Chapter 7: Deadlocks: Silberschatz, Galvin and Gagne ©2018 Operating System Concepts - 10 Edition

Chapter 7: Deadlocks
Operating System Concepts – 10th Edition Silberschatz, Galvin and Gagne ©2018
Chapter 7: Deadlocks
 System Model
 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
 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
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
 P1 and P2 each hold one disk drive and each needs another one
Bridge Crossing Example
 Traffic only in one direction

 Each section of a bridge can be viewed as a resource
 If a deadlock occurs, it can be resolved if one car backs up (preempt
resources and rollback)
 Several cars may have to be backed up if a deadlock occurs
 Starvation is possible
 Note – Most OSes do not prevent or deal with deadlocks
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 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
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 avoidence
 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 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
 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 –
 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
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 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
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
Example
 System with 12 tape drives and three processes

 Current system state:
Process Max Need Allocated

P0 10 5
P1 4 2
P2 9 2
 System is in a safe state with the safe sequence <P1, P0, P2>
Example
 P2 requests and is allocated one more tape drive.
 Assuming the tape drive is allocated to P2, the new system
state will be:
Process Max Need Allocated

P0 10 5
P1 4 2
P2 9 3
 System gets into an unsafe 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
 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
Request = 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 – Request;
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 Available

Process A B C A B C A B C
P0 7 5 3 0 1 0 3 3 2
P1 3 2 2 2 0 0
P2 9 0 2 3 0 2
P3 2 2 2 2 1 1
P4 4 3 3 0 0 2
Example (Cont.)
 The content of the matrix Need is defined to be Max – Allocation
Process A B C
P0 7 4 3
P1 1 2 2
P2 6 0 0
P3 0 1 1
P4 4 3 1
Example (Cont.)
Need Allocation Work

P0 7 4 3 0 1 0 3 3 2
P1 1 2 2 2 0 0
P2 6 0 0 3 0 2
P3 0 1 1 2 1 1
P4 4 2 1 0 0 2
 Safe Sequence : < >
Example (Cont.)

P0 7 4 3 0 1 0 3 3 2
P1 1 2 2 2 0 0 5 3 2
P2 6 0 0 3 0 2
P3 0 1 1 2 1 1
P4 4 2 1 0 0 2
 Safe Sequence : < P1>
Example (Cont.)

P0 7 4 3 0 1 0 3 3 2
P1 1 2 2 2 0 0 5 3 2
P2 6 0 0 3 0 2 7 4 3
P3 0 1 1 2 1 1
P4 4 2 1 0 0 2
 Safe Sequence : < P1, P3 >
Example (Cont.)

P0 7 4 3 0 1 0 3 3 2
P1 1 2 2 2 0 0 5 3 2
P2 6 0 0 3 0 2 7 4 3
P3 0 1 1 2 1 1 7 4 5
P4 4 2 1 0 0 2
 Safe Sequence : < P1, P3, P4 >
Example (Cont.)

P0 7 4 3 0 1 0 3 3 2
P1 1 2 2 2 0 0 5 3 2
P2 6 0 0 3 0 2 7 4 3
P3 0 1 1 2 1 1 7 4 5
P4 4 2 1 0 0 2 7 5 5
 Safe Sequence : < P1, P3, P4, P0 >
Example (Cont.)
 Final safe sequence:
<P1, P3, P4, P0, P2>
 Not a unique sequence
 Possible safe sequences for the this example:
<P1,P3,P4,P0,P2>, <P1,P3,P4,P2,P0>, <P1,P3,P2,P0,P4>,

<P1,P3,P2,P4,P0>, <P1,P3,P0,P2,P4>, <P1,P3,P0,P4,P2>
Example: P1 Request (1,0,2)
Check that : Is Request1  Need1?
(1,0,2)  (1,2,2)  true
Check that : Is Request  Available ?
(1,0,2)  (3,3,2)  true
Need Allocation Available

P0 7 4 3 0 1 0 3 3 2
P1 1 2 2 2 0 0
P2 6 0 0 3 0 2
P3 0 1 1 2 1 1
P4 4 3 1 0 0 2

P0 7 4 3 0 1 0 2 3 0
P1 0 2 0 3 0 2
P2 6 0 0 3 0 2
P3 0 1 1 2 1 1
P4 4 3 1 0 0 2
Safe Sequence : < >

P0 7 4 3 0 1 0 2 3 0
P1 0 2 0 3 0 2 5 3 2
P2 6 0 0 3 0 2
P3 0 1 1 2 1 1
P4 4 3 1 0 0 2
Safe Sequence : < P1 >

