CIT11: Principles of Operating System

Principles of Operating
System
Course Code CIT11

Faculty of Computing and Information Technology

Computer Science Department
Spring, 2017/2018
These slides are based on lecture notes of the book’s author
& Portland University slides
& A. Frank - P. Weisberg slides
Wedad Al-Sorori 14 September 2017 Introduction 1/45
 CIT11: Principles of Operating System

Deadlocks

• This lecture will cover the following topics:

• System Model
• Deadlock Characterization
• Methods for Handling Deadlocks
• Deadlock Prevention
• Deadlock Avoidance
• Deadlock Detection
• Recovery from Deadlock

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 CIT11: Principles of Operating System

Objectives
• After completing this lecture, students will
be able to:
• Develop a description of deadlocks, which prevents
sets of concurrent processes from completing their
tasks
• Present a number of different methods for preventing
or avoiding deadlocks in a computer system
• Demonstrate how to detect and recover from
deadlock.
Wedad Al-Sorori Introduction 3/45
14 September 2017
 CIT11: Principles of Operating System

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
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 CIT11: Principles of Operating System

Deadlock Characterization
• 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.

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 CIT11: Principles of Operating System

Resource-Allocation Graph (1/6)

• 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

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 CIT11: Principles of Operating System

Resource-Allocation Graph (2/6)

• Process

• Resource Type with 4 instances

Pi
• Pi requests instance of Rj
Rj

Pi

• Pi is holding an instance of Rj Rj
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Example of a Resource Allocation Graph (3/6)

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Graph With A Cycle But No Deadlock (4/6)

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 CIT11: Principles of Operating System

Resource Allocation Graph With A Deadlock (5/6)

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 CIT11: Principles of Operating System

Basic Facts (6/6)

• 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

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 CIT11: Principles of Operating System

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
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 CIT11: Principles of Operating System

Deadlock Prevention (1/2)

• 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

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 CIT11: Principles of Operating System

Deadlock Prevention (2/2)

• 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

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 CIT11: Principles of Operating System

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

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 CIT11: Principles of Operating System

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
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 CIT11: Principles of Operating System

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.

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 CIT11: Principles of Operating System

Safe, Unsafe, Deadlock State

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 CIT11: Principles of Operating System

Avoidance Algorithms
• Single instance of a resource type
• Use a resource-allocation graph

• Multiple instances of a resource type

• Use the banker’s algorithm

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 CIT11: Principles of Operating System

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

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 CIT11: Principles of Operating System

Resource-Allocation Graph

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 CIT11: Principles of Operating System

Unsafe State In Resource-Allocation Graph

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 CIT11: Principles of Operating System

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

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 CIT11: Principles of Operating System

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

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 CIT11: Principles of Operating System

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
Wedad Al-Sorori Need [i,j] = Max[i,j] – Allocation [i,j] 2017
14 September Introduction 25/45
 CIT11: Principles of Operating System
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
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 CIT11: Principles of Operating System

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 is restored
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 CIT11: Principles of Operating System

Example of Banker’s Algorithm (1/3):

• 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
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 CIT11: Principles of Operating System

Example (2/3):
• 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
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 CIT11: Principles of Operating System

Example (3/3) : 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 302 600
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?

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Deadlock Detection
• Allow system to enter deadlock state

• Detection algorithm

• Recovery scheme

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 CIT11: Principles of Operating System

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
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 CIT11: Principles of Operating System

Resource-Allocation Graph and Wait-for Graph

Resource-Allocation Graph Corresponding wait-for graph

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 CIT11: Principles of Operating System

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.

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 CIT11: Principles of Operating System

Detection Algorithm (1/2)

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

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 CIT11: Principles of Operating System

Detection Algorithm (2/2)

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

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 CIT11: Principles of Operating System

Example of Detection Algorithm (1/2)

• 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

• Wedad
Sequence
Al-Sorori <P0, P2, P3, P1, P4> will14result in Finish[i] = true for all i
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 CIT11: Principles of Operating System

Example (2/2)
• 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
Wedad Al-Sorori
• Deadlock Introduction 38/45
exists, consisting of processes P1, P2, P3, and P4
14 September 2017
 CIT11: Principles of Operating System

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.

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 CIT11: Principles of Operating System

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.Al-Sorori
Wedad Is process interactive14 or batch?
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 CIT11: Principles of Operating System

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

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A word on Starvation
• Starvation and deadlock are two different things
• With deadlock – no work is being accomplished for the
processes that are deadlocked, because processes are waiting
for each other. Once present, it will not go away.

• With starvation – work (progress) is getting done, however, a

particular set of processes may not be getting any work done
because they cannot obtain the resource they need

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 CIT11: Principles of Operating System
Summary
• Deadlock prevents sets of concurrent processes from completing
their tasks.
• Deadlock has four conditions or characteristics to happen.
• Different methods can be used to deal with deadlock such as
prevention, avoidance, recovering or ignoring.

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 CIT11: Principles of Operating System
Assignment
• Answer and submit questions in assignment9 that was attached
with this lecture on CLMS.

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 CIT11: Principles of Operating System

Thanks

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