White Paper Eterprise Oracle Database Upgrade Strategy This paper describes a effective ad wrkig Oracle Database Upgrade strategy, apprach ad a executi methdlgy fr Eterprise-wide Database Upgrade prgram. Tday, mst f the rgaizatis use shared service database maagemet fuctis ivlvig multiple applicatis ad as a result the database upgrades are very cmplex ad eeds t be drive as a eterprise-wide prgram. We als aalyze hw a custmer ca hadle large ad cmplex Oracle Database Upgrade prgrams usig a apprpriate upgrade strategy ad apprach. It is evisaged that successful upgrade depeds, t ly the strategy ad apprach, but als prgram gverace, cmmitmet frm varius stakehlders ad the usage f best practices.
Abut the Authrs Sajad Javid Sajad Javid, a csultat with TCS' IT Ifrastructure Csultig Grup, has mre tha 12 years f experiece cverig a wide rage f areas icludig perfrmace, capacity ad availability maagemet, architecture slutis, system itegrati ad database techlgy refresh prgrams. Vaira Rajedra Vaira Rajedra is a seir csultat wrkig with the TCS' IT Ifrastructure Csultig Grup. He has mre tha 15 years f experiece cverig a wide rage f areas icludig perfrmace, capacity ad availability maagemet, IT Ifrastructure blue-pritig, Trasfrmati ad IT Architecture slutis. 2
Table f Ctets Abstract................................................................... 1 Need fr Database Upgrade................................................ 5 Upgrade Strategy Optis.................................................. 5 I-place upgrades...................................................... 5 Out-f-place upgrades................................................. 5 Chsig a right upgrade strategy...................................... 6 Apprach fr Eterprise Oracle Upgrade Prgram.......................... 7 Ideate Phase............................................................... 7 Discvery ad Plaig Phase.............................................. 8 Discvery............................................................. 8 Impact aalysis........................................................ 8 Plaig.............................................................. 8 Prf f Ccept Csideratis........................................... 9 Build ad Test Phase...................................................... 10 N-prducti evirmet upgrade................................. 10 Applicati remediati.............................................. 11 Testig guidelies..................................................... 11 Deplymet Phase........................................................ 12 Deplymet plaig................................................. 12 Prgram Plaig........................................................ 13 Challeges Faced......................................................... 14 Best Practices............................................................. 15 Cclusi............................................................... 15 3
List f Abbreviatis The fllwig table illustrates the list f varius abbreviatis used i this dcumet. Abbreviati ASM BAU CapEx CMDB COTS CPU DBA DBMS DBUA DR ETL OpEx OS PSG RAC ROM SAN TCS TTS QA UAT Expaded Frm Autmatic Strage Maagemet Busiess As Usual Capital Expeses Cfigurati Maagemet Database Cmmercial Off-the-Shelf Cetral Prcessig Uit Database Admiistratr Database Maagemet System Database Upgrade Assistat Disaster Recvery Extract, Trasfrm ad Lad Operatial Expeses Operatig System Prgram Steerig Grup Real Applicati Clusters Rugh Order f Magitude Strage Area Netwrk Tata Csultacy Services Trasprtable Tablespace Quality Assurace User Acceptace Testig 4
