The UNIX Operating System:

Mature, Standardized and State-of-the-Art

Executive Summary
Is it possible for an Information Technology [IT] product to be both mature and stateof-the-art at the same time? In the case of the UNIX system, the answer is an
unqualified "Yes." The UNIX system has continued to develop over the past twentyfive years. In millions of installations running on nearly every hardware platform
made, the UNIX system has earned its reputation for stability and scalability. Over
the years, UNIX system suppliers have steadily assimilated new technologies so that
UNIX systems today provide more functionality as any other operating system.

Perhaps the key to the continuing growth of the UNIX system is the free-market
demands placed upon suppliers who produce and support software built to open
standards. The "open systems" approach is in bold contrast to other operating
environments that lock in their customers with resultant high switching costs. UNIX
system suppliers, on the other hand, must constantly provide the highest quality
systems in order to retain their customers. Those who become dissatisfied with one
UNIX system implementation retain the ability to easily move to another UNIX
system implementation.
The continuing success of the UNIX system should come as no surprise. No other
operating environment enjoys the support of every major system supplier. Mention
the UNIX system and IT professionals immediately think not only of the operating
system itself, but also of the large family of application software that the UNIX
system supports. In the IT marketplace, the UNIX system has been the catalyst for
sweeping changes that have empowered consumers to seek the best-of-breed
without the arbitrary constraints imposed by proprietary environments.

In a nutshell then, the UNIX system is the users' and suppliers' operating
environment of choice. The UNIX system represents the best collective efforts of
competing suppliers, the most refined standards in the public domain, and the rocksolid stability that comes from years of quality assurance testing, mission-critical
use, and refinement.

This white paper examines the UNIX system with a special concern for both its
extraordinary past and its equally extraordinary prospects for the future.

The UNIX System

The UNIX system has been around for a long time, and many people may remember
it as it existed in the previous decades. Many IT professionals who encountered
UNIX systems in the past found it uncompromising. While its power was impressive,

its command-line interface required technical competence, its syntax was not
intuitive, and its interface was unfriendly.

Moreover, in the UNIX system's early days, security was virtually nonexistent.
Subsequently, the UNIX system became the first operating system to suffer attacks
mounted over the nascent Internet. As the UNIX system matured, however, the
organization of security shifted from centralized to distributed authentication and
authorization systems.

Today, these perceptions are only of historical interest.

Now, a single Graphical User Interface is shipped and supported by all major
vendors has replaced command-line syntax, and security systems, up to and
including B1, provide appropriate controls over access to the UNIX system.

The Value of Standards

The UNIX system's increasing popularity spawned the development of a number of

variations of the UNIX operating system in the 1980s, and the existence of these
caused a mid-life crisis. Standardization had progressed slowly and methodically in
domains such as telecommunications and third-generation languages; yet no one
had addressed standards at the operating system level. For suppliers, the thought
of a uniform operating environment was disconcerting. Consumer lock-in was woven
tightly into the fabric of the industry. Individual consumers, particularly those with
UNIX system experience, envisioned standardized environments, but had no way to
pull the market in their direction.

However, for one category of consumer -governments- the standardization of the

UNIX system was both desirable and within reach. Governments have clout and are
the largest consumers of information technology products and services in the world.
Driven by the need to improve commonality, both US and European governments
endorsed a shift to the UNIX system. The Institute of Electrical and Electronic
Engineers POSIX family of standards, along with standards from ISO, ANSI and
others, led the way. Consortia such as the X/Open Company (merged with the Open
Software Foundation in 1995 to form The Open Group) hammered out draft
standards to accelerate the process.

In 1994, the definitive specification of what constitutes a UNIX system was finalized
through X/Open Company's consensus process. The Single UNIX Specification was

born-not from a theoretical, ivory tower approach, but by analyzing the applications
that were in use in businesses across the world.

With the active support of government and commercial buyers alike, vendors began
to converge on products that implement the Single UNIX Specification, and now all
major vendors have products labeled UNIX 95, which indicates that the vendor
guarantees that the product conforms to the Single UNIX Specification.

Vendors continue to add value to the UNIX system, particularly in areas of new
technology, however that value will always be built upon a single, consensus
standard. Meanwhile, the functionality of the UNIX system was established and the
mid-life crisis was resolved. Suppliers today provide UNIX systems that are built
upon a single, consensus standard.

It is also important to remember that even when variance among UNIX systems was
at its worst, IT professionals agreed that migration among UNIX system variants was
far easier than migration among the proprietary alternatives.

