INFORMATION SHEET 1.

3
Structure of operating systems
Operating System Structures
An operating system provides the environment within which programs are executed.
Internally, operating systems vary greatly in their makeup, since they are organized along many
different lines. The design of a new operating system is a major task. It is important that the
goals of the system be well defined before the design begins. These goals form the basis for
choices among various algorithms and strategies.
We can view an operating system from several vantage points. One view focuses on the
services that the system provides; another, on the interface that it makes available to users and
programmers; a third, on its components and their interconnections. In this section we explore
all three aspects of operating systems, showing the viewpoints of users, programmers, and
operating-system designers. We consider what services an operating system provides, how
they are provided, and what the various methodologies are for designing such systems. Finally,
we describe how operating systems are created and how a computer starts its operating
system.

1.3.1 Operating-System Services

An operating system provides an environment for the execution of programs. It provides
certain services to programs and to the users of those programs. The specific services
provided, of course, differ from one operating system to another, but we can identify common
classes. These operating-system services are provided for the convenience of the programmer,
to make the programming task easier.
One set of operating-system services provides functions that are helpful to the user.
User interface. Almost all operating systems have a user interface (UI). This interface
can take several forms. One is a command-line interface (CLI), which uses text
commands and a method for entering them (say, a program to allow entering and editing
of commands). Another is a batch interface, in which commands and directives to
control those commands are entered into files, and those files are executed. Most
commonly, a graphical user interface (GUI) is used. Here, the interface is a window
system with a pointing device to direct I/O, choose from menus, and make selections
and a keyboard to enter text.
Program execution. The system must be able to load a program into memory and to
run that program. The program must be able to end its execution, either normally or
abnormally (indicating error).
I/O operations. A running program may require I/O, which may involve a file or an I/O
device. For specific devices, special functions may be desired (such as recording to a
CD or DVD drive or blanking a CRT screen). For efficiency and protection, users usually
cannot control I/O devices directly. Therefore, the operating system must provide a
means to do I/O.
File-system manipulation. The file system is of particular interest. Obviously, programs
need to read and write files and directories. They also need to create and delete them by
name, search for a given file, and list file information. Finally, some programs include
permissions management to allow or deny access to files or directories based on file
ownership.
Communications. There are many circumstances in which one process needs to
exchange information with another process. Such communication may occur between

processes that are executing on the same computer or between processes that are
executing on different computer systems tied together by a computer network.
Communications may be implemented via shared memory or through message passing,
in which packets of information are moved between processes by the operating system.
Error detection. The operating system needs to be constantly aware of possible errors.
Errors may occur in the CPU and memory hardware (such as a memory error or a power
failure), in I/O devices (such as a parity error on tape, a connection failure on a network,
or lack of paper in the printer), and in the user program (such as an arithmetic overflow,
an attempt to access an illegal memory location, or a too-great use of CPU time). For
each type of error, the operating system should take the appropriate action to ensure
correct and consistent computing. Debugging facilities can greatly enhance the users
and programmers abilities to use the system efficiently.

Another set of operating-system functions exists not for helping the user but rather for
ensuring the efficient operation of the system itself. Systems with multiple users can gain
efficiency by sharing the computer resources among the users.

Resource allocation. When there are multiple users or multiple jobs running at the
same time, resources must be allocated to each of them. Many different types of
resources are managed by the operating system. Some (such as CPU cycles, main
memory, and file storage) may have special allocation code, whereas others (such as
I/O devices) may have much more general request and release code. For instance, in
determining how best to use the CPU, operating systems have CPU-scheduling routines
that take into account the speed of the CPU, the jobs that must be executed, the number
of registers available, and other factors. There may also be routines to allocate printers,
modems, USB storage drives, and other peripheral devices.
Accounting. We want to keep track of which users use how much and what kinds of
computer resources. This record keeping may be used for accounting (so that users can
be billed) or simply for accumulating usage statistics. Usage statistics may be a valuable
tool for researchers who wish to reconfigure the system to improve computing services.
Protection and security. The owners of information stored in a multiuser or networked
computer system may want to control use of that information. When several separate
processes execute concurrently, it should not be possible for one process to interfere
with the others or with the operating system itself. Protection involves ensuring that all
access to system resources is controlled. Security of the system from outsiders is also
important. Such security starts with requiring each user to authenticate himself or herself
to the system, usually by means of a password, to gain access to system resources. It
extends to defending external I/O devices, including modems and network adapters,
from invalid access attempts and to recording all such connections for detection of
break-ins. If a system is to be protected and secure, precautions must be instituted
throughout it. A chain is only as strong as its weakest link.

1.3.2 User Operating-System Interface

There are two fundamental approaches for users to interface with the operating system.
One technique is to provide a command-line interface or command interpreter that allows
users to directly enter commands that are to be performed by the operating system. The second
approach allows the user to interface with the operating system via a graphical user interface
or GUI.
1.3.2.1 Command Interpreter

Some operating systems include the command interpreter in the kernel. Others,
such as Windows XP and UNIX, treat the command interpreter as a special program that
is running when a job is initiated or when a user first logs on (on interactive systems). On
systems with multiple command interpreters to choose from, the interpreters are known
as shells. For example, on UNIX and Linux systems, there are several different shells a
user may choose from including the Bourne shell, C shell, Bourne-Again shell, the Korn
shell, etc. Most shells provide similar functionality with only minor differences; most
users choose a shell based upon personal preference.
The main function of the command interpreter is to get and execute the next
user-specified command. Many of the commands given at this level manipulate files:
create, delete, list, print, copy, execute, and so on.

