Pj 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

 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 and 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 Pii

Request = 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 – Request;
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
 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 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.
 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 301 600
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 [ij] = 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 0 1 0 000 000
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 201
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.
 Deadlock V

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?
– Priority of the process.
– How long process has computed, and how much longer to
completion.
– Resources the process has used.
– Resources process needs to complete.
– How many processes will need to be terminated.
– Is process interactive or batch?
 Deadlock VI
 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.