Lec8 - ch8- Deadlocks (1)

Chapter 8: Deadlocks
Operating System Concepts – 10th Edition Silberschatz, Galvin and Gagne ©2018
Definition
 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
 Operating systems typically do not provide deadlock-

prevention facilities, and it remains the responsibility
of programmers to ensure that they design deadlock-
free programs.
Operating System Concepts – 10th Edition 8.2 Silberschatz, Galvin and Gagne ©2018
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
Deadlock with Semaphores
 Data:
• A semaphore S1 initialized to 1
• A semaphore S2 initialized to 1
 Two threads T1 and T2
 T1 :
wait(s1)
wait(s2)
 T2 :
wait(s2)
wait(s1)
Deadlock Characterization
Deadlock can arise if four conditions hold simultaneously.

 Mutual exclusion: only one thread at a time can use a
resource
 Hold and wait: a thread holding at least one resource
is waiting to acquire additional resources held by other
threads
 No preemption: a resource can be released only
voluntarily by the thread holding it, after that thread has
completed its task
 Circular wait: there exists a set {T0, T1, …, Tn} of
waiting threads such that T0 is waiting for a resource
that is held by T1, T1 is waiting for a resource that is
held by T2, …, Tn–1 is waiting for a resource that is held
by Tn, and Tn is waiting for a resource that is held by T0.
Resource-Allocation Graph
A set of vertices V and a set of edges E.
 V is partitioned into two types:

• T = {T1, T2, …, Tn}, the set consisting of all the
threads in the system.
• R = {R1, R2, …, Rm}, the set consisting of all

resource types in the system
 request edge – directed edge Ti  Rj

 assignment edge – directed edge Rj  Ti
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
Invalidate one of the four necessary conditions for deadlock:
 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 thread

requests a resource, it does not hold any other resources
• Require threads to request and be allocated all its
resources before it begins execution or allow thread to
request resources only when the thread has none
allocated to it.
• Low resource utilization; starvation possible
Deadlock Prevention (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 thread is waiting
• Thread will be restarted only when it can regain its old
resources, as well as the new ones that it is requesting
Deadlock Prevention (Cont.)
 Circular Wait:
• Impose a total ordering of all resource types, and require
that each thread requests resources in an increasing order
of enumeration
Circular Wait
 Invalidating the circular wait condition is most common.

 Simply assign each resource (i.e., mutex locks) a unique number.
 Resources must be acquired in order.
 If:
first_mutex = 1
second_mutex = 5
code for thread_two could not be

written as follows:
Deadlock Avoidance
Requires that the system has some additional a priori information
available
 Simplest and most useful model requires that each thread
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 thread 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 <T1, T2, …,
Tn> of ALL the threads in the systems such that for each Ti, the
resources that Ti can still request can be satisfied by currently
available resources + resources held by all the Tj, with j < I
 That is:
• If Ti resource needs are not immediately available, then Ti
can wait until all Tj have finished
• When Tj is finished, Ti can obtain needed resources,
execute, return allocated resources, and terminate
• When Ti terminates, Ti +1 can obtain its needed resources,
and so on
Safe State
 At time t0
• T1 T0 T2 is a safe state
 At time t1 if T2 acquire another resource

• T1 T0 T2 is an unsafe state
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
 Examples of Resource Types:

• CPU time: The amount of CPU time allocated to a process.
• Memory: The amount of memory allocated to a process.
• I/O devices: Printers, scanners, disk drives, etc.
• File systems: Different file systems on the system.
• Network connections: Network bandwidth and ports.
Resource-Allocation Graph Scheme
 Claim edge Ti  Rj indicated that process Tj may request
resource Rj; represented by a dashed line
 Claim edge converts to request edge when a thread requests

a resource
 Request edge converted to an assignment edge when the

resource is allocated to the thread
 When a resource is released by a thread, 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
 Suppose that thread Ti 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 thread must a priori claim maximum use
 When a thread requests a resource, it may have to wait
 When a thread 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 Ti may request at most k instances of
resource type Rj
 Allocation: n x m matrix.
• If Allocation[i,j] = k then Ti is currently allocated k instances of Rj
 Need: n x m matrix.
• If Need[i,j] = k, then Ti 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 Ti. If Requesti [j] = k then
process Ti 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 Ti must wait,
since resources are not available
3. Pretend to allocate requested resources to Ti by modifying the
state as follows:
Available = Available – Requesti;
Allocationi = Allocationi + Requesti;
Needi = Needi – Requesti;
• If safe  the resources are allocated to Ti
• If unsafe  Ti must wait, and the old resource-allocation state
is restored
Example of Banker’s Algorithm
 5 threads T0 through T4;