1.3.2.2 Graphical User Interface

A second strategy for interfacing with the operating system is through a user
friendly graphical user interface or GUI. Rather than having users directly enter
commands via a command-line interface, a GUI allows provides a mouse-based
window-and-menu system as an interface. AGUI provides a desktop metaphor where
the mouse is moved to position its pointer on images, or icons, on the screen (the
desktop) that represent programs, files, directories, and system functions. Depending on
the mouse pointers location, clicking a button on the mouse can invoke a program,
select a file or directoryknown as a folder or pull down a menu that contains
commands.
Graphical user interfaces first appeared due in part to research taking place in
the early 1970s at Xerox PARC research facility. The first GUI appeared on the Xerox
Alto computer in 1973. However, graphical interfaces became more widespread with the
advent of Apple Macintosh computers in the 1980s. The user interface to the Macintosh
operating system (Mac OS) has undergone various changes over the years, the most
significant being the adoption of the Aqua interface that appeared with Mac OS X.
Microsofts first version of Windowsversion 1.0was based upon a GUI interface to
the MS-DOS operating system. The various versions of Windows systems proceeding
this initial version have made cosmetic changes to the appearance of the GUI and
several enhancements to its functionality, including the Windows Explorer.

1.3.3 System Calls

System calls provide an interface to the services made available by an operating
system. These calls are generally available as routines written in C and C++, although certain
low-level tasks (for example, tasks where hardware must be accessed directly), may need to be
written using assembly-language instructions.
Before we discuss how an operating system makes system calls available, lets first use
an example to illustrate how system calls are used: writing a simple program to read data from
one file and copy them to another file. The first input that the program will need is the names of
the two files: the input file and the output file. These names can be specified in many ways,
depending on the operating-system design. One approach is for the program to ask the user for
the names of the two files. In an interactive system, this approach will require a sequence of
system calls, first to write a prompting message on the screen and then to read from the
keyboard the characters that define the two files. On mouse-based and icon-based systems, a
menu of file names is usually displayed in a window. The user can then use the mouse to select
the source name, and a window can be opened for the destination name to be specified. This
sequence requires many I/O system calls.
Once the two file names are obtained, the program must open the input file and create
the output file. Each of these operations requires another system call. There are also possible

error conditions for each operation. When the program tries to open the input file, it may find
that there is no file of that name or that the file is protected against access. In these cases, the
program should print a message on the console (another sequence of system calls) and then
terminate abnormally (another system call). If the input file exists, then we must create a new
output file. We may find that there is already an output file with the same name. This situation
may cause the program to abort (a system call), or we may delete the existing file (another
system call) and create a new one (another system call). Another option, in an interactive
system, is to ask the user (via a sequence of system calls to output the prompting message and
to read the response from the terminal) whether to replace the existing file or to abort the
program.
Now that both files are set up, we enter a loop that reads from the input file (a system
call) and writes to the output file (another system call). Each read and write must return status
information regarding various possible error conditions. On input, the program may find that the
end of the file has been reached or that there was a hardware failure in the read (such as a
parity error). The write operation may encounter various errors, depending on the output device
(no more disk space, printer out of paper, and so on).
Finally, after the entire file is copied, the program may close both files (another system
call), write a message to the console or window (more system calls), and finally terminate
normally (the final system call). As we can see, even simple programs may make heavy use of
the operating system. Frequently, systems execute thousands of system calls per second. This
system call sequence is shown in Figure below.
Most programmers never see this level of detail, however. Typically, application
developers design programs according to an application programming interface (API). The
API specifies a set of functions that are available to an application programmer, including the
parameters that are passed to each function and the return values the programmer can expect.
Three of the most common APIs available to application programmers are the Win32 API for
Windows systems, the POSIX API for POSIX-based systems (which includes virtually all
versions of UNIX, Linux, and Mac OS X), and the Java API for designing programs that run on
the Java virtual machine.

Figure 1.3.1 Example of how system calls are used

EXAMPLE OF STANDARD API

As an example of a standard API, consider the ReadFile() function in the Win32 APIa
function for reading from a file. The API for this function appears in Figure below.

Figure 1.3.2 The API for the ReadFile() function

A description of the parameters passed to ReadFile() is as follows:
HANDLE filethe file to be read.
LPVOID buffera buffer where the data will be read into and written from.
DWORD bytesToReadthe number of bytes to be read into the buffer.
LPDWORD bytesReadthe number of bytes read during the last read.
LPOVERLAPPED ovlindicates if overlapped I/O is being used.
The run-time support system (a set of functions built into libraries included with a
compiler) for most programming languages provides a system-call interface that serves as the
link to system calls made available by the operating system. The system-call interface intercepts
function calls in the API and invokes the necessary system call within the operating system.
Typically, a number is associated with each system call, and the system-call interface maintains
a table indexed according to these numbers. The system call interface then invokes the
intended system call in the operating system kernel and returns the status of the system call
and any return values.
The caller needs to know nothing about how the system call is implemented or what it
does during execution. Rather, it just needs to obey the API and understand what the operating
system will do as a result of the execution of that system call. Thus, most of the details of the
operating-system interface are hidden from the programmer by the API and are managed by the
run-time support library. The relationship between an API, the system-call interface, and the
operating system is shown in Figure 1.3.3, which illustrates how the operating system handles a
user application invoking the open() system call.

Figure 1.3.3 The handling of a user application invoking the Open() system call.
1.3.4 Types of System Calls
System calls can be grouped roughly into five major categories: process control, file
manipulation, device manipulation, information maintenance, and communications. Most
of these system calls support, or are supported by, concepts and functions that are discussed in
later chapters.

