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The Design and Implementation of the FreeBSD Operating System Hardcover – August 12, 2004

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ISBN-13: 978-0201702453 ISBN-10: 0201702452 Edition: 1st

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About the Author

Marshall Kirk McKusick writes books and articles, consults, and teaches classes on UNIX- and BSD-related subjects. While at the University of California at Berkeley, he implemented the 4.2BSD fast file system, and was the research computer scientist at the Berkeley Computer Systems Research Group (CSRG) overseeing the development and release of 4.3BSD and 4.4BSD. He has twice served as the president of the board of the Usenix Association.

George V. Neville-Neil works on network and operating system code for fun and profit and teaches programming. He also serves on the editorial board of Queue magazine and is a member of the Usenix Association, ACM, and IEEE.



Excerpt. © Reprinted by permission. All rights reserved.

This book follows the earlier authoritative and full-length descriptions of the design and implementation of the 4.3BSD and 4.4BSD versions of the UNIX system developed at the University of California at Berkeley. Since the final Berkeley release in 1994, several groups have continued development of BSD. This book details FreeBSD, the system with the largest set of developers and the most widely distributed releases. Although the FreeBSD distribution includes nearly 1000 utility programs in its base system and nearly 10,000 optional utilities in its ports collection, this book concentrates almost exclusively on the kernel.

UNIX-like Systems

UNIX-like systems include the traditional vendor systems such as Solaris and HP-UX; the Linux-based distributions such as Red Hat, Debian, Suse, and Slackware; and the BSD-based distributions such as FreeBSD, NetBSD, OpenBSD, and Darwin. They run on computers ranging from laptops to the largest supercomputers. They are the operating system of choice for most multiprocessor, graphics, and vector-processing systems, and are widely used for the original purpose of timesharing. The most common platform for providing network services (from FTP to WWW) on the Internet, they are collectively the most portable operating system ever dev eloped. This portability is due partly to their implementation language, C Kernighan & Ritchie, 1989 (which is itself a widely ported language), and partly to the elegant design of the system.

Since its inception in 1969 Ritchie & Thompson, 1978, the UNIX system has developed in several divergent and rejoining streams. The original developers continued to advance the state of the art with their Ninth and Tenth Edition UNIX inside AT&T Bell Laboratories, and then their Plan 9 successor to UNIX. Meanwhile, AT&T licensed UNIX System V as a product before selling it to Novell. Novell passed the UNIX trademark to X/OPEN and sold the source code and distribution rights to Santa Cruz Operation (SCO). Both System V and Ninth Edition UNIX were strongly influenced by the Berkeley Software Distributions produced by the Computer Systems Research Group (CSRG) of the University of California at Berkeley. The Linux operating system, although developed independently of the other UNIX variants, implements the UNIX interface. Thus, applications developed to run on other UNIX-based platforms can be easily ported to run on Linux.

Berkeley Software Distributions

The distributions from Berkeley were the first UNIX-based systems to introduce many important features including the following:

  • Demand-paged virtual-memory support
  • Automatic configuration of the hardware and I/O system
  • A fast and recoverable filesystem
  • The socket-based interprocess-communication (IPC) primitives
  • The reference implementation of TCP/IP

The Berkeley releases found their way into the UNIX systems of many vendors and were used internally by the development groups of many other vendors. The implementation of the TCP/IP networking protocol suite in 4.2BSD and 4.3BSD, and the availability of those systems, played a key role in making the TCP/IP networking protocol suite a world standard. Even the non-UNIX vendors such as Microsoft have adopted the Berkeley socket design in their Winsock IPC interface.

The BSD releases have also been a strong influence on the POSIX (IEEE Std 1003.1) operating-system interface standard, and on related standards. Several features—such as reliable signals, job control, multiple access groups per process, and the routines for directory operations—have been adapted from BSD for POSIX.

Early BSD releases contained licensed UNIX code, thus requiring recipients to have an AT&T source license to be able to obtain and use BSD. In 1988, Berkeley separated its distribution into AT&T licensed and freely redistributable code. The freely redistributable code was licensed separately and could be obtained, used, and redistributed by anyone. The final freely redistributable 4.4BSD-Lite2 release from Berkeley in 1994 contained nearly the entire kernel and all the important libraries and utilities.

