Appendix C: Windows 2000

Module C: Windows 2000

„ History
„ Design Principles
„ System Components
„ Environmental Subsystems
„ File system
„ Networking
„ Programmer Interface

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 Windows 2000

„ 32-bit preemptive multitasking operating system for Intel microprocessors

„ Key goals for the system:
z portability
z security
z POSIX compliance
z multiprocessor support
z extensibility
z international support
z compatibility with MS-DOS and MS-Windows applications
„ Uses a micro-kernel architecture
„ Available in four versions, Professional, Server, Advanced Server, National
Server
„ New version – Windows 2003, is now available

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 History

„ In 1988, Microsoft decided to develop a “new technology” (NT)

portable operating system that supported both the OS/2 and
POSIX APIs

„ Originally, NT was supposed to use the OS/2 API as its native

environment but during development NT was changed to use the
Win32 API, reflecting the popularity of Windows 3.0

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 Design Principles

„ Extensibility — layered architecture

z Executive, which runs in protected mode, provides the basic
system services
z On top of the executive, several server subsystems operate in
user mode
z Modular structure allows additional environmental subsystems
to be added without affecting the executive
„ Portability — 2000 can be moved from on hardware architecture
to another with relatively few changes
z Written in C and C++
z Processor-dependent code is isolated in a dynamic link library
(DLL) called the “hardware abstraction layer” (HAL)

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 Design Principles (Cont.)

„ Reliability — 2000 uses hardware protection for virtual memory,

and software protection mechanisms for operating system
resources
„ Compatibility — applications that follow the IEEE 1003.1 (POSIX)
standard can be complied to run on 2000 without changing the
source code
„ Performance — 2000 subsystems can communicate with one
another via high-performance message passing
z Preemption of low priority threads enables the system to
respond quickly to external events
z Designed for symmetrical multiprocessing
„ International support — supports different locales via the national
language support (NLS) API

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 2000 Architecture

„ Layered system of modules

„ Protected mode — HAL, kernel, executive

„ User mode — collection of subsystems

z Environmental subsystems emulate different operating systems
z Protection subsystems provide security functions

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 Depiction of 2000 Architecture

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 System Components — Kernel

„ Foundation for the executive and the subsystems

„ Never paged out of memory; execution is never preempted
„ Four main responsibilities:
z thread scheduling
z interrupt and exception handling
z low-level processor synchronization
z recovery after a power failure
„ Kernel is object-oriented, uses two sets of objects
z dispatcher objects control dispatching and
synchronization (events, mutants, mutexes, semaphores,
threads and timers).
z control objects (asynchronous procedure calls, interrupts,
power notify, power status, process and profile objects)

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 Kernel — Process and Threads

„ The process has a virtual memory address space, information

(such as a base priority), and an affinity for one or more processors
„ Threads are the unit of execution scheduled by the kernel’s
dispatcher
„ Each thread has its own state, including a priority, processor
affinity, and accounting information
„ A thread can be one of six states: ready, standby, running, waiting,
transition, and terminated

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 Kernel — Scheduling

„ The dispatcher uses a 32-level priority scheme to determine the

order of thread execution
„ Priorities are divided into two classes
z The real-time class contains threads with priorities ranging from
16 to 31
z The variable class contains threads having priorities from 0 to
15
„ Characteristics of 2000’s priority strategy
z Trends to give very good response times to interactive threads
that are using the mouse and windows
z Enables I/O-bound threads to keep the I/O devices busy
z Complete-bound threads soak up the spare CPU cycles in the
background

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 Kernel — Scheduling (Cont.)

„ Scheduling can occur when a thread enters the ready or wait state,
when a thread terminates, or when an application changes a
thread’s priority or processor affinity

„ Real-time threads are given preferential access to the CPU; but

2000 does not guarantee that a real-time thread will start to
execute within any particular time limit
z This is known as soft realtime

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 Windows 2000 Interrupt Request Levels

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 Kernel — Trap Handling

„ The kernel provides trap handling when exceptions and interrupts

are generated by hardware of software
„ Exceptions that cannot be handled by the trap handler are handled
by the kernel's exception dispatcher
„ The interrupt dispatcher in the kernel handles interrupts by calling
either an interrupt service routine (such as in a device driver) or an
internal kernel routine
„ The kernel uses spin locks that reside in global memory to achieve
multiprocessor mutual exclusion