Need fr Database Upgrade Based chagig busiess eeds, Database Admiistratrs (DBAs) eed t develp a highly rbust database ad scale-up the Database Maagemet System (DBMS) slutis t match busiess eeds. If ay f these challeges exist i a IT evirmet hstig large databases, it is time t upgrade t the latest DBMS versi available i the market, i rder t vercme the fllwig challeges: The applicatis are diverse with differet perfrmace ad data eeds Busiess user base has icreased t a large extet The Database vedr has withdraw supprt fr the curret versi The data is grwig expetially Upgrade Strategy Optis Oe f the key elemets f the Eterprise Oracle Upgrade prgram is t determie the mst apprpriate upgrade strategy fr database istaces. Custmers usually perfrm i-place upgrades whe there is chage i the uderlyig hardware. Hwever, sme custmers might pt fr hardware refresh r update ad i such scearis, ut-f-place r side-by-side upgrade methds are used fr database upgrade. Sme custmers perfrm a platfrm migrati i cjucti with the Oracle upgrade (fr example, migrati frm Slaris t Liux r vice-versa). I the fllwig sub-sectis the Oracle Database Upgrade strategy ptis are discussed at a high level. I-place Upgrades I-place upgrade f Oracle databases ca be perfrmed i tw ways which are as fllws: Database Upgrade Assistat (DBUA): DBUA is used t guide ad perfrm a i-place upgrade f the database. It supprts Oracle Real Applicati Clusters (RAC) ad Autmatic Strage Maagemet (ASM). DBUA is a GUI utility ad is a iteractive tl that evaluates the curret database fuctis ad recmmeds remediati that ca be applied durig the upgrade prcess. Oce the remediati suggestis are reviewed ad accepted, the DBUA the upgrades the database. Maual Upgrade (Script Based): Maual upgrade ivlves the DBAs develpig ad executig upgrade scripts i a step-by-step maer fllwig a upgrade checklist. This prvides a greater level f ctrl, but icreases the risk, sice the steps eed t be perfrmed maually i a specified rder. Out-f-place Upgrades Out-f-place upgrade f Oracle databases ca be perfrmed i the fllwig ways: Exprt/Imprt: Oracle exprt/imprt utility ca be used fr migratig Oracle Databases frm 8i t 10g. The majr ccer whe usig this apprach is the available dwtime which is directly prprtial t the size f the database. The exprt/imprt pti may t be the suitable pti fr large size critical databases. 5
Trasprtable TableSpaces (TTS): Trasprtable tablespace pti allws a set f tablespaces t be mved frm e Oracle database t ather. The mvemet f data usig trasprtable tablespaces is much faster tha perfrmig either a exprt/imprt r ulad/lad f the same data, as the data files are simply cpied t the destiati lcati. I this case, the imprt utility is used t trasfer the metadata f the tablespace bjects t the ew database. Stadby Databases: The database migrati is achieved by creatig a stadby database i the target, upgradig it usig cvetial methds like DBUA ad switchig ver the database. The restricti i usig this pti is that the primary ad stadby databases shuld belg t the same family f the Operatig System (OS). Cmplex Upgrade Optis: There are ther cmplex upgrade ptis which csume less dwtime. Oracle GldeGate is e such prduct which helps i rllig database upgrades with ear-zer dwtime. Oracle GldeGate eables exchage ad maipulati f data at the trasacti level amg multiple, hetergeeus platfrms acrss the eterprise. Its mdular architecture prvides the flexibility t extract ad replicate selected data recrds, trasactial variatis ad chages t Data Defiiti Laguage (DDL) acrss varius tplgies. The flexibility, trasfrmati ad custm prcessig features f Oracle GldeGate eable it t be used durig side-by-side database upgrades. Chsig a Right Upgrade Strategy Chsig a right upgrade strategy requires a evaluati f the fllwig criteria: Acceptable dwtime f the database durig the upgrade Quatum f data ivlved i the upgrade/migrati Need fr chage i the hardware ad/r peratig system Techical expertise available i the IT rgaizati, especially fr cmplex database upgrades ivlvig techiques like GldeGate ad s. The upgrade strategy may vary fr each database istace i the eterprise based existig evaluati criteria. Hwever, it is recmmeded that eterprises adpt a miimum set f upgrade appraches fr a database upgrade prgram. This clearly idicates that the DBAs eed t use tls r build scripts t autmate the upgrade prcess ad thereby imprve prductivity. 6
