Lecture Notes: Booting Process in

Operating Systems
Introduction
The booting process is the sequence of steps a computer follows to initialize its hardware,
load the operating system into memory, and prepare it for user interaction. This process
bridges the gap between a powered-off state and a fully operational system. This lecture note
covers three key components of the booting process: BIOS and UEFI, Boot Loader, and
Initial Program Load (IPL). Understanding these stages is essential for grasping how
operating systems transition from hardware initialization to executable software.

1. BIOS and UEFI

The booting process begins with firmware—either the Basic Input/Output System (BIOS) or
the Unified Extensible Firmware Interface (UEFI)—which initializes hardware and starts the
boot sequence.

1.1 BIOS (Basic Input/Output System)

 Concept: Legacy firmware stored in a ROM chip on the motherboard, responsible for
basic hardware initialization and boot initiation.
 Operation:
o Power-On Self-Test (POST): Checks hardware components (e.g., CPU,
RAM, keyboard) for functionality and reports errors (e.g., via beep codes).
o Hardware Initialization: Configures basic devices (e.g., memory controller,
interrupt system).
o Boot Device Selection: Searches for a bootable device (e.g., hard drive, USB)
based on a predefined boot order.
o Boot Loader Hand-off: Loads the first sector (Master Boot Record, MBR) of
the boot device into memory (at address 0x7C00) and executes it.
 Characteristics:
o 16-bit architecture, limited to 1 MB of addressable memory.
o Uses MBR partitioning (up to 2 TB disks, four primary partitions).
 Advantages:
o Simple and widely compatible with older hardware and operating systems.
o Minimal resource requirements.
 Disadvantages:
o Slow boot times due to sequential hardware checks.
o Limited support for modern hardware (e.g., large disks, secure boot).
 Use Case: Older systems or legacy OSes (e.g., MS-DOS, early Windows).

1.2 UEFI (Unified Extensible Firmware Interface)

  Concept: Modern firmware standard replacing BIOS, offering advanced features and
flexibility for booting and hardware management.
 Operation:
o POST and Initialization: Performs hardware checks and configuration,
similar to BIOS but faster and more modular.
o UEFI Applications: Executes pre-boot applications (e.g., diagnostics, shell)
stored in an EFI System Partition (ESP).
o Boot Manager: Uses a configurable boot menu to select and load a boot
loader (e.g., from a GPT disk).
o Secure Boot: Verifies the digital signature of the boot loader and OS to
prevent unauthorized code execution.
 Characteristics:
o 32-bit or 64-bit architecture, supporting larger memory and modern CPUs.
o Uses GUID Partition Table (GPT) for disks up to 9.4 ZB and numerous
partitions.
 Advantages:
o Faster boot times due to parallel initialization and optimized code.
o Supports secure boot, network booting, and advanced diagnostics.
o Compatible with large storage devices and modern OSes.
 Disadvantages:
o More complex and resource-intensive than BIOS.
o Requires compatible hardware and OS support.
 Use Case: Modern systems (e.g., Windows 10/11, Linux with systemd-boot).

1.3 BIOS vs. UEFI

 Architecture: BIOS (16-bit, legacy) vs. UEFI (32/64-bit, modern).

 Partitioning: BIOS (MBR) vs. UEFI (GPT).
 Security: UEFI offers secure boot; BIOS does not.
 Flexibility: UEFI supports graphical interfaces and network features; BIOS is text-
based and basic.

2. Boot Loader
The boot loader is a small program responsible for loading the operating system kernel into
memory and initiating its execution.

2.1 Concept

 After BIOS or UEFI completes hardware initialization and identifies a boot device, it
transfers control to the boot loader, typically located in the boot sector (MBR) or an
EFI partition.
 The boot loader bridges the firmware and the operating system, preparing the system
for kernel execution.

2.2 Functions
  Locate the Kernel: Finds the operating system kernel image on the disk (e.g.,
vmlinuz for Linux, ntoskrnl.exe for Windows).
 Load into Memory: Copies the kernel and initial ramdisk (if needed) into RAM.
 Pass Control: Transfers execution to the kernel with necessary parameters (e.g., boot
options, hardware info).
 User Interaction: Some boot loaders (e.g., GRUB) offer a menu to select OSes or
kernel versions.