Now with UNIX 95 branded products available from all major systems vendors, the
buyer can for the first time buy systems from different manufacturers, safe in the
knowledge that each one is guaranteed to implement the complete functionality of
the Single UNIX Specification and will continue to do so.

UNIX system suppliers can assure customers that they own a standards-based
system by registering them to use the Open Brand. Below is a list of suppliers who
give users this guarantee.

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UNIX 95 Registered Products

DIGITAL: Digital UNIX Version 4.0 running Digital's AlphaStations and Digital's
AlphaServers
HITACHI: Hitachi 3050RX, 3500/3X, 3500/4XX running HI-UX/WE2 Version 06-01
and later

HITACHI: Hitachi 3500 running HI-UX/WE2 Version 07-01

and later
Hewlett-Packard: HP-UX Release 10.20 and later on all HP9000 Series 700 and 800
HP-UX Release 11.00 or later (in both 32 and 64-bit configurations) on HP9000
Series (all models)

IBM: IBM POWER, POWER2, and PowerPCTM Systems with IBM AIX Version 4.2
or later
IBM: OS/390 Version 1 Release 2 or later with OS/390 V1R2
or later
Security Server and OS/390 V1R2
or later C/C++ Compiler on IBM System/390 Processors that support OS/390 Version
1 Release 2
NCR: NCR UNIX System V Release 4 MP-RAS Release 3.02
or later on NCR WorldMark Series & System 3000 Series
NEC: UX/4800 R12.3 and later on UP4800 and EWS4800 Series
SCO: SCO UnixWare Family R2.1.1
and later for single and multiprocessor IntelTM 386/486 or Pentium PCs
conforming to PC/AT architectures

SGI: IRIX 6.5 running on Silicon Graphics systems using

the MIPS R4000, R5000, R8000 and R10,000 family of
processors

SNI: Business Servers running BS2000/OSD V3.0

and higher
SNI: Reliant UNIX V5.43 running on RM Server Family, all Models
RM200/300/400/600
Siemens Pyramid: Reliant UNIX Version 5.43 running on Reliant RM1000 Cluster
Server
SUN: Solaris 2.6 on SPARC based systems

SUN: Solaris 2.6 on x86pc based systems

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What do buyers expect from an Open Systems strategy based on the UNIX system?
In 1996 EvansGroup Technology carried out research among computer system
buyers in the United States and Europe.

When asked about the benefits of open systems, they key issues of compatibility,
flexibility and cost emerged.

The table below shows how respondents ranked the various benefits of
Open Systems.

Benefits of Open Systems %

Flexibility 70%
Freedom to choose IT from different vendors 67%
Products from different vendors work together 66%
Access across multi-vendor environments 65%
Protect investment in existing computer systems 61%
Ability to use/share information anywhere in the world 59%
Cost savings 55%
Interoperability/portability across various platforms 54%
Organizational change not constrained by IT system 49%
Cost of ownership 49%

The UNIX System and Microsoft Windows NT

It is common these days to read analysts' accounts and IS professionals'

experiences that compare and contrast the UNIX system with Microsoft
Corporation's latest operating system, called Windows NT. Opinions vary, of course,

but a number of common themes have emerged. The key differences between
these operating environments are as follows:

The UNIX system today is more robust, reliable and scalable. Analysts say this
observation, which is widely reported from many different viewpoints, makes
practical sense. Engineers at Microsoft are retracing the steps that the UNIX system
has completed. How else could it be?

In sharp contrast to the open standards that define the UNIX system, Windows NT
technology remains fiercely proprietary. Microsoft remains ambivalent to the world
of standards. Choosing NT entangles customers with nonstandard utilities,
directories, and software tools that do not conform to any de jure or consensus
standards.

The UNIX system today is available on a wide spectrum of computer hardware.

Particularly when high performance is at issue, hardware suppliers suggest the UNIX
system, rather than Windows NT. The primary appeal of NT is for low-end, officecentered, departmental applications.

Unit shipment growth rates for Windows NT exceed the rates for the UNIX system,
which is to be expected for a new product. However, revenue growth in UNIX
systems sales is much higher than NT. It is reasonable to expect Windows NT to take
a share in the operating systems market, along with other more specialized
operating systems. There is no evidence today to indicate that NT will be dominant;
in fact, most IT professionals predict that it will not.

Windows NT Server 4.0 is still not a full-function server operating system. While it
does support multi-user computing via third-party add-on tools, it lacks certain
fundamental features that the UNIX system is known for providing, such as directory
services for managing user access and peripherals over a distributed enterprise
network.