Apprach fr Eterprise Oracle Upgrade Prgram The fllwig figure illustrates the apprach fr Eterprise-wide Oracle Database Upgrade prgram. Ideate Discvery & Plaig Prf f Ccept Build & Test Deply Activities Prduce skelet scpe Prepare Rugh Order f Magitude Idetify ad egage all stakehlders ad vedrs impacted by the iitiative Cfirm ad secure fudig fr the discvery ad plaig phase Discvery Ivetry Servers, Apps, DBs, Prducts Csts Maiteace, Facilities, Sftware, Supprt Utilizati levels f Database servers Impact Aalysis Perfrm detailed study ifrastructure & applicati Idetify pprtuities fr cslidati / virtualizati Determie suitable upgrade path & methdlgy fr each database istace Plaig Implemetati Plaig Effrt Estimati Cst Beefit Aalysis Perfrm PCs fr usupprted / ucertified / bslete prducts Develp Strategies fr Upgrade, Testig, Backup, Back-Out, Mitrig etc. Refie sluti based PC utcme Detailed test apprach ad pla Applicati Baselie test (Fuctial ad Perfrmace) Dev/ Itegrati Database Upgrades Uit test Applicati remediati chages Execute applicati regressi test & perfrmace test Test the back-ut strategy Verify ad sigff test results Develp detailed Prd deplymet pla Review DB & system mgmt framewrk Perfrm adjustmets t database maiteace tasks Defie beefits measuremet framewrk Perfrm prducti acceptace testig Prducti deplymet Perfrm pst-migrati tasks Impart ecessary traiig t BAU team t eable smth trasiti f supprt Outputs ROM dcumet Iitial Busiess Case Discvery reprt Sluti Strategy Implemetati pla Busiess case PC results Deplymet Pla Fallback strategy Dcumeted best practices Applicati Remediati Prducti Deplymet Pla Upgraded Databases Beefits Realizati Figure 1: Apprach fr Eterprise-wide Oracle Database Upgrade The subsequet sectis prvide a detailed explaati each phase f the upgrade prgram. Ideate Phase The database upgrade prgram is iitiated by defiig the scpe ad visi. The ideate phase csists f the fllwig activities: Prduce a skelet scpe dcumet Prepare Rugh Order f Magitude (ROM) f Capital Expeses (CapEx) ad Operatial Expeses (OpEx) Idetify ad egage all stakehlders ad vedrs impacted by the iitiative Cfirm ad secure fudig fr the discvery ad plaig phase 7
Discvery ad Plaig Phase Discvery The discvery phase primarily ivlves preparig a cmprehesive ivetry f Oracle databases, depedet applicatis, IT Ifrastructure cmpets (Server ad Strage) ad techlgy prducts used by the applicatis ad database maagemet/admiistrati team ad s. A majrity f ifrmati ca be btaied frm varius surces such as the Cfigurati Maagemet Database (CMDB) r ay kid f eterprise repsitry available with the IT rgaizati. I cases where the ifrmati is t readily available, it will be gathered by meas f questiaires ad data cllecti templates circulated t the relevat stakehlders. Preparati f a cmprehesive ivetry ad baseliig it is a key factr fr the success f the upgrade prgram. The ivetry csists f the fllwig cmpets: Database Ivetry It ivlves cllectig the surce evirmet database details alg with ther ifrmati such as hstame, versi, evirmet (prducti/itegrati/develpmet/qa ad s ) ad applicatis usig the database, database patch/maiteace level ad s. Database Server Ivetry It ivlves cllectig ifrmati such as server mdel, CPU cut, OS versi ad patch level, server CPU utilizati levels ad s. Applicati Ivetry It ivlves cllectig the surce applicati details alg with ther ifrmati such as the assciated Oracle database, applicati criticality, applicati availability classificati, techlgies used, vedr (Cmmercial Off-the-Shelf (COTS) prduct packages/applicati supprt vedr ad s ), web server/applicati server versi ad patch set details, applicati architecture style (wrkstati based/multitier applicati/mlithic) ad s. Techlgy Prducts ad Tls Ivetry It ivlves cllectig details such as database admiistrati ad maiteace tls, reprtig utilities, data replicati tls, ETL tls ad s. Impact Aalysis Impact aalysis is perfrmed t uderstad the impact f the database upgrade applicatis, peratig systems, database bjects, tls, prducts ad s. Impact aalysis ivlves the fllwig: Idetificati f applicati cmpets impacted by the upgrade i the frm f SQL chages, chages i behavir f SQL statemets r usage f ew Oracle reserved keywrds Aalyzig ad determiig the impact hardware, OS, tls ad prducts Determiig the vedr certificati fr the database upgrades i case f third party package sftware r COTS packages Determiig the miimum level t which a database ca be upgraded, if ther applicati cmpets r techlgies cat. (Fr istace, a applicati usig Weblgic 8.0.x may t be cmpatible with Oracle 11gR2) 8
