Module-III (Part-II):

Deadlocks

by:
Dr. Soumya Priyadarsini Panda
Assistant Professor
Dept. of CSE
Silicon Institute of Technology, Bhubaneswar
 System Model

 System consists of resources

 Resource types R1, R2, . . ., Rm

Examples: CPU cycles, memory space, I/O devices

 Each resource type Ri has Wi instances.

 Each process utilizes a resource as follows:

 request
 use
 release
 A set of processes is in a deadlock state when every process in
the set is waiting for an event that can be caused only by
another process in the set.
 Deadlock Characterization

 In a deadlock situation, processes never finish executing, and system

resources are tied up.
 preventing other jobs from starting.

Necessary Conditions:
 A deadlock situation can arise if the following four conditions hold
simultaneously in a system:
1. Mutual exclusion
2. Hold and wait
3. No preemption
4. Circular wait
 Necessary Conditions
1. 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.

2. Hold and wait:

 A process must be holding at least one resource and waiting to acquire
additional resources that are currently being held by other processes.

3. No preemption:
 Resources cannot be pre-empted. i.e., a resource can be released only
voluntarily by the process holding it, after that process completes its
task.
 Necessary Conditions Cont…
4. Circular wait:
 A set {P0, P1, …, Pn} of waiting processes must exist such that
 P0 is waiting for a resource held by P1,
 P1 is waiting for a resource held by P2,
…,
 Pn–1 is waiting for a resource held by Pn,
and Pn is waiting for a resource held by P0.
 Resource-Allocation Graph
 Deadlocks can be described more precisely in terms of a directed graph
called a system resource-allocation graph.

 This graph consists of 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-1
P={P1,P2,P3}
R={R1,R2,R3}
1instance of R1, 2 instances of R2,
1 instance of R3, 3 instances of R4
E={P1 R1, P2 R3, R1 P2, R2 P2, R2 P1,
R3 P3 }

Resource allocation graph:

 Cont…

Whether deadlock situation occur??

 Cont…

Whether deadlock situation occur??

No deadlocks
 Example-2

Whether deadlock situation occur??

 Cont…
2 cycles exist in the graph:
P1 -> R1 -> P2 -> R3 ->P3 ->R2 ->P1
P2 -> R3 -> P3 -> R2 -> P2

Process P1, P2, and P3 are deadlocked

 Example-3

Graph with a cycle but no deadlocks.

Cont…
 Cont…

 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

 Deadlocks can be handled using below 3 methods:

1. Using protocol to ensure that the system will never enter a deadlock
state:
 Deadlock prevention
 Deadlock avoidance

2. Allow the system to enter a deadlock state, detect it, and then recover

3. Ignore the problem and pretend that deadlocks never occur in the
system;
used by most operating systems, including UNIX
 Deadlock Prevention
 Deadlock prevention provides a set of methods to ensure that at least
one of the necessary conditions cannot hold.

 Mutual Exclusion:
 not required for sharable resources (e.g., read-only files);
 must hold for non-sharable resources
 Cont…
 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.

 Disadvantages: Low resource utilization, starvation

 Cont…
 No Preemption:

 If a process that is holding some resources and requests another

resource that cannot be immediately allocated to it,
 then all resources the process is currently holding are preempted.

 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
 Cont…
 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
 A state is safe if the system can allocate resources to each process (up to
its maximum) in some order and still avoid a deadlock.

 A 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
 Cont…
 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

 Example
 Consider a system with 12 resources and 3 processes:

Process Maximum Needs Currently holding(at time t0)

P0 10 5
P1 4 2
P2 9 2

Remaining resources=3
At time t0, the system is in a safe state.
The sequence <P1, P0, P2> satisfies the safety condition.

But if at time t1, if P2 is allocated with 1 resource deadlock situation

occurs.
 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.
 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
 Resource-Allocation Graph Scheme
 Introduce a new type of edge: Claim edge Pi  Rj
 That indicated that process Pi may request resource Rj at some time
in the future.
 It is represented in the graph 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

Example
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

Note:
The resource-allocation-graph algorithm is not applicable to a resource
allocation system with multiple instances of each resource type.
 Banker’s Algorithm
 Used when multiple instances of resources are present in a resource
allocation system.