1.3.4.1 Process Control

A running program needs to be able to halt its execution either normally (end) or
abnormally (abort). If a system call is made to terminate the currently running program
abnormally, or if the program runs into a problem and causes an error trap, a dump of
memory is sometimes taken and an error message generated. The dump is written to
disk and may be examined by a debuggera system program designed to aid the
programmer in finding and correcting bugsto determine the cause of the problem.
Under either normal or abnormal circumstances, the operating system must transfer
control to the invoking command interpreter. The command interpreter then reads the
next command. In an interactive system, the command interpreter simply continues with
the next command; it is assumed that the user will issue an appropriate command to
respond to any error. In a GUI system, a pop-up window might alert the user to the error
and ask for guidance. In a batch system, the command interpreter usually terminates the
entire job and continues with the next job.
Process control
end, abort
load, execute
create process, terminate process
get process attributes, set process attributes
wait for time
wait event, signal event
allocate and free memory
File management
create file, delete file
open, close
read, write, reposition
get file attributes, set file attributes
Device management
request device, release device
read, write, reposition
get device attributes, set device attributes
logically attach or detach devices
Information maintenance
get time or date, set time or date
get system data, set system data
get process, file, or device attributes
set process, file, or device attributes
Communications
create, delete communication connection
send, receive messages

transfer status information

attach or detach remote devices

1.3.5 File Management

We can, identify several common system calls dealing with files, we first need to be able
to create and delete files. Either system call requires the name of the file and perhaps some of
the files attributes. Once the file is created, we need to open it and to use it. We may also read,
write, or reposition (rewinding or skipping to the end of the file, for example). Finally, we need to
close the file, indicating that we are no longer using it.
We may need these same sets of operations for directories if we have a directory
structure for organizing files in the file system. In addition, for either files or directories, we need
to be able to determine the values of various attributes and perhaps to reset them if necessary.
File attributes include the file name, a file type, protection codes, accounting information, and so
on. At least two system calls, get file attribute and set file attribute, are required for this function.
Some operating systems provide many more calls, such as calls for file move and copy. Others
might provide an API that performs those operations using code and other system calls, and
others might just provide system programs to perform those tasks. If the system programs are
callable by other programs, then each can be considered an API by other system programs.

1.3.5.1 Device Management

A process may need several resources to executemain memory, disk drives, access to
files, and so on. If the resources are available, they can be granted, and control can be returned
to the user process. Otherwise, the process will have to wait until sufficient resources are
available.
The various resources controlled by the operating system can be thought of as devices.
Some of these devices are physical devices (for example, tapes), while others can be thought of
as abstract or virtual devices (for example, files). If there are multiple users of the system, the
system may require us to first request the device, to ensure exclusive use of it. After we are
finished with the device, we release it. These functions are similar to the open and close system
calls for files. Other operating systems allow unmanaged access to devices.
Once the device has been requested (and allocated to us), we can read, write, and
(possibly) reposition the device, just as we can with files. In fact, the similarity between I/O
devices and files is so great that many operating systems, including UNIX, merge the two into a
combined filedevice structure. In this case, a set of system calls is used on files and devices.
Sometimes, I/O devices are identified by special file names, directory placement, or file
attributes.
The UI can also make files and devices appear to be similar, even though the underlying
system calls are dissimilar. This is another example of the many design decisions that go into
building an operating system and user interface.

1.3.5.2 Information Maintenance

Many system calls exist simply for the purpose of transferring information between the
user program and the operating system. For example, most systems have a system call to
return the current time and date. Other system calls may return information about the system,
such as the number of current users, the version number of the operating system, the amount of
free memory or disk space, and so on.
In addition, the operating system keeps information about all its processes, and system
calls are used to access this information. Generally, calls are also used to reset the process
information.

1.3.5.3 Communication
There are two common models of inter process communication: the message passing
model and the shared-memory model. In the message-passing model, the communicating
processes exchange messages with one another to transfer information. Messages can be
exchanged between the processes either directly or indirectly through a common mailbox.
Before communication can take place, a connection must be opened. The name of the other
communicator must be known, be it another process on the same system or a process on
another computer connected by a communications network. Each computer in a network has a
host name by which it is commonly known. A host also has a network identifier, such as an IP
address. Similarly, each process has a process name, and this name is translated into an
identifier by which the operating system can refer to the process. The get hostid and get
processed system calls do this translation. The identifiers are then passed to the general
purpose open and close calls provided by the file system or to specific open connection and
close connection system calls, depending on the systems model of communication. The
recipient process usually must give its permission for communication to take place with an
accept connection call. Most processes that will be receiving connections are special-purpose
daemons, which are systems programs provided for that purpose. They execute a wait for
connection call and are awakened when a connection is made. The source of the
communication, known as the client, and the receiving daemon, known as a server, then
exchange messages by using read message and write message system calls. The close
connection call terminates the communication.
In the shared-memory model, processes use shared memories create and shared
memories attach system calls to create and gain access to regions of memory owned by other
processes. Recall that, normally, the operating system tries to prevent one process from
accessing another processs memory. Shared memory requires that two or more processes
agree to remove this restriction. They can then exchange information by reading and writing
data in the shared areas. The form of the data and the location are determined by the processes
and are not under the operating systems control. The processes are also responsible for
ensuring that they are not writing to the same location simultaneously.
Both of the models just discussed are common in operating systems, and most systems
implement both. Message passing is useful for exchanging smaller amounts of data, because
no conflicts need be avoided. It is also easier to implement than is shared memory for inter
computer communication. Shared memory allows maximum speed and convenience of
communication, since it can be done at memory speeds when it takes place within a computer.

1.3.6 System Programs

Another aspect of a modern system is the collection of system programs. They can be
divided into these categories:
File management. These programs create, delete, copy, rename, print, dump, list,
and generally manipulate files and directories.
Status information. Some programs simply ask the system for the date, time,
amount of available memory or disk space, number of users, or similar status
information. Others are more complex, providing detailed performance, logging, and
debugging information. Typically, these programs format and print the output to the
terminal or other output devices or files or display it in a window of the GUI.
File modification. Several text editors may be available to create and modify the
content of files stored on disk or other storage devices. There may also be special
commands to search contents of files or perform transformations of the text.