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 Executive — Object Manager

„ 2000 uses objects for all its services and entities; the object
manger supervises the use of all the objects.
z Generates an object handle
z Checks security
z Keeps track of which processes are using each object
„ Objects are manipulated by a standard set of methods, namely
create, open, close, delete, query name, parse and
security

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 Executive — Naming Objects

„ The 2000 executive allows any object to be given a name, which

may be either permanent or temporary
„ Object names are structured like file path names in MS-DOS and
UNIX
„ 2000 implements a symbolic link object, which is similar to
symbolic links in UNIX that allow multiple nicknames or aliases to
refer to the same file
„ A process gets an object handle by creating an object by opening
an existing one, by receiving a duplicated handle from another
process, or by inheriting a handle from a parent process
„ Each object is protected by an access control list

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 Executive — Virtual Memory Manager

„ The design of the VM manager assumes that the underlying

hardware supports virtual to physical mapping a paging
mechanism, transparent cache coherence on multiprocessor
systems, and virtual addressing aliasing
„ The VM manager in 2000 uses a page-based management
scheme with a page size of 4 KB
„ The 2000 VM manager uses a two step process to allocate
memory
z The first step reserves a portion of the process’s address
space
z The second step commits the allocation by assigning space in
the 2000 paging file

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 Virtual-Memory Layout

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 Virtual Memory Manager (Cont.)

„ The virtual address translation in 2000 uses several data structures

z Each process has a page directory that contains 1024 page directory
entries of size 4 bytes
z Each page directory entry points to a page table which contains 1024 page
table entries (PTEs) of size 4 bytes
z Each PTE points to a 4 KB page frame in physical memory
„ A 10-bit integer can represent all the values form 0 to 1023, therefore,
can select any entry in the page directory, or in a page table
„ This property is used when translating a virtual address pointer to a bye
address in physical memory
„ A page can be in one of six states: valid, zeroed, free standby, modified
and bad

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 Virtual-to-Physical Address Translation

„ 10 bits for page directory entry, 20 bits for page table

entry, and 12 bits for byte offset in page

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 Page File Page-Table Entry

5 bits for page protection, 20 bits for page frame

address, 4 bits to select a paging file, and 3 bits that
describe the page state
V=0

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 Executive — Process Manager

„ Provides services for creating, deleting, and using threads and

processes

„ Issues such as parent/child relationships or process hierarchies are

left to the particular environmental subsystem that owns the
process

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 Executive — Local Procedure Call Facility

„ The LPC passes requests and results between client and server
processes within a single machine
„ In particular, it is used to request services from the various 2000
subsystems
„ When a LPC channel is created, one of three types of message
passing techniques must be specified
z First type is suitable for small messages, up to 256 bytes; port's
message queue is used as intermediate storage, and the
messages are copied from one process to the other
z Second type avoids copying large messages by pointing to a
shared memory section object created for the channel
z Third method, called quick LPC was used by graphical display
portions of the Win32 subsystem

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 Executive — I/O Manager

„ The I/O manager is responsible for

z file systems
z cache management
z device drivers
z network drivers
„ Keeps track of which installable file systems are loaded, and
manages buffers for I/O requests
„ Works with VM Manager to provide memory-mapped file I/O
„ Controls the 2000 cache manager, which handles caching for the
entire I/O system
„ Supports both synchronous and asynchronous operations, provides
time outs for drivers, and has mechanisms for one driver to call
another

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 File I/O

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 Executive — Security Reference Monitor

„ The object-oriented nature of 2000 enables the use of a uniform

mechanism to perform runtime access validation and audit checks
for every entity in the system
„ Whenever a process opens a handle to an object, the security
reference monitor checks the process’s security token and the
object’s access control list to see whether the process has the
necessary rights

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 Executive – Plug-and-Play Manager

„ Plug-and-Play (PnP) manager is used to recognize and adapt to

changes in the hardware configuration

„ When new devices are added (for example, PCI or USB), the PnP
manager loads the appropriate driver

„ The manager also keeps track of the resources used by each

device

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 Environmental Subsystems

„ User-mode processes layered over the native 2000 executive

services to enable 2000 to run programs developed for other
operating system

„ 2000 uses the Win32 subsystem as the main operating

environment; Win32 is used to start all processes
z It also provides all the keyboard, mouse and graphical display
capabilities
„ MS-DOS environment is provided by a Win32 application called the
virtual dos machine (VDM), a user-mode process that is paged and
dispatched like any other 2000 thread

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 Environmental Subsystems (Cont.)

