Upgrading and Migrating an IQ database from older ... - Sybase

ASE 15 Upgrade Checklist 

For Upgrading From ASE 12.x 

To the Latest Version of ASE 

Sybase Technical Support, CS&S 

Version: 3.0 

Revised: May, 2012 

www.sybase.com

TABLE OF CONTENTS 

INTRODUCTION ............................................................................................................................................................... 7 

Audience............................................................................................................................................................ 7 

Purpose ............................................................................................................................................................. 7 

Where To Get Help ............................................................................................................................................ 7 

Assumptions and Limitations of this Document ............................................................................................... 8 

Platform Migrations ............................................................................................................................ 8 

New ASE Installations .......................................................................................................................... 8 

ASE Tuning Limitations ........................................................................................................................ 9 

Major New Features of ASE 15 ....................................................................................................................... 10 

Summary of New Features for ASE 15 ............................................................................................................ 10 

Summary of New Features in ASE 15.7 ............................................................................................. 10 

Summary of New Features for ASE 15.5 ........................................................................................... 12 

RECOMMENDED READING ............................................................................................................................................ 13 

ASE Product Documentation ........................................................................................................................... 13 

Sybase White Papers ....................................................................................................................................... 13 

DEFINITION OF TERMS .................................................................................................................................................. 15 

References ....................................................................................................................................................... 15 

Release Terminology ....................................................................................................................................... 15 

UPGRADE PATHS FOR ASE 15 ........................................................................................................................................ 19 

ASE 15 Upgrade Path for ASE 12.0.x and Older .............................................................................................. 19 

ASE 15 Upgrade Path for ASE 12.5.x ............................................................................................................... 19 

ASE 15 Upgrade Path for ASE 15.X .................................................................................................................. 19 

ASE 15 Upgrade Path for 32-bit Versions of ASE ............................................................................................ 19 

ASE 15 Upgrade Restrictions ........................................................................................................................... 19 

ASE Supported OS Platforms ........................................................................................................................... 20 

DOWGRADE AND RECOVERY PROCEDURES ................................................................................................................. 21 

Downgrading ASE ............................................................................................................................................ 21 

Loading Database Dumps From a Higher to a Lower Version of ASE ............................................................. 21 

Recovering From a Failed Upgrade ................................................................................................................. 22 

GENERAL RECOMMENDATIONS .................................................................................................................................... 23 

Upgrade to the Latest Version of ASE ............................................................................................................. 23

ASE 15 Upgrade Checklist for Upgrading from ASE 12.x Sybase ASE 15 

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Decouple Your ASE Upgrades from Other Migrations .................................................................................... 23 

Test ASE 15’s New Features ............................................................................................................................ 24 

ASE Interoperability and Upgrading to the Latest Version of OpenClient...................................................... 24 

ASE Compatability ........................................................................................................................................... 24 

UPGRADE CONSIDERTATIONS FOR ASE 15’s NEW OPTIMIZER ..................................................................................... 25 

Upgrade Considerations for ASE 15’s Optimizer Goals .................................................................................. 25 

The New Optimizer Goals ................................................................................................................. 25 

Implementation Considerations ....................................................................................................... 25 

Upgrade Considerations for ASE 15’s Optimizer Levels .................................................................................. 25 

The New Optimizer Levels................................................................................................................. 25 

Implementation Considerations ....................................................................................................... 26 

UPGRADE CONSIDERTATIONS FOR ASE 15’s NEW THREADED KERNEL ........................................................................ 26 

The New Threaded Kernel............................................................................................................................... 26 

Implementation Considerations ..................................................................................................................... 26 

NEW LICENSING CONSIDERTATIONS FOR ASE 15 ......................................................................................................... 27 

SySAM2 Licensing Changes for ASE 15............................................................................................................ 27 

SySAM is Now Required for All Licenses ......................................................................................................... 27 

SySAM Sub-Capacity Licensing ........................................................................................................................ 28 

KNOWN ISSUES ............................................................................................................................................................. 29 

Known Upgrade Issues for ASE 15.7 ............................................................................................................... 29 

Where to Learn About the Latest Known Issues and Fixes ............................................................................. 31 

Where to Get the Latest Software Fixes ......................................................................................................... 32 

PROCEDURES FOR UPGRADING FROM ASE 12.5 TO THE LATEST VERSION OF ASE ..................................................... 33 

Purpose ........................................................................................................................................................... 33 

Approach ......................................................................................................................................................... 33 

Overview of Procedures .................................................................................................................................. 33 

UPGRADE CHECKLIST FOR UPGRADING FROM ASE 12.5 TO THE LATEST VESION OF ASE ........................................... 34 

Step 1: Pre-Upgrade Planning Procedures ..................................................................................................... 34 

Step 2: Pre-Upgrade Steps ............................................................................................................................. 35 

Step 3: Upgrade Steps for the Test Environment .......................................................................................... 36 

Step 4: Post-Upgrade Steps for the Test Environment .................................................................................. 37 

Step 5: Upgrade Steps for the Production Environment ............................................................................... 38 

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ASE 15 Upgrade Checklist for ASE 12.X v3.0 Page 2 of 97 Last Update: May, 2012


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Step 6: Post-Upgrade Steps for the Production Environment ....................................................................... 39 

DETAILED PROCEDURES FOR UPGRADING FROM ASE 12.5.x TO THE LATEST VERSION OF ASE ................................. 40 

Step 1: Pre-Upgrade Planning Procedures ................................................................................................................... 40 

Step 1.1: Review the ASE Documentation ...................................................................................................... 40 

1.1.1: Recommended Reading ......................................................................................................... 40 

1.1.2: Release Bulletin ...................................................................................................................... 40 

1.1.3: Cover Letter ............................................................................................................................ 41 

1.1.4: New Features Guide ............................................................................................................... 41 

Step 1.2: Identify New Features of Interest .................................................................................................... 41 

Step 1.3: Determine Your Upgrade Version: Consider the Latest Release .................................................... 41 

Step 1.4: Determine Your Upgrade Method ................................................................................................... 42 

Step 1.5: Understand the New Licensing Requirements for ASE 15 ............................................................... 43 

Step 1.6: Understand the Increased Resource Requirements for ASE 15 ...................................................... 43 

Step 1.7: Consider Using the Semantic Partitioning Option ........................................................................... 43 

1.7.1: Paritioning .............................................................................................................................. 43 

1.7.2: Semantic Paritioning .............................................................................................................. 44 

1.7.3: ASE 15.7 Partitioning Strategies ............................................................................................. 44 

Step 1.8: Determine Your ASE Database Device Attributes ........................................................................... 45 

Step 1.9: Review and Understand the New Optimizer Goals ........................................................................ 45 

Step 1.10: Review and Understand the New Optimizer Level Settings .......................................................... 46 

Step 1.11: Review and Understand the New ASE Threaded Kernel ............................................................... 47 

1.11.1: Overview of the New Threaded Kernel ................................................................................ 47 

1.11.2: General Considerations ........................................................................................................ 48 

1.11.3: Threaded Kernel Configuration Changes ............................................................................. 48 

Step 1.12: Review Any Trace Flags Used at Startup........................................................................................ 49 

Step 1.13: Evaluate Client Interoperability and Third Party Compatibility..................................................... 49 

Step 1.14: Evaluate Application Interfaces and Replication ........................................................................... 49 