Programming-language support. Compilers, assemblers, debuggers and

interpreters for common programming languages (such as C, C++, Java, Visual
Basic, and PERL) are often provided to the user with the operating system.
Program loading and execution. Once a program is assembled or compiled, it
must be loaded into memory to be executed. The system may provide absolute
loaders, relocatable loaders, linkage editors, and overlay loaders. Debugging
systems for either higher-level languages or machine language are needed as well.
Communications. These programs provide the mechanism for creating virtual
connections among processes, users, and computer systems. They allow users to
send messages to one anothers screens, to browse web pages, to send electronicmail messages, to log in remotely, or to transfer files from one machine to another.

In addition to systems programs, most operating systems are supplied with programs
that are useful in solving common problems or performing common operations. Such programs
include web browsers, word processors and text formatters, spreadsheets, database systems,
compilers, plotting and statistical-analysis packages, and games. These programs are known as
system utilities or application programs.

LO2 and 3. Install equipment/device system and Conduct testing

INFORMATION SHEET 2.1
Safety procedures
Warning: It is essential that you consider closely and follow these recommendations before
working on your machine. Failing to do so can lead to data loss, serious damage to the PC,
personal injury, or even death. Death from a mistake while working on your PC? It's very rare
and easily avoidable if you follow these simple precautions, but the potential does exist due to
the high voltages present in some PC components.

General Warnings
Please employ common sense in using the material. There are millions of different PCs
out there and no two are exactly alike, so obviously you may run into recommendations or ideas
that don't apply to your situation. If this happens, use your own good judgment, and then modify
them to suit using your own particulars. If anything stated here conflicts with the specific
directions in your system or component manuals, use the directions in the manual unless you
know them to be inaccurate. Don't go inside the box or do other work on your PC if you don't
feel comfortable with what you are doing.
Is your PC under warranty? You should realize that some companies will void your
warranty if you open the PC during the warranty period. If you go to open the box and see any
plastic seals stating "warranty void if broken", then that is a good hint that this applies to you but
it may even if you don't see any. If you are having trouble with your PC, check your warranty if
you suspect your machine may still be covered. If it is, you may be better off performing a return
or using your warranty.

Electrical Precautions

Pull the plug. Do not work on a system, under any circumstances, while it is plugged
in. Don't just turn it off and think that's enough. Others have done this and fried things (or
themselves!) by accidentally turning the system on while working. Also, the wires that run from
the power supply to the switch at the front of the box on an AT form factor system carry live
voltage when the PC is plugged in, even when it is off. You could end up in the hospital over the
slip of a screwdriver.
Stay out of the power supply unless you know what you are doing. Similarly, do not open
up your monitor unless you are absolutely sure of what you are doing. You can electrocute
yourself even with the power disconnected when inside the monitor. There are components
inside monitors that can hold a charge for a long time after they have been unplugged.
Watch out for components being left inside the box. Dropping a screw inside your case
can be a hazard if it isn't removed before the power is applied, because it can cause
components to short-circuit.

Mechanical Precautions
Make sure you have a large, flat area to work on. That will minimize the chance of
components falling, getting bent, or getting lost.
Don't tighten screws too far or you may strip them or make it impossible to loosen them
later. Don't use screws longer than around 1/8" when mounting drives or you risk damaging the
data storage areas of the drive.
You might not think of this, but watch out for sharp edges inside the case. The frame of
most PCs is made from thin sheet metal, and the edges can cut your fingers if you aren't
careful. You can also cut or strip a wire. The cheaper the box, the more likely you are to find a
sharp edge.
Sometimes it makes sense to turn your machine on with the cover off the case, to see if
something works before replacing the cover. If you do this, be very careful to keep objects from
accidentally falling into the box.

Data Precautions
Back up your data before you open the box, even if the work you are doing seems
"simple". This applies doubly to any upgrades or repairs that involve changes to the
motherboard, processor or hard disk. So many people take chances and end up with disasters.
A surprisingly large number of problems can result in data loss, and unlike equipment, data is
irreplaceable.
Make sure you have at least one bootable system floppy in the event that you cannot
boot your hard drive.
Make a copy of your system's BIOS settings before doing any major work or changing
anything in the BIOS.
Before shutting off the power to your PC, always use the proper shut down procedure for
your operating system. For Windows 9x, Windows 2000 or Windows NT, this means using the
"Shut down" option on the Start menu. For Windows 3.x, close down to DOS first before
powering off.

Electrostatic Discharge Precautions

Static is a major enemy of computer components. Static can zap and ruin your CPU,
memory or other components instantly. The safest way to avoid this problem is to work at a
static-safe station or use a commercial grounding strap. Most people don't bother with special
straps, but if you aren't going to wear one, make sure you ground yourself before working, and
don't do obviously foolish things like walking on a carpet in socks while working. One easy way

to ground yourself is to touch the exterior metal box of your computer's power supply (near the
fan) before you unplug it.
Warning: If you are going to use a grounding strap, buy one, don't try to make your own by
simply running a wire from your wrist or whatnot. Commercial grounding straps are specially
designed to incorporate a large resistor that protects you in the event that you touch live power
while grounded. Without it, you risk becoming the path of least resistance for that live power to
ground, and you may be electrocuted.
In general, handle all components by the edges. If you avoid touching any pins,
edges, chips, or anything else made of metal, you greatly decrease the chances that you
will zap or break anything. Smaller components such as loose RAM chips and processors are at
the greatest risk.
Whenever possible, leave static-sensitive devices in their original packaging. Transport
circuit boards and peripherals in an anti-static metallized bag if you do not have the original
packaging material. However, do not put this material inside your PC, or plug in a motherboard
while it is sitting on top of one of these bags. They are anti-static because they are partially
conductive; you don't want your motherboard shorted out by firing it up while several hundred
pins from its components are touching a partially conductive material.

Safety With Children

If you have children, be extra careful leaving an open machine lying around. Also never
leave a PC running with the cover off. Kids are inquisitive and curiosity and live electrical
equipment don't mix too well. Kids also like doing cute things like pushing reset buttons and
trying to stick floppy disks into your CD-ROM drive.
In general, kids should always be supervised when using a PC. This can help avoid both
possible problems: the PC hurting the kids, or the kids damaging the PC (or destroying data.)