2.3 Examples

 GRUB (Grand Unified Bootloader):

o Widely used in Linux systems.
o Supports multiple OSes, boot options, and a command-line interface.
o Works with both BIOS (via MBR) and UEFI (via ESP).
 Windows Boot Manager (BOOTMGR):
o Used in Windows systems post-Vista.
o Loads the Windows kernel from the Boot Configuration Data (BCD) store.
o UEFI-compatible with secure boot support.
 LILO (Linux Loader):
o Older, simpler Linux boot loader (largely replaced by GRUB).
o Non-interactive and BIOS-only.

2.4 Stages

 Stage 1: Small code in the MBR (512 bytes) that loads the next stage due to size
constraints.
 Stage 1.5: Optional intermediate code (e.g., in GRUB) to access file systems and load
Stage 2.
 Stage 2: Full-featured boot loader loaded into memory, offering configuration and OS
selection.

2.5 Advantages

 Enables multi-boot configurations (e.g., dual-boot Linux and Windows).

 Provides flexibility to choose kernels or recovery modes.
 Supports advanced features like secure boot verification.

2.6 Disadvantages

 Vulnerable to corruption (e.g., MBR overwrite by malware).

 Complex configuration can lead to boot failures.

2.7 Use Cases

 GRUB allowing a user to select between Ubuntu and Windows on a dual-boot system.
 BOOTMGR loading Windows 11 with secure boot enabled on a UEFI system.
3. Initial Program Load (IPL)
The Initial Program Load (IPL) refers to the final stage of the booting process where the
operating system kernel is initialized and begins managing the system.

3.1 Concept

 After the boot loader loads the kernel into memory, the IPL phase starts the kernel’s
execution, transitioning control from the boot process to the operating system.
 The kernel initializes critical components and launches the first user-space process.

3.2 Process

 Kernel Initialization:
o Sets up CPU state (e.g., switching to protected mode or long mode).
o Initializes memory management (e.g., page tables for virtual memory).
o Configures hardware drivers (e.g., disk, network) using information from
firmware or boot loader.
 Interrupt Handling: Enables the interrupt system to respond to hardware events.
 Process Management: Starts the scheduler and creates the first process (e.g., init or
systemd in Linux, csrss.exe in Windows).
 File System Mounting: Mounts the root file system to access essential files.
 User Space Transition: Launches the initial user-space program (e.g., /sbin/init)
to complete system startup.

3.3 Components

 Kernel Image: The executable file (e.g., vmlinuz, ntoskrnl.exe) containing the OS
core.
 Initial Ramdisk (initrd/initramfs): A temporary file system (used in Linux)
providing drivers and scripts to mount the real root file system.
 Boot Parameters: Options passed by the boot loader (e.g., root device, console
settings).

3.4 Operating System-Specific IPL

 Linux:
oBoot loader (e.g., GRUB) loads the kernel and initramfs.
oKernel decompresses, initializes hardware, mounts the root file system, and
starts systemd or init.
 Windows:
o BOOTMGR loads the kernel (ntoskrnl.exe) and HAL (Hardware
Abstraction Layer).
o Initializes drivers, starts the Session Manager (smss.exe), and launches the
user interface.

3.5 Advantages
  Completes the transition to a fully functional operating system.
 Enables dynamic hardware detection and configuration.
 Supports recovery modes or alternate kernels for troubleshooting.

3.6 Disadvantages

 Errors during IPL (e.g., missing drivers, corrupt file system) can halt the boot process.
 Dependent on correct hand-off from the boot loader.

3.7 Use Cases

 Linux IPL mounting a root file system from an SSD and starting systemd.
 Windows IPL initializing the kernel and launching the login screen.

Conclusion
The booting process is a critical sequence that transforms a powered-off computer into a
usable system. BIOS and UEFI initialize hardware and locate a boot device, with UEFI
offering modern enhancements like secure boot and GPT support. The Boot Loader bridges
firmware and the OS by loading the kernel into memory and providing user options. The
Initial Program Load (IPL) completes the process by initializing the kernel and starting
user-space operations. Together, these stages ensure a robust and flexible startup mechanism.
Understanding the booting process is vital for system administration, troubleshooting, and
designing operating systems. Future topics may include network booting (PXE), secure boot
implementation, and embedded system boot processes.