Chapter 8: Deadlocks: Silberschatz, Galvin and Gagne ©2013 Operating System Concepts - 9 Edition

Chapter 8: Deadlocks
Operating System Concepts – 9th Edition Silberschatz, Galvin and Gagne ©2013
Chapter 8: Deadlocks
 System Model
 Deadlock Characterization
 Methods for Handling Deadlocks
 Deadlock Prevention
 Deadlock Avoidance
 Deadlock Detection
 Recovery from Deadlock
Operating System Concepts – 9th Edition 8.2 Silberschatz, Galvin and Gagne ©2013
Chapter Objectives
 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
Deadlock Example
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 Example with Mutex locks
 Two mutex locks are created in the following code
 pthread_mutex_t first_mutex;
 pthread_mutex_t second_mutex;
 The two mutex locks are initialized in the following code

 pthread_mutex_init (&first_mutex, NULL);
 pthread_mutex\_init(&second_mutex, NULL);
 Two threads-- thread_one and thread_two are created,

and both these threads have access to both mutex locks.
Deadlock Example with Mutex locks (Cont.)
/* 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);
}
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.
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
Resource-Allocation Graph (Cont.)
 Process
 Resource Type with 4 instances
 Pi requests instance of Rj
Pi
Rj
 Pi is holding an instance of Rj
Pi
Rj
Example of a Resource Allocation Graph
Basic Facts
 If graph contains no cycles  no deadlock

 If graph contains a cycle 
 If only one instance per resource type, then
deadlock exist
 If several instances per resource type, then
possibility of deadlock
Resource Allocation Graph With a Cycle
Is there a deadlock?
Resource Allocation Graph With a Cycle
Is there a 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; used by most operating systems,
including UNIX
Deadlock Presentation
 Ensure that at least one of the necessary condition for
deadlocks does not hold. Can be accomplished restraining
the ways request can be made
 Mutual Exclusion – Must hold for non-sharable resources that
can be accessed simultaneously by various processes.
Therefore cannot be used for prevention.
 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 (Cont.)
 No Preemption – not practical for most systems
 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. Can be used in
practice.
Deadlock Example with Lock Ordering
 Two bank transactions 1 and 2 execute concurrently.
 Transaction 1 transfers $25 from account A to account B
 Transaction 2 transfers $50 from account B to account A
 Program
void transaction(Account from,

Account to, double amount)
{
mutex lock1, lock2;
lock1 = get_lock(from);
lock2 = get_lock(to);
acquire(lock1);
acquire(lock2);
withdraw(from, amount);
deposit(to, amount);
release(lock2);
release(lock1);
}
Deadlock Avoidance
 Ensure that the system will never enter a deadlock state
 What is a trivial way of avoiding deadlocks?
 Requires that the system to have some additional a priori
information available on possible resource requests.
 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
 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 processes Pj ( j < i ) have finished executing.
 When they have finished executing they release all their
resources and then Pi can obtain the 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
Deadlock Avoidance Algorithms
 Deadlock avoidance  ensure that a system will never
enter an unsafe state.
 Single instance of a resource type
 Use a variant of the resource-allocation graph
 Multiple instances of a resource type
 Use the banker’s algorithm
Resource-Allocation Graph Scheme
 Single instance of a resource type

 Each process must a priori claim maximum resource use
 Use a variant of the resource-allocation graph with claim edges.
 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
 A cycle in the graph implies that the system is in unsafe state
Resource-Allocation Graph with claim edges
 P1 is holding resource R1 and has a claim on R2

 P2 is requesting R1 and has a claim on R2
 No cycle. So system is in a safe state.
Example of a Resource Allocation Graph
 The graph of slide 7.23 with a claim edge from P2 to

R2 is changing to an assignment edge.
 There is a cycle in the graph  unsafe state.
 Is there a deadlock?
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
 Otherwise, the process must wait
Banker’s Algorithm
 Multiple instances of a resource type
 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.
 Think of an interest-free bank where:
 A customer establishes a line of credit.
 Borrows money in chunks that together never exceed
the total line of credit.
 Once it reaches the maximum, the customer must
pay back 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, then 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 at most 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.
Otherwise, in an unsafe state.
Example of Safety Algorithm
 5 processes -- P0 ….. P4;
 3 resource types:
A (10 instances), B (5 instances), 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 of Safety Algorithm (Cont.)
 The content of the matrix Need is defined to be Max – Allocation
Allocation Need Available

ABC ABC ABC
P0 010 743 332
P1 200 122
P2 302 600
P3 211 011
P4 002 431
 The system is in a safe state since the sequence < P1, P3, P4, P2, P0>
satisfies safety criteria
Resource-Request Algorithm for Process Pi
Let Requesti [...] be the request vector for process Pi.