Plaig Plaig phase ivlves creati f a radmap ad the busiess beefits case fr the Oracle Upgrade. It ivlves the fllwig: Determiig the suitable upgrade strategy, path ad methdlgy fr each database istace Plaig the capacity fr the target state ifrastructure (servers ad strage) Develpig strategies fr testig, backup, back-ut, mitrig ad s Estimatig the effrt fr upgradig the fllwig: System Admiistrati (Uix / Liux Server ad Strage admi) Oracle Database Admiistratrs (Applicati DBAs) Oracle System DBAs Applicati remediati Applicati testig Tls/prducts upgrades/chages Prgram Maagemet ad C-rdiati Detailed implemetati plaig ad schedulig f upgrades Fall back plaig Risk ad mitigati plaig Cst beefit aalysis Preparati f a busiess case fr upgrade Rllback Strategy A imprtat best practice t be fllwed while upgradig the database is t always have a well-tested rllback strategy. If the upgraded database is ustable r its perfrmace is pr ad there is time t trublesht the issue, csider dwgradig r implemetig the rllback pla t retur t the previus versi. A cmprehesive rllback pla icludig applicati rllback csiderati, prducts/packages/tl upgrade related rllback ad database level rllback shuld be develped prir t the upgrade f each database istace. It is als recmmeded t test the rllback prcess at least ce fr each f the upgrade strategies that are adpted (fr example, script based, exprt/imprt ad s ) i the develpmet evirmets. Prf f Ccept Csideratis Prf-f-Ccepts (PCs) shuld be perfrmed prir t the eterprise-wide upgrade prgram t fie-tue ad revise the strategy, fidigs ad cclusis made durig the discvery ad plaig phase. 9
PCs are perfrmed i the fllwig scearis: Cmpatibility testig f certai ut-f-supprt applicati sftware that is used i the eterprise Cmpatibility testig f certai prducts/prduct versis which are t certified t wrk with target versis f the Oracle database Testig the feasibility f a utested upgrade methd Imprvig cfidece i IT applicati teams that are reluctat t upgrade The PC csists f the fllwig steps: Idetifyig the databases, applicatis ad prducts t be used i PC Perfrmig the database upgrade Perfrmig applicati testig/prduct cmpatibility testig Dcumetig the challeges, lesss leart ad results Refiig/fie-tuig the upgrade strategy ad deplymet pla Build ad Test Phase The build ad test phase primarily csists f -prducti evirmet upgrades, applicati remediati ad testig. N-Prducti Evirmet Upgrade N-prducti evirmets (develpmet, itegrati, User Acceptace Testig (UAT)/Quality Assurace (QA), traiig ad s ) are upgraded ad tested i this stage. The activities listed i the fllwig table are perfrmed i this stage: Activity Server Prvisiig Strage Prvisiig Oracle Istallati Oracle Upgrade Database Validati User Validati / Checkut Respsible Team System Admiistrati (Uix / Liux Admi) Strage Admiistratr Oracle System DBA r Oracle DBA Oracle DBA Oracle DBA IT Applicati Teams Remarks I cases, where a ew hardware is prcured t build target (upgraded) databases, the peratig system is built ad the server is deplyed i the etwrk. The required strage is allcated t Strage Area Netwrk (SAN) ad mapped t respective servers. The ew Oracle sftware is istalled i the target server. I-place upgrade r side-by-side upgrade ivlvig data migrati is perfrmed usig the selected upgrade methd (exprt/imprt, TTS ad s ). The database bject cuts, rw-cuts ad s are validated i this step. This step is critical i case f side-by-side upgrade. The upgraded database is validated ad tested by the IT applicati users. Table 1: N-Prducti Evirmet Upgrade Activities 10
