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This chapter is from the book

Upgrading DBMS Versions and Releases

Change is a fact of life, and each of the major DBMS products changes quite rapidly. A typical release cycle for DBMS software is 18 to 24 months for major releases, with constant bug fixes and maintenance updates delivered between major releases. Indeed, keeping DBMS software up-to-date can be a full-time job.

The DBA must develop an approach to upgrading DBMS software that conforms to the organization’s needs and minimizes business disruptions due to outages and database unavailability.

You may have noticed that I use the terms version and release somewhat interchangeably. That is fine for a broad discussion of DBMS upgrades, but a more precise definition is warranted. For a better discussion of the differences between a version and a release, please refer to the sidebar.

A DBMS version upgrade can be thought of as a special case of a new installation. All the procedures required of a new installation apply to an upgrade: You must plan for appropriate resources, reconsider all system parameters, and ensure that all supporting software is appropriately connected. However, another serious issue must be planned for: existing users and applications. An upgrade needs to be planned to cause as little disruption to the existing users as possible. Furthermore, any additional software that works with the DBMS (such as purchased applications, DBA tools, utilities, and so on) must be verified to be compatible with the new DBMS version. Therefore, upgrading can be a tricky and difficult task.

In a complex, heterogeneous, distributed database environment, a coherent upgrade strategy is essential. Truthfully, even organizations with only a single DBMS should approach DBMS upgrades cautiously and plan accordingly. Failure to plan a DBMS upgrade can result in improper and inefficient adoption of new features, performance degradation of new and existing applications, and downtime.

Upgrading to a new DBMS release offers both rewards and risks. The following are some of the benefits of moving to a new release:

  • Developers can avail themselves of new features and functionality delivered only in the new release. If development requires a new feature, or can simply benefit from a new feature, program development time can be reduced or made more cost-effective.
  • For purchased applications, the application vendor may require a specific DBMS version or release for specific versions of its application to enable specific functionality within the application.
  • New DBMS releases usually deliver enhanced performance and availability features that can optimize existing applications. Sometimes a new DBMS release is required to scale applications to support additional users or larger amounts of data.
  • DBMS vendors often provide better support and respond to problems faster for a new release of their software. DBMS vendors are loath to allow bad publicity about bugs in a new and heavily promoted version of their products.
  • Cost savings may accrue by upgrading to a new DBMS release. Some vendors charge additionally when a company uses multiple versions of a DBMS, such as the new version in a test environment and the old in production. When both are migrated to the same version, the price tag for the DBMS sometimes can be reduced.
  • Production migration to a new DBMS release will align the test and production database environments, thereby providing a consistent environment for development and implementation. If a new release is running in the test environment for too long, database administration and application development tasks become more difficult because the test databases will operate differently from the production databases.

However, an effective DBMS upgrade strategy must balance the benefits against the risks of upgrading to arrive at the best timeline for migrating to a new DBMS version or release. The risks of upgrading to a new DBMS release include the following:

  • An upgrade to the DBMS usually involves some level of disruption to business operations. At a minimum, databases will not be available while the DBMS is being upgraded. This can result in downtime and lost business opportunities if the DBMS upgrade occurs during normal business hours (or if there is no planned downtime). Clustered database implementations may permit some database availability while individual database clusters are migrated to the new DBMS version.
  • Other disruptions can occur, such as having to convert database structures or discovering that previously supported features were removed from the new release (thereby causing application errors). Delays to application implementation timelines are another possibility.
  • The cost of an upgrade can be a significant barrier to DBMS release migration. First, the cost of the new version or release must be budgeted for (price increases for a new DBMS version can amount to as much as 10 to 25 percent). The upgrade cost must also factor in the costs of planning, installing, testing, and deploying not just the DBMS but also any applications that use databases. Finally, be sure to include the cost of any new resources (such as memory, storage, additional CPUs) required to use the new features delivered by the new DBMS version.6
  • DBMS vendors usually tout the performance gains that can be achieved with a new release. However, when SQL optimization techniques change, it is possible that a new DBMS release will generate SQL access paths that perform worse than before. DBAs must implement a rigorous testing process to ensure that new access paths are helping, not harming, application performance. When performance suffers, application code may need to be changed—a very costly and time-consuming endeavor. A rigorous test process should be able to catch most of the access path changes in the test environment.
  • New DBMS releases may cause features and syntax that are being used in existing applications to be deprecated.7 When this occurs, the applications must be modified before migration to the new release can proceed.
  • To take advantage of improvements implemented in a new DBMS release, the DBA may have to apply some invasive changes. For example, if the new version increases the maximum size for a database object, the DBA may have to drop and recreate that object to take advantage of the new maximum. This will be the case when the DBMS adds internal control structures to facilitate such changes.
  • Supporting software products may lack immediate support for a new DBMS release. Supporting software includes the operating system, transaction processors, message queues, purchased applications, DBA tools, development tools, and query and reporting software.