Step 1.15: Evaluate Your Disaster Recovery Procedures ................................................................................ 49 

Step 1.16: Evaluate the Latest Known Issues .................................................................................................. 50 

Step 1.17: Create an Overall Project Plan ....................................................................................................... 50 

1.17.1: Purpose ................................................................................................................................ 50 

1.17.2: Considerations ..................................................................................................................... 50 

Step 1.18: Create a Tactical Plan ..................................................................................................................... 51 

1.18.1: Purpose ................................................................................................................................ 51 

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Step 1.19: Create a Test Plan .......................................................................................................................... 52 

1.19.1: Goals ..................................................................................................................................... 52 


Step 2: Pre-Upgrade Procedures .................................................................................................................................. 53 

Step 2.1: Build a Test Environment to Perform Post-Upgrade Testing .......................................................... 53 

Step 2.2: Identify, Obtain and Deploy Your New ASE 15 Licenses .................................................................. 53 

2.2.1: Overview ................................................................................................................................ 53 

2.2.2: Idenifying Your ASE Licenses .................................................................................................. 53 

2.2.3: Choosing a License Model ...................................................................................................... 54 

2.2.4: Downloading Your ASE Core License ..................................................................................... 54 

2.2.5: Download Your Optional ASE Licenses .................................................................................. 56 

2.2.6: Deploy Your New SySAM2 Licensing Files.............................................................................. 56 

2.2.7: SySAM Licensing Documentation........................................................................................... 56 

2.2.8: Detect SySAM Errors and Take the Appropriate Action ........................................................ 57 

Step 2.3: Create a Pre-Upgrade Baseline of Query Performance ................................................................... 58 

Step 2.4: Generate and Save Abstract Plans ................................................................................................... 59 

Step 2.5: Verify the Free Space in All Databases ............................................................................................ 59 

Step 2.6: Verify the Number of Locks Configured for Upgrade ...................................................................... 60 

Step 2.7: Consider Replacing the Update Statistics Command ...................................................................... 60 

Step 2.8: Perform the Pre-Upgrade Steps in the Install Guide ....................................................................... 61 

Step 2.9: Perform the Pre-Installation Tasks For a Clean Install (as needed) ................................................. 62 

Step 2.10: Perform the Pre-Upgrade Steps for Applying an EBF .................................................................... 62 

Step 2.11: Implement Your ASE Database Device Attributes ......................................................................... 62 

Step 2.12: Check the Consistency of the Master and All User Databases ...................................................... 62 

2.12.1: General Consistency Checks ................................................................................................ 62 

2.12.2: Check System Tables ............................................................................................................ 62 

Step 2.13: Backup All User Databases ............................................................................................................. 63 

Step 2.14: Backup the Master Database ......................................................................................................... 63 

Step 2.15: Dump the Transaction Log ............................................................................................................. 64 

Step 3: Upgrade Steps for the Test Environment ........................................................................................................ 65 

Step 3.1: Bulk Copy Out Key System Tables .................................................................................................... 65 

Step 3.2: Disable Replication ........................................................................................................................... 65 

Step 3.3: Unpartition All Partitioned Tables ................................................................................................... 66 

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Step 3.4: Quiesce All Databases ...................................................................................................................... 66 

Step 3.5: Perform the Upgrade ....................................................................................................................... 67 

Step 3.6: Upgrade Your Client Software ......................................................................................................... 67 

Step 3.7: Upgrade Your Middleware, Interfaces and 3 rd Party Software ........................................................ 67 

Step 3.8: Upgrade Any Other Software .......................................................................................................... 67 

Step 4: Post-Upgrade Steps for the Test Environment ................................................................................................ 68 

Overview ......................................................................................................................................................... 68 

Step 4.1: Perform the Post-Upgrade Steps ..................................................................................................... 68 

4.1.1: Post-Installation Tasks ............................................................................................................ 68 

4.1.2: Post-Upgrade Tasks For Your EBF .......................................................................................... 68 

4.1.3: Rolling Back an EBF ................................................................................................................ 69 

4.1.4: Re-Enable Replication ............................................................................................................ 69 

Step 4.2: Recreate Table Partitions ................................................................................................................. 69 

Step 4.3: Replace the “Update Statistics” Command ..................................................................................... 69 

Step 4.4: Delete or Update Stale Statistics ..................................................................................................... 69 

4.4.1: Identify Stale Statistics ........................................................................................................... 70 

4.4.2: Delete Stale Statistics ............................................................................................................. 70 

4.4.3: Restore Statistics (as needed) ................................................................................................ 70 

Step 4.5: Recreate Optimizer Statistics ........................................................................................................... 70 

4.5.1: Missing Statistics .................................................................................................................... 70 

4.5.2: Estimate Ideal Step Counts .................................................................................................... 71 

4.5.3: Optimizer Statistics Documentation ...................................................................................... 72 

Step 4.6: Configure and Tune the New ASE 15 Resources Requirements ...................................................... 72 

Step 4.6.1: Overview ........................................................................................................................ 72 

Step 4.6.2: Configure Procedure Cache ........................................................................................... 72 

Step 4.6.3: Re-Size Tempdb ............................................................................................................. 72 

Step 4.6.4: Semantic Partitioning and Sizing the Number of Open Partitions ................................ 73 

Step 4.6.5: Statement Cache and Literal Auto-Parameterization .................................................... 73 

Step 4.7: Configure and Tune the New Kernel Resource Settings .................................................................. 75 

4.7.1: Overview ................................................................................................................................. 75 

4.7.2: Switching Kernel Modes ......................................................................................................... 75 

4.7.3: Setting the File Descriptor Values .......................................................................................... 76 

4.7.4: Setting the Kernel Resource Memory Parameter .................................................................. 77 

4.7.5: Setting the Max Online Engines Parameter ........................................................................... 78 

4.7.6: Setting the Idle Timeout Parameter ...................................................................................... 78 

4.7.7: Errorlog Changes .................................................................................................................... 81 

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4.7.8: Testing .................................................................................................................................... 81 

Step 4.8: Create and Maintain a Post-Upgrade Baseline ................................................................................ 81 

Step 4.8.1: Overview ........................................................................................................................ 81 

Step 4.8.2: Create a Post-Upgrade Baseline .................................................................................... 82 

Step 4.8.3: Compare Pre-Upgrade and Post-Upgrade Performance ............................................... 82 

Step 4.9: Test and Tune Your New Optimizer Settings .................................................................................. 82 

Step 4.9.1: Test and Tune Your New Optimization Goals ................................................................ 82 

Step 4.9.2: Advanced Tuning Techniques: Optimizer Level Settings ............................................... 85 

Step 4.9.3: Advanced Tuning Techniques: The QPTune Tool .......................................................... 87 

Step 4.9.4: Advanced Tuning: Query Processing, Abstract Plans and More .................................... 89 

Step 4.9.5: The Optimizer Compatibility Mode: The Option of Last Resort ..................................... 89 

Step 4.10: Test Any New Features You Will Be Using .................................................................................... 91 

Step 4.11: Verify Application Consistency and Stability ................................................................................. 91 

Step 4.12: Verify Backup and Recovery Procedures ....................................................................................... 91 

Step 4.13: Standardize Your Upgrade Procedures .......................................................................................... 92 

Step 5: Upgrade Steps for the Production Environment ............................................................................................. 93 

Step 6: Post-Upgrade Steps for the Production Environment ..................................................................................... 93 

