ch8 Deadocks-Ver1

Chapter 8: Deadlocks
Operating System Concepts – 10th Edition Silberschatz, Galvin and Gagne ©2018
Chapter 8: Deadlocks
 System Model
 Deadlock in Multithreaded Applications
 Deadlock Characterization
 Methods for Handling Deadlocks
 Deadlock Prevention
 Deadlock Avoidance
 Deadlock Detection
 Recovery from Deadlock
Operating System Concepts – 10th Edition 8.2 Silberschatz, Galvin and Gagne ©2018
Chapter Objectives
 Illustrate how deadlock can occur when mutex locks

are used
 Define the four necessary conditions that
characterize deadlock
 Identify a deadlock situation in a resource allocation
graph
 Evaluate the four different approaches for preventing
deadlocks
 Apply the banker’s algorithm for deadlock avoidance
 Apply the deadlock detection algorithm
 Evaluate approaches for recovering from deadlock
Background
 In a multiprogramming/multithreading environment,
 Several threads may compete for a finite number of resources
 A thread requests resources:
 If the resources are not available at that time, the thread enters a
waiting state.
 Sometimes, a waiting thread can never again change state, because the
resources it has requested are held by other waiting threads
 This situation is called a deadlock.
 Deadlock is a situation in which every process in a set of processes is waiting

for an event that can be caused only by another process in the set, all of which
are waiting
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.
 Under the normal mode of operation, a process/thread utilizes a resource
as follows:
 Request:
 The thread requests the resource. If the request cannot be granted
immediately (i.e, if a mutex lock is currently held by another thread), then
the requesting thread must wait until it can acquire the resource.
 Use:
 The thread can operate on the resource ( i.e., if the resource is a mutex
lock, the thread can access its critical section)
 Release:
 The thread releases the resource
Deadlock Characterization
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.
Circular Wait
 Assume Two mutex locks are created an initialized:
 Note: If a thread attempts to acquire a locked mutex, the call to:

 Pthread_mutex_lock()
blocks the thread until the owner of the mutex lock invokes the
pthread_mutex_unlock()
Circular Wait
/* thread one runs in this function */
void *do_work_one(void *param)
{
pthread_mutex_lock( &first_mutex );
pthread_mutex_lock( &second_mutex );
/**
* Do some work
*/
pthread_mutex_unlock( &second_mutex );
pthread_mutex_unlock( &first_mutex );
pthread_exit(0);
}
/* thread two runs in this function */

void *do_work_two(void *param)
{
pthread_mutex_lock( &second_mutex );
pthread_mutex_lock( &first_mutex );
/**
* Do some work
*/
pthread_mutex_unlock( &first_mutex );
pthread_mutex_unlock( &second_mutex );
pthread_exit(0);
}
Circular Wait
 Deadlock is possible, if :
 thread_one acquires first_mutex and
thread_two acquires second_mutex
 thread_one then waits for second_mutex and