Backups and Disaster Recovery

A Mental Exercise To Underscore the Importance of Backups

The Risks To Your Data
Backup Methods, Devices and Media
Backup Scheduling and Media Rotation Systems
What To Back Up
How To Back Up
Boot Disks
Disaster Recovery

"What, me worry?" -- Alfred E. Neuman

No matter how well you treat your system, no matter how much care you take, you
cannot guarantee that your data will be safe if it exists in only one place. The risks are much
greater than most people realize.
How important is your data to you? You can respond to this question with words, but the
steps you take to protect your data are the real answer. Trouble comes when people lose large
quantities of data--because they have no backups--and then they get very upset, talking about
"how important that data was!" If it's important, why wasn't it backed up? If it matters enough to
get upset over losing, it's worth protecting, and backups are an essential part of data protection.
There are many reasons that people neglect doing backups:

They don't understand how important they are, because they haven't had a disaster
happen to them (yet).

They don't know how to do them.

They forget to do them because they don't have a routine for doing backups.

Doing the backup is a time-consuming chore and they can't be bothered.

This section takes a full look at the matter of backups, and discusses how to do them,
how to set up a backup program, and what to do in the event of a disaster. Part of the focus is
on making backups easy to do so that you will remember to back up regularly without it taking
an inordinate amount of time and energy.

A Mental Exercise To Underscore the Importance of Backups

Most unfortunately, there are some things that people only take seriously after they have
experienced personally the pain that results from not taking them seriously. Backups definitely
fall into this category. Most people are relatively nonchalant about them until disaster strikes-thereafter, they are much more diligent about backups (but after the damage is done.)
Here's a mental exercise that you can do to help you understand how important backups
are. Take a look at your PC and think about what is on it. Think about your data and your
programs. Consider how much time it took to create the data, and to set up and tweak your PC
so that it works the way you like. Now imagine that one morning you go to your desk and the PC
has vanished without a trace. What will you do?
Let's suppose you had insurance on the hardware, and a week later a new PC shows up
at your door with a fresh new, clean hard disk. Now what? Most people who ask themselves this
question seriously, begin to take backups much more seriously. (Fortunately, for most people
the exercise is only a mental exercise, but don't think it can't happen to you in the real world.)
Recovering from a disaster such as a total disk crash or theft of a PC box can be a very
traumatic event, much more than most PC users realize. This is true even if backups exist;
when they don't exist the situation is much, much worse. The pain of recovering from a disaster
is almost always very high, and the cost is primarily in the time required to recreate the lost
data. For even a small business, this can run into the thousands of dollars very quickly.

The Risks To Your Data

If you do any sort of reasonable amount of computing, it is only a matter of time before
you some day need access to backups of your data or programs. There are many different risks
to your data; most people just think of the infamous, dreaded disk crash. This is a real risk due
to the technology used in data storage, but there are many other ways that you can easily lose
data on your PC.

Backup Scheduling and Media Rotation Systems

In order to provide maximum safety for your data, it is important to plan out a backup
schedule that will allow you the most flexibility and reliability in recovering from potential
disasters. This means, in almost every case, the use of multiple backup media and a backup
schedule that dictates when each set of media should be used. The amount of media needed
depends on how safe you want to be, and what sort of retention period you are looking to
maintain for your data. This section takes a look at scheduling backups and setting up a media
rotation system, including providing several sample media rotation systems that provide
different levels of protection (at appropriate levels of cost).

Backup Methods, Devices and Media

Media Size Matching

Floppy Disks
Removable Storage Drives
Removable Hard Disks
In-Place Hard Disk Duplication
Network Backup

Backup Methods, Devices and Media

There are many different methods that you can use to back up the data on your hard
disk. The primary difference between these methods is the device and medium that is used to
store the backup. Different media have different characteristics, such as capacity, speed, easeof-use, universality, etc.

Media Size Matching

One very, very important factor to consider when looking at backup alternatives, is
matching the size of the backup medium to the amount of data you need to backup. As hard
disks continue to increase greatly in size, it becomes more difficult to find backup solutions that
can handle the entire contents of a PC using a reasonable amount of media. It is essential that
the size of the backup medium be matched to the size of the data being backed up.

Floppy Disks
Floppy disks are not suitable as backup devices for a modern PC. Floppies are slow,
relatively unreliable, and far too small to make effective backup devices in the age of 1 GB hard
disks. Their only possible use for backup is for archiving small files.
Floppy disks are most importantly used as a vehicle for storing critical information about
your system, for use in the event of a system problem. These emergency boot disks are best
stored on floppies so they can be used in the event of a hard disk problem.

Removable Storage Drives

In the last few years, a whole new class of storage devices has sprung up and become
very popular--removable storage drives. While these have existed in various forms for many
years, it is only recently that they have taken the market by storm. Their popularity rests in their
ability to provide removable storage at a reasonable price and with good performance. Many of
these drives are also very suitable to use for backups.
There are so many different drives, and they differ in so many different. Looking at the
various characteristics of these drives, we see that many of them are suitable for backup
purposes, but some really are not. The drives fall into several categories:

Large Floppy Disk Equivalent Drives: These devices are suitable for backup
only if you have a small hard disk, or have the diligence and patience to do attended
backups or large numbers of partial backups. As hard disks increase in size to 4 GB
and beyond, trying to do backups to a device that is only a little more than 100 MB
becomes impractical, and quite expensive. Their performance is general poor to
average.

Removable Hard Disk Equivalent Drives: These are much more suitable for use
as backup devices due to their larger capacity, but even here things are becoming
stretched, since even 500 MB to 1 GB is becoming inadequate for unattended
backups. These drives have generally much higher performance than the smaller
drives, and much higher price tags to go with them.

CD-Recordable: These are write-once read-many drives with a capacity of about

650 MB. The capacity is on the small side at 650 MB. One great advantage is that
the backups are readable by any CD-ROM drive.

