CH 8

Chapter 8: Deadlocks
Operating System Concepts – 10th Edition Silberschatz, Galvin and Gagne

Outline
 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
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 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
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 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
Avoidance Algorithms
 Single instance of a resource type
• Use a modified resource-allocation graph
 Multiple instances of a resource type

• Use the Banker’s Algorithm
Resource-Allocation Graph
Unsafe State In 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]
Example of Banker’s Algorithm
 5 processes P0 through 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 (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
Example (Cont.)
Allocation Max Available Need

ABC ABC ABC ABC
P0 010 753 332 743
P1 200 322 122
P2 302 902 600
P3 211 222 011
P4 002 433 431
 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
Example of Detection Algorithm
 Five processes P0 through P4; three resource types
A (7 instances), B (2 instances), and C (6 instances)
Allocation Request Available
ABC ABCABC
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
End of Chapter 8
Operating System Concepts – 10th Edition Silberschatz, Galvin and Gagne

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Chapter 8: Deadlocks

Operating System Concepts – 10th Edition Silberschatz, Galvin and Gagne

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 Pi  Rj

 assignment edge – directed edge Rj  Pi

 If a system is in unsafe state  possibility of deadlock

 Avoidance  ensure that a system will never enter an

 Multiple 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, there

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

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

 Need: n x m matrix. If Need[i,j] = k, then Pi may need k

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

Allocation Max Available Need

 Executing safety algorithm shows that sequence < P1, P3,

 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

 P2 requests an additional instance of type C

Operating System Concepts – 10th Edition Silberschatz, Galvin and Gagne

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