Two groups, NetBSD and FreeBSD, sprang up in 1993 to begin supporting and distributing systems built from the freely redistributable releases being done by Berkeley. The NetBSD group emphasized portability and the minimalist approach, porting the systems to nearly forty platforms and pushing to keep the system lean to aid embedded applications. The FreeBSD group emphasized maximal support for the PC architecture and pushed to ease installation for, and market their system to, as wide an audience as possible. In 1995, the OpenBSD group split from the NetBSD group to develop a distribution that emphasized security. Over the years there has been a healthy competition among the BSD distributions, with many ideas and much code flowing between them.

Material Covered in this Book

This book is about the internal structure of the FreeBSD 5.2 kernel and about the concepts, data structures, and algorithms used in implementing FreeBSD’s system facilities. Its level of detail is similar to that of Bach’s book about UNIX System V Bach, 1986; however, this text focuses on the facilities, data structures, and algorithms used in the FreeBSD variant of the UNIX operating system. The book covers FreeBSD from the system-call level down—from the interface to the kernel to the hardware itself. The kernel includes system facilities, such as process management, virtual memory, the I/O system, filesystems, the socket IPC mechanism, and network protocol implementations. Material above the system-call level—such as libraries, shells, commands, programming languages, and other user interfaces—is excluded, except for some material related to the terminal interface and to system startup. Following the organization first established by Organick’s book about Multics Organick, 1975, this book is an in-depth study of a contemporary operating system.

Where particular hardware is relevant, the book refers to the Intel Personal Computer (PC) architecture. Because FreeBSD has emphasized development on the PC, that is the architecture with the most complete support, so it provides a convenient point of reference.

Use by Computer Professionals

FreeBSD is widely used to support the core infrastructure of many companies worldwide. Because it can be built with a small footprint, it is also seeing increased use in embedded applications. The licensing terms of FreeBSD do not require the distribution of changes and enhancements to the system. The licensing terms of Linux require that all changes and enhancements to the kernel be made available in source form at minimal cost. Thus, companies that need to control the distribution of their intellectual property build their products using FreeBSD.

This book is of direct use to the professionals who work with FreeBSD systems. Individuals involved in technical and sales support can learn the capabilities and limitations of the system; applications developers can learn how to effectively and efficiently interface to the system; system administrators without direct experience with the FreeBSD kernel can learn how to maintain, tune, and configure the system; and systems programmers can learn how to extend, enhance, and interface to the system.

Readers who will benefit from this book include operating-system implementors, system programmers, UNIX application developers, administrators, and curious users. The book can be read as a companion to the source code of the system, falling as it does between the manual pages and the code in detail of treatment. But this book is neither exclusively a UNIX programming manual nor a user tutorial (for a tutorial, see Libes & Ressler 1988). Familiarity with the use of some version of the UNIX system (see, for example, Stevens 1992) and with the C programming language (see, for example, Kernighan & Ritchie 1989) would be extremely useful.

Use in Courses on Operating Systems

This book is suitable for use as a reference text to provide background for a primary textbook in a first-level course on operating systems. It is not intended for use as an introductory operating-system textbook; the reader should have already encountered terminology such as memory management, process scheduling, and I/O systems Silberschatz et al., 2002. Familiarity with the concepts of network protocols Comer, 2000; Stallings, 2000; Tanenbaum, 2003 will be useful for understanding some of the later chapters.

This book can be used in combination with a copy of the FreeBSD system for more advanced operating systems courses. Students’ assignments can include changes to, or replacements of, key system components such as the scheduler, the paging daemon, the filesystems, thread signalling, various networking layers, and I/O management. The ability to load, replace, and unload modules from a running kernel allows students to experiment without the need to compile and reboot the system. By working with a real operating system, students can directly measure and experience the effects of their changes. Because of the intense peer review and insistence on well-defined coding standards throughout its 25-year lifetime, the FreeBSD kernel is considerably cleaner, more modular, and thus easier to understand and modify than most software projects of its size and age.

Exercises are provided at the end of each chapter. The exercises are graded into three categories indicated by zero, one, or two asterisks. The answers to exercises that carry no asterisks can be found in the text. Exercises with a single asterisk require a step of reasoning or intuition beyond a concept presented in the text. Exercises with two asterisks present major design projects or open research questions.

Organization

This text discusses both philosophical and design issues, as well as details of the actual implementation. Often, the discussion starts at the system-call level and descends into the kernel. Tables and figures are used to clarify data structures and control flow. Pseudocode similar to the C language displays algorithms. Boldface font identifies program names and filesystem pathnames. Italics font introduces terms that appear in the glossary and identifies the names of system calls, variables, routines, and structure names. Routine names (other than system calls) are further identified by the name followed by a pair of parentheses (e.g., malloc() is the name of a routine, whereas argv is the name of a variable).