Step 6.1: Perform Post-Upgrade Steps in Release Bulletin and Cover Letter ................................................ 93 

Step 6.2: Recreate Table Partitions ................................................................................................................ 93 

Step 6.3: Replace Update Statistics Command .............................................................................................. 93 

Step 6.4: Recreate Optimizer Statistics .......................................................................................................... 93 

Step 6.5: Configure the New Resource Requirements for ASE 15 ................................................................. 94 

Step 6.5.1: Configure Procedure Cache ........................................................................................... 94 

Step 6.5.2: Re-Size Tempdb ............................................................................................................. 94 

Step 6.5.3: Semantic Partitioning and the Number of Open Partitions .......................................... 94 

Step 6.5.4: Statement Cache and Literal Auto-Parameterization .................................................... 94 

Step 6.6: Configure the New Kernel Resources ............................................................................................. 94 

Step 6.7: Configure the New ASE 15 Optimizer Settings ............................................................................... 94 

Step 6.7.1: Implement Your New Optimization Goals ..................................................................... 94 

Step 6.7.2: Implement Your New Optimizer-Level Settings ............................................................ 94 

Step 6.7.3: Implement Advanced Tuning Settings (as needed) ....................................................... 94 

Step 6.8: Perform Other Software Upgrades as Needed ............................................................................... 95 

Step 6.9: Verify Database Consistency ........................................................................................................... 95 

Step 6.10: Backup Your Upgraded User and Master Databases .................................................................... 95 

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INTRODUCTION 

AUDIENCE 

This document was created by Sybase Technical Support and is intended for Sybase DBAs who are 

preparing to upgrade their existing Sybase Adaptive Server Enterprise (ASE) software to the latest 

version of ASE 15. 

PURPOSE 

The purpose of this document is to provide a single source of procedures to help ensure an efficient and 

seamless upgrade from 12.5 to ASE 15: 

For ASE installations on version 12.0 or older, it is important to note that Sybase strongly 

recommends that you first upgrade to ASE 12.5.4 ESD#10. Therefore, this document only 

addresses upgrading from ASE 12.5 to ASE 15. 

For those sites already on ASE 15, please see the companion to this guide: the “ASE 15 Upgrade 

Checklist for Upgrading from ASE 15.x to the Latest Version of ASE” at: 

http://www.sybase.com/support/techdocs/migration 

WHERE TO GET HELP 

Given the complexities of a major upgrade, a single document cannot replace all of Sybase’s 

documentation and technical support resources. Therefore, it is important that you review the 

Sybase Product documentation and White Papers listed in the “Recommended Reading” section 

below, as well as other ASE product documentation as needed. 

You are also encouraged to call Sybase Technical Support with any questions before, during or after 

your upgrade. 

If you have specific questions or issues regarding this document, please contact us at 

migration_help@sybase.com. 

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ASSUMPTIONS AND LIMITATIONS OF THIS DOCUMENT 

PLATFORM MIGRATIONS 

This document does NOT address database migrations, these include: 

o 

o 

o 

o 

o 

Moving from one hardware platform to another (for example, from Sun to IBM). 

Moving from one OS platform to another (for example, from Windows to Linux). 

Moving from a non-ASE DBMS to ASE (for example, from Oracle to ASE). 

Increasing or decreasing database page size. 

Changing OS byte-order: Moving from a little endian byte order to a big endian byte order. 

These migration tasks are outside the scope this document. However, this paper does reference 

documents for performing some of these tasks. 

NEW ASE INSTALLATIONS 

This document does NOT address the procedures for installing ASE for the FIRST time. Rather, this 

document is intended as a guide for upgrading your existing ASE server to the latest version of ASE 15. 

However, since many of the procedures for these two tasks are the same, this document can serve 

as a useful supplement to planning and implementing a new ASE installation. 

For more information on installing ASE, see the following: 

o 

ASE Product Guides: 

The ASE 15.7 “Installation Guide” for your OS platform. 

The ASE 15.7 “Configuration Guide” for your OS platform. 

The ASE 15.7 New Features Summary. 

The “ASE Release Bulletin” for your version of ASE and platform. 

These ASE product guides are available from our online “Sybooks” Product 

Documentation site at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.help.ase.15.7/ti 

tle.htm&docSetID=1797: 

o 

o 

Sybase White Papers: Please see the “Recommended Reading” section below for links to a 

number of these documents. 

Sybase also provides training and consulting services through our Education and 

Professional Services organizations to assist with performing, configuring and tuning new 

and existing ASE installations. 

Lastly, if you have specific questions about your installation, please call Sybase Technical Support. 

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ASE TUNING LIMITATIONS 

This document assumes you have a well functioning ASE 12.5 server. 

Therefore, the configuration and tuning procedures presented in this document are limited to those 

directly affected by upgrading from ASE 12.5 to the latest version of ASE 15. 

This document does NOT address all the installation, configuration and tuning considerations for a 

newly installed or poorly performing ASE server. For more information on tuning ASE, please see 

the following: 

o 

o 

The performance and tuning White Papers referenced in the “Recommended Reading” 

section of this document below. 

For a compressive guide to tuning ASE 15, please see the “ASE 15.7 Performance and 

Tuning Series” Guides available on our “Sybooks” Product Documentation Site: 

o 

o 

o 

o 

o 

o 

o 

o 

o 

o 

Performance and Tuning Series: Basics: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc20020.1570/html 

/basics/title.htm 

Performance and Tuning Series: Improving Performance with Statistical Analysis: 


/statistics/title.htm 

Performance and Tuning Series: Locking and Currency Control: 


/locking/title.htm 

Performance and Tuning Series: Monitoring ASE with sp_sysmon: 


/spsysmon/title.htm 

Performance and Tuning Series: Monitoring Tables: 


/monitor_tables/title.htm 

Performance and Tuning Series: Physical Database Tuning: 


/phys_tune/title.htm 

Performance and Tuning Series: Query Processing and Abstract Plans: 


/queryprocessing/title.htm 

Adaptive Server Enterprise 15.0 > Performance and Tuning: Query Processing and Abstract 

Plans > Controlling Optimization > Optimization Goals at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.dc00743_1500/html/qp_abstr 

pln/qp_abstrpln154.htm 

The QPTune Tool: 

http://www.sybase.com/products/databasemanagement/adaptiveserverenterprise/migrate 

Online Technical Resources: ASE 15 Post-Migration Performance Tuning 

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MAJOR NEW FEATURES OF ASE 15 

ASE 15.5 and ASE 15.7 introduced architectural changes that you must consider and test when 

upgrading from earlier versions of ASE 15: 

o 

o 

o 

The Threaded Kernel: 

• ASE 15.7 introduces a new thread-based kernel. This replaces the process-based kernel 

in ASE 15.5 and below. 

• Consequently, there are several configuration and resource settings that need to be 

implemented, tested and tuned. These are discussed in the Post-Upgrade section 

below. 

Optimizer Level Settings: 

• ASE 15.5 introduced optimizer level settings. 

• Although these are advanced tuning settings, you may want to take advantage of these 

settings depending on your performance requirements. 

Ongoing Optimizer Enhancements: 

• ASE’s optimizer is always being enhanced. Therefore, it is a good idea to test your most 

critical queries (at a minimum) whenever you upgrade to a newer version of ASE or 

apply a new EBF. 

This guide includes procedures for addressing these new features and enhancements. 