The database upgrade i the -prd evirmet is fllwed by remediati f kw applicati cmpatibility issues. This will fllw a full-fledged applicati fuctial testig ad slvig ay upgrade related icmpatibilities that are discvered durig fuctial testig. Depedig the criticality f the applicati, several ther types f testig (perfrmace, regressi ad s ) will be carried ut t esure a defect-free deplymet. Applicati Remediati Baselie fuctial ad perfrmace testig is perfrmed prir t the database upgrade usig the curret database versi. Applicati access paths are saved i a repsitry t create a perfrmace baselie ad the applicati remediati chages are dcumeted. The applicati chages i cecti with the upgrade are primarily due t database versi/release related icmpatibilities which are as fllws: Remval f deprecated/u-supprted features Makig adjustmet t chage the behavir f SQL statemets (fr example, Oracle 10g requires a explicit rder by clause t esure that the statemets usig grup by prduce results i a srted rder) Makig adjustmets t applicati prgrams r stred prcedures due t release specific chages (fr example, ew SQL cdes are itrduced which eeds t be hadled by the applicati) Applicati remediati is typically hadled by the respective Busiess As Usual (BAU) applicati supprt teams. Hwever, sme IT rgaizatis deply a shared services team called Applicati Remediati, which will perfrm activities like baselie testig, applicati remediati chages ad pst-upgrade testig. Testig Guidelies The high-level testig guidelies listed i the fllwig table are recmmeded fr Oracle Upgrade prgrams. Type f Testig Baselie Testig Uit Testig Fuctial Testig Fallback Testig Perfrmace Testig User Acceptace Respsible Team IT Applicati Teams IT Applicati Teams IT Applicati Teams DBA Team IT App Teams IT Applicati Teams Remarks Baselie fuctial ad perfrmace testig is perfrmed prir t the upgrade usig the existig database versi. Applicati access paths are stred fr perfrmace critical applicatis. The plaed applicati chages are uit tested. The test cverage varies frm 70% t 20% depedig the criticality f the applicati. A trial rllback testig fr the upgrade execute rllback is carried ut at least ce fr each f the upgrade methds that are adpted (fr example, maual scripts, TTS, exprt/imprt ad s ). It is recmmeded fr perfrmace critical applicatis. All prducti implemetatis will be preceded by a UAT i the desigated evirmet. Table 2: Testig Guidelies 11
Deplymet Phase This phase primarily ivlves deplymet plaig ad executi f the database upgrade fr the prducti databases ad als the assciated Disaster Recvery (DR) databases if ay. Deplymet Plaig A full-fledged deplymet plaig is the key t esure a smth rll-ut f prducti database upgrade. Thugh the set f tasks may seem similar fr all database upgrades, it is strgly recmmeded t have a separate detailed pla (typically kw as ru-bk ) fr each ad every prducti database deplymet. This is because tw deplymets are idetical ad there will be specific tasks t be perfrmed fr a give database. A cmprehesive deplymet pla shuld address the fllwig: Idetificati f all affected applicatis (icludig depedet applicatis which have upstream ad dwstream depedecies) fr a give database Idetificati f all prcesses (such as batch jbs that are scheduled thrugh a eterprise scheduler) t be put hld durig the upgrade activities ad later triggered after a successful upgrade Idetificati f a ru-bk cmprisig the chrlgical sequece f evets ad milestes such as: Preparatry ad pre-requisite tasks/milestes t be accmplished prir t the scheduled dwtime fr the upgrade Tasks ad assiged respsibility durig the upgrade Pst upgrade validati tasks perfrmed by the DBA team Pst upgrade cfigurati chages perfrmed by admiistratrs (fr example, TNS etry chages i LDAP servers) Pst upgrade IT/busiess checkut/validati f applicati cmpets G/-g decisi Rllback steps i the evet f a -g decisi Stakehlder cmmuicati pla cverig all affected applicatis ad supprt grups ivlved i the upgrade activities directly r idirectly A cmprehesive list ad ctact details f stakehlders, icludig the -call supprt persel wh may be required durig the upgrade prcess A timelie estimate f the upgrade activities especially if it ivlves a sizeable dwtime ad is perfrmed usig methds like exprt/imprt, TTS ad s. The timelie shuld als iclude the estimates fr a pssible rllback i the evet f a -g decisi by the applicati teams Rllback pla 12