thread_two waits for first_mutex.
 Can be illustrated with a resource allocation graph:
Circular Wait
 Note that, even though deadlock is possible,
 it will not occur if thread_one can acquire and release the mutex locks for
first mutex and second mutex before thread_two attempts to acquire the
locks.
 And, of course, the order in which the threads run depends on how they are
scheduled by the CPU scheduler.
 This example illustrates a problem with handling deadlocks:
 it is difficult to identify and test for deadlocks that may occur only under
certain scheduling circumstances
Resource-Allocation Graph
 Deadlocks can be described more precisely in terms of a directed graph
called a system 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 (or Pi  Rj )
Resource Allocation Graph Example
 One instance of R1
 Two instances of R2
 One instance of R3
 Three instance of R4
 T1 holds one instance of R2 and is
waiting for an instance of R1
 T2 holds one instance of R1, one
instance of R2, and is waiting for an
instance of R3
 T3 is holds one instance of R3
Resource Allocation Graph With A Deadlock
Graph With A Cycle But No Deadlock
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
 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
 Ignore the problem and pretend that deadlocks never
occur in the system.
Deadlock Prevention
Simply, Invalidate one of the four necessary conditions for deadlock:
1. Mutual Exclusion – We cannot prevent deadlocks by denying the mutual-
exclusion condition
 not required for sharable resources (e.g., read-only files);
 must hold for non-sharable resources (e.g. a mutex lock cannot be simultaneously
shared by several threads)
2. Hold and Wait – We need to: “ensure that the hold-and-wait condition never
occurs in the system”
 must guarantee that whenever a process requests a resource, it does not hold any
other resources
 Approach #1: require process to request and be allocated all its resources before
it begins execution,
– Cons: impractical for most applications and if applied Low resource utilization
 Approach #2: allows a thread to request resources only when it has none
allocated to it.
– Cons: may lead to starvation, wait indefinitely
» If the needed R is always allocated to some other thread
Deadlock Prevention (Cont.)
3. No Preemption – of resources that have already been allocated, to prevent
deadlock, we need to ensure that this condition does not hold:
 If a process is holding some resources and requests another that cannot be
immediately allocated to it, then all resources currently being held are released
(preempted)
 Preempted resources are added to the list of resources for which the process is
waiting for
 Process will be restarted only when it can regain its old resources as well as the new
ones that it is requesting
 All three above options are almost impractical in most situations
4. Circular Wait – preventing it is a practical solution 

 imposing a total ordering of all resource types, and require that each process
requests resources in an increasing order of enumeration
How to Invalidate Circular Wait
 Invalidating the circular wait condition is most common.
 Simply, assign each resource (i.e. mutex locks) a unique number, ( this number
determines whether one precedes another)
 An ordering among all synchronization objects
 Then, resources must be acquired in order.
 i.e. each thread can request resources only in
an increasing order of enumeration
and released in a decreasing order
 Example:
first_mutex = 1
second_mutex = 5
code for thread_two could not be

written as follows:
 If used, then circular-wait condition cannot hold.

Deadlock Prevention (Cont.)
 Deadlock-prevention algorithms prevent deadlocks by limiting how
requests & releases can be made.
 Pros: The limits ensure that at least one of the necessary conditions for
deadlock cannot occur
 Cons: Possible side effects of preventing deadlocks by this method,

 low device utilization and
 reduced system throughput
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 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
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 of resources
 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
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
 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
Example (Cont.)
 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
Example: 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?
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?

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?
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 8
Operating System Concepts – 10th Edition Silberschatz, Galvin and Gagne ©2018

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Chapter 8: Deadlocks

 Illustrate how deadlock can occur when mutex locks

 Deadlock is a situation in which every process in a set of processes is waiting

 Mutual exclusion: only one process at a time can use a

 Note: If a thread attempts to acquire a locked mutex, the call to:

/* thread two runs in this function */

 thread_one then waits for second_mutex and

 Can be illustrated with a resource allocation graph:

 This example illustrates a problem with handling deadlocks:

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

 R = {R1, R2, …, Rm},

 Request edge – directed edge Pi  Rj

 Assignment edge – directed edge Rj  Pi (or Pi  Rj )

 If graph contains no cycles  no deadlock

 Ensure that the system will never enter a deadlock

 All three above options are almost impractical in most situations

4. Circular Wait – preventing it is a practical solution 

code for thread_two could not be

 If used, then circular-wait condition cannot hold.

 Cons: Possible side effects of preventing deadlocks by this method,

 When a process requests an available resource, system must

 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

 Single instance of a resource type

 Multiple instances of a resource type

 Suppose that process Pi requests a resource Rj

 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

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

 Available: Vector of length m. If available [j] = k, there are k

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

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

 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

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

 5 processes P0 through P4;

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

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

 Allow system to enter deadlock state

 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

1. Let Work and Finish be vectors of length m and n, respectively

2. Find an index i such that both:

If no such i exists, go to step 4

4. If Finish[i] == false, for some i, 1  i  n, then the system is in

Algorithm requires an order of O(m x n2) operations to detect

 Snapshot at time T0:

 P2 requests an additional instance of type C

 If detection algorithm is invoked arbitrarily, there may be many

 Abort all deadlocked processes

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

 In which order should we choose to abort?

 Selecting a victim – minimize cost