SUMMARY OF NEW FEATURES FOR ASE 15 

The following is a summary of features introduced in the most recent releases of ASE. Only a few of these 

features are covered in this guide, since most of them are not directly involved in upgrading to the latest 

versions of ASE 15. However, these features include many significant enhancements that you may want to 

consider. If you decide to implement any of these features as part of your upgrade, plan to include them in 

your test plan. 

SUMMARY OF NEW FEATURES IN ASE 15.7 

The following is a brief summary of new features in ASE 15.7. Please see the New Features Guide for more 

details: 

The Application Functionality Configuration Group 

The New Adaptive Server Thread-Based Kernel 

Data Compression: Lets you use less storage space for the same amount of data, reduce cache memory 

consumption, and improve performance because of lower I/O demands. 

New Security Features: End-to-end CIS Kerberos authentication, dual control of encryption keys and unattended 

startup, securing logins, roles and password management extensions, and login profiles. 

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Abstract Plans in Cached Statements: Allows you to save abstract plan information in statement cache. 

Shrink Log Space: Allows you to shrink the log space and free storage without re-creating the database by using 

the alter database command to remove unwanted portions of a database log. 

Displaying Currently Set Switches: Allows you to see all traceflags at the server and session level. 

Changes for Large Objects: Includes storing in-row LOB columns for small text, image, and unitext datatypes, 

storing declared SQL statements containing LOBs, indirectly referencing a LOB in Transact-SQL statements, and 

allowing checking for null values of large objects. 

Showing Cached Plans in XML: The new show_cached_plan_in_xml function returns a showplan output in XML 

for a statement in cache. 

Padding a Character Field Using str: Allow a field to be padded with a specified character or numeric. 

Changes to select for update: Allows select for update command to exclusively lock rows for subsequent 

updates within the same transaction, and for updatable cursors. 

Creating Nonmaterialized, Non-null Columns: Allows creation of nonmaterialized, non-NULL columns. 

Sharing Inline Defaults: Allows sharing inline defaults between different tables in the same database. 

Retain Monitoring Data: Monitoring data is retained to improving query performance. 

Analyze Dynamic Parameters: Dynamic parameters (which are indicated by question marks) before running a 

query, can be analyzed to avoid inefficient query plans. 

Monitor Lock Timeouts: Allows you to monitor lock timeouts. 

Truncate Trailing Zeros: Enable or disable truncation of trailing zeros from varbinary and binary null data. 

Fully Recoverable DDL: Use dump transaction to fully recover the operations that earlier versions of 

Adaptive Server minimally logged. 

Transfer Rows from Source to Target Table Using merge: Allows transferring rows from a source to a 

target table. 

View Statistics and Histograms with sp_showoptstats: Allows you to extract and display, in an XML 

document, statistics and histograms for various types of data objects from system tables such as 

systabstats and sysstatistics. 

Changes to Cursors: Changes to how cursors lock, manage transactions, and are declared. 

Nested select Statement Enhancements: Expands the abilities of the asterisk (*). 

Chained Transactions: Some system procedures may run in sessions that use chained transaction mode. 

Expanded Variable-Length Rows: Redefines data-only locked (DOL) columns to use a row offset of up to 

32767 bytes. Requires a logical page size of 16K to create wide, variable-length DOL rows. 

Like Pattern Matching: Treat square brackets individually in the like pattern-matching algorithm. 

Quoted Identifiers: Use quoted identifiers for tables, views, column names, index names, and system 

procedure parameters. 

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Allowing Unicode Noncharacters: Enable permissive unicode configuration parameter, which is a member 

of enable functionality group, allows you to ignore Unicode noncharacters. 

Reduce Query Processing Latency: Enables multiple client connections to reuse or share dynamic SQL 

lightweight procedures (LWPs). 

The sybdiag Utility: A new Java-based tool that collects comprehensive ASE configuration and environment 

data for use by Sybase Technical Support. 

The Optimizer Diagnostic Utility: Adds the sp_opt_querystats system procedure, which allows you to 

analyze the query plan generated by the optimizer and the factors that influenced its choice of a query 

plan. 

SUMMARY OF NEW FEATURES FOR ASE 15.5 

The following is a brief summary of new features in ASE 15.5. Please see the New Features Guide for more details: 

In-memory databases that improve performance by operating entirely in-memory and not reading/writing 

transactions to disk. 

Relaxed-durability for disk-resident databases that improve performance by eliminating committed 

transactions. 

Dump database and load database functionality is available for both in-memory and relaxed-durability 

databases. 

Faster compression for backups is provided by two new compression options (level 100 and 101). 

Backup Server Support for the IBM’s Tivoli Storage Manager. 

Deferred name resolution allows the creation of stored procedures before the referenced objects are created 

in the database. 

FIPS 140-2 encryption is now supported for login passwords that are transmitted, stored in memory or stored 

on disk. 

Incremental Data Transfer allows exporting only rows that have changed since a previous transfer, or 

extracting selected rows into an output file, and does so without blocking ongoing reads and updates. 

The new bigdatetime and bigtime datatypes provide microsecond precision. 

You can now create and manage user-created tempdb groups, in addition to the default tempdb group. 

The new monTableTransfer table provides historical transfer information for tables. 

The new system table, spt_TableTransfer, stores results from table transfers. 

The sysdevices table has been modified to list the in-memory storage cache under the “name” and 

“phyname” columns. 

Auditing options have been added to support in-memory and relaxed-durability databases, incremental data 

transfer, and deferred name resolution. 

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RECOMMENDED READING 

It is strongly recommended that you review the ASE product documentation and Sybase White Papers 

listed below before planning and performing your upgrade. 

ASE PRODUCT DOCUMENTATION 

1. The ASE Release Bulletin: Please read the Release Bulletin for the base-level version of ASE you 

are upgrading to (such as 15.0 or 15.5). This contains important current information about the 

release. 

2. The ASE EBF Cover Letter: If you are also applying an EBF, please read this document. It contains 

the definitive list of fixes contained in the EBF, as well as important current information about this 

patch. 

3. The ASE Installation Guide for your version and platform for ASE. For example, the Installation 

Guide for ASE 15.7 on Linux is at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc30119.1570/doc/html/title.html 

4. The ASE Configuration Guide for your platform for ASE. For example, the ASE 15.7 

Configuration Guide for UNIX is at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc35823.1570/html/uconfig/title.h 

tm 

5. New Features in Adaptive Server® Version 15.7: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc01165.1570/doc/html/title.hml 

6. New Features in Adaptive Server® Version 15.7 ESD#1: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc00650.1570/html/nf 

b_157_1/title.htm 

SYBASE WHITE PAPERS 

7. Planning Your ASE 15.0 Migration: 

http://www.sybase.com/files/White_Papers/PlanningASE15Migration-040307.pdf 

8. The Migration Technology Guide: Please read the Migration Guide for the version of ASE 

you are upgrading to. For example, The ASE 15.5/ASE 15.7 Migration Technology Guide can be 

found at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc00967.1550/html/MigrationGu 

ide/title.htm 

9. Sybase ASE 15.0 Best Practices: Query Processing and Optimization: 

http://www.sybase.com/files/White_Papers/ASE15-Optimizer-Best-Practices-v1-051209-wp.pdf 

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10. Required SQL Code Changes When Migrating To ASE 15: 

http://www.sybase.com/files/White_Papers/SY-Required-SQL-Changes-for-ASE15-v.1-073009-WP.pdf 

