Republic of Yemen

Ministry of Higher Education

‫الجمهورية اليمنية‬
and Scientific Research ‫وزارة التعليم العالي والبحث العلمي‬
Al-Rasheed Smart University ‫جامعة الرشيد الذكية‬

Chapter 7.1: Deadlocks

Operating System Concepts – 10h Edition Silberschatz, Galvin and Gagne ©2018
 Outline
• Introduction to Deadlock.
• Deadlock Characterization.
• Methods for Handling Deadlocks.
• Deadlocks Avoidance.
• Deadlocks Detection and Recovery.

Operating System Concepts – 10th Edition 7.2 Silberschatz, Galvin and Gagne ©2018
 Introduction (1/3)

• Generally speaking, deadlock, involves conflicting needs for

resources by two or more request orders. A common example
is a traffic deadlock.
➢ If deadlock occurs, it can be resolved if one car backs up
(preempt resources and rollback).
➢ Several cars may have to back up if deadlock occurs.
➢ Starvation is possible.

Operating System Concepts – 10th Edition 7.3 Silberschatz, Galvin and Gagne ©2018
 Introduction (2/3)

Deadlock in computer system (1/2)

• A computer system consists of a finite number of resources
to be distributed among a number of competing processes.
• An operating system is a resource allocator i.e., there are
many resources that can be allocated to only one process at a
time.
• Each process utilizes a resource as follows:
➢ request
➢ use
➢ release

Operating System Concepts – 10th Edition 7.4 Silberschatz, Galvin and Gagne ©2018
 Introduction (2/3)

Deadlock in computer system (2/2)

• General example of deadlock in a computer system:

Operating System Concepts – 10th Edition 7.5 Silberschatz, Galvin and Gagne ©2018
 Introduction (3/3)

Types of resources in computer (1/5)

• Resource types R1, R2, . . ., Rm
CPU cycles, memory space, I/O devices
• Each resource type Ri has Wi instances.

Operating System Concepts – 10th Edition 7.6 Silberschatz, Galvin and Gagne ©2018
 Introduction (3/3)

Types of resources in computer (2/5)

• Sharable resources can be used by more than one process at
a time. A consumable resource can only be used by one
process.

Sharable resources Consumable resources

Operating System Concepts – 10th Edition 7.7 Silberschatz, Galvin and Gagne ©2018
 Introduction (3/3)

Types of resources in computer (3/5)

• Resources can be pre-emptable or non pre-emptable.

➢ Memory is an example of a pre-emptable resource, but

➢ A printer is a non-preemptable one.

Operating System Concepts – 10th Edition 7.8 Silberschatz, Galvin and Gagne ©2018
 Introduction (3/3)

Types of resources in computer (4/5)

• Reusable: used by one process at a time and then returned.

➢ Processors, I/O channels, main and secondary memory, files,
databases, and semaphores.
➢ Deadlock may occur if each process holds one resource and
requests another.

Operating System Concepts – 10th Edition 7.9 Silberschatz, Galvin and Gagne ©2018
 Introduction (3/3)

Types of resources in computer (5/5)

• Consumable: created (produced) and destroyed (consumed)

by a process.
➢ Interrupts, signals, messages, data in I/O buffers.
➢ Deadlock may occur if receive_message() is blocking.

Operating System Concepts – 10th Edition 7.10 Silberschatz, Galvin and Gagne ©2018
 Deadlock Characterization (1/11)

Deadlock can arise if four conditions hold simultaneously.

• Mutual exclusion.
• Hold and wait.
• No preemption.
• Circular wait.

Operating System Concepts – 10th Edition 7.11 Silberschatz, Galvin and Gagne ©2018
 Deadlock Characterization (2/11)

Deadlock can arise if four conditions hold simultaneously.

1. Mutual exclusion: only one process at a time can use a

resource.
2. Hold and wait: a process holding at least one resource is
waiting to acquire additional resources held by other
processes.

Operating System Concepts – 10th Edition 7.12 Silberschatz, Galvin and Gagne ©2018
 Deadlock Characterization (3/11)

Deadlock can arise if four conditions hold simultaneously.

3. No preemption: a resource can be released only willingly

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 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.