CD-Rewriteable: This drive is really in the same category as the removable hard
disk equivalents listed above. CD-RW has a lot going for it as a general-purpose
medium, because of its flexibility: its media are reusable and it can also burn CD-Rs
that play in most CD-ROMs or audio CDs as well. The capacity is only 650 MB.

In-Place Hard Disk Duplication

One backup solution that some people who have more than one hard disk use is to set
up their system so that they use one hard disk for their programs and data, and the other one as
a backup. They then copy the contents of the one hard disk to the other on a regular basis,
using a file- or disk-copy tool.
This scheme is interesting and can be useful in some ways, although it has some severe
limitations as well. Its advantages are that it is simple, and that it is automatable; you can set it
up to do this on a nightly basis and know that everything on your hard disk will be duplicated
automatically without you having to remember to do anything. This increases the chances that
the backup will be done. The performance of the disk-to-disk copy will be very high, and the cost
is pretty much reasonable.
The drawbacks of this sort of a scheme however are significant. First, it doesn't protect
against very many of the risks to your data--it is not going to help much against theft, fire,
sabotage, many types of viruses, and even some types of hardware failure. Second, you can
only have a single backup, which makes the whole system very vulnerable--if you make a copy
of the whole disk every night, what happens if you only notice a problem three days after it
wipes out some of your data?

Network Backup
The idea is fairly simple: copy data from one PC to another over the network. Duplicating
each PC's information provides a way to protect each individual PC.
In a way, this type of backup is most similar to in-place hard disk duplication in terms of
how it works. It is simple in the same way, and can be automated. It addresses some of the
concerns about that method: there isn't the same single point of failure in terms of virus attack
or hardware failure. However, depending on the location of the two PCs, theft, disaster and
sabotage can still be a big problem: if the two PCs are sitting on different desks in the same
office, you haven't gained much to protect against these threats. Also remember that file-infector
viruses can travel over a network.

Comparison of Backup Method Data Risk Coverage

Some of the backup methods and devices described in this section do a much better job
than others of protecting against the risks to your data. The table below shows a general
summary of how the various methods stack up in terms of protecting you from the hazards that
threaten your valuable data. Remember that this is just a general guideline; also remember that
some of these risks are much more common than others are, depending on how you use your
PC:

Comparison of Backup Method Characteristics

In order to help you understand how the various backup methods compare to each other
and help you make a decision about which one makes the most sense for you, enclosed the
chart below. It evaluates the various backup methods in several different important general
areas. These areas are:
Capacity: How much does the medium store, relative to current average hard
disks? Is it likely that an average user's hard disk will fit onto one or maybe two
pieces of media for the device/method?

Automatability: How possible is it to fully automate the backup so that it happens

without any user intervention at all?

Minimized Startup Cost: How well does the method minimize startup costs for
hardware or software?

Minimized Media Cost: Does the method allow additional backups at a reasonable
cost?

Expandability: How possible is it to do more backups, or add additional backup

media if needed?

Reliability: In general terms--because this varies widely based on the type of

device for items such as tape drives--how likely is it that if you have a disaster and
need to restore from the backup, it will work for you?

Simplicity / Convenience: How easy is the method to use? Is there any difficulty
associated with the method that would tend to discourage doing backups?

Universality: How common is the hardware used for the method? If you needed to
use the device in five years, how likely is it that you could find support or additional
media for it?

Performance: How fast is the hardware and software used for the method? How
much time will it take to do a backup?

Routine Potential: In general, how likely is it that, using this method, someone is
likely to settle into a backup routine and stick with it?
Here is the chart; for all items, "High" is better and "Low" is worse:

What To Back Up

Full, Selective and Incremental Backups

Backing Up Programs and Data
Files Not to Back Up
Long Filenames
File System Parameters
BIOS Settings (CMOS Memory) Backup

What To Back Up
To ensure that your backups are performed properly, in a way that ensures that you are
protected without taking so much of your time that they become a chore, you must determine
what files to back up and how often to back them up. Some files will need to be backed up more

often than others. This section takes a look at what files you will want to include in your backup
routine, and also the ones you will usually want to exclude.

Full, Selective and Incremental Backups

There are several different ways that we can select files for backup. The way that you
will want to use depends on how you use your system, how often your files change, and your
chosen backup method. Many people will in fact end up using a combination of these different
techniques:
Full Backup: Nothing complicated here, a full backup is done by selecting all the
files on the hard disk for backup. Only special files that should not be backed up at
all are left out. This is the simplest type of backup, and yields the most complete
backup image, but it takes the most time and media space to do.

Selective Backup: In a selective (or partial) backup, you select specific files and
directories to back up. This type of backup gives you more control over what is
backed up, at the expense of leaving part of the hard disk unprotected. Selective
backups make sense when some files are changing much more rapidly than others,
or when backup space is limited, although in many cases doing an incremental
backup is better and easier.

Incremental Backup: If you perform frequent backups, as you should, you may
find yourself backing up the same files over and over, even ones that do not change
over time. Instead, you may want to consider a mix of full backups and incremental
backups. An incremental backup is one where only the files that have changed since
the last backup are selected. It is like a selective backup, but the files are selected
based on whether they have changed recently or not, instead of an arbitrary
selection based on directory or file names. This gives the time- and space-saving
advantages of a selective backup while also ensuring that all changed files are
covered.

Incremental backups are supported by most decent backup software. They work using
the archive bit that exists for each file and directory. The backup software looks at this bit to
determine what files have been changed since the last backup, selects them for backup, and
then clears the bit for all the files it backs up. If any files are changed, the software sets the bit
again so on the next incremental they are again selected, and so on. You must rely on this bit
being managed properly, and I don't always like to do this.
Which type of backup you do depends, again, on what is important to you, in terms of
time, media cost, and also ease of restoration.