After weighing the benefits of upgrading against the risks of a new DBMS release, the DBA group must create an upgrade plan that works for the organization. Sometimes the decision will be to upgrade immediately upon availability, but often there is a lag between the general availability of a new release and its widespread adoption.

When the risks of a new release outweigh the benefits, some organizations may decide to skip an interim release if doing so does not impact a future upgrade. For example, a good number of Oracle customers migrated directly from Oracle7 to Oracle8i, skipping Oracle8. If the DBMS vendor does not allow users to bypass a version or release, it is still possible to “skip” a release by waiting to implement that release until the next release is available. For example, consider the following scenario:

  1. ABC Corporation is using DB Version 8 from DBCorp.
  2. DBCorp announces Version 9 of DB.
  3. ABC Corporation analyzes the features and risks and determines not to upgrade immediately.
  4. DBCorp later announces DB Version 10 and that no direct migration path will be provided from Version 8 to Version 10.
  5. ABC Corporation decides that DB Version 10 provides many useful features and wants to upgrade its current Version 8 implementation of DB. However, it has no compelling reason to first implement and use Version 9.
  6. To fulfill its requirements, ABC Corporation first upgrades Version 8 to Version 9 and then immediately upgrades Version 9 to Version 10.

Although a multiple-release upgrade takes more time, it allows customers to effectively control when and how they will migrate to new releases of a DBMS instead of being held hostage by the DBMS vendor. When attempting a multiple-release upgrade of this type, be sure to fully understand the features and functionality added by the DBMS vendor for each interim release. In the case of the hypothetical ABC Corporation, the DBAs would need to research and prepare for the new features of not just Version 10 but also Version 9.

An appropriate DBMS upgrade strategy depends on many things. The following sections outline the issues that must be factored into an effective DBMS release upgrade strategy.

Features and Complexity

Perhaps the biggest factor in determining when and how to upgrade to a new DBMS release is the functionality supported by the new release. Tightly coupled to functionality is the inherent complexity involved in supporting and administering new features.

It is more difficult to delay an upgrade if application developers are clamoring for new DBMS features. If DBMS functionality can minimize the cost and effort of application development, the DBA group will feel pressure to migrate swiftly to the new release. An additional factor that will coerce rapid adoption of a new release is when DBMS problems are fixed in the new release (instead of through regular maintenance fixes).

Regardless of a new release’s “bells and whistles,” certain administration and implementation details must be addressed before upgrading. The DBA group must ensure that standards are modified to include the new features, educate developers and users as to how new features work and should be used, and prepare the infrastructure to support the new DBMS functionality.

The types of changes required to support the new functionality must be factored into the upgrade strategy. When the DBMS vendor makes changes to internal structures, data page layouts, or address spaces, the risks of upgrading are greater. Additional testing is warranted in these situations to ensure that database utilities, DBA tools, and data extraction and movement tools still work with the revised internal structures.

Complexity of the DBMS Environment

The more complex your database environment is, the more difficult it will be to upgrade to a new DBMS release. The first complexity issue is the size of the environment. The greater the number of database servers, instances, applications, and users, the greater the complexity. Additional concerns include the types of applications being supported. A DBMS upgrade is easier to implement if only simple, batch-oriented applications are involved. As the complexity and availability requirements of the applications increase, the difficulty of upgrading also increases.

Location of the database servers also affects the release upgrade strategy. Effectively planning and deploying a DBMS upgrade across multiple database servers at various locations supporting different lines of business is difficult. It is likely that an upgrade strategy will involve periods of supporting multiple versions of the DBMS at different locations and for different applications. Supporting different versions in production should be avoided, but that is not always possible.

Finally, the complexity of the applications that access your databases must be considered. The more complex your applications are, the more difficult it will be to ensure their continuing uninterrupted functionality when the DBMS is modified. Complexity issues include the following:

  • Usage of stored procedures and user-defined functions.
  • Complexity of the SQL—the more tables involved in the SQL and the more complex the SQL features, the more difficult it becomes to ensure that access path changes do not impact performance.
  • Client/server processing—network usage and usage of multiple tiers complicates testing the new DBMS release.
  • Applications that are designed, coded, and generated by a framework or an IDE (for example, Hibernate) may have additional components that need to be tested with a new DBMS release.
  • Integration with other infrastructure software such as message queues and transaction processors can complicate migration because new versions of these products may be required to support the new DBMS release.
  • The language used by the programs might also impact DBMS release migration due to different support for compiler versions, changes to APIs (application programming interfaces), or new ways of embedding SQL into application programs.

Reputation of the DBMS Vendor

DBMS vendors have different reputations for technical support, fixing bugs, and responding to problems, which is why customer references are so important when choosing a database.

The better the reputation of the vendor, the greater the likelihood of organizations rapidly adopting a new release. If the DBMS vendor is good at responding to problems and supporting its customers as they migrate to new releases, those customers will more actively engage in migration activities.

Support Policies of the DBMS

As new releases are introduced, DBMS vendors will retire older releases and no longer support them. The length of time that the DBMS vendor will support an old release must be factored into the DBMS release migration strategy. You should never run a DBMS release in production that is no longer supported by the vendor. If problems occur, the DBMS vendor will not be able to resolve them for you.