Operating System Concepts – 10th Edition 7.13 Silberschatz, Galvin and Gagne ©2018
 Deadlock Characterization (4/11)

Resource-Allocation Graph (1/2)

• 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 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

Operating System Concepts – 10th Edition 7.14 Silberschatz, Galvin and Gagne ©2018
 Deadlock Characterization (4/11)

Resource-Allocation Graph (2/2)

• Process

• Resource Type with 4 instances

• Pi requests instance of Rj Pi
Rj

• Pi is holding an instance of Rj Pi
Rj

Operating System Concepts – 10th Edition 7.15 Silberschatz, Galvin and Gagne ©2018
 Deadlock Characterization (5/11)

Example of a Resource Allocation Graph

Operating System Concepts – 10th Edition 7.16 Silberschatz, Galvin and Gagne ©2018
 Deadlock Characterization (6/11)

Resource Allocation Graph With A Deadlock

Operating System Concepts – 10th Edition 7.17 Silberschatz, Galvin and Gagne ©2018
 Deadlock Characterization (6/11)

Resource Allocation Graph With A Deadlock

©Ahmed Hagag Operating Systems 18

Operating System Concepts – 10th Edition 7.18 Silberschatz, Galvin and Gagne ©2018
 Deadlock Characterization (7/11)

Graph With A Cycle But No Deadlock

Operating System Concepts – 10th Edition 7.19 Silberschatz, Galvin and Gagne ©2018
 Deadlock Characterization (7/11)

Graph With A Cycle But No Deadlock

Operating System Concepts – 10th Edition 7.20 Silberschatz, Galvin and Gagne ©2018
 Deadlock Characterization (8/11)

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.

Operating System Concepts – 10th Edition 7.21 Silberschatz, Galvin and Gagne ©2018
 Deadlock Characterization (9/11)

With a Deadlock or Without ?

Operating System Concepts – 10th Edition 7.22 Silberschatz, Galvin and Gagne ©2018
 Deadlock Characterization (10/11)

With a Deadlock or Without ?

Operating System Concepts – 10th Edition 7.23 Silberschatz, Galvin and Gagne ©2018
 Deadlock Characterization (11/11)

With a Deadlock or Without ?

Operating System Concepts – 10th Edition 7.24 Silberschatz, Galvin and Gagne ©2018
 Example Deadlocks (1/10)

1. Describe the following Resource-Allocation Graph.

2. Is this graph contain a cycle ?
3. Is there a deadlock? Why?

Operating System Concepts – 10th Edition 7.25 Silberschatz, Galvin and Gagne ©2018
 Example Deadlocks (2/10)

1. Describe the following Resource-Allocation Graph.

• There are 3 processes 𝑃1, 𝑃2, 𝑃3
• There are 4 resources:
➢ 𝑅1 1 instance ,
➢ 𝑅2 2 instances ,
➢ 𝑅3 1 instance ,
➢ 𝑅4 3 instances .
• 𝑃1 holding 1 instance from 𝑅2
• 𝑃1 request 1 instance from 𝑅1
• 𝑃2 holding 1 instance from 𝑅2
• 𝑃2 holding 1 instance from 𝑅1
• 𝑃2 request 1 instance from 𝑅3
• 𝑃3 holding 1 instance from 𝑅3

Operating System Concepts – 10th Edition 7.26 Silberschatz, Galvin and Gagne ©2018
 Example Deadlocks (3/10)

2. Is this graph contain a cycle ?

• No cycle.

3. Is there a deadlock? Why?

• No deadlock. Because there is no cycle.

Operating System Concepts – 10th Edition 7.27 Silberschatz, Galvin and Gagne ©2018
 Example Deadlocks (4/10)

1. Describe the following Resource-Allocation Graph.

2. Is this graph contain a cycle ?
3. Is there a deadlock? Why?

Operating System Concepts – 10th Edition 7.28 Silberschatz, Galvin and Gagne ©2018
 Example Deadlocks (5/10)

1. Describe the following Resource-Allocation Graph.

• There are 4 processes 𝑃1, 𝑃2, 𝑃3, 𝑃4
• There are 2 resources:
➢ 𝑅1 2 instances ,
➢ 𝑅2 2 instances .
• 𝑃1 holding 1 instance from 𝑅2
• 𝑃1 request 1 instance from 𝑅1
• 𝑃2 holding 1 instance from 𝑅1
• 𝑃3 holding 1 instance from 𝑅1
• 𝑃3 request 1 instance from 𝑅2
• 𝑃4 holding 1 instance from 𝑅2

Operating System Concepts – 10th Edition 7.29 Silberschatz, Galvin and Gagne ©2018
 Example Deadlocks (6/10)

2. Is this graph contain a cycle ?

• There is one cycle < 𝑅2, 𝑃1, 𝑅1, 𝑃3, 𝑅2 >.

