Deadlocks
Syllabus
Deadlock:
Principles of Deadlock, Deadlock Modeling, Deadlock Prevention, Deadlock
Avoidance, Deadlock detection and recovery.
11/24/2025 COMPUTER ENGINEERING AND TECHNOLOGY 2
References
• 1. Abraham Silberschatz, Peter Baer Galvin and Greg Gagne, Operating System
Concepts, WILEY,ISBN 978-1-118-06333-0, 9th Edition
21/02/19 Operating system 3
Deadlocks
Finite number of resources to be distributed among a number of competing
processes
A set of blocked processes each holding a resource and waiting to acquire a
resource held by another process in the set.
The Deadlock Problem
Example
◦ System has 2 tape drives.
◦ P1 and P2 each hold one tape 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.
System Model
Resource types R1, R2, . . ., Rm
CPU , 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 iff four conditions hold simultaneously.
Mutual exclusion: resource must be held in a nonshareable mode
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
Resource Allocation 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.
•Allow the system to enter a deadlock state and then recover
•Ignore
Deadlock Prevention
By ensuring that atleast one of the conditions cannot hold, we
can prevent deadlock
1. Mutual Exclusion – some resources are inherently nonsharable eg.
printer.
2. Hold and Wait –
◦ Require process to request and be allocated all its resources before it
begins execution
◦ Low resource utilization; starvation possible.
Deadlock Prevention (Cont.)
3. 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 resumed only when it can regain its old resources, as well as
the new ones that it is requesting.
4. Circular Wait – impose a total ordering of all resource types, and require
that each process requests resources in an increasing order of enumeration.
Deadlock Prevention (Cont.)
Circular Wait – impose a total ordering of all resource types, and require that each
process requests resources in an increasing order of enumeration (eg. Disk needed before
printer, so Number assigned to printer > Number assigned to disk)
R = {R1, R2, …, Rm} the set consisting of all resource types in the system
Assign a unique integer number to each resource type
A process can initially request any number of instances of a resource type Ri
After that process can request instances of a resource type Rj iff
Number of Rj > Number of Ri
If several instances of some resource type are needed, a single request for all must be
issued
Deadlock Prevention (Cont.)
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.
Uses concept of safe state
Safe State
❑System is in safe state if there exists a safe sequence of all processes.
❑Sequence <P1, P2, P3…, Pn> is safe if 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.
◦ 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.
Safe State
If no such sequence exists, then system is in unsafe state
If a system is in safe state no deadlocks.
If a system is in unsafe state possibility of deadlock.
Safe, unsafe , deadlock state spaces
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].
Resource-request Algorithm
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;
• Call safety algorithm
• If safe the resources are allocated to Pi.
• If unsafe Pi must wait, and the old resource-allocation state is restored
Safety Algorithm
To determine whether system is in safe state
1. Let Work and Finish be vectors of length m and n, respectively. Initialize:
Work := Available
Finish [i] = false for i = 1,2, …, n.
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.
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:
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.)
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, P2> or < P1, P3, P4, P2, P0>
satisfies safety criteria.
Safety Algorithm
To determine whether system is in safe state
1. Let Work and Finish be vectors of length m and n, respectively. Initialize:
Work := Available
Finish [i] = false for i = 1,2, …, n.
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.
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Example (Cont.)……
At time T1:
P1 request (1,0,2)
Resource-Request algorithm
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Resource-request Algorithm
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;
• Call safety algorithm
• If safe the resources are allocated to Pi.
• If unsafe Pi must wait, and the old resource-allocation state is restored
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Example (Cont.): P1 request (1,0,2)
Check that Request Available (that is, (1,0,2) (3,3,2) true.
Executing safety algorithm shows that sequence <P1, P3, P4, P0, P2> satisfies safety requirement.
Example (Cont.)
At time T2: Can request for (3,3,0) by P4 be granted?
At time T3: Can request for (0,2,0) by P0 be granted?
2. Example of Banker’s Algorithm
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.
◦ etc…
Recovery from Deadlock: Resource Preemption
•Selecting a victim
•Rollback
•Starvation – same process may always be picked as victim, include
number of rollbacks