1. 1 School of Computing Science Simon Fraser University CMPT 300: Operating Systems I Ch 7: Deadlock Dr. Mohamed Hefeeda

2. 2 Objectives  Understand the Deadlock Problem  And the methods of  preventing,  avoiding, and  detecting deadlocks

3. 3 The 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.  P 1 and P 2 each hold one disk drive and each needs another one.  Example  semaphores A and B, initialized to 1 P 0 P 1 wait (A);wait(B) wait (B);wait(A)

4. 4 Bridge Crossing Example  Traffic only in one direction  Each section of bridge can be viewed as a resource  If deadlock occurs, it can be resolved if one car backs up (preempt resources and rollback)  Several cars may have to back up if deadlock occurs  Starvation is possible

5. 5 System Model  Resource types R 1, R 2,..., R m CPU cycles, memory space, I/O devices  Each resource type R i has W i instances  Each process utilizes a resource as follows:  request  use  release

6. 6 Deadlock Characterization  Mutual exclusion: only one process at a time can use a resource  Hold and wait: a process holding at least one resource and 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 {P 0, P 1, …, P 0 } of waiting processes such that P 0 is waiting for a resource that is held by P 1, P 1 is waiting for P 2, …, P n–1 is waiting P n, and P n is waiting for P 0 These are necessary (but not sufficient) conditions Deadlock can arise if four conditions hold simultaneously.

7. 7 Resource-Allocation Graph  V is partitioned into two types:  P = {P 1, P 2, …, P n }, the set consisting of all processes in the system.  R = {R 1, R 2, …, R m }, the set consisting of all resource types in the system.  request edge – directed edge P 1  R j  assignment edge – directed edge R j  P i A set of vertices V and a set of edges E.

8. 8 Resource-Allocation Graph  Process  Resource Type with 4 instances  P i requests instance of R j  P i is holding an instance of R j PiPi RjRj PiPi RjRj

9. 9 Example of a Resource Allocation Graph

10. 10 Resource Allocation Graph With A Deadlock

11. 11 Graph With A Cycle But No Deadlock

12. 12 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

13. 13 Methods of Handling Deadlocks  Ensure that the system will never enter a deadlock state  Deadlock Prevention  Deadlock Avoidance  Allow the system to enter a deadlock state, and then recover  Deadlock Detection and Recovery  Ignore the problem and pretend that deadlocks never occur in the system;  Used by most OSes, including UNIX and Windows

14. 14 Deadlock Prevention  Ensure that at least one of the necessary conditions cannot hold  Restrain the ways resource requests can be made  Mutual Exclusion  We cannot prevent deadlocks by denying mutual exclusion because some resources are non-sharable  Sharable resources (e.g., read-only files) can be accessed concurrently  Hold and Wait -- Can be broken if  A process requests a resource only if it does not hold any other resources  A process requests and is allocated all its resources before it begins execution  Disadvantages: Low resource utilization; starvation possible

15. 15 Deadlock Prevention (cont’d)  No Preemption – Does not hold if we use the following protocol  If a process 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  Problem: difficult to use with resources whose state are not easily saved, e.g., printers and tape drives. ( In contrast to CPU registers and memory space)

16. 16 Deadlock Prevention (cont’d)  Circular Wait – Can be broken if we:  We impose a total ordering of all resource types, and  Require that each process requests resources in an increasing order of enumeration  Exercise: prove that if we follow the above protocol, no circular wait can occur. (Use proof by contradiction)

17. 17 Deadlock Avoidance  Requires the system to have some information on how resources will be requested  Each process declares the maximum number of resources of each type that it may need  Deadlock-avoidance algorithm:  When a process requests an available resource, system decides if allocation leaves the system in a safe state  If yes, grant the resources. Otherwise, process must wait  System state is defined by the number of available and allocated resources, and the maximum demands of the processes

18. 18 Safe State  Safety Condition:  System is in safe state if there exists a sequence of ALL processes such that for each P i, the resources that P i can still request can be satisfied by currently available resources + resources held by all P j with j < i.  That is:  If P i resource needs are not immediately available, then P i can wait until all P j have finished.  When P j is finished, P i can obtain needed resources, execute, return allocated resources, and terminate.  When P i terminates, P i +1 can obtain its needed resources, and so on.

