This document discusses deadlocks in operating systems. It defines deadlock as when a set of processes are blocked waiting for resources held by each other in a cyclic manner. It describes the four conditions for deadlock and methods to handle it, including prevention, avoidance, detection, and recovery. Prevention ensures deadlocks cannot occur through restrictions. Avoidance dynamically monitors the system state to ensure it remains in a safe state where deadlocks cannot form. Detection uses algorithms to search for cycles indicating deadlocks. Recovery techniques include terminating or rolling back processes.

1. Rushdi Shams, Dept of CSE, KUET 1
Operating SystemsOperating Systems
DeadlocksDeadlocks
Version 1.0

2. Rushdi Shams, Dept of CSE, KUET 2
Definition of Deadlock
When two trains approach each other at crossing,
both shall come to a full stop and neither shall start
up again until the other has gone (Kansas Legislature
for railroads in 1920)
A process requests resources
If the resources are not available at that time, the
process enters into waiting state
It never again change state because resources it
requested are requested by other waiting processes

3. Rushdi Shams, Dept of CSE, KUET 3
How processes utilize resources
If a system has 2 CPUs, then it is said, the system has
a resource type CPU of 2 instances
A process must request a resource before using it
And it must release after using it
A process may request as many resources as it
requires to carry out its designated task
Number of requesting resources MUST not exceed
the total number of available resources
So, a process utilizes resources with three sequences:
request-use-release

4. Rushdi Shams, Dept of CSE, KUET 4
Deadlock Characterization
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: Process releases resources
voluntarily, you cannot force it.
Circular wait: there exists a set {P0, P1, …, P0} of
waiting processes such that P0is waiting for a resource
that is held by P1, P1 is waiting for a resource that is
held by

5. Rushdi Shams, Dept of CSE, KUET 5
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 P1 → Rj
assignment edge – directed edge Rj → Pi

6. Rushdi Shams, Dept of CSE, KUET 6
Resource-Allocation Graph
Process
Resource Type with 4 instances
Pi requests instance of Rj
Pi is holding an instance of Rj Pi
Pi
Rj
Rj

7. Rushdi Shams, Dept of CSE, KUET 7
Resource Allocation Graph

8. Rushdi Shams, Dept of CSE, KUET 8
Resource Allocation Graph With A
Deadlock

9. Rushdi Shams, Dept of CSE, KUET 9
Graph With A Cycle But No
Deadlock

10. Rushdi Shams, Dept of CSE, KUET 10
Resource Allocation Graph
If graph contains no cycles then no deadlock.
If graph contains a cycle then
if only one instance per resource type, then deadlock.
if several instances per resource type, possibility of
deadlock

11. Rushdi Shams, Dept of CSE, KUET 11
Methods for handling Deadlocks
We can prevent deadlock- which is still a dream, but
soon have a chance to be real
We can avoid deadlocks- by using protocols, ensuring
that the system will never enter a deadlock state
We can allow the system to enter a deadlock state,
detect it and recover
We can use Ostrich Approach

12. Rushdi Shams, Dept of CSE, KUET 12
Ostrich Approach
Ostrich is not the name of the inventor of the
approach, it is simply an ostrich.
When ostriches run, they just run!  They pay very
little interest in their surroundings.
It means, Ostrich Algorithm in deadlocks is simply
ignoring the problem… pretending it will never occur.
UNIX runs with this approach.

13. Rushdi Shams, Dept of CSE, KUET 13
Deadlock Prevention
Mutual Exclusion – not required for sharable
resources; must hold for nonsharable 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.
Low resource utilization; starvation possible.

14. Rushdi Shams, Dept of CSE, KUET 14
Deadlock Prevention
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.

15. Rushdi Shams, Dept of CSE, KUET 15
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.

16. Rushdi Shams, Dept of CSE, KUET 16
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 is the systems such that for each Pi, the
resources that Pican 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.

17. Rushdi Shams, Dept of CSE, KUET 17
Basic Facts
If a system is in safe state, then no deadlocks.
If a system is in unsafe state, then possibility of
deadlock.
Avoidance means ensuring that a system will never
enter an unsafe state.

18. Rushdi Shams, Dept of CSE, KUET 18

19. Rushdi Shams, Dept of CSE, KUET 19
Deadlock Avoidance: on
Overhead Projector

20. Rushdi Shams, Dept of CSE, KUET 20
Deadlock Detection & Recovery
 If a system does not impose deadlock prevention
and avoidance mechanism, then a deadlock
situation MAY occur.
 In this circumstance, the system must provide
1. An algorithm to detect deadlock
2. Recovery Mechanism

21. Rushdi Shams, Dept of CSE, KUET 21
Detection Mechanism 1
We assume that the resource has only one instance.
Maintain wait-for graph (WFG)
Nodes are processes.
Pi → Pj if Pi is waiting for Pj.
Periodically searches for a cycle in the graph. If there
is a cycle, there exists a deadlock.

22. Rushdi Shams, Dept of CSE, KUET 22
Detection Mechanism 1

23. Rushdi Shams, Dept of CSE, KUET 23
Detection Mechanism 2
We assume that resources have more than one instance
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
A B C A B C A B C
P0 0 1 0 0 0 0 0 0 0
P1 2 0 0 2 0 2
P2 3 0 3 0 0 0
P3 2 1 1 1 0 0
P4 0 0 2 0 0 2
Sequence <P0, P2, P3, P4, P1> will result in

24. Rushdi Shams, Dept of CSE, KUET 24
Detection Algorithm Usage
When should we invoke the detection algorithm?
Depends on two factors-
How often a deadlock is likely to occur?
How many processes will be affected by deadlock when
it happens?
How many processes will be needed to roll back?
Normally detection algorithm is used -
Whenever a request is not served
In every hour
Whenever CPU utilization drops under 40%

25. Rushdi Shams, Dept of CSE, KUET 25
Recovery Mechanism: Process
Termination
Abort all deadlocked process
Clearly will break the cycle but at a great price
Processes may have computed for a long time and now
the values are going to be lost 
Abort one process at a time until the deadlock cycle is
eliminated
Considerable overhead

26. Rushdi Shams, Dept of CSE, KUET 26
Recovery Mechanism: Process
Termination
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?

27. Rushdi Shams, Dept of CSE, KUET 27
Recovery Mechanism: 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.

28. Rushdi Shams, Dept of CSE, KUET 28
Reference
Operating Systems Concept (6th
Edition)
by Silberschatz, Galvin and Gagne