Oplocks

The articles about oplocks found in this section pertain primarily to network redirectors, although some information is provided for client applications. You can find more oplock information for client applications in the Windows SDK's Opportunistic Locks articles.

Oplock overview

An oplock (opportunistic lock) is a lock placed by a client on a file that resides on a server. In most cases, a client requests an oplock so it can cache data locally. Oplocks are used by network redirectors on clients with remote servers, and by client applications on local servers. See Types of oplocks for a description of the various current and legacy oplocks.

Oplocks allow file server clients (such as clients using the SMB and SMB2 protocols) to dynamically alter the buffering strategy for a given file or stream in a consistent manner. Use of oplocks increases performance and reduces network use. To increase the network performance for remote file operations, a client can buffer file data locally, which reduces or eliminates the need to send and receive network packets. For example:

• A client might not have to write information into a file on a remote server if the client knows that no other process is accessing the data.
• A client can buffer read-ahead data from the remote file if the client knows that no other process is writing data to the remote file.

Applications and drivers can also use oplocks to transparently access files without affecting other applications that might need to use these files.

File systems like NTFS support multiple data streams per file. The system grants oplocks on stream handles, which means that the oplock is granted for a given open of a file stream and the operations apply to that stream. With few exceptions, operations on one stream don't affect oplocks on a different stream. For more information, see Requesting and granting oplocks.

For file systems that don't support alternate data streams, such as FAT, think of "file" when oplock discussions refer to "stream."

The core oplock functionality of the oplock package is implemented in the kernel, primarily through FsRtlXxx routines such as FsRtlInitializeOplock. File systems call into this package to implement the oplock functionality in their file system. The oplock articles in this section describe how the NTFS file system interoperates with the kernel oplock package. Other file systems function in a similar manner though there might be minor differences.

Oplock keys

Starting with Windows 7, the stream handle can be associated with an oplock key, which is a GUID value used to identify multiple handles that belong to the same client cache view. It's more accurate to say that the oplock key is associated with the FILE_OBJECT structure that the stream handle refers to. This distinction is important when the handle is duplicated, such as with DuplicateHandle. Each of the duplicate handles refers to the same underlying FILE_OBJECT structure.

The oplock key can be explicitly provided (to IoCreateFileEx) when the stream handle is created. The system treats the handle as having a unique oplock key associated with it if an oplock key isn't explicitly specified when the handle is created, where its key differs from any other key on any other handle.

An oplock is broken when:

• A file operation is received on a handle other than the one on which the oplock was granted, AND
• The oplock key associated with the oplock's handle differs from the key associated with the operation's handle, AND
• The operation isn't compatible with the currently granted oplock.

The oplock breaks even if it's the same process or thread performing the incompatible operation. For example, an exclusive oplock is broken immediately when:

1. A process opens a stream for which an exclusive oplock is granted.
2. That same process then opens the same stream again using a different (or no) oplock key.

For more information, see Breaking oplocks.

Remember that oplock keys exist on handles, and they are "put on" the handle when the handle is created. You can associate a handle with an oplock key even if no oplocks are granted.