11. Semantic Partitions in ASE 15.0 (White Paper): 

http://www.sybase.com/files/White_Papers/ASE-Partitions-040307-wp.pdf 

12. Performance on Sybase Devices Using Direct I/O, Dsync and Raw Partitions: 

http://www.sybase.com/content/1043413/DirectIO-082906-wp.pdf 

13. Changes to Scope & Semantics of Session-Level Optimization Settings in ASE 15.0.2: 

http://www.sybase.com/files/White_Papers/ASE1502_OptimizationCriteria_v1_0.pdf 

14. Handling Long-running Rollbacks and Recovery: 

http://www.sybase.com/detail?id=1062433&contentOnly=true 

15. Upgrading to ASE 15 - An in-depth view of the (un)expected: 


16. Get the Latest Version of this ASE 15 Upgrade Guide: Be sure and double check that you 

have the latest version of this document at: http://www.sybase.com/support/techdocs/migration 

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_________________________________________________________________________________________________ 

DEFINITION OF TERMS 

REFERENCES 

Sybase uses a series of terms to distinguish its different types of software releases. Below, is a listing of 

release terms and their definitions used throughout this and other Sybase documentation. 

Understanding these terms will help with this and future Sybase installation and upgrade tasks. These 

definitions are based on common Support usage and several published documents, including the 

following: 

Versioning Policy for Sybase Products: http://www.sybase.com/detail?id=1091173 

The Release Terminology section of the Targeted ASE 15.x Release Schedule and CR list Information: 

http://www.sybase.com/detail?id=1038641 . 

Sybase Product Life-Cycle Policies: http://www.sybase.com/products/databasemanagement/productlifecycle 

RELEASE TERMINOLOGY 

1. Release Designations: Sybase product releases are denoted in the form "X.Y.Z": Where 'X' represents 

the Major release version, 'Y' represents the Intermediate release version and 'Z' represents the 

Maintenance release version. As an example, the release designation of ASE 15.7 signifies an 

Intermediate release of ASE 15.x. 

2. Release Family: A Release Family consists of all the software releases within the same Major release 

number. For example, ASE 15.0.1, 15.0.2, 15.0.3, 15.5 and 15.7 all belong to the same ASE 15 release 

family, since they all share the same major release number of “15”. 

3. General Availability (GA): This is an official release of Sybase software that is available to all 

customers and can be obtained from the Sybase Product Download Center (SPDC) portal. It is 

distinguished from several types of restricted releases that can only be obtained through Technical 

Support or Sybase Engineering. The term GA is also sometimes used by Customer Service to refer to 

the initial release of Sybase software, such as 15.0, 15.5, or 15.7. 

4. Major Release: This is a full release of ASE software that contains major product enhancements, 

performance improvements and software bug fixes. It may also involve an upgrade of the database 

catalogs. A major release is designated by a change in the first (“X”) level of the version number. For 

example, versions 12 and 15 are major releases. Major releases must be installed into their own new 

directory and should not be installed over a prior release. For example, ASE 15 cannot be installed over 

ASE 12.5. 

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5. Intermediate Release: This is a full release of ASE software that contains product enhancements, 

performance improvements and bug fixes. It may also include an upgrade of the system database 

catalogs. An intermediate release is designated by a change in the second (“Y”) level of the version 

number. For example, ASE 15.5 and ASE 15.7 are intermediate releases within the 15.x release family. 

An intermediate release is normally applied as a binary update to a previous full release, but it can also 

be installed into its own directory. For example, ASE 15.7 can be applied over 15.5 or into a new 

directory. In most cases, switching between intermediate releases can be achieved by following the 

guidelines and instructions noted in the ASE Release Bulletin or EBF Cover Letter. 

6. Base Release: This term refers to the FIRST release of a Major or Intermediate version of ASE. 

Examples of ASE Base releases include ASE 12.5, 15.0, 15.5 and 15.7. A Base Release includes all the 

software necessary to run ASE and serves as a base for subsequent patches. It is typically installed into 

a new directory. However, in some cases it can be installed over an earlier version of the same release 

family (as stated in the Release Bulletin). For example, ASE 15.7 can be installed over ASE 15.0 or 15.5. 

7. Maintenance Release (MR): A Maintenance Release is a full release of ASE software that contains all 

the software needed to run ASE plus all the fixes from previous patches (see ESDs below). In some 

cases, it also introduces new features as noted in the Release Bulletin and/or Cover Letter. An MR is 

sometimes referred to as a “shelf copy replacement” (SRC) and can be installed into a new directory or 

as a binary overlay of an earlier version within the same release family. A maintenance release is 

denoted by a change in the third (“Z”) level of the software version number. For example, 12.5.2, 

12.5.4 and 15.0.3 are all maintenance releases. 

8. Interim Release (IR): This type of release contains all the fixes in previous ESDs together with other 

bug fixes. It is similar to an MR with one important exception: IRs are NOT complete software versions, 

and they MUST be installed over their corresponding GA release. For example, 12.5.0.3 must be 

installed over the base 12.5 GA release or one of its ESDs. 

9. ESD (Electronic Software Distribution): This is an official release that addresses multiple software 

bugs in a designated release. ESDs are often referred to as “patches” or “patch levels”. Please note the 

following about ESDs: 

An ESD is denoted by a “# ” at the end of its release version and MUST be 

installed over its corresponding base release. For example: 

o ASE 12.5.4 ESD#10 contains software fixes for 12.5.4 and must be installed over the 

12.5.4 base release directory. 

o 

ASE 15.0.3 ESD#2 contains fixes for 15.0.3 and must be installed over the 15.0.3 base 

release. 

o ASE 15.7 ESD#1 contains software fixes for and 15.7 and must be installed over a 15.7 

base release directory. 

o 

NOTE: Although ESD numbers are the same across all software platforms, they are 

given a unique EBF number (i.e., EBF 19803) for each OS platform that ASE runs on. See 

the EBF section below. 

ESDs do not typically contain new functionality. When they do, it is noted in the EBF Cover Letter. 

ESDs are cumulative for a given release. For example, ESD#3 would include all the fixes from 

ESD#1 and ESD#2. 

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10. EBF (Emergency Bug Fix): This is the platform specific version of an ESD release. Each EBF is given 

a unique number for each ASE platform. For example: 

EBF 19803 is the unique release for 15.7 ESD#1 on AIX. 

EBF 19805 is the unique release for 15.7 ESD#1 on Linux X86-64. 

EBF 19807 is the unique release for 15.7 ESD#1 on Solaris. 

11. EBF Cover Letter: An EBF Cover Letter accompanies each EBF and contains the final list of bug fixes 

as well as important information about the EBF. 

12. Release Bulletin: A Release Bulletin accompanies each new release version. It contains special 

installation instructions and the latest known issues that are NOT contained in the Sybooks product 

documentation. It provides the most recent information about the release and supersedes the 

information in the product documents such as the Installation and Configuration Guides. It is critical 

that you review the Release Bulletin before installing Sybase software. 

13. Major Upgrade: A major upgrade introduces significant new features and enhancements to ASE. It 

involves a move to a newer major release version of ASE. For example, upgrading from ASE 12.x to 

ASE 15.x is a major upgrade. 

