Chapter 1:

Process Deadlocks

Prepared By: Nutan Borse

 Chapter 1: Deadlocks
● System Model
● Deadlock Characterization
● Methods for Handling
Deadlocks
● Deadlock Prevention
● Deadlock Avoidance
● Deadlock Detection
● Recovery from Deadlock
Lecture 1
 Chapter Objectives
1.1
Introduction:
● 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
1.2
● 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
1.2
 Deadlock
1.3.1
Characterization
Necessary Conditions
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.
Lecture 2
 Resource-Allocation
1.3.2
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
1.3.2
(Cont.)
● Process

● Resource Type with 4

instances

● Pi requests instance of Rj

P
i
● Pi is holding an instance of Rj Rj

P
i
Rj
Example of a Resource Allocation
Graph 1.3.2
Resource Allocation Graph With A
1.3.2
Deadlock
Graph With A Cycle But No
1.3.2
Deadlock
 Basic Facts
1.3.3
● 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
1.4
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;
Lecture 3
 Deadlock
1.5
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
 Deadlock Prevention
1.5
(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 1.6
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 1.6.
State 1
● 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 1.6.
1
● 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 7.2
State 2
 Avoidance 1.6.
Algorithms 2
● 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 1.7
● 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 1.7.
Graph 1
Unsafe State In Resource-Allocation 1.7.
Graph 2
 Resource-Allocation Graph 1.7.
Algorithm 3
● 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
1.8
● 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
1.9
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 1.9.
1
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 1.9.
2
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
is restored
 Example of Banker’s Algorithm 1.9.
2
● 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 0 1 0 753 332
P1 2 0 0 322
P2 3 0 2 902
P3 2 1 1 222
P4 0 0 2 433
 Example 1.9.
2
●
(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) 1.9.
2
● Check that Request ≤ Available (that is, (1,0,2) ≤ (3,3,2) ⇒ true
Allocation Need Available
ABC ABC ABC
P0 0 1 0 743 230
P1 302 020
P2 3 0 2 600
P3 2 1 1 011
P4 0 0 2 431

● 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?

Lecture 4
 Deadlock
Detection 1.10
● Allow system to enter deadlock
state

● Detection algorithm

● Recovery scheme
Single Instance of Each Resource Type 1.10.
1
● 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
 1.10.
Resource-Allocation 1
Graph andWait-for Graph

Resource- Corresponding wait-for

Allocation graph
Graph
Several Instances of a Resource Type 1.10.
2
● 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 1.10.
Algorithm 3
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 1.10.
(Cont.) 3
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 1.10.
Algorithm 3
● 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 1.10.
(Cont.) 3
● P2 requests an additional instance of type C
Request
ABC
P0 0 0 0
P1 2 0 2
P2 0 0 1
P3 1 0 0
P4 0 0 2

● 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 1.10.
4
● 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?
4 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.
Lecture 5
Recovery from Deadlock: Process Termination 1.11.
1
● 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?
 1.11.
Recovery from Deadlock:Resource Preemption
2
● 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 1