The presence of the UNIX system in the marketplace has been good for Windows NT.
The UNIX system established the market for cross-platform client and server
operating environments that NT seeks to address. In turn, NT will improve the
market for UNIX systems in the future. That is, competition among UNIX system
providers will be enhanced by competition with NT. The choice between open and
proprietary products will be quite crisp.

Today's UNIX System

The key to the continuing growth of the UNIX system is the free-market demands
placed upon suppliers who produce and support software built to public standards.
The "open systems" approach is in bold contrast to other operating environments
that lock in their customers with high switching costs. UNIX system suppliers, on the
other hand, must constantly provide the highest quality systems in order to retain
their customers. Those who become dissatisfied with one UNIX system
implementation retain the ability to easily move to another UNIX system
implementation.

The continuing success of the UNIX system should come as no surprise. No other
operating environment enjoys the support of every major system supplier. Mention
the UNIX system and IT professionals immediately think not only of the operating
system itself, but also of the large family of hardware and application software that
the UNIX system supports. In the IT marketplace, the UNIX system has been the
catalyst for sweeping changes that have empowered consumers to seek the best-ofbreed without the arbitrary constraints imposed by proprietary environments.

The market's pull for the UNIX system was amplified by other events as well. The
availability of relational database management systems, the shift to the
client/server architecture, and the introduction of low-cost UNIX system servers
together set the stage for business applications to flourish. For client/server
systems, the networking strengths of the UNIX system shine. Standardized
relational database engines delivered on low-cost high-performance UNIX system
servers offered substantial cost savings over proprietary alternatives.

The UNIX System Tradition

For the last two and a half decades, the UNIX system has upheld a tradition of
providing its customers with early access to new technologies. For example:

UNIX systems provided early access to RISC technology. Applications in CAD/CAM,

multimedia, and large-scale publishing that demanded high performance
workstations have always used the UNIX system platform.
The UNIX system provided early access to symmetric multiprocessing [SMP]
computers. UNIX system-based SMP parallel processors radically improved the
price/performance of midsize and high-range servers.

The UNIX system first enabled distributed transaction processing in conjunction with
TP monitors from independent software suppliers. The server side of client/server
technology was launched on the UNIX system.
The UNIX system launched the Internet and the World Wide Web.
UNIX system suppliers also have a proud tradition of integration with legacy
systems as well as innovation to uphold. No other system can ensure that disparate
systems - usually proprietary systems - can be integrated, allowing the buyer's
investment in data and information to be realized with minimal disruption and
reinvestment.

There is every reason to believe that the UNIX system will continue to be the
platform of choice for innovative development. In the near term, for example, UNIX
system vendors will define the scope of Java and provide the distributed computing
environment into which the Network Computer terminal will fit and enable it to
thrive and grow.

How will Java and the Network Computer terminal manifest themselves? The exact
answer is unknown; however, in open computing, the process for finding that
answer is well understood. The UNIX system community has set aside (via
consensus standards) the wasteful task of developing arbitrary differences among
computing environments. Rather than building proprietary traps, this community is
actively seeking ways to add value to the UNIX system with improved scalability,
reliability, price/performance, and customer service.

Java and the Network Computer terminal offer several potential advantages for
consumers. One key advantage is a smaller, lighter, standards-based client. A
second advantage is a specification that is not controlled by one company, but is
developed to the benefit of all by an open, consensus process. Thirdly, greater code
reuse and a component software market based on Object technology, such as
CORBA and Java. All of these options and more are being deployed first by members
of the UNIX system community.

Industrial Strength UNIX System

Today's UNIX system is robust, scalable, and it continues to provide uniform access
to a wide variety of computing hardware. For these reasons the UNIX system
continues to be the operating system of choice for mission-critical systems. The
UNIX system is the key enabler for enterprises that wish to keep switching costs as
low as possible. That is, the UNIX system remains the only open alternative to
locking in on a proprietary operating system.

Scalability is here today, enabling application to run on small-scale systems through

to the largest servers necessary. The UNIX system is available on hardware ranging
from low-cost PC-class servers on through parallel architectures that harness
together 60 or more processors. This range is wider and the choices of hardware
more cost effective than any other system. The UNIX system is the only option for
Massively Parallel Processing (MPP).

A robust operating system is tough enough to perform successfully under a variety

of different operating conditions. By virtue of its worldwide deployment by an
international community of system vendors, the UNIX system has earned the
reputation for robustness.

Uniform operating system services are at the heart of the standardized UNIX
system. Many enterprise systems are assembled with hardware from several
different sources. Atop these different hardware platforms, the UNIX operating
system provides a uniform platform for database management systems and
application software.