Sometimes a DBMS vendor will provide support for a retired release on a special basis and at an increased maintenance charge. If you absolutely must continue using a retired DBMS release (for business or application issues), be sure to investigate the DBMS vendor’s policies regarding support for retired releases of its software.

Organization Style

Every organization displays characteristics that reveal its style when it comes to adopting new products and technologies. Industry analysts at Gartner, Inc., have ranked organizations into three distinct groups labeled types A, B, and C. A type-A enterprise is technology driven and, as such, is more likely to risk using new and unproven technologies to try to gain a competitive advantage. A type-B organization is less willing to take risks but will adopt new technologies once others have shaken out the bugs. Finally, a type-C enterprise, very conscious of cost and averse to risk, will lag behind the majority when it comes to migrating to new technology.

Only type-A organizations should plan on moving aggressively to new DBMS releases immediately upon availability and only if the new features of the release will deliver advantages to the company. Type-C enterprises should adopt a very conservative strategy to ensure that the DBMS release is stable and well tested by type-A and type-B companies first. Type-B organizations will fall somewhere between types A and C: Almost never upgrading immediately, the type-B company will adopt the new release after the earliest users have shaken out the biggest problems, but well before type-C enterprises.

DBA Staff Skill Set

Upgrading the DBMS is easier if your DBA staff is highly skilled and/or experienced. The risk of an upgrade increases as the skills of the DBA staff decrease. If your DBAs are not highly skilled, or have never migrated a DBMS to a new release, consider augmenting your DBA staff with consultants for the upgrade. Deploying an integrated team of internal DBAs and consultants will ensure that your upgrade goes as smoothly as possible. Furthermore, the DBA staff will be better prepared to handle the future upgrades alone.

If consultants will be required, be sure to include their contracting cost in the DBMS release upgrade budget. The budget should allow you to retain the consultants until all production database environments are stable.

Platform Support

When a DBMS vendor unleashes a new release of its product, not all platforms and operating systems are immediately supported. The DBMS vendor usually first supports the platforms and operating systems for which it has the most licensed customers. The order in which platforms are supported for a new release is likely to differ for each DBMS vendor. For example, Linux for System z is more strategic to IBM than to Oracle, so a new DB2 release will most likely support Linux for System z very quickly, whereas this may not be true of Oracle. The issue is even thornier for UNIX platforms because of the sheer number of UNIX variants in the marketplace. The most popular variants are Oracle’s Solaris, IBM’s AIX, Hewlett-Packard’s HP-UX, and Linux, the open-source version of UNIX (the Red Hat and Suse distributions are supported more frequently and rapidly than others). Most DBMS vendors will support these UNIX platforms quickly upon general availability. Other less popular varieties of UNIX will take longer for the DBMS vendors to support.

When planning your DBMS upgrade, be sure to consider the DBMS platforms you use and try to gauge the priority of your platform to your vendor. Be sure to build some lag time into your release migration strategy to accommodate the vendor’s delivery schedule for your specific platforms.

Supporting Software

Carefully consider the impact of a DBMS upgrade on any supporting software. Supporting software includes purchased applications, DBA tools, reporting and analysis tools, and query tools. Each software vendor will have a different time frame for supporting and exploiting a new DBMS release. Review the sidebar to understand the difference between support and exploitation of a new DBMS release.

Some third-party tool vendors follow guidelines for supporting and exploiting new DBMS releases. Whenever possible, ask your vendors to state their policies for DBMS upgrade support. Your vendors will probably not commit to any firm date or date range to support new versions and releases—some DBMS versions are larger and more complicated and therefore take longer to fully exploit.

Fallback Planning

Each new DBMS version or release should come with a manual that outlines the new features of the release and describes the fallback procedures to return to a prior release of the DBMS. Be sure to review the fallback procedures provided by the DBMS vendor in its release guide. You may need to return to a previous DBMS release if the upgrade contains a bug, performance problems ensue, or other problems arise during or immediately after migration. Keep in mind that fallback is not always an option for every new DBMS release.

If fallback is possible, follow the DBMS vendor’s recommended procedures to enable it. You may need to delay the implementation of certain new features for fallback to remain an option. Understand fully the limitations imposed by the DBMS vendor on fallback, and exploit new features only when fallback is no longer an option for your organization.

Migration Verification

The DBA should implement procedures—similar to those for a new installation—to verify that the DBMS release upgrade is satisfactory. Perform the same steps as with a brand-new DBMS install, but also test a representative sampling of your in-house applications to verify that the DBMS upgrade is working correctly and performing satisfactorily.

The DBMS Upgrade Strategy

In general, design your DBMS release upgrade policy according to the guidelines discussed in the preceding sections. Each specific DBMS upgrade will be unique, but the strategies we’ve discussed will help you to achieve success more readily. A well-thought-out DBMS upgrade strategy will prepare you to support new DBMS releases with minimum impact on your organization and in a style best suited to your company.

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