„ 16-Bit Windows Environment:

z Provided by a VDM that incorporates Windows on Windows
z Provides the Windows 3.1 kernel routines and sub routines for
window manager and GDI functions
„ The POSIX subsystem is designed to run POSIX applications
following the POSIX.1 standard which is based on the UNIX model

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 Environmental Subsystems (Cont.)

„ OS/2 subsystems runs OS/2 applications

„ Logon and Security Subsystems authenticates users logging to to

Windows 2000 systems
z Users are required to have account names and passwords

„ The authentication package authenticates users whenever they

attempt to access an object in the system
z Windows 2000 uses Kerberos as the default authentication
package

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 File System

„ The fundamental structure of the 2000 file system (NTFS) is a

volume
z Created by the 2000 disk administrator utility
z Based on a logical disk partition
z May occupy a portions of a disk, an entire disk, or span across
several disks
„ All metadata, such as information about the volume, is stored in a
regular file
„ NTFS uses clusters as the underlying unit of disk allocation
z A cluster is a number of disk sectors that is a power of two
z Because the cluster size is smaller than for the 16-bit FAT file
system, the amount of internal fragmentation is reduced

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 File System — Internal Layout

„ NTFS uses logical cluster numbers (LCNs) as disk addresses

„ A file in NTFS is not a simple byte stream, as in MS-DOS or UNIX,
rather, it is a structured object consisting of attributes
„ Every file in NTFS is described by one or more records in an array
stored in a special file called the Master File Table (MFT)
„ Each file on an NTFS volume has a unique ID called a file reference.
z 64-bit quantity that consists of a 48-bit file number and a 16-bit sequence
number
z Can be used to perform internal consistency checks
„ The NTFS name space is organized by a hierarchy of directories; the
index root contains the top level of the B+ tree

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 File System — Recovery

„ All file system data structure updates are performed inside

transactions that are logged
z Before a data structure is altered, the transaction writes a log
record that contains redo and undo information
z After the data structure has been changed, a commit record is
written to the log to signify that the transaction succeeded
z After a crash, the file system data structures can be restored to
a consistent state by processing the log records

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 File System — Recovery (Cont.)

„ This scheme does not guarantee that all the user file data can be
recovered after a crash, just that the file system data structures
(the metadata files) are undamaged and reflect some consistent
state prior to the crash

„ The log is stored in the third metadata file at the beginning of the
volume

„ The logging functionality is provided by the 2000 log file service

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 File System — Security

„ Security of an NTFS volume is derived from the 2000 object model

„ Each file object has a security descriptor attribute stored in this

MFT record

„ This attribute contains the access token of the owner of the file,
and an access control list that states the access privileges that are
granted to each user that has access to the file

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 Volume Management and Fault Tolerance

„ FtDisk, the fault tolerant disk driver for 2000, provides several
ways to combine multiple SCSI disk drives into one logical volume
„ Logically concatenate multiple disks to form a large logical volume,
a volume set
„ Interleave multiple physical partitions in round-robin fashion to form
a stripe set (also called RAID level 0, or “disk striping”)
z Variation: stripe set with parity, or RAID level 5.
„ Disk mirroring, or RAID level 1, is a robust scheme that uses a
mirror set — two equally sized partitions on tow disks with
identical data contents
„ To deal with disk sectors that go bad, FtDisk, uses a hardware
technique called sector sparing and NTFS uses a software
technique called cluster remapping

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 Volume Set On Two Drives

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 Stripe Set on Two Drives

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 Stripe Set With Parity on Three Drives

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 Mirror Set on Two Drives

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 File System — Compression

„ To compress a file, NTFS divides the file’s data into compression

units, which are blocks of 16 contiguous clusters
„ For sparse files, NTFS uses another technique to save space
z Clusters that contain all zeros are not actually allocated or
stored on disk
z Instead, gaps are left in the sequence of virtual cluster
numbers stored in the MFT entry for the file
z When reading a file, if a gap in the virtual cluster numbers is
found, NTFS just zero-fills that portion of the caller’s buffer

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 File System — Reparse Points

„ A reparse point returns an error code when accessed. The reparse

data tells the I/O manager what to do next

„ Reparse points can be used to provide the functionality of UNIX

mounts

„ Reparse points can also be used to access files that have been
moved to offline storage