14. Intermediate Upgrade: An intermediate upgrade introduces moderate changes and additions to 

ASE. It results in a move to a more recent intermediate level of an ASE release family. For example, 

upgrading from ASE 15.5 to 15.7 is an intermediate upgrade. 

15. Minor Upgrade: This is an upgrade that introduces minor enhancements to ASE along with new 

software fixes. It results in a version number increment at the third (“Z)” level. For example, moving 

from 15.7.0 to 15.7.1 is a minor upgrade. 

16. Migration: A migration is distinct from an upgrade in that it involves moving from one major 

architecture to another. Examples of migrations include the following: 

Moving from one OS platform to another (Windows to Linux). 

Moving from one hardware platform to another (Solaris to AIX). 

Moving from little endian to big endian binary architecture (or vice versa). 

Moving from one database page size to another. 

Moving from one DBMS platform to another (non-ASE to ASE). 

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_________________________________________________________________________________________________ 

17. End-of-Life (EOL): A product is End-of-Life’d when Engineering support ends for all members within 

a release family. This means bug fixes are no longer provided or backported to any member of the 

EOL’d release family. Instead, bug fixes are provided for the latest supported releases. For example, 

when ASE 12.5 was EOL’d, all new bug fixes were delivered to the most recent version of 15. Please 

note the following about End-of-Life products: 

Before a product is EOL’d, Sybase issues an End-of-Life (EOL) notice well in advance of the 

EOL date, usually a year or more. 

A product is not EOL’d until after the introduction of a new release family. 

Technical Support is still provided to all EOL’d products. However, since new bug fixes cannot 

be provided, the resolution of any bug related issue requires an upgrade to a more recent 

version of ASE (depending on where the issue is fixed). 

18. CR: This is an acronym for “Change Request”. It is often referred to as a “bug” fix, although it may 

also refer to a feature request. CR’s are identified by a unique number and are used to identify the 

discovery and resolution of a software issue or request. 

19. Sybase Product Download Center (SPDC): This is Sybase’s online portal for obtaining official “GA” 

releases of licensed Sybase software. All full official releases of Sybase software can be obtained 

from this site. This site can be found at: https://sybase.subscribenet.com. 

20. Sybase Support Download Portal: NOTE: What is not available on the SPDC site is software 

patches (EBF’s). These are available from our Sybase.com “Support>Download” menu at: 

http://downloads.sybase.com/swd/base.do?client=support . 

21. Controlled Releases, Instrumented Releases and One-Off’s: These are limited availability 

releases designed to address specific Customer or Engineering needs. They must be obtained 

through Sybase Technical Support and cannot be found on either the SPDC or EBF download portals. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

UPGRADE PATHS FOR ASE 15 

ASE 15 UPGRADE PATH FOR ASE 12.0.X AND OLDER 

For ASE installations of version 12.0.x and older, Sybase strongly recommends that you first upgrade to 

ASE 12.5.4 ESD#10, and then upgrade to ASE 15. Once you have upgraded to ASE 12.5.4, please see the 

ASE 15 Upgrade Checklist for ASE 12.5.x below. 

ASE 15 UPGRADE PATH FOR ASE 12.5.X 

For servers running on ASE 12.5.x, you can upgrade directly to any version of ASE 15. For these 

upgrades, please see the ASE 15 Upgrade Checklist for ASE 12.5 in the section below. 

Please note there is one exception for ASE 12.5 upgrades: You can NOT upgrade directly from ASE 

12.5.3a to ASE 15. This was an early release of 12.5.x encryption functionality. To upgrade from ASE 

12.5.3a, you must first upgrade to ASE 12.5.4 and then upgrade to ASE 15.x. 

ASE 15 UPGRADE PATH FOR ASE 15.X 

For ASE installations already on version 15, you can upgrade directly to the latest version of ASE 15: 

You can perform this upgrade using the “Clean-Install” (dump and load) method or as a binary 

overlay. 

For more details on this type of upgrade, see the companion to this document, the “ASE 15.x 

Upgrade Checklist for ASE 15 on the ASE Migration Website” at 

http://www.sybase.com/support/techdocs/migration . 

ASE 15 UPGRADE PATH FOR 32-BIT VERSIONS OF ASE 

You can upgrade from a 32-bit version of ASE to a 64-bit version of ASE. However, you can not 

upgrade or downgrade from a 64-bit version to a 32-bit version. 

ASE 15 UPGRADE RESTRICTIONS 

The following restrictions apply to ASE upgrades: 

1. You can not use the upgrade procedures in this document to move from a higher version of ASE 

to a lower version of ASE. This is a downgrade. Further, downgrades are NOT supported 

between major versions of ASE. For example, you can not downgrade from ASE 12.5 to ASE 15. 

Please see the downgrade section below for more details. 

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_________________________________________________________________________________________________ 

2. You can not change page sizes during an ASE upgrade. Changing the server’s database page size 

requires a database migration. For detailed information about performing this type of 

migration, see the sybmigrate utility in the ASE Utility Guide. For example, the ASE 15.7 Utility 

Guide can be found online at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc30191.1570/html/utilitygu 

ide/title.htm 

3. You can not change from a 64-bit version of ASE to a 32-bit version of ASE during an upgrade. 

4. You can not upgrade from certain versions of the ASE 15.x Cluster Edition to an SMP version of 

ASE 15. That is, you can not upgrade from ASE Cluster Edition below 15.5 ESD#3 (such as 15.0.1 

and 15.0.3) to a higher version of ASE 15.x (such as ASE 15.7 or above). However, you can load 

an ASE Cluster Edition 15.5 ESD#5 database into an ASE 15.7 SMP server. 

5. You can NOT upgrade directly from ASE 12.5.3a to ASE 15. You must first upgrade to ASE 12.5.4 

and then upgrade to ASE 15.x. 

6. You can not change OS/Hardware platforms during an ASE upgrade. That is, you can not 

upgrade from an ASE version built on Solaris to an ASE version built on Linux. This is a crossplatform 

migration. There are several options for accomplishing this task, including Bulk Copy 

(BCP), Replication and Cross-Platform dump and load. These methods have documented 

restrictions, issues and procedures that are outside the scope of this document. In the case of a 

cross-platform dump and load, you must be cognizant of any change in the new platform’s 

binary architecture (big endian vs. little endian). For more details on cross-platform dump and 

loads, please see the following: 

Adaptive Server Enterprise 15.7 > System Administration Guide: Volume 2 > Developing 

a Backup and Recovery Plan > Using the dump and load commands > Dumping and 

loading databases across platforms at: 


/sag2/sag2418.htm 

Adaptive Server Enterprise 15.7 > System Administration Guide: Volume 1 > Configuring 

Character Sets, Sort Orders, and Languages > Changing the character set, sort order, or message 

language > Handling suspect partitions at 


/sag1/sag1533.htm 

ASE SUPPORTED OS PLATFORMS 

The Operating Systems certified for ASE have not changed between ASE 12 and ASE 15. Therefore, you 

are not required to change OS platforms in order to upgrade from ASE 12 to ASE 15. 

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_________________________________________________________________________________________________ 

DOWGRADE AND RECOVERY PROCEDURES 

DOWNGRADING ASE 

In general, downgrading is only possible between minor versions of ASE. When this option is available, 

it is documented in one or more of the product installation documents such as the ASE Installation 

Guide, the Release Bulletin, and/or the Cover Letter. For example, to load the dumps of 15.7 into a 

server of a lower minor version (such as 15.0.1) you would do the following: 

1) Execute sp_downgrade in the 15.7 version Adaptive Server to downgrade the databases to be 

dumped. 