Backing Up Programs and Data

Most files on a typical PC can be broken down, loosely, into being either programs or
data. These differ of course in many ways, but not least are in how they should be considered
for backup.
In general, data files should always be backed up. These are the fruit of your labor, and
cannot be replaced! Every backup should include all of your data, either via a full backup of the
entire hard disk, a selective backup that includes the directories where the data is, or an
incremental backup. (Having all your data in a handful of directories instead of scattered all over
the hard disk is useful, for this very purpose).

Programs are a somewhat different story for two main reasons: first, they are static,
meaning once installed they do not change (with a few exceptions). Second, they are
recreatable; if your Microsoft Office directory gets wiped out, you can reinstall it from your
original CD-ROM disk. The combination of these characteristics suggests that backing up
programs is less important than backing up data, and this is true. Programs do not need to be
backed up as often as data does.

Note: Some PCs ship with their software preinstalled on the hard disk and no original disks or
CD-ROMs! This is a poor practice and I recommend that people avoid buying from companies
that do this, since it makes it very hard for you to reinstall software if you need it in case of
disaster. If you have no original disks, your installed programs should be treated as just as
unrecreatable as your data.

Files Not to Back Up

There are some files that should never be backed up. The main reason is that some files
do not contain anything that would matter if they were lost. Another reason is that some files are
representations of programs or data that are better backed up in a different form. While virtually
all regular files should be backed up, in most cases the following kinds of files should be
excluded from routine backups:
Swap Files: A swap file is a large file that is used by the operating system for virtual
memory. When the system needs more memory than actually exists in the PC, it
creates a virtual memory space and applications "share" the real memory by
swapping pieces of memory to the hard disk. The swap file holds these pieces. This
file can be quite large, sometimes exceeding 50 MB in size depending on the
system. Since it does not contain any real data, but rather is a placeholder for
information in memory while the PC is running, there is no point in backing it up.

Compressed Volume Files: If you use volume-based disk compression, the

compressed volume that you see mounted as a drive letter is stored on the host disk
as a single file called a compressed volume file or CVF. All the files on the
compressed disk are in this file. If you use compressed volumes, the files on them
should be backed up individually from the compressed volume. The big CVF file on
the host disk should not be backed up, since it contains the same information but in
a way that is much more difficult to restore.

Most newer software will in fact automatically deselect the items above, unless you
override and tell it you want them included anyway. Many types of backup software will also let
you select classes of files, by file type, that you want to exclude for whatever reason.

Long Filenames
Long filenames use special tricks in the directory structure to store names of up to about
250 characters while maintaining compatibility with older DOS and Windows 3.x applications
that use standard short filenames..
In terms of backup, LFNs present no concern as long as you use a backup utility that
knows how to deal with them. You do have to exercise some caution when moving files between
PCs due to the tendency for the short filename aliases to move around when changing files
between systems. For standard backup of a PC, long filenames should not pose a problem if
you are using the right software.

BIOS Settings (CMOS Memory) Backup

There is an essential set of information that is critical to the operation of your PC, but is
not stored on your hard disk at all. It is your BIOS settings, the group of parameters that controls
critical aspects of how your PC works These settings are very important because minor
changes to them can have a major impact on how your system functions. It can take a long time
to "tweak" your BIOS settings to reach the set that allows your system to function at peak
performance.
The BIOS settings for your PC are not stored in the system memory or hard disk.
Instead, they are stored in a special reserved memory area that is commonly called the "CMOS
Memory". A battery provides backup so that the settings are not lost when the PC is turned off or
unplugged. Unfortunately, certain situations can cause the CMOS memory to be erased or
settings lost; usually this can happen when the battery fails due to some sort of malfunction, or
merely because the motherboard is getting old.
It makes sense therefore to back up the information in the CMOS memory on occasion.
Under normal circumstances, the battery will last for quite a while, and most regular PCs keep
their BIOS settings intact for years at a time. This means that the CMOS does not need to be
backed up at nearly the frequency that regular data does. In fact, once you have created your
initial backup (which you should do when you set up your PC), all you need to do is change the
backup whenever you change the settings themselves, to make sure the backup is current.
Since the data is not on the hard disk, you can't just back this information up the way you
would a regular file. There are in fact two different ways that the CMOS memory is normally
backed up:
Manual Backup: Take a piece of paper and your favorite writing implement. Go
through the BIOS setup screens and record the settings and what their values are. It
sounds tedious, but it is simple, foolproof & while it takes a while to do the first time, this
is something you only do once when you set up a new PC, or change the motherboard.
When you change your BIOS settings, you just change what is written on the piece of
paper as well.

Tip: It is possible with some BIOSes to get the BIOS setup screens to print out on the printer.
Turn on the PC, and boot up DOS. Then hit {Ctrl}+{Alt}+{Delete} to reset the PC, and go into
BIOS setup. On some systems, the routine that handles the {Print Screen} key will still function,
and you can use it on each of the BIOS screens as a nifty shortcut!
CMOS Backup Utilities: There are small utilities that will go through the CMOS
settings and record them to a regular file, which can then be backed up through
normal means, or just copied to a couple of floppy disks. Some of these programs
also offer the option of restoring the CMOS settings from one of these files if the
CMOS ever gets wiped out.

How To Back Up
Backup Timing
Backup Software
Software Conflicts
Data Verification
Backup Compression
Media Storage
While backing up your data is in some ways a simple matter there are in fact some
special techniques that can come into play to make backups more effective and less of a

hassle. This section takes a look at specific techniques and considerations for performing
backups, some of which you might not think of. This includes a discussion of backup timing,
scheduling, media storage, & how to ensure that your backups work, & will protect you in the
event that you need them.

Backup Timing
Selecting a time of day to perform backups is a matter of personal choice. It depends, as
usual, on how you use your PC, and also on how long it takes for you to perform backups. Most
people prefer to do unattended backups, and therefore, set their backups up to run when they
are not around. The most common times to run backups therefore are:
Overnight: start a backup before going to sleep, have it run overnight, and then see
the results in the morning. This makes sense because the PC isn't being used, and a
full backup of a loaded system, including time to perform verification, can take
several hours.