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 Networking

„ 2000 supports both peer-to-peer and client/server networking; it

also has facilities for network management
„ To describe networking in 2000, we refer to two of the internal
networking interfaces:
z NDIS (Network Device Interface Specification) — Separates
network adapters from the transport protocols so that either can
be changed without affecting the other
z TDI (Transport Driver Interface) — Enables any session layer
component to use any available transport mechanism
„ 2000 implements transport protocols as drivers that can be loaded
and unloaded from the system dynamically

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 Networking — Protocols

„ The server message block (SMB) protocol is used to send I/O

requests over the network. It has four message types:
- Session control
- File
- Printer
- Message
„ The network basic Input/Output system (NetBIOS) is a hardware
abstraction interface for networks. Used to:
z Establish logical names on the network
z Establish logical connections of sessions between two logical
names on the network
z Support reliable data transfer for a session via NetBIOS
requests or SMBs

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 Networking — Protocols (Cont.)

„ NetBEUI (NetBIOS Extended User Interface): default protocol for

Windows 95 peer networking and Windows for Workgroups; used
when 2000 wants to share resources with these networks
„ 2000 uses the TCP/IP Internet protocol to connect to a wide variety
of operating systems and hardware platforms
„ PPTP (Point-to-Point Tunneling Protocol) is used to communicate
between Remote Access Server modules running on 2000
machines that are connected over the Internet
„ The 2000 NWLink protocol connects the NetBIOS to Novell
NetWare networks

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 Networking — Protocols (Cont.)

„ The Data Link Control protocol (DLC) is used to access IBM

mainframes and HP printers that are directly connected to the
network
„ 2000 systems can communicate with Macintosh computers via the
Apple Talk protocol if an 2000 Server on the network is running the
Windows 2000 Services for Macintosh package

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 Networking — Dist. Processing Mechanisms

„ 2000 supports distributed applications via named

NetBIOS,named pipes and mailslots, Windows Sockets, Remote
Procedure Calls (RPC), and Network Dynamic Data Exchange
(NetDDE)
„ NetBIOS applications can communicate over the network using
NetBEUI, NWLink, or TCP/IP
„ Named pipes are connection-oriented messaging mechanism that
are named via the uniform naming convention (UNC)
„ Mailslots are a connectionless messaging mechanism that are
used for broadcast applications, such as for finding components
on the network
„ Winsock, the windows sockets API, is a session-layer interface
that provides a standardized interface to many transport protocols
that may have different addressing schemes

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 Distributed Processing Mechanisms (Cont.)

„ The 2000 RPC mechanism follows the widely-used Distributed

Computing Environment standard for RPC messages, so programs
written to use 2000 RPCs are very portable
z RPC messages are sent using NetBIOS, or Winsock on
TCP/IP networks, or named pipes on LAN Manager networks
z 2000 provides the Microsoft Interface Definition Language to
describe the remote procedure names, arguments, and results

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 Networking — Redirectors and Servers

„ In 2000, an application can use the 2000 I/O API to access files
from a remote computer as if they were local, provided that the
remote computer is running an MS-NET server
„ A redirector is the client-side object that forwards I/O requests to
remote files, where they are satisfied by a server
„ For performance and security, the redirectors and servers run in
kernel mode

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 Access to a Remote File

„ The application calls the I/O manager to request that a file be

opened (we assume that the file name is in the standard UNC
format)
„ The I/O manager builds an I/O request packet
„ The I/O manager recognizes that the access is for a remote file,
and calls a driver called a Multiple Universal Naming Convention
Provider (MUP)
„ The MUP sends the I/O request packet asynchronously to all
registered redirectors
„ A redirector that can satisfy the request responds to the MUP
z To avoid asking all the redirectors the same question in the future,
the MUP uses a cache to remember with redirector can handle this
file

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 Access to a Remote File (Cont.)

„ The redirector sends the network request to the remote system

„ The remote system network drivers receive the request and pass it
to the server driver
„ The server driver hands the request to the proper local file system
driver
„ The proper device driver is called to access the data
„ The results are returned to the server driver, which sends the data
back to the requesting redirector

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 Networking — Domains

„ NT uses the concept of a domain to manage global access rights

within groups
„ A domain is a group of machines running NT server that share a
common security policy and user database
„ 2000 provides three models of setting up trust relationships
z One way, A trusts B
z Two way, transitive, A trusts B, B trusts C so A, B, C trust each
other
z Crosslink – allows authentication to bypass hierarchy to cut
down on authentication traffic

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 Name Resolution in TCP/IP Networks

„ On an IP network, name resolution is the process of converting a

computer name to an IP address
e.g., www.bell-labs.com resolves to 135.104.1.14

„ 2000 provides several methods of name resolution:

z Windows Internet Name Service (WINS)
z broadcast name resolution
z domain name system (DNS)
z a host file
z an LMHOSTS file

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 Name Resolution (Cont.)

„ WINS consists of two or more WINS servers that maintain a

dynamic database of name to IP address bindings, and client
software to query the servers
„ WINS uses the Dynamic Host Configuration Protocol (DHCP),
which automatically updates address configurations in the WINS
database, without user or administrator intervention

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 Programmer Interface — Access to Kernel Obj.

„ A process gains access to a kernel object named XXX by calling

the CreateXXX function to open a handle to XXX; the handle is
unique to that process
„ A handle can be closed by calling the CloseHandle function; the
system may delete the object if the count of processes using the
object drops to 0
„ 2000 provides three ways to share objects between processes.
z A child process inherits a handle to the object
z One process gives the object a name when it is created and
the second process opens that name
y DuplicateHandle function:
 Given a handle to process and the handle’s value a second
process can get a handle to the same object, and thus
share it

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 Programmer Interface — Process Management

„ Process is started via the CreateProcess routine which loads

any dynamic link libraries that are used by the process, and creates
a primary thread
„ Additional threads can be created by the CreateThread function
„ Every dynamic link library or executable file that is loaded into the
address space of a process is identified by an instance handle

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 Process Management (Cont.)

„ Scheduling in Win32 utilizes four priority classes:

- IDLE_PRIORITY_CLASS (priority level 4)
- NORMAL_PRIORITY_CLASS (level8 — typical for most
processes
- HIGH_PRIORITY_CLASS (level 13)
- REALTIME_PRIORITY_CLASS (level 24)
„ To provide performance levels needed for interactive programs,
2000 has a special scheduling rule for processes in the
NORMAL_PRIORITY_CLASS
z 2000 distinguishes between the foreground process that is
currently selected on the screen, and the background
processes that are not currently selected
z When a process moves into the foreground, 2000 increases
the scheduling quantum by some factor, typically 3

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 Process Management (Cont.)

„ The kernel dynamically adjusts the priority of a thread depending

on whether it is I/O-bound or CPU-bound
„ To synchronize the concurrent access to shared objects by
threads, the kernel provides synchronization objects, such as
semaphores and mutexes
z In addition, threads can synchronize by using the
WaitForSingleObject or WaitForMultipleObjects
functions
z Another method of synchronization in the Win32 API is the
critical section

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 Process Management (Cont.)

„ A fiber is user-mode code that gets scheduled according to a user-

defined scheduling algorithm
z Only one fiber at a time is permitted to execute, even on
multiprocessor hardware
z 2000 includes fibers to facilitate the porting of legacy UNIX
applications that are written for a fiber execution model

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 Programmer Interface — Interprocess Comm.

„ Win32 applications can have interprocess communication by

sharing kernel objects
„ An alternate means of interprocess communications is message
passing, which is particularly popular for Windows GUI applications
z One thread sends a message to another thread or to a window
z A thread can also send data with the message
„ Every Win32 thread has its own input queue from which the thread
receives messages
„ This is more reliable than the shared input queue of 16-bit
windows, because with separate queues, one stuck application
cannot block input to the other applications

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 Programmer Interface — Memory Management

„ Virtual memory:
- VirtualAlloc reserves or commits virtual memory
- VirtualFree decommits or releases the memory
z These functions enable the application to determine the virtual
address at which the memory is allocated
„ An application can use memory by memory mapping a file into its
address space
z Multistage process
z Two processes share memory by mapping the same file into
their virtual memory

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 Memory Management (Cont.)

„ A heap in the Win32 environment is a region of reserved address

space
z A Win 32 process is created with a 1 MB default heap
z Access is synchronized to protect the heap’s space allocation
data structures from damage by concurrent updates by multiple
threads
„ Because functions that rely on global or static data typically fail to
work properly in a multithreaded environment, the thread-local
storage mechanism allocates global storage on a per-thread basis
z The mechanism provides both dynamic and static methods of
creating thread-local storage

Operating System Concepts – 7th Edition, Feb 11, 2005 C.62 Silberschatz, Galvin and Gagne ©2005
End of Appendix C