2) After the downgrade succeeds, dump the downgraded databases. 

3) Load the dumps of the downgraded databases into the lower version of ASE 15.x (such as 

15.0.1). 

4) For more details, see: 

The Downgrade Instructions in the Release Bulletin for your server and platform. For 

example, for ASE 15.7 on AIX, see Special Downgrade Instructions in the ASE 15.7 

Release Bulletin for IBM AIX at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc72410.1570/doc/ 

html/git1315856527084.html 

The sp_downgrade command in the System Procedures section of the ASE 15.7 

Reference Manual: Adaptive Server Enterprise 15.7 > Reference Manual: Procedures > 

System Procedures at: 


/sprocs/BEICAGIG.htm 

LOADING DATABASE DUMPS FROM A HIGHER TO A LOWER VERSION OF ASE 

ASE upgrades result in changes to the underlying structures of ASE (such as system catalogs, object 

maps, and data structures). Therefore, you can NOT downgrade ASE by simply loading a database dump 

from a higher version to a lower version of ASE. Doing so will irreversibly corrupt your data. 

Consequently, NEVER load a database dump from a higher version of ASE to a lower version. To move 

data from a higher version of ASE to a lower version, you must consider one of the following methods: 

1. ASE Downgrade: In this case, you must first downgrade the new server to the same version as 

your “older” target server, and then perform a database dump. However, a downgrade is NOT 

possible between most versions of ASE, especially between major versions of ASE. The 

architectural changes in major versions are too extensive to be removed. For example, 

downgrading from ASE 15.x to ASE 12.x is not possible. When a downgrade is possible, it is 

usually between minor versions and it is noted in the installation documentation. See the 

“Downgrading” section below. 

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_________________________________________________________________________________________________ 

2. Binary Unload and Reload: In cases where data must be moved to a lower major version of ASE, 

one option is to perform a raw binary unload/reload using ASE’s BCP utility or a similar third 

party product. For more information on Sybase’s BCP utility, see the chapter on “Transfer Data 

to and from Adaptive Server with bcp” in the ASE 15.7 Utility Guide at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc30191.1570/html/utilitygu 

ide/BABGCCIC.htm 

3. Replication: A third option is to use Sybase’s Replication Server to move data between higher 

and lower versions of ASE. Since Sybase’s Replication Server uses log-based replication, data 

can be safely transferred between different versions of ASE (and with additional middle-ware, 

across different DBMS platforms such as Oracle or DB2). For more information, see the 

Replication Server documentation. 

RECOVERING FROM A FAILED UPGRADE 

If you need information on recovering from a failed upgrade, see “Recovering From a Failed Upgrade” 

in the ASE Installation Guide for your platform. For example, for ASE 15.7 on Linux, see Adaptive Server 

Enterprise 15.7 > Installation Guide Adaptive Server Enterprise 15.7 for Linux > Troubleshoot the Server 

> When an Upgrade Fails at 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc30119.1570/doc/html/ate1314567 

116079.html . 

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_________________________________________________________________________________________________ 

GENERAL RECOMMENDATIONS 

UPGRADE TO THE LATEST VERSION OF ASE 

Unless you have a specific business requirement, or Sybase explicitly instructs you to do otherwise, we 

recommend that you upgrade to the latest full release of ASE plus the latest ESD. For example, ASE 15.7 

ESD#1. 

The most recent versions of ASE contain the latest features and software fixes. It is also Engineering’s 

most actively supported version of ASE software. To identify the latest version of ASE, check one of the 

following: 

1. The Sybase Download Center at: 

https://sybase.subscribenet.com/control/sybs/login?nextURL=%2Fcontrol%2Fsybs%2Findex 

2. The ASE Product Page at: 

http://www.sybase.com/products/databasemanagement/adaptiveserverenterprise 

3. Sybase Technical Support. 

4. The Targeted ASE 15.x Release Schedule and CR list Information: 


DECOUPLE YOUR ASE UPGRADES FROM OTHER MIGRATIONS 

It is not uncommon for an ASE upgrade to be part of a larger project involving a change to server 

hardware or operating system software. 

We strongly recommend that you separate these migrations: DO NOT combine a hardware platform 

and/or OS upgrade with your ASE upgrade. Performing these tasks simultaneously will make problem 

identification and resolution extremely difficult. 

Therefore, we recommend performing any necessary upgrades or migrations of your hardware and 

operating system before or after you upgrade ASE. From a Sybase perspective, we would prefer to 

upgrade ASE after the hardware and software platforms are stable and well tuned. 

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_________________________________________________________________________________________________ 

TEST ASE 15’S NEW FEATURES 

Given the significant changes in ASE 15, Sybase recommends that you thoroughly test your new ASE 15 

installation before moving it into production. This should include the following: 

1) Review the Documentation: Become familiar with ASE’s new features, configuration options and 

special installation instructions by reading the latest documentation. This includes the New Features 

Guide, Installation Guide and the System Administration Guide. Additionally, review the White Papers 

listed in the “Recommended Reading” section of this guide. 

2) Evaluate and Modify: Use the information in the Sybase documentation to evaluate and modify your 

client/server configurations and your application code as needed. 

3) Plan and Test: Develop and implement a plan to thoroughly test your applications (as noted in the 

checklist below). In doing so, the test environment you create should simulate your production 

environment and application workload as close as possible. This should include parameters such as: 

4) Note: 

Server configurations: Such as physical memory, number of locks, number of user 

connections, traceflags, startup options, user cache, procedure cache, statement cache. 

Data Base and Table Sizes: Such as user db, tables and user tempdb. 

Security, auditing, and encryption (if used). 

Application workload mix. 

LDAP (if used). 

A good test environment will enable you to proactively tune your configuration and help 

ensure a smooth and successful upgrade. 

The closer your test environment approximates production, the better your test results will 

reflect production. 

ASE INTEROPERABILITY AND UPGRADING TO THE LATEST VERSION OF OPENCLIENT 

In order to use all of ASE 15’s new features, make sure that your client software supports them. 

Therefore, be sure to review the client-specific documentation for information about the features your 

client supports. 

When upgrading to ASE 15.7, we recommend that you upgrade your OpenClient software to 

OpenClient 15.7. OpenClient 15.7 contains optimizations that improve ASE performance, as well as 

providing support for all of ASE’s latest features. 

ASE COMPATABILITY 

If you are using any third-party tools or applications, you need to verify if they are certified for use with 

the version of ASE 15 you are upgrading to. 

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UPGRADE CONSIDERTATIONS FOR ASE 15’S NEW OPTIMIZER 

UPGRADE CONSIDERATIONS FOR ASE 15’S OPTIMIZER GOALS 

THE NEW OPTIMIZER GOALS 

In ASE 15.0, Sybase introduced a new optimizer that included optimizer goals. Optimizer goals 

provide hints to the optimizer that help it produce better query plans using fewer CPU cycles and less 

time. 

The three optimization goals introduced in ASE 15 were: 

1. allrows_mix: This is the default server-level goal. It is designed for mixed-query 

environments comprised of online transaction processing (OLTP) and Decision Support (DSS). 

2. allrows_oltp: This goal is optimized for OLTP environments. 

3. allrows_dss: This goal is optimized for DSS queries of medium-to-high complexity. 