The book is divided into five parts, organized as follows:

  • Part I, Overview      Three introductory chapters provide the context for the complete operating system and for the rest of the book. Chapter 1, History and Goals, sketches the historical development of the system, emphasizing the system’s research orientation. Chapter 2, Design Overview of FreeBSD, describes the services offered by the system and outlines the internal organization of the kernel. It also discusses the design decisions that were made as the system was developed. Sections 2.3 through 2.14 in Chapter 2 give an overview of their corresponding chapter. Chapter 3, Kernel Services, explains how system calls are done and describes in detail several of the basic services of the kernel.

  • Part II, Processes      The first chapter in this part—Chapter 4, Process Management— lays the foundation for later chapters by describing the structure of a process, the algorithms used for scheduling the execution of the threads that make up a process, and the synchronization mechanisms used by the system to ensure consistent access to kernel-resident data structures. In Chapter 5, Memory Management, the virtual-memory-management system is discussed in detail.

  • Part III, I/O System      First, Chapter 6, I/O System Overview, explains the system interface to I/O and describes the structure of the facilities that support this interface. Following this introduction are four chapters that give the details of the main parts of the I/O system. Chapter 7, Devices, giv es a description of the I/O architecture of the PC and describes how the I/O subsystem is managed and how the kernel initially maps out and later manages the arrival and departure of connected devices. Chapter 8, Local Filesystems, details the data structures and algorithms that implement filesystems as seen by application programs as well as how local filesystems are interfaced with the device interface described in Chapter 7. Chapter 9, The Network Filesystem, explains the network filesystem from both the server and client perspectives. Chapter 10, Terminal Handling, discusses support for character terminals and provides a description of the pseudo-terminal device driver.

  • Part IV, Interprocess Communication      Chapter 11, Interprocess Communication, describes the mechanism for providing communication between related or unrelated processes. Chapters 12 and 13, Network Communication and Network Protocols, are closely related because the facilities explained in the former are implemented by specific protocols, such as the TCP/IP protocol suite, explained in the latter.

  • Part V, System Operation      Chapter 14, Startup and Shutdown, discusses system startup and shutdown and explains system initialization at the process level from kernel initialization to user login.

The book is intended to be read in the order that the chapters are presented, but the parts other than Part I are independent of one another and can be read separately. Chapter 14 should be read after all the others, but knowledgeable readers may find it useful independently.

At the end of the book are a Glossary with brief definitions of major terms and an Index. Each chapter contains a Reference section with citations of related material.

Getting BSD

All the BSD distributions are available either for downloading from the net or on removable media such as CD-ROM or DVD. Information on obtaining source and binaries for FreeBSD can be obtained from http://www.FreeBSD.org. The NetBSD distribution is compiled and ready to run on most workstation architectures. For more information, contact the NetBSD Project at http://www.NetBSD.org/. The OpenBSD distribution is compiled and ready to run on a wide variety of workstation architectures and has been extensively vetted for security and reliability. For more information, visit the OpenBSD project’sWeb site at http://www.OpenBSD.org/.

For you diehards who actually read to the end of the preface, your reward is finding out that you can get T-shirts that are a reproduction of the original artwork drawn by John Lasseter for the cover of this book (yes, he is the John Lasseter of Pixar fame who masterminded the production of Toy Story). For further information on purchasing a shirt, visit the “History of BSD T-shirts” Web page at http://www.McKusick.com/beastie/. Other items available for sale on the site include a 32-hour introductory video course based on this book, a 40-hour advanced video course based on the FreeBSD 5.2 source code, a 2.5-hour video lecture on the history of BSD, and a 4-CD set containing all the releases and the source-control history of BSD from Berkeley. These items are described in the advertisements that follow the Index.

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Product Details

  • Hardcover: 720 pages
  • Publisher: Addison-Wesley Professional; 1 edition (August 12, 2004)
  • Language: English
  • ISBN-10: 0201702452
  • ISBN-13: 978-0201702453
  • Product Dimensions: 6.6 x 1.7 x 9.6 inches
  • Shipping Weight: 2.4 pounds (View shipping rates and policies)
  • Average Customer Review: 4.7 out of 5 stars  See all reviews (15 customer reviews)
  • Amazon Best Sellers Rank: #787,831 in Books (See Top 100 in Books)

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45 of 46 people found the following review helpful By Richard Bejtlich on August 31, 2004
Format: Hardcover
I have been administering FreeBSD systems for four years, and I read 'The Design' to get a better understanding of the system 'under the hood.' This book is definitely not for beginners, and intermediate users like myself can become quickly overwhelmed. Nevertheless, I am very glad FreeBSD developers like McKusick and Neville-Neil took the time to document the kernel in this book.