Prgram Plaig Fllwig figure illustrates the key service cmpets ivlved i the Eterprise Oracle Upgrade prgram. Prgram Gverace (PSG + Prgram Maagemet) Assessmet Services Ivetry (Discvery) Impact Aalysis Estimati Upgrade Strategy Upgrade Schedule Upgrade Services Pre Upgrade Steps Rllback Pla Upgrade DB Pst Upgrade Validati Applicati Remediati Services Test Strategy & Pla Baselie Testig App Chages Fuctial Testig Perfrmace Testig UAT Perfrmace Tuig Rllut & Deplymet Services Deplymet Plaig & Crdiati Pst-Upgrade Perfrmace Optimizati Figure 2: Key Service Cmpets f Eterprise Oracle Upgrade Prgram Ather key t the success f Eterprise Oracle Upgrade iitiatives is the establishmet f a strg prgram maagemet fucti ad gverace framewrk. A eterprise-wide upgrade prgram requires extesive crdiati acrss varius grups i the IT rgaizati ad exteral vedrs. A Prgram Steerig Grup (PSG) cmprisig seir IT maagers is essetial t esure a sustaied cmmitmet frm all the ivlved parties. The PSG shuld have represetatives frm seir maagemet belgig t varius fuctis like applicati develpmet/maiteace, database admiistrati, ifrastructure services, QA, prducti supprt ad s. 13
TCS has pieered a factry mdel fr executig large-scale database upgrade prgrams, which has bee very effective ad peratial i several custmer sites. The upgrade factry is essetially a cre team that csists f dedicated resurces with a ed-t-ed perspective f the upgrade prgram. The cre team cmprises prgram ad prject maagers, database admiistratrs ad applicati impact aalysts wh will wrk thrugh-ut the lifecycle f the upgrade prgram startig frm the discvery ad plaig phase thrugh the deplymet phase. They egage the respective Busiess-As-Usual (BAU) teams like ifrastructure (server ad strage admiistratrs), system, applicati DBA team, applicati supprt teams ad s, i varius stages f the prject accrdig t the prgram schedule. Sme f the critical tasks perfrmed by the BAU teams are als crdiated ad tracked by the upgrade prgram maagemet team ad sme ther tasks are maaged by the respective teams themselves. Challeges Faced The mst cmm challeges faced durig the eterprise-wide Oracle Upgrade prgrams are as fllws: Applicati cmplexity ad legacy ature f applicatis fte makes applicati aalysis/techlgy cmpatibility aalysis r upgrade feasibility aalysis challegig Lack f applicati/evirmet kwledge makes applicati discvery a critical issue Shared databases (databases shared by multiple applicatis ad stakehlder grups withi the eterprise) fte create challeges while schedulig upgrades due t strict SLAs the database availability Retrfittig applicati remediati chages (due t the Oracle database upgrade) alg with plaed/gig applicati iitiatives/chages. Best Practices The fllwig are sme f the imprtat best practices t be csidered while executig eterprise- wide database upgrade prgrams: Baselie the existig ivetry prir t the start f the Build ad Test phase Review ad sig-ff f the discvery elemets shuld be de by all the relevat stakehlders by the ed f the Discvery ad Plaig phase Esure that prper chage ctrl mechaisms are i place t address ay scpe chages that are ecutered after the Discvery ad Plaig phase Establish weekly r frtightly reviews by the prgram steerig grup Establish frums (itraet prtal r a recurrig meetig r kwledge maagemet prtal) t discuss issues faced ad lesss leared Esure participati frm all applicati teams i the kwledge sharig mechaism Maitai a techical issue register which describes the issues faced, symptms, aalysis perfrmed, rt cause, sluti ad s. 14
Cclusi A large ad cmplex eterprise-wide Oracle database upgrade strategy may seem dautig at first, but the eterprise shuld take icremetal steps t get started implemetig the strategy ad vercmig the bstacles by utilizig ew techlgies readily available i the market. The fllwig key factrs eed t be csidered fr a successful Eterprise-wide database upgrade prgram: Establish a Prgram Steerig Grup (PSG) Defie clear rles ad respsibilities fr the upgrade teams ad stakehlders Defie apprpriate upgrade strategy ad ru-bk fr each ad every database Esure participati ad cmmitmet frm all stakehlders 15
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