P0 7 4 3 0 1 0 2 3 0
P1 0 2 0 3 0 2 5 3 2
P2 6 0 0 3 0 2 7 4 3
P3 0 1 1 2 1 1
P4 4 3 1 0 0 2
Safe Sequence : < P1 ,P3 >

P0 7 4 3 0 1 0 2 3 0
P1 0 2 0 3 0 2 5 3 2
P2 6 0 0 3 0 2 7 4 3
P3 0 1 1 2 1 1 7 4 5
P4 4 3 1 0 0 2
Safe Sequence : < P1 ,P3 , P4 >
P0 7 4 3 0 1 0 2 3 0
P1 0 2 0 3 0 2 5 3 2
P2 6 0 0 3 0 2 7 4 3
P3 0 1 1 2 1 1 7 4 5
P4 4 3 1 0 0 2 7 4 5
Safe Sequence : < P1 ,P3 , P4 ,P0 ,P2 >
 Executing safety algorithm shows that sequence < P1, P3, P4, P0, P2> satisfies
safety requirement. So Yes, P1’s request may be granted immediately.
 Can request for (0,2,0) by P0 be granted?
Check that : Is Request0  Need0?
(0,2,0)  (7,4,3)  true
Check that : Is Request  Available ?
(0,2,0)  (3,3,2)  true
Need Allocation Available

P0 7 4 3 0 1 0 3 3 2
P1 1 2 2 2 0 0
P2 6 0 0 3 0 2
P3 0 1 1 2 1 1
P4 4 3 1 0 0 2

P0 7 2 3 0 3 0 3 1 2
P1 1 2 2 2 0 0
P2 6 0 0 3 0 2
P3 0 1 1 2 1 1
P4 4 3 1 0 0 2
Safe Sequence : < >

P0 7 2 3 0 3 0 3 1 2
P1 1 2 2 2 0 0 5 2 3
P2 6 0 0 3 0 2
P3 0 1 1 2 1 1
P4 4 3 1 0 0 2
Safe Sequence : < P3 ,>

P0 7 2 3 0 3 0 3 1 2
P1 1 2 2 2 0 0 5 2 3
P2 6 0 0 3 0 2 7 2 3
P3 0 1 1 2 1 1
P4 4 3 1 0 0 2
Safe Sequence : < P3 ,P1 >

P0 7 2 3 0 3 0 3 1 2
P1 1 2 2 2 0 0 5 2 3
P2 6 0 0 3 0 2 7 2 3
P3 0 1 1 2 1 1 10 2 5
P4 4 3 1 0 0 2
Safe Sequence : < P3 ,P1,P2 >
P0 7 2 3 0 3 0 3 1 2
P1 1 2 2 2 0 0 5 2 3
P2 6 0 0 3 0 2 7 2 3
P3 0 1 1 2 1 1 10 2 5
P4 4 3 1 0 0 2 10 5 5
Safe Sequence : < P3 ,P1,P2 ,P0,P4>
 Executing safety algorithm shows that sequence < P3 ,P1,P2 ,P0,P4> satisfies safety
requirement. So Yes, P0’s request may be granted immediately.
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
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 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 7
Operating System Concepts – 10th Edition Silberschatz, Galvin and Gagne ©2018

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Chapter 7: Deadlocks

 To develop a description of deadlocks, which prevent

 Traffic only in one direction

 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

 Mutual Exclusion – not required for sharable resources

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

 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

 System with 12 tape drives and three processes

Process Max Need Allocated

Process Max Need Allocated

 System gets into an unsafe state

 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.

 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

Request = request vector for process Pi.

 5 processes P0 through P4;

Max Allocation Available

Need Allocation Work

 Safe Sequence : < >

Need Allocation Work

 Safe Sequence : < P1>

Need Allocation Work

 Safe Sequence : < P1, P3 >

Need Allocation Work

 Safe Sequence : < P1, P3, P4 >

Need Allocation Work

 Safe Sequence : < P1, P3, P4, P0 >

 Not a unique sequence

 Possible safe sequences for the this example:

<P1,P3,P4,P0,P2>, <P1,P3,P4,P2,P0>, <P1,P3,P2,P0,P4>,

Need Allocation Available

Need Allocation Work

Need Allocation Work

Need Allocation Work

Need Allocation Work

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

Need Allocation Available

Need Allocation Work

Need Allocation Work

Need Allocation Work

Need Allocation Work

 Allow system to enter deadlock state

 Maintain wait-for graph

 Periodically invoke an algorithm that searches for a cycle in the