3 resource types:
A (10 instances), B (5instances), and C (7 instances)
 Snapshot at time t0:
Allocation Max
ABC ABC
T0 010 753
T1 200 322
T2 302 902
T3 211 222
T4 002 433
 The system is in a safe state since the sequence < T1, T3, T4, T2, T0>
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
T0 010 743 230
T1 302 020
T2 302 600
T3 211 011
T4 002 431
 Executing safety algorithm shows that sequence < T1, T3, T4, T0, T2>
satisfies safety requirement
 Can request for (3,3,0) by T4 be granted?
 Can request for (0,2,0) by T0 be granted?
Deadlock Detection
 Allow system to enter deadlock state
 Detection algorithm
 Recovery scheme
Single Instance of Each Resource Type
 If all resources have only a single instance,
• define a deadlock detection algorithm that uses a variant of
the resource-allocation graph, called a wait-for graph.
 Maintain wait-for graph

• Nodes are threads
• Ti  Tj if Ti is waiting for Tj
 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 thread.
 Request: An n x m matrix indicates the current request of

each thread.
• If Request [i][j] = k, then thread Ti 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 Ti 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 threads T0 through T4; three resource types
A (7 instances), B (2 instances), and C (6 instances)
 Snapshot at time T0:

Allocation Request Available
ABC ABC ABC
T0 010 000 000
T1 200 202
T2 303 000
T3 211 100
T4 002 002
 Sequence <T0, T2, T3, T1, T4> will result in Finish[i] = true for all i
Example (Cont.)
 T2 requests an additional instance of type C

Request
ABC
T0 000
T1 202
T2 001
T3 100
T4 002
 State of system?
• Can reclaim resources held by thread T0, but insufficient resources
to fulfill other processes; requests
• Deadlock exists, consisting of processes T1, T2, T3, and T4
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 threads “caused” the deadlock.
 Of course, invoking the deadlock-detection algorithm for every

resource request will incur considerable overhead in computation time.
• A less expensive alternative is simply to invoke the algorithm at
defined intervals
 for example, once per hour or whenever CPU utilization drops
below 40 percent.
Recovery from Deadlock: Process Termination
 Abort all deadlocked threads

 Abort one process at a time until the deadlock cycle is
eliminated
 In which order should we choose to abort?
1. Priority of the thread
2. How long has the thread computed, and how much longer
to completion
3. Resources that the thread has used
4. Resources that the thread needs to complete
5. How many threads will need to be terminated
6. Is the thread interactive or batch?
Recovery from Deadlock: Resource Preemption
 Selecting a victim – minimize cost
 Rollback – return to some safe state, restart the thread

for that state
 Starvation – same thread 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

 Deadlock is a situation in which every process in a

 Operating systems typically do not provide deadlock-

 System consists of resources

Deadlock can arise if four conditions hold simultaneously.

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

 V is partitioned into two types:

• R = {R1, R2, …, Rm}, the set consisting of all

 request edge – directed edge Ti  Rj

 If graph contains no cycles  no deadlock

 Ensure that the system will never enter a deadlock state:

 Mutual Exclusion – not required for sharable resources

 Hold and Wait – must guarantee that whenever a thread

 Invalidating the circular wait condition is most common.

code for thread_two could not be

 The deadlock-avoidance algorithm dynamically examines

 Resource-allocation state is defined by the number of

 At time t1 if T2 acquire another resource

 If a system is in safe state  no deadlocks

 If a system is in unsafe state  possibility of

 Avoidance  ensure that a system will never enter

 Multiple instances of a resource type

 Examples of Resource Types:

 Claim edge converts to request edge when a thread requests

 Request edge converted to an assignment edge when the

 When a resource is released by a thread, assignment edge

 Resources must be claimed a priori in the system

 Suppose that thread Ti requests a resource Rj

 The request can be granted only if converting the request edge

 Each thread must a priori claim maximum use

 When a thread requests a resource, it may have to wait

 When a thread gets all its resources it must return them

 Available: Vector of length m.

Need [i,j] = Max[i,j] – Allocation [i,j]

2. Find an i such that both:

3. Work = Work + Allocationi

 5 threads T0 through T4;

 Can request for (3,3,0) by T4 be granted?

 Can request for (0,2,0) by T0 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

Resource-Allocation Graph Corresponding wait-for graph

 Available: A vector of length m indicates the number of

 Allocation: An n x m matrix defines the number of resources

 Request: An n x m matrix indicates the current request of

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:

 T2 requests an additional instance of type C

 If detection algorithm is invoked arbitrarily, there may be many cycles

 Of course, invoking the deadlock-detection algorithm for every

 Abort all deadlocked threads

 Selecting a victim – minimize cost

 Rollback – return to some safe state, restart the thread

 Starvation – same thread may always be picked as