19. 19 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

20. 20 Avoidance algorithms  Single instance of a resource type  Use a resource-allocation graph  Multiple instances of a resource type  Use the banker’s algorithm

21. 21 Resource-Allocation Graph Scheme  Define: Claim edge P i  R j indicates that process P j may request resource R j ; represented by a dashed line in the graph  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

22. 22 Resource-Allocation Graph Request edge Claim edge Assignment edge

23. 23 Unsafe State In Resource-Allocation Graph

24. 24 Resource-Allocation Graph Algorithm  Suppose that process P i requests a resource R j  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

25. 25 Banker’s Algorithm  Multiple instances of resources  Each process must a priori claim maximum use  Basic idea of the algorithm:  If P i request resource(s) AND it is available  Pretend to allocate requested resource(s) to P i by modifying the state  Check whether the resulting state is safe by finding any execution sequence of processes that satisfies safety condition  If state is safe, the resource(s) are assigned to P i

26. 26 Data Structures for the Banker’s Algorithm  Available: Vector of length m. If available [j] = k, there are k instances of resource type R j available.  Max: n x m matrix. If Max [i,j] = k, then process P i may request at most k instances of resource type R j.  Allocation: n x m matrix. If Allocation[i,j] = k then P i is currently allocated k instances of R j.  Need: n x m matrix. If Need[i,j] = k, then P i may need k more instances of R j to complete its task. Need [i,j] = Max[i,j] – Allocation [i,j]. Let n = number of processes, and m = number of resources types.

27. 27 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) Need i  Work If no such i exists, go to step 4. 3.Work = Work + Allocation i Finish[i] = true go to step 2. 4.If Finish [i] == true for all i, then the system is in a safe state.

28. 28 Resource-Request Algorithm for Process P i Request = request vector for process P i. If Request i [j] = k then process P i wants k instances of resource type R j. 1.If Request i  Need i go to step 2. Otherwise, raise error condition, since process has exceeded its maximum claim. 2.If Request i  Available, go to step 3. Otherwise P i must wait, since resources are not available. 3.Pretend to allocate requested resources to P i by modifying the state as follows: Available = Available – Request; Allocation i = Allocation i + Request i ; Need i = Need i – Request i ; l If safe  the resources are allocated to Pi. l If unsafe  Pi must wait, and the old resource-allocation state is restored

29. 29 Example of Banker’s Algorithm  5 processes P 0 through P 4 ; 3 resource types: A (10 instances), B (5instances), and C (7 instances).  Snapshot at time T 0 : AllocationMaxAvailable A B CA B C A B C P 0 0 1 07 5 3 3 3 2 P 1 2 0 0 3 2 2 P 2 3 0 2 9 0 2 P 3 2 1 1 2 2 2 P 4 0 0 24 3 3

30. 30 Example (cont’d)  The content of the matrix Need is defined to be Max – Allocation Need A B C P 0 7 4 3 P 1 1 2 2 P 2 6 0 0 P 3 0 1 1 P 4 4 3 1  The system is in a safe state since the sequence satisfies safety criteria

31. 31 Example: P 1 Request (1,0,2)  Check that Request  Available (that is, (1,0,2)  (3,3,2)  true. AllocationNeedAvailable A B CA B CA B C P 0 0 1 0 7 4 3 2 3 0 P 1 3 0 20 2 0 P 2 3 0 1 6 0 0 P 3 2 1 1 0 1 1 P 4 0 0 2 4 3 1  Executing safety algorithm shows that sequence satisfies safety condition.  Can request for (3,3,0) by P 4 be granted?  Can request for (0,2,0) by P 0 be granted?

32. 32 Deadlock Detection  Allow system to enter deadlock state  Detection algorithm  Recovery scheme

33. 33 Single Instance of Each Resource Type  Maintain wait-for graph  Nodes are processes.  P i  P j if P i is waiting for P j.  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 n 2 operations, where n is the number of vertices in the graph.

34. 34 Resource-Allocation Graph and Wait-for Graph Resource-Allocation GraphCorresponding wait-for graph

35. 35 Several Instances of a Resource Type  The algorithm is similar to the Banker’s Algorithm  See textbook  Bonus Project (up to 5%)  Implement Banker’s Algorithm for deadlock avoidance (and may be detection as well)  Can use Java/C/C++  Can work in a group of up to TWO students  Deadline: Last day of classes Demo to the instructor after class Design a few test cases to convince me that your algorithm works correctly Write a readme file to describe your implementation and test cases

36. 36 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.

37. 37 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?

38. 38 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

39. 39 Summary  Deadlock: A set of processes each holding a resource and waiting for a resource held by another process in the set  Four necessary conditions  Mutual exclusive, no preemption, hold and wait, circular wait  If they all hold, deadlock may (or may not) occur  Deadlock handling  Prevention: ensure that at least one of the necessary conditions does not hold  Avoidance: decide for each request whether or not the issuing process should wait to avoid leaving the system in unsafe state Resource-allocation graph: single instance of a resource type Banker’s algorithm: multiple instances of a resource type  Detection and Recovery Detection algorithm Recovery: process termination or resource preemption