CH 7

Chapter 7: Deadlocks
Operating System Concepts – 9th Edition Silberschatz, Galvin and Gagne ©2013
Chapter 7: Deadlocks
System Model
Deadlock Characterization
Methods for Handling Deadlocks
Deadlock Prevention
Deadlock Avoidance
Deadlock Detection
Recovery from Deadlock
Operating System Concepts – 9th Edition 7.2 Silberschatz, Galvin and Gagne ©2013
Chapter Objectives
General Objectives:
To develop a description of deadlocks, which prevent sets
of concurrent processes from completing their tasks
To present several different methods for preventing or
avoiding deadlocks in a computer system
Specific 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
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 Example
/* 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
One instance of R1 Assignment Edge

Request Edge
Two instances of R2
One instance of R3
Three instance of R4
P1 holds one instance of R2 and is
waiting for an instance of R1
P2 holds one instance of R1, one
instance of R2, and is waiting for an
instance of R3
P3 is holds one instance of R3
Modifying Previous Example
Graph With A Cycle
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
used by most operating systems, including UNIX and Windows,
and Java VM
It is typically up to the application developers to write programs
to handle deadlocks
Deadlock Prevention
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
Some resources are intrinsically non-sharable
Hold and Wait – must guarantee that whenever a process requests
a resource, it does not hold any other resources
Method 1: Require process to request and be allocated all its
resources before it begins execution
Method 2: Allow process to request resources only when the
process 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 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
Can only be applied to a resource whose state can be
saved and restored (e.g., CPU) but cannot be applied to
locks and semaphores
Circular Wait – impose a total ordering of all resource types,
and require that each process requests resources in an
increasing order of enumeration
There are programs for verifying this, such as witness
Deadlock Example - 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 Example with Lock Ordering
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);
}
Transactions 1 and 2 execute concurrently. Transaction 1 transfers $25

from account A to account B, and Transaction 2 transfers $50 from account
B to account A
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 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 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
Consider the next slide example
Is the system in a safe state?
If so, which sequence satisfies the safety criteria?
Safe State Example
One resource with 12 instances
Max Need Current Allocation Need
P0 10 5 5
P1 4 2 2
P2 9 2 7
Available instances = 12 – (5+2+2) = 3
Safe State with safe sequence <P1, P0, P2>
If P2 requests and gets one more instance:

Max Need Current Allocation Need
P0 10 5 5
P1 4 2 2
P2 9 3 6
Available instances = 12 – (5+2+3) = 2
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
Resource-Allocation Graph Scheme
Claim edge Pi → Rj indicated that process Pj may request
resource Rj; represented by a dashed line (like a future request
edge)
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
cycle detection: O(n2)
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
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
Safety Algorithm Pseudo-Code
1 Work = Available
2 for i = 0 to n-1
3 Finish[i] = false
4 done = false
5 finishCount = 0
6 while (done == false)
7 found = false
8 for i = 0 to n-1
9 if (Finish[i] == false && Needi <= Work)
10 Work = Work + Allocationi
11 Finish[i] = true
12 finishCount++
13 found == true
14 break
15 if (found == false || finishCount == n)
16 done = true
17 if (finishCount == n)
18 print “Safe”
19 else
20 print “Unsafe”
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: (max – allocation) (work)
Allocation Max Need Available
ABC ABC ABC ABC
P0 010 753 743 332
P1 200 322 122
P2 302 902 600
P3 211 222 011
P4 002 433 431
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, P0, P1>
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 Algorithm requires an order
If no such i exists, go to step 4 of O(m x n2) operations to
detect whether the system is
3. Work = Work + Allocationi in deadlocked state
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
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

Will break deadlock but at a great expense to user/system
Abort one process at a time until the deadlock cycle is eliminated
Involves considerable overhead, because deadlock detection
algorithm must be invoked after each abortion
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 (higher priority) 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
Summary
Three ways to handle deadlock (most common is to ignore it and let
application developers deal with it)
Deadlock prevention provides a set of methods to ensure that at least one
of the necessary conditions cannot hold
These methods prevent deadlocks by constraining how requests for
resources can be made
Deadlock avoidance requires that the operating system be given additional
information in advance concerning which resources a process will request
and use during its lifetime
If a system does not employ either a deadlock-prevention or a deadlock
avoidance algorithm, then a deadlock situation may arise
The system can provide an algorithm that examines the state of the system
to determine whether a deadlock has occurred and an algorithm to recover
from the deadlock (if a deadlock has indeed occurred)
End of Chapter 7
Operating System Concepts – 9th Edition Silberschatz, Galvin and Gagne ©2013

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Chapter 7: Deadlocks

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

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

One instance of R1 Assignment Edge

If graph contains no cycles  no deadlock

Ensure that the system will never enter a deadlock state:

code for thread_two could not be

Transactions 1 and 2 execute concurrently. Transaction 1 transfers $25

When a process requests an available resource, system must

If P2 requests and gets one more instance:

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

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

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

Selecting a victim – minimize cost

Rollback – return to some safe state, restart process for that

Starvation – same process may always be picked as victim,

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