3. Is there a deadlock? Why?

• No deadlock.
• Because 𝑃2 and 𝑃4 will finish their jobs
over time.
• Then, 1 instance from 𝑅1 and 1 instance
from 𝑅2 will be free for 𝑃1 and 𝑃3.

Operating System Concepts – 10th Edition 7.30 Silberschatz, Galvin and Gagne ©2018
 Example Deadlocks (7/10)

1. Describe the following Resource-Allocation Graph.

2. Is this graph contain a cycle ?
3. Is there a deadlock? Why?

Operating System Concepts – 10th Edition 7.31 Silberschatz, Galvin and Gagne ©2018
 Example Deadlocks (8/10)

1. Describe the following Resource-Allocation Graph.

• There are 3 processes 𝑃1, 𝑃2, 𝑃3
• There are 4 resources:
➢ 𝑅1 1 instance ,
➢ 𝑅2 2 instances ,
➢ 𝑅3 1 instance ,
➢ 𝑅4 3 instances .
• 𝑃1 holding 1 instance from 𝑅2
• 𝑃1 request 1 instance from 𝑅1
• 𝑃2 holding 1 instance from 𝑅2
• 𝑃2 holding 1 instance from 𝑅1
• 𝑃2 request 1 instance from 𝑅3
• 𝑃3 holding 1 instance from 𝑅3
• 𝑃3 request 1 instance from 𝑅2

Operating System Concepts – 10th Edition 7.32 Silberschatz, Galvin and Gagne ©2018
 Example Deadlocks (9/10)

2. Is this graph contain a cycle ?

• There is one cycle < 𝑅2, 𝑃1, 𝑅1, 𝑃2, 𝑅3, 𝑃3, 𝑅2 >.

3. Is there a deadlock? Why?

• Yes there is a deadlock.

• Because 𝑃1 is waiting for 𝑃2 and,
• 𝑃2 is waiting for 𝑃3 and,
• 𝑃3 is waiting for 𝑃1 and 𝑃2. Over time.

Operating System Concepts – 10th Edition 7.33 Silberschatz, Galvin and Gagne ©2018
 Example Deadlocks (10/10)

Operating System Concepts – 10th Edition 7.34 Silberschatz, Galvin and Gagne ©2018
 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; used by most operating systems.

Operating System Concepts – 10th Edition 7.35 Silberschatz, Galvin and Gagne ©2018
 Deadlock Prevention (1/8)

Mutual Exclusion – cannot be broken

• We cannot prevent deadlocks by denying mutual
exclusion because some resources are non-sharable.
• Sharable resources (e.g., read-only files) can be
accessed concurrently.

non-sharable
sharable

©Ahmed Hagag Operating Systems 36

Operating System Concepts – 10th Edition 7.36 Silberschatz, Galvin and Gagne ©2018
 Deadlock Prevention (2/8)

Hold and Wait – can be broken if

• A process requests a resource only if it does not hold any
other resources.
• A process requests and is allocated all its resources
before it begins execution.

©Ahmed Hagag Operating Systems 37

Operating System Concepts – 10th Edition 7.37 Silberschatz, Galvin and Gagne ©2018
 Deadlock Prevention (2/8)

Hold and Wait – can be broken if

• A process requests a resource only if it does not hold any
other resources.
• A process requests and is allocated all its resources
before it begins execution.

Operating System Concepts – 10th Edition 7.38 Silberschatz, Galvin and Gagne ©2018
 Deadlock Prevention (2/8)

Hold and Wait – can be broken if

• A process requests a resource only if it does not hold any
other resources.
• A process requests and is allocated all its resources
before it begins execution.

Operating System Concepts – 10th Edition 7.39 Silberschatz, Galvin and Gagne ©2018
 Deadlock Prevention (3/8)

Hold and Wait – can be broken if

• A process requests a resource only if it does not hold any
other resources.
• A process requests and is allocated all its resources
before it begins execution.

Operating System Concepts – 10th Edition 7.40 Silberschatz, Galvin and Gagne ©2018
 Deadlock Prevention (3/8)

Hold and Wait – can be broken if

• A process requests a resource only if it does not hold any
other resources.
• A process requests and is allocated all its resources
before it begins execution.

Operating System Concepts – 10th Edition 7.41 Silberschatz, Galvin and Gagne ©2018
 Deadlock Prevention (3/8)

Hold and Wait – can be broken if

• A process requests a resource only if it does not hold any
other resources.
• A process requests and is allocated all its resources
before it begins execution.