Requesti [j] = k. 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:
Allocation Max Available
ABC ABC ABC
P0 010 753 332
P1 200 322
P2 302 902
P3 211 222
P4 002 433
 We have shown that the system is in a safe state
Example: P1 Request (1,0,2)
 Check that Request  Available (that is, (1,0,2)  (3,3,2)  true
 State of system after resources allocated to P1
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
 Given the above state -- can request for (3,3,0) by P4 be granted?
 Given the above state -- can request for (0,2,0) by P0 be granted?
Methods for Handling Deadlocks: Detection
 Allow system to enter deadlock state

 Detection algorithm
 Single instance of a resource type
 Multiple instances of a resource type.
 Recovery scheme
Single Instance of Each Resource Type
 Maintain a wait-for graph

 Nodes are processes
 Pi  Pj if Pi is waiting for Pj
 Converting a resource-allocation graph to a wait-for graph.
Resource-Allocation Graph Corresponding wait-for graph
Detection Algorithm for Single Instance
 Maintain a wait-for graph

 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
Several Instances of a Resource Type
Let n = number of processes, and m = number of resources types.
 Available: Vector of length m. If available [j] = k, then

there are k instances of resource type Rj available
 Allocation: n x m matrix. If Allocation[i,j] = k, then Pi is

currently allocated k instances of Rj
 Request: n x m matrix that indicates the current request

of each process. If Request[i,j] = k, then process Pi is
requesting k additional instances of resource type Rj .
Detection Algorithm
Let Work and Finish be vectors of length m and n, respectively Initialize:

1. Initialization
(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
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
Example of Detection Algorithm
 Five processes P0 through P4; three resource types
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 of Detection Algorithm (Cont.)
 P2 requests one additional instance of type C
Allocation Request Available

ABC ABC ABC
P0 010 000 000
P1 200 202
P2 303 001
P3 211 100
P4 002 002
 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
 If a deadlock is detected we must abort (rollback) some of the
processes involved in the deadlock (see next slide)
 Need to decide when, and how often, to invoke the dedalock
detection algorithm, which 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?
 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?
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 – 9th Edition Silberschatz, Galvin and Gagne ©2013

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Chapter 8: Deadlocks

 To develop a description of deadlocks, which prevent

 The two mutex locks are initialized in the following code

 Two threads-- thread_one and thread_two are created,

/* thread one runs in this function */

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

 request edge – directed edge Pi  Rj

 assignment edge – directed edge Rj  Pi

 Resource Type with 4 instances

 If graph contains no cycles  no deadlock

void transaction(Account from,

 System is in safe state if there exists a sequence <P1, P2, …, Pn>

 Single instance of a resource type

 P1 is holding resource R1 and has a claim on R2

 The graph of slide 7.23 with a claim edge from P2 to

 Suppose that process Pi requests a resource Rj

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

2. Find an i such that both:

3. Work = Work + Allocationi

 The content of the matrix Need is defined to be Max – Allocation

Allocation Need Available

Let Requesti [...] be the request vector for process Pi.

1. If Requesti  Needi go to step 2. Otherwise, raise error condition,

 5 processes P0 through P4;

 Allow system to enter deadlock state

 Maintain a wait-for graph

Resource-Allocation Graph Corresponding wait-for graph

 Maintain a wait-for graph

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

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

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

 Request: n x m matrix that indicates the current request

Let Work and Finish be vectors of length m and n, respectively Initialize:

Allocation Request Available

 P2 requests one additional instance of type C

Allocation Request Available

 Abort all deadlocked processes

 Selecting a victim – minimize cost

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