Before tackling 'The Design,' I recommend reading a book like 'Modern Operating Systems, 2nd Ed' by Andrew Tannenbaum. The reader needs to be familiar with OS concepts and terms like 'mutex,' 'semaphore,' 'locking,' and so on before reading 'The Design.' If for some reason you want to read 'The Design' but are not familiar with userland FreeBSD issues, I recommend Greg Lehey's 'Complete FreeBSD, 4th Ed.'

I was unable to grasp all of the material in 'The Design,' since some of it will appeal only to those coding their own kernels or who are equipped to debate the FreeBSD core team's design choices. In that respect the book is well suited for a college course (perhaps a master's level?) where the content could be discussed by a professor and students. I was able to critically read the chapters covering networking (ch. 11-13) as I deploy FreeBSD partly for its robust TCP/IP stack. Reading 'The Design' helped me understand some of Robert Watson's recent posts concerning removal of the GIANT lock from the networking subsystem, for example.

There are many other parts of the book which non-kernel developers will find accessible. Nearly every chapter features a well-written introduction to the technology at hand, such as memory management (ch. 5) or devices (ch. 7). I found various bits of history helpful, like the development of NFS (ch. 9) or UNIX itself (ch. 1).
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16 of 16 people found the following review helpful By Daniel de Kok on August 14, 2005
Format: Hardcover
First of all you should be warned that this is not an introduction to get started with UNIX kernel programming. The Design of the UNIX Operating System by M.J. Bach provides a good general introduction to UNIX kernel programming. The design and implementation of the FreeBSD operating system is an excellent book to deepen knowledge of the UNIX kernel by looking how a current UNIX is implemented in practice. Even if you plan to write code for another kernel, working through the FreeBSD kernel with this book as a guide is a good excercise to become consious of the fundamental problems and solutions in kernel design. FreeBSD (or any of the other BSDs) is a good starting point, because the BSDs have relatively stable kernel subsystems and APIs due to the long cycles in BSD development.

The writing style of the authors is to the point (don't expect a novel) and clear. The troff typesetting of the book gives it a consistent style and simple, but clear diagrams (though I heard that some diagrams were hand-drawn). The book doesn't just drop the reader in a kernel subsystem. The second chapter gives a detailed explanation of the various kernel subsystems, and the relation between the subsystems. The third chapter gives a summary of what is expected from a kernel from the user level. Combined these two chapters give the reader the necessary conception of the FreeBSD kernel to start looking at individual parts of the kernel in detail. Most remaining chapters are logically ordered, in that subsystems are ordered from parts with less dependencies to parts with more dependencies (e.g. memory management and I/O are covered before filesystems).

If you are interested in UNIX programming, you should have this book on your bookshelf (as well as a CVS checkout of the FreeBSD kernel tree to read the implementation).
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24 of 28 people found the following review helpful By Jack D. Herrington on August 16, 2004
Format: Hardcover
This hardback academic style book is an impressive piece of work. The writing style is serious, but not overwhelming, and the use of graphics is appropriate and effective. The organization is what you would expect, it cuts the Kernel as if it were an onion and starts at the center, covering I/O and devices, goes through process management, file systems, IPC and networking. There are exercises at the end of every chapter.

This book is a genuinely impressive piece of work. It's well worth the money for anyone looking for a computer science work on operating systems construction.
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13 of 15 people found the following review helpful By W Boudville HALL OF FAMETOP 1000 REVIEWERVINE VOICE on August 14, 2004
Format: Hardcover
For some 15 years or more, Addison-Wesley has published a set of definitive books on Unix, C and the Internet. It is a pleasure to see that this FreeBSD book continues that tradition.

The book goes into a detailed explanation of FreeBSD's kernel and associated matters. Strictly for the experienced unix programmer or systems developer. At the core of the kernel are many algorithms. It is these and their data structures that are the essence of this book. Also worthy of mention is the inclusion of exercises at the end of each chapter. Given that we have an algorithms book, the subject lends itself readily to probing questions, and it is nice that the authors chose to do so.

We also have a discussion of FreeBSD versus linux. In recent years, linux has grown hugely, and has overtaken FreeBSD. The authors face this issue squarely. That is, if you are choosing a unix to develop on, why pick FreeBSD? The main point is that for anything you make under it, you do not have to fold back into the main FreeBSD thread, by revealing or relinquishing the source code or any other intellectual property.
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