Operating System Concepts – 10th Edition 7.42 Silberschatz, Galvin and Gagne ©2018
 Deadlock Prevention (3/8)

Hold and Wait – can be broken if

• A process requests a resource only if it does not hold any
other resources.
• A process requests and is allocated all its resources
before it begins execution.

1 2

©Ahmed Hagag Operating Systems 43

Operating System Concepts – 10th Edition 7.43 Silberschatz, Galvin and Gagne ©2018
 Deadlock Prevention (4/8)

Hold and Wait – can be broken if

• A process requests a resource only if it does not hold any
other resources.
• A process requests and is allocated all its resources
before it begins execution.
• Disadvantages:
➢ Low resource utilization; starvation possible.

Operating System Concepts – 10th Edition 7.44 Silberschatz, Galvin and Gagne ©2018
 Deadlock Prevention (5/8)

No Preemption – can be broken if

• If a process holding some resources requests another
resource that cannot be immediately allocated to it, then
all resources currently being held are released.

Operating System Concepts – 10th Edition 7.45 Silberschatz, Galvin and Gagne ©2018
 Deadlock Prevention (6/8)

No Preemption – can be broken if

• 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.

Operating System Concepts – 10th Edition 7.46 Silberschatz, Galvin and Gagne ©2018
 Deadlock Prevention (7/8)

No Preemption – can be broken if

• Problems?
• Difficult to use with resources whose state are not easily
saved, e.g., printers and tape drives. (In contrast to CPU
registers and memory space).

Operating System Concepts – 10th Edition 7.47 Silberschatz, Galvin and Gagne ©2018
 Deadlock Prevention (8/8)

Circular Wait – can be broken if

• Impose a total ordering on all resource types, and
• Require that each process requests resources
in an increasing order of enumeration.

Operating System Concepts – 10th Edition 7.48 Silberschatz, Galvin and Gagne ©2018
 Deadlocks Avoidance (1/29)

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.

Operating System Concepts – 10th Edition 7.49 Silberschatz, Galvin and Gagne ©2018
 Deadlocks Avoidance (2/29)

• 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.

Operating System Concepts – 10th Edition 7.50 Silberschatz, Galvin and Gagne ©2018
 Deadlocks Avoidance (3/29)

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.

Operating System Concepts – 10th Edition 7.51 Silberschatz, Galvin and Gagne ©2018
 Deadlocks Avoidance (4/29)

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.

Operating System Concepts – 10th Edition 7.52 Silberschatz, Galvin and Gagne ©2018
 Deadlocks Avoidance (5/29)

Avoidance Algorithms:

• Single instance of a resource type 

➢ Use a resource-allocation graph.
• Multiple instances of a resource type 
➢ Use the banker’s algorithm.

Operating System Concepts – 10th Edition 7.53 Silberschatz, Galvin and Gagne ©2018
 Deadlocks Avoidance (6/29)

Resource-Allocation Graph:
• Claim edge Pi Rj indicated that process Pi may request
resource Rj; represented by a dashed line.

Claim edge
𝑃𝑖 𝑅𝑗

• Claim edge converts to request edge when a process

requests a resource.
Request edge
𝑃𝑖 𝑅𝑗

Operating System Concepts – 10th Edition 7.54 Silberschatz, Galvin and Gagne ©2018
 Deadlocks Avoidance (7/29)

• 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.

Operating System Concepts – 10th Edition 7.55 Silberschatz, Galvin and Gagne ©2018
 Deadlocks Avoidance (8/29)

Resource-Allocation Graph:

Assignment edge Request edge

Claim edge Claim edge

Operating System Concepts – 10th Edition 7.56 Silberschatz, Galvin and Gagne ©2018
 Deadlocks Avoidance (9/29)

Unsafe State In Resource-Allocation Graph:

Assignment edge Request edge

Claim edge Assignment edge

A cycle, as mentioned, indicates that the system is in an unsafe state.

If P1 requests R2, and P2 holding R2, then a deadlock will occur.

Operating System Concepts – 10th Edition 7.57 Silberschatz, Galvin and Gagne ©2018
 Deadlocks Avoidance (10/29)

Resource-Allocation Graph Algorithm:

• Suppose that process Pi requests resource Rj
• The request can be granted only if converting the request
edge to assignment edge does not create a cycle in the
resource allocation graph.

Assignment edge Request edge

Assignment edge Claim edge

Operating System Concepts – 10th Edition 7.58 Silberschatz, Galvin and Gagne ©2018
 End of Chapter 7.1

Operating System Concepts – 10th Edition Silberschatz, Galvin and Gagne ©2018