During the Day: If you work during the day you can set up your home machine to
perform backups while you are at the office. This is really not much different in
concept from the overnight backup; both use slack time where the PC isn't being
actively used, to perform backups.

Backup Software
An important part of the backup puzzle is using the right software. The difference
between good and mediocre backup software can be the difference between backups that are
reliable and easy to use and ones that are not. The difference between mediocre software and
bad software can be the difference between backups that restore properly when you need them
to, and those that leave you high and dry!
Many backup devices ship with basic backup software, provided as a courtesy by the
hardware manufacturer. In many cases these are functional but stripped-down versions of
commercial packages. They will usually work, but may not be nearly as full-featured as a
package you would buy at the store. The following are abilities or features that you may want to
consider carefully when looking at PC backup software (not listed in any particular order):
Wide Device Support: Backup software varies significantly in its ability to support
backup devices. Generally speaking, it is more difficult to find software support for
newer devices than well-established ones. Some software companies will make
software updates available for their users to provide expanded support as new drives
hit the market; others will not. Do remember that while support for more devices
gives you more flexibility, ultimately the only device you really need support for is the
one that you are actually using.

Operating System Support: The software should support all of the features and
requirements of the operating system under which it runs. This means, for example,
that Windows 98 software should have full support for long filenames, backup of the
Windows 98 Registry, and backup of FAT32 partitions.

Backup Type Selection: All good backup software will let you choose between
doing full, selective and incremental backups. Better ones will let you select files and
directories based on search strings or patterns.

Media Spanning: The software should provide proper support for backing up to
multiple pieces of media in a media set. So if you did a backup to Zip disks and the
data took up 250 MB, the system should prompt you when it is time to switch disks,
etc. Strangely, some poor backup software has problems with this .

Disaster Recovery: A very important feature, and one that is often found only on
more expensive products is support for automatic disaster recovery. With this type of
software, sometimes called one-step recovery or single-step restore or similar, a
floppy disk is created with a special recovery program that will let you restore your
system simply. Without this feature, you often have to reinstall the entire operating
system before you do a restore, which can cost a lot of time and cause a lot of
problems.

Scheduling and Automatic Operation: Depending on how and when you do your
backups, it can be very helpful to have the software run automatically at a preset
time.

Backup Verification: Every decent backup package will allow you to enable a
verification mode. When active, the software will read back from the tape every file
that it backs up and compare it to the file on the hard disk, to ensure that the backup
is correct. This is important to ensure that your backups are viable.

Compression: Good backup software will give you the option of enabling software
compression, possibly at various levels, to enable you to save space on your backup
media.

Security: Better software packages will let you password-protect a backup set so
that the password is required to view or restore from the backup image. (Be very
careful before using something like this, you don't want to lose that password!)

Software Conflicts
When performing backups in a multitasking operating system, it is necessary to be wary
of possible conflicts between the backup software and any other software that may be running
simultaneously. Any programs that are running in the background that might write to files or
directories on the disk can confuse the backup software, especially when it goes to verify the
files it has backed up, because it may find different files in some directories at the end of the
backup compared to what was there at the beginning.
Another problem is with files that are locked due to another program having exclusive
access to the file. To prevent more than one application from changing a document at the same
time, many applications will lock them out so no other application can use them. This can cause
the backup software to be unable to back up these files.
The solution to avoiding these problems is, in most cases, to simply turn off other
software when you are doing a backup. Disable your screen saver, to ensure that it doesn't
cause interference.

Data Verification

The idea behind verification is simple: after the files are backed up, the backup software
reads back the information from the backup media and compares it back to the original files.
This ensures that the backup just made is readable, and that the files match what was just
copied. The only disadvantage is that it lengthens the amount of time that it takes to perform the
backup, but if you are backing up overnight or while away from the PC, this will have no effect
on you anyway.
There are two different levels of verification that you will sometimes find, depending on
the software you are using. The most secure level of verification is full verification, where each
and every file that is backed up is also verified by reading back from the backup medium. A
lesser type of verification is sampling verification. Here, instead of verifying everything that was
backed up, a sample of what was backed up is read back and verified. This makes the
verification take much less time, but of course doesn't do nearly as good a job.

Backup Compression
Most backup systems support some type of compression. The idea behind compression
is simple: to save space and allow the backup of more data onto a given media set. Most
software supports compression, and in fact many backup devices even quote their capacity on
the assumption that compression will be used during backup.
Normally there is nothing wrong with using compression, and in fact I use it myself in
many cases. You do need to bear in mind a few things, however:
Compressibility: Not all files will compress equally well. If you are backing up a
large number of files that are already in a compressed format, it may make sense to
turn off compression, since it isn't going to do much for you anyway.

Proprietary Formats: Each software program will use its own compression
algorithm. This means that the tape written by one program may not be readable by
a different software package. This is not normally a problem since most people only
use one package on one PC, but it is something to bear in mind. The backup formats
themselves are reasonably universal if compression is not used.

Media Storage

Your data backups are exactly as safe as the physical media that contains them. If you
do a tape backup and then leave the tape lying on top of the PC box, then you are
partially defeating the purpose of doing backups. You will give back the protection that
tape offers against risks like theft, disaster or sabotage.
Backup media should be stored in a safe place, away from the PC.
Depending on the type of backup media you are using, you want to make sure that the
storage environment is appropriate. For magnetic media such as tapes and disks, you
want to ensure that the storage area offers protection from the hazards that threaten
them, including temperature, moisture, dirt, magnetic fields and the like.
Finally, pay attention to the matter of off-site storage. It is a good idea to ensure that one
or more of the backup media sets in the media rotation system you are using is always
be stored off-site. This is important to allow for safeguarding against total disaster like
hurricane.