 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
 When a request for resources is made by process Pi , the following
actions are taken:

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;
 Cont…

 If the resulting resource-allocation state is safe, the resources are

allocated to Pi

 If the new state is unsafe, then Pi must wait for Requesti , and the old
resource-allocation state is restored.
 Example-1
 Given 5 processes P1, P1, P2, P3, P4 and 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

Find the need matrix. Whether the system will be in safe state. If yes find
the safe sequence for which the system will be in safe state.
 Answer
 The content of the Need matrix:
Need[i]= Max[i] – Allocation[i]

Allocation Max Need

ABC AB C AB C
P0 010 753 743
P1 2 0 0 322 122
P2 3 0 2 902 600
P3 2 1 1 222 011
P4 0 0 2 433 431
Available resources: A B C
3 3 2
 The system is in a safe state since the sequence < P1, P3, P4, P0, P2>
satisfies safety criteria
 Detailed steps for obtaining safe sequence
 To select a process Pi for the safe sequence,
Need[Pi]<=Available
 For the 3 resources (A, B, C) with available instances at time0 (3, 2, 2):
 For process P0 :
Need[P0] > Available (i.e. (7, 4, 3)> (3, 3, 2)
So condition is false 
P0 can’t be allocated at time0
 For process P1 :
Need[P1] < = Available (i.e. (1, 2, 2) < (3, 3, 2)
So condition is true P1 can be allocated
Available Allocation(P1 ) After P1 release the resources:
ABC ABC Available= (5, 3, 2)
332 200
210 322 Safe sequence obtained: < P1 ,
 Cont…
 For process P2 :
Need[P2] > Available (i.e. (6, 0, 0)> (5, 3, 2)
So condition is false 
P0 can’t be allocated at time0
 For process P3 :
Need[P3] < Available (i.e. (0, 1, 1) < (5, 3, 2)
So condition is true P3 can be allocated

Available Allocation (P3 ) After P3 release the resources:

ABC ABC Available= (7, 4, 3)
532 211
Safe sequence obtained: < P1 , P3,
521 222
 Cont…
 For process P4 :
Need[P4] < Available (i.e. (4, 3, 1) < (7, 4, 3)
So condition is true P4 can be allocated

Available Allocation (P4 )

ABC ABC After P4 release the resources:
743 002 Available= (7, 4, 5)
312 433
Safe sequence obtained: < P1 , P3, P4,
 Cont…

 For remaining process P0 :

Need[P0] <= Available (i.e. (7, 4, 3) < (7, 4, 5)
So condition is true P0 can be allocated
Available Allocation (P0 )
ABC ABC
745 010 After P0 release the resources:
Available= (7, 5, 5)
002 753

Safe sequence obtained: < P1 , P3, P4, P0,

 Cont…
 Next remaining process P2 :
Need[P2] <= Available (i.e. (6, 0, 0) < (7, 5, 5)
So condition is true P2 can be allocated

Available Allocation (P2 )

After P2 release the resources:
ABC ABC Available= (10, 5, 7)
755 302
155 902 = total number of resource instances as
given for resource A, B, C

Safe sequence obtained: < P1 , P3, P4, P0, P2

Therefore, the system is in a safe state for the safe sequence < P1, P3, P4,
P0, P2> satisfies safety criteria
 Example Cont…
 If P1 Request (1,0,2), then can the request be graned?

 Check that Request  Available (that is, (1,0,2)  (3,3,2) 

true

 Executing safety algorithm shows that sequence < P1, P3, P4, P0, P2>
satisfies safety requirement

 Check can request for (3,3,0) by P4 be granted?

 Check can request for (0,2,0) by P0 be granted?

 Alternative Approach for Solution

Question:
Determine the new system state is safe. To do so, execute the safety algorithm

Therefore, the new system state is safe. So process p1 can be granted the resource
request immediately.
 Deadlock Detection

 Allow system to enter deadlock state then detect it and recover from it.

 Detection Algorithm
 Single instance of resource type
 Multiple instance of resource type

 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

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
 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
 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
No deadlock
 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

 Resource Preemption
 Process Termination

 To eliminate deadlocks by aborting a process, any one of the below

two methods can be used:

 Abort all deadlocked processes

 Abort one process at a time until the deadlock cycle is eliminated

 Cont…

 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?
 Resource Preemption

 To eliminate deadlocks using resource preemption, some resources can

be preempted from processes and given to other processes until the
deadlock cycle is broken.

 Three issues need to be addressed:

 Selecting a victim – minimize cost

 Which resources and which processes are to be preempted

 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
Assignment Question to Submit