Lecture 07 Chapter 7 CSE 309

CSE-309 Operating
Systems
Md. Mahbubur Rahman
Lecturer, Dept. of CSE, DIU
E-mail- [email protected]
Phone- +8801521 238 777
Operating System Concepts – 9th Edit9on Silberschatz, Galvin and Gagne ©2013
Chapter 7: Deadlocks
Operating System Concepts – 8th Edition Silberschatz, Galvin and Gagne ©2009
Deadlock
 Deadlock is a situation where a set of processes are
blocked because each process is holding a resource and
waiting for another resource acquired by some other
process.
 Consider an example when two trains are coming

toward each other on same track and there is only one
track, none of the trains can move once they are in
front of each other.
 Similar situation occurs in operating systems when

there are two or more processes hold some resources
and wait for resources held by other(s).
Deadlock (cont.)
• For example, in the below diagram, Process 1 is holding
Resource 1 and waiting for resource 2 which is acquired
by process 2, and process 2 is waiting for resource 1.
Figure : Deadlock in OS
Bridge Crossing Example
 Traffic only in one direction like Half duplex data communication.

 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
 Note – Most OSes do not prevent or deal with deadlocks
Operating System Concepts – 8th Edition 7.5 Silberschatz, Galvin and Gagne ©2009
7.1 System Model
 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
#see details
7.2.1 Deadlock Characterization
Deadlock can arise if four conditions hold simultaneously.
 Mutual exclusion: At least one resource must be held in a
non-sharable mode; that is, only one process at a time can use the
resource. If another process requests that resource, the requesting
process must be delayed until the resource has been released.
 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.
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
Exercise
Consider a system has one DVD drive, two printers, one CPU and
three files (for storing information). Suppose there are three processes,
i.e., P1, P2, and P3. Process P1 is holding an instance of resource type
printer and is waiting for an instance of resource type DVD drive.
Process P2 is holding an instance of resource type DVD drive and an
instance of printer and is waiting for an instance of resource type CPU.
Process P3 is holding an instance of resource type CPU and is waiting
for an instance of resource type printer.
 Show these resources in a resource-allocation graph.
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
Methods for Handling Deadlocks
Methods for handling deadlock:

There are three ways to handle deadlock
1) Deadlock prevention or avoidance: The idea is to
not let the system into deadlock state.
2) Deadlock detection and recovery: Let deadlock
occur, then do preemption to handle it once
occurred.
3) Ignore the problem all together: If deadlock is
very rare, then let it happen and reboot the system.
This is the approach that both Windows and UNIX
take.
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
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 systems 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 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
 Resources must be claimed a priori in the system
Resource-Allocation Graph
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
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 (5 instances), 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.)
Question 1. What will be the content of the Need matrix?
Need= Max - Allocation
Need [i, j] = Max [i, j] – Allocation [i, j]
So, the content of Need Matrix is:
Need
A B C
P0 7 4 3
P1 1 2 2
P2 6 0 0
P3 0 1 1
P4 4 3 1
Example (Cont.)
Question 2. Is the system in safe state? If Yes, then what is the safe sequence?
Applying the Safety algorithm on the given system,
Example (Cont.)
Example:P1 Request (1,0,2)
 Question 3. What will happen if process P1 requests one additional instance of
resource type A and two instances of resource type C?
 We must determine whether this new system state is safe. To do so, we again
execute Safety algorithm on the above data structures.
 Executing safety algorithm shows that sequence

< P1, P3, P4, P0, P2> satisfies safety requirement.
 Hence the new system state is safe, so we can

immediately grant the request for process P1 .
 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?

 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?
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
Operating System Concepts – 8th Edition Silberschatz, Galvin and Gagne ©2009

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CSE-309 Operating

 Consider an example when two trains are coming

 Similar situation occurs in operating systems when

 Traffic only in one direction like Half duplex data communication.

 Resource types R1, R2, . . ., Rm

 Each resource type Ri has Wi instances.

 Each process utilizes a resource as follows:

 No preemption: a resource can be released only voluntarily by the

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

 R = {R1, R2, …, Rm}, the set consisting of all resource types in

 request edge – directed edge Pi  Rj

 assignment edge – directed edge Rj  Pi

 Resource Type with 4 instances

 If graph contains no cycles  no deadlock

 If graph contains a cycle 

Methods for handling deadlock:

 Hold and Wait – must guarantee that whenever a

 Circular Wait – impose a total ordering of all resource

 Simplest and most useful model requires that each

 The deadlock-avoidance algorithm dynamically

 Resource-allocation state is defined by the number of

 When a process requests an available resource, system must decide

 System is in safe state if there exists a sequence <P1, P2, …, Pn> of

 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.

 Single instance of a resource type

 Multiple instances of a resource type

 Claim edge Pi  Rj indicated that process Pj may request resource

 Claim edge converts to request edge when a process requests a

 Request edge converted to an assignment edge when the

 When a resource is released by a process, assignment edge

 Resources must be claimed a priori in the system

 Suppose that process Pi requests a resource Rj

 The request can be granted only if converting the request edge to an

 Each process must a priori claim maximum use

 When a process requests a resource it may have to wait

Let n = number of processes, and m = number of resources types.

 Max: n x m matrix. If Max [i,j] = k, then process Pi may

 Allocation: n x m matrix. If Allocation[i,j] = k then Pi is

 Need: n x m matrix. If Need[i,j] = k, then Pi may need k more

Need [i,j] = Max[i,j] – Allocation [i,j]

2. Find an i such that both:

3. Work = Work + Allocationi

4. If Finish [i] == true for all

Request = request vector for process Pi. If Requesti [ j ] = k

– Request; Allocationi = Allocationi

 5 processes P0 through P4; 3

 Executing safety algorithm shows that sequence

 Hence the new system state is safe, so we can

 Can request for (3,3,0) by P4 be granted?

 Can request for (0,2,0) by P0 be granted?

 Maintain wait-for graph

 Periodically invoke an algorithm that searches for a cycle in the

 An algorithm to detect a cycle in a graph requires an order of n2

Resource-Allocation Graph Corresponding wait-for graph

 Available: A vector of length m indicates the number of

 Allocation: An n x m matrix defines the number of resources of

 Request: An n x m matrix indicates the current request of

2. Find an index i such that both: