Princess Nora University

Computer Sciences Department

Operating Systems

CS 340 D

1 Level 3 (IT) + Level 4 (IS) + Level 5 (CS)

Chapter-5
Deadlocks

Introduction
Chapter 5: Deadlocks

1. The Deadlock Problem

2. Deadlock Characterization
3. Methods for Handling Deadlocks

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 OBJECTIVES:

 To develop a description of deadlocks, which prevent sets of

concurrent processes from completing their tasks

 To present methods for Handling Deadlocks

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The Deadlock Problem

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The Deadlock Problem

 In a multiprogramming environment, several processes may

compete for a finite number of resources.

 A process requests resources; if the resources are not

available at that time, the process enters a waiting state.

 Sometimes, a waiting process is never again able to

change state, because the resources it has requested
are held by other waiting processes.

This situation is called a DEADLOCK.

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The Deadlock Problem (cont..)

 What is a deadlock problem??

o A set of blocked processes each holding a resource and waiting
to acquire a resource held by another process in the set.

 Example
o System has 2 disk drives
o P1 and P2 each hold one disk drive and each needs the other
one
 Note :– Most OSs do not prevent or deal with deadlocks

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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
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 System Model

 The resources are partitioned into several types (R1, R2, . . ., Rm )

o E.g.: CPU cycles, memory space, I/O devices

Instances are
 Each resource type Ri has Wi instances. identical

o E.g :
 If a system has (2) CPUs, then the resource type CPU has (2) instances.
 The resource type printer may have (5) instances.

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 System Model (cont.)

 Each process utilizes a resource as follows:

1. Request
>> If the request cannot be granted immediately, then the
requesting process must wait until it can acquire the resource.
2. Use
3. Release

 A set of processes is in a deadlocked state when every

process in the set is waiting for an event that can be caused
only by another process in the set.

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System Model (cont.)
 Resource forms:
Physical resources Logical resources
e.g. printers, DVD drives, e.g. files
memory space, and CPU
cycles

 Example:
 consider a system with one printer and one DVD drive. Suppose that
process Pi is holding the DVD and process Pj is holding the printer. If Pi
requests the printer and Pj requests the DVD drive, a deadlock occurs.

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 The Deadlock
Characterization

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 Deadlock Characterization

Deadlock can arise if four conditions hold simultaneously:

1. Mutual exclusion: the resources are sharable or non sharable

 mutual exclusion happens when only one process at a
time can use a resource…(i.e. No resource sharing)

2. Hold and wait: a process holding at least one resource is

waiting to acquire additional resources held by other processes

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Deadlock Characterization (cont..)

3. No preemption: a resource can be released only

voluntarily by the process holding it, after that process has
completed its task

4. Circular wait:
 There exists a set {P0, P1, …, Pn} of waiting processes such that :
o P0 is waiting for a resource that is held by P1,
o P1 is waiting for a resource that is held by P2, …, Pn–1 is
waiting for a resource that is held by Pn,
o Pn is waiting for a resource that is held by P0.
P0 P1 P2 Pn

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Resource-Allocation Graph

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Resource-Allocation Graph

 Deadlocks can be described in terms of a directed graph called a

system resource-allocation graph.

 This graph consists of a set of vertices V and a set of edges E.

V is partitioned into two types: E 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  R j
Assignment edge – directed edge
R j  Pi

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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

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Example of a Resource Allocation Graph

 The sets P, R, and E:

 P = {P1, P2, P3}
 R = {R1, R2, R3, R4}
 E = {P1 → R1, P2 → R3, R1 → P2, R2
→ P2, R2 → P1, R3 → P3}
 Resource instances:

 (1) instance of resource type R1

 (2) instances of resource type R2
 (1) instance of resource type R3
(3) instances of resource type R4

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Example of a Resource Allocation Graph

 Process states:

 Process P1 is holding an instance of

resource type R2 and is waiting for an
instance of resource type R1.

 Process P2 is holding an instance of R1

and an instance of R2 and is waiting for
an instance of R3.

 Process P3 is holding an instance of R3.

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 How To Detect Deadlocks
Using Resource Allocation Graph

 How we recognize deadlock by using a Resource Allocation

Graph??

 If graph contains no cycles  no deadlock

 If graph contains a cycle 

 If only one instance per resource type, then there is a deadlock

 If several instances per resource type:
 If cycle is breakable  no deadlock
 If cycle is NOT breakable  deadlock

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 How To Detect Deadlocks
Using Resource Allocation Graph (as a Flowchart)

Is there is
a cycle?
y N
Is all R’s has NO D.L.
only one
instance?

y N

It is a D.L. Is cycle
breakable?
y N

NO D.L. It is a D.L.