The market for the UNIX system continues to expand. IDC estimates the market at
US$ 39 billion in 1996 and forecasts the market to be US$ 50 billion in the year
2000. In addition, the installed base of the UNIX system has an estimated value of
US$ 122 billion. These market estimates lead to several conclusions about the UNIX
system, as follows:

An annual market of US$ 39 billion is large enough to remain attractive to many

suppliers and to provide sufficient revenue to fund continuing high levels of
investment in support and product enhancement.

The UNIX system's growth rates, which appear modest in comparison to the unit
shipment growth of newer products, are anchored by an enormous installed base.
High unit shipment growth rates are typical of new entries in a marketplace.

In key benchmarks and mission-critical applications, the UNIX system consistently

performs better.

The UNIX system is the dominant software platform for Relational Database
Management Systems.

Investment in developing and enhancing UNIX system products is significantly

larger than in any other operating environment.

Single UNIX Specification

Today, The Open Group's UNIX 95 brand may be applied to any operating system
product that is guaranteed to meet the Single UNIX Specification. The Single UNIX
Specification is designed to give software developers a single set of APIs to be
supported by every UNIX system.

The most significant consequence of the Single UNIX Specification initiative is that it
shifts the focus of attention away from incompatible UNIX system product
implementations on to compliance with a single, agreed-upon set of APIs. If an
operating system meets the specification, and commonly available applications can
run on it, then it can reliable viewed as open.

So, the future looks as though it will be about a set of sturdy and dependable
specifications standing as a firm foundation upon which many competing product
implementations will be built.

By developing a single specification for the UNIX system, The Open Group and the
computer industry have completed the foundation of open systems.

The next version of the Single UNIX Specification, known as Version 2 was
announced in March 1997. Products guaranteed to conform to this specification will
carry the label UNIX 98.

Single UNIX Specification, Version 2 enhancements

The Single UNIX Specification, Version 2 contains the following enhancements:

Year 2000 Alignment - changes to minimize the impact of the Millennium Rollover.
Threads: POSIX 1003.1c-1995. The Threads extensions permit development of
applications to make significant performance gains on multiprocessor hardware.

Large File Summit extensions to permit UNIX systems to support files of arbitrary
sizes, this is of particular relevance to database applications.
Networking Services: The specifications are aligned with the POSIX 1003.1g
standard.
MSE: The Multibyte Support Extension is now aligned with ISO C amendment 1,
1995.
Dynamic linking extensions to permit applications to share common code across
many applications, and ease maintenance of bug fixes and performance
enhancements for applications.
N-bit cleanup (64 bit and beyond), to remove any architectural dependencies in the
Single UNIX Specification. This is of particular relevance with the ongoing move to
64 bit (and beyond) CPUs.
The real-time extensions are an optional feature group, allowing procurement of
X/Open real-time systems with predictable, bounded behavior.
Inclusion of the existing specifications for the graphical user interface, CDE as an
option in the UNIX 98 brand.
Benefits for Application Developers

A single standard for the UNIX operating system means:

Improved portability.
Faster development through the increased number of standard interfaces.
More innovation is possible, due to the reduced time spent porting applications.
Benefits for Users

The Single UNIX Specification will evolve and develop in response to market needs
protecting users investment in existing systems and applications. The availability of
the UNIX system from multiple suppliers gives users freedom of choice rather than
being locked in to a single supplier. And the wide range of applications - built on the
UNIX system's strengths of scalability, availability and reliability - ensure that
mission critical business needs can be met.

In Summary,

When the history of the information age is written, the extraordinary dynamics of
the UNIX system marketplace will be seen as playing an important role. The UNIX
system was developed at just the right time and place to be the critical enabler for
a revolution in information technology. Client/server architectures, the Internet,
object databases, heterogeneous transaction processing, and Web computing all
emerged on the shoulders of the UNIX system.

Most importantly, the UNIX system continues to be a driving force for innovation
because of its commitment to standards. When proprietary differences are set
aside, and with the wide implementation of the Single UNIX Specification they are
set aside, suppliers compete by adding value. This fundamental tenet is the reason
that the UNIX system has thrived - and will continue to thrive in the years to come.

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UNIX is a registered trademark of The Open Group.

Microsoft and Windows NT are registered trademarks of Microsoft Corporation.

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This white paper was developed by the UNIX Systems Cooperative Promotion Group,
which is comprised of member companies that include Digital Equipment
Corporation, SCO, Siemens Nixdorf Information Systems, Sun Microsystems and The
Open Group. The UNIX Systems Cooperative Promotion Group is a non-profit
organization of vendors committed to the development and promotion of the UNIX
operating system.