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Resource Allocation Graph - Example (1)

 Example (1):
 NO deadlock because the graph contains NO cycles

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Resource Allocation Graph - Example (2)

 Example (2):
 The graph contains
(2) cycles

 Cycle (1) : P1 → R1 → P2 → R3 → P3 → R2 → P1
 Cycle (2) : P2 → R3 → P3 → R2 → P2

 It ‘s a dead lock situation …….why??

 There is no chance to break the cycles (cycle1 & cycle2).

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Resource Allocation Graph - Example (3)

 Example (3):
 The graph contains one cycle

Cycle : P1 → R1 → P3 → R2 → P1

 NO dead lock situation .....WHY????

 process P4 may release its instance of resource type
R2…… That resource can then be allocated to P3,
breaking the cycle.
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Methods for Handling
Deadlocks

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 Methods for Handling Deadlocks

 OS can deal with the deadlock problem in one of three ways

1-prevent or avoid 2- Detect & 3-Ignore

deadlocks Recover
ensuring that the Allow the system to Ignore the problem
system will never enter enter a deadlocked
a deadlocked state. state, detect it, and  Used by most operating
recover. systems, including Unix &
windows
 This method is cheaper than 1
or 2 .
 Solution: The system must be
restarted manually

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 Method (1) for Handling Deadlocks

 To ensure that deadlocks never occur, the system can

use either
1. a deadlock prevention or
2. a deadlock-avoidance scheme

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 Method(1) for Handling Deadlocks
Deadlock prevention
provides a set of methods to ensure that
at least one of the necessary 4 conditions
(explained before ) cannot hold.
These methods prevent deadlocks by
constraining how requests for resources
can be made.
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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.
• With this additional knowledge, the
operating system can decide for each
request whether or not the process should
wait.
1- Deadlock Prevention

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 Deadlock Prevention

Remove the possibility of deadlock occurring by denying one

of the four necessary conditions:
1- Mutual Exclusion – not required for sharable resources; must hold for
non-sharable resources.
 That is, at least one resource must be non-sharable. Sharable resources, in
contrast, do not require mutually exclusive access and thus cannot be
involved in a deadlock
2- Hold and Wait – must guarantee that whenever a process requests
a resource, it does not hold any other resources by using one of the
following protocols:

•The process must request all its • or allow process to request resources
resources before execution. only when the process has none

 Problems-> Low resource utilization; starvation possible

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 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
 Process will be restarted only when it can regain its old resources, as well
as the new ones that it is requesting
 It is applied to resources whose state easily saved and restored later, such
as CPU registers and memory space but it not applicable for resources
such as printers
 The main advantages is more better resource utilization

 Problems
 The cost of removing a process's resources
 starvation possible
 It is not applicable for all resource types such as printers
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 Deadlock Prevention (Cont.)

4- Circular Wait -
 One way to ensure that this condition never holds is to impose a
total ordering of all resource types and to require that
each process requests resources in an increasing order of
enumeration.

 let R = {R1, R2, ..., Rm} be the set of resource types. We assign
to each resource type a unique integer number, which allows us
to compare two resources and to determine whether one
precedes another in our ordering.

 Formally, we define a one-to-one function F: R→N, where N is

the set of natural numbers.
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 Deadlock Prevention (Cont.)
4- Circular Wait – cont..

 Example : if the set of resource types R includes tape drives, disk drives,
and printers,
 then the function F might be defined as follows:
F(tape drive) = 1
F(disk drive) = 5
F(printer) = 12

 We can now consider the following protocol to prevent deadlocks:

 Each process can request resources only in an increasing order of
enumeration.
 That is, a process can initially request any number of instances of a resource
type —say, Ri. After that, the process can request instances of resource type
Rj if and only if F(Rj ) > F(Ri ). …………..(Protocol#1)

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 Deadlock Prevention (Cont.)
4- Circular Wait – cont..

 EX: a process that wants to use the tape drive and printer at
the same time must first request the tape drive and then request
the printer.

 Alternatively, we can require that a process requesting an instance

of resource type Rj must have released any resources Ri such that
F(Ri ) ≥ F(Rj ). …..(Protocol#2)

 Problems
 Resources must be requested in ascending order of
resource number rather than as needed
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Thank you
End of Chapter 5