IMPLEMENTATION CONSIDERATIONS 

The best way to determine the most effective optimizer goals for your server is by thorough testing. 

This is recommended over accepting the default goal or by choosing a goal based on its description. 

In some cases, no single optimizer goal is best for ALL queries. In these situations, you will need to 

perform additional testing to identify the best goals for particular queries or applications. 

For more details, see the Pre-Upgrade Planning and Post-Upgrade sections later in the document. 

UPGRADE CONSIDERATIONS FOR ASE 15’S OPTIMIZER LEVELS 

THE NEW OPTIMIZER LEVELS 

To further control ASE’s optimizer behavior, ASE 15.5 introduced optimizer levels. These are 

dynamic settings that allow you to “fine-tune” ASE’s standard optimizer goals. However, optimizer 

levels are advanced tuning mechanisms that should only be considered when query performance 

using the standard optimizer goals does not meet your application requirements. 

The current optimizer levels include the following settings: 

o 

ase_current: Enables all optimizer changes through the current release. 

o ase_default: Disables all optimizer changes since version 1503 ESD #1. 

o ase1503esd2: Enables all optimizer changes through version 15.0.3 ESD #2. 

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By default, ASE does not enable the optimizer level settings; you must enable them using the set 

command. 

In most situations, the cost-based query plans generated by the standard three optimizer goals will 

be optimal. 

For an additional discussion of these considerations, see the detailed Pre-Upgrade Planning and 

Upgrade sections later in the document. Proper use of optimizer levels requires advanced tuning 

techniques that are outside the scope of this guide. For more information on how to use these 

settings, please see the ASE 15.7 Performance and Tuning Series: Query Processing and Abstract 

Plan at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc00743.1570/html/queryproces 

sing/title.htm 

UPGRADE CONSIDERTATIONS FOR ASE 15’S NEW THREADED KERNEL 

THE NEW THREADED KERNEL 

ASE 15.7 introduced a new thread-based kernel that replaces ASE’s process-based kernel. This new 

threaded kernel is designed to streamline I/O handling, reduce “wasted” CPU cycles and improve 

efficiency. It also improves load balancing for CIS and Rep Agent, provides less interference between 

CPU & I/O bound work, and gives more consistent and predictable performance. 


The new threaded kernel affects and/or obsoletes several pre-ASE 15.7 server settings. Therefore, 

implementation involves understanding and modifying these configuration settings for your 

environment (see below). 

To mitigate risk and to provide for backward compatibility, the process-based kernel has been 

retained and can be enabled using the new “kernel mode” configuration option. However, reverting 

to the processed-based kernel should only be considered as a “last resort” for resolving an issue, or if 

you are specifically instructed to do so by Technical Support. Otherwise, we strongly recommend 

using the threaded kernel. Further, the process-based kernel mode may not support all the new 

features of ASE 15.7 and later. 

For a more detailed discussion of upgrade considerations for ASE’s threaded kernel, please see the 

“Review and Understand the New ASE 15 Threaded Kernel” and the “Configure and Tune the New 

Kernel Resource Settings” steps presented later in this document. 

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NEW LICENSING CONSIDERTATIONS FOR ASE 15 

Sybase uses a utility called SySAM (Sybase Software Assets Manager) to install, maintain and verify 

Sybase product licenses. 

In ASE 15, Sybase introduced a new version of this utility called SySAM2. This version significantly 

changes the way you install and upgrade ASE software. 

SYSAM2 LICENSING CHANGES FOR ASE 15 

SySAM2 introduces a number of changes to the way Sybase monitors and manages its software 

licenses. These include the following: 

o 

o 

o 

o 

o 

o 

o 

o 

o 

New asset management and reporting tools. 

A single installation method for all Adaptive Server editions. 

SySAM usage is no longer optional. 

SySAM configuration options are provided. 

SySAM licenses are no longer shipped along with order fulfillment. You must obtain 

license certificates from the Sybase Product Download Center (SPDC). 

SySAM license keys include information about the support plan you purchased. You 

must update these licenses whenever you renew your support plan. 

Licensing policies are strictly and consistently enforced. 

ASE will function normally under grace periods if it is not able to obtain a license. This 

grace period is typically 30 days. ASE features and/or the server itself may shut down at 

the end of the grace period if the licensing issues are not resolved. 

You can receive real-time e-mail notifications about licensing events. 

o 

Licenses issued from SPDC include information about the host machine where the 

licenses will be deployed. These licenses cannot be used on another machine without 

being reissued from SPDC. 

SYSAM IS NOW REQUIRED FOR ALL LICENSES 

One of the biggest changes in SySAM2 is the mandatory use of SySAM to manage ALL Sybase 

software licenses. Previously, the use of SySAM was optional for the ASE “Core” licenses. SySAM 

was only required for optional licenses that extended ASE’s core functionality. In version 15, this 

has changed. SySAM license registration is now required for ALL licenses. Therefore, it is important 

that you plan your SySAM deployment before installing ASE 15. 

Therefore, in order to license your ASE 15 server, you must do the following: 

1. Identify the components and options to install or upgrade. 

2. Choose a SySAM license model. 

3. Obtain (download) a license. 

4. Install/deploy the license. 

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_________________________________________________________________________________________________ 

Note: 

o 

o 

SySAM 2 licenses are generated at the secure Sybase Product Download Center (SPDC) 

Web site 

When you generate licenses at the Sybase Product Download Center (SPDC), you must 

specify the host ID of the machine where the licenses will be deployed. 

For more details on how to license ASE 15, please see the Pre-Upgrade Planning and Pre-Upgrade 

steps (Steps 1.5 and 2.2) later in this document. 

SYSAM SUB-CAPACITY LICENSING 

Sub-capacity licensing refers to licensing a Sybase product on a subset of the CPUs available on a 

physical machine. 

As of ASE 15.5, Sybase offers sub-capacity licensing options for ASE Enterprise. 

Sub-capacity Licensing is not supported in the ASE 15.5 Cluster Edition. 

A sub-capacity licensing agreement with Sybase must be in-place before you can enable subcapacity 

licensing. As with other Sybase licenses, this license must be obtained through Sybase 

sales. 

Sub-capacity licenses are restricted to specific hardware and software platforms. For more 

information on sub-capacity eligible platforms, see the latest Release Bulletins. For example, for 

ASE 15.7 on Linux, see the Adaptive Server Enterprise 15.7 > Release Bulletin Adaptive Server 

Enterprise 15.7 for Linux > Installation and Upgrade > Special Licensing Instructions at 

http://infocenter.sybase.com/help/topic/com.sybase.infocenter.help.ase.15.7/title.htm 

For more details on using sub-capacity licensing, please see the following: 

o 

o 

For information on how to configure sub-capacity license using the sysamcap utility, see the 

SySAM Documentation > Users Guide > SySAM Sub-capacity Licensing at 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc00530.0200/doc/html/jon 

1265323502828.html 

For more details on sub-capacity licenses and using SySam in general, see the following: 

• The SySAM Users Guide at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc00530.0200/doc/ 

html/title.html 

• The SySAM Quick Start Guide at 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc70043.0200/ 

doc/html/title.html 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

KNOWN ISSUES 

KNOWN UPGRADE ISSUES FOR ASE 15.7 

Below, are several configuration issues that result in the sqluprade program failing when performing an 

“in-place” upgrade for 15.7. These issues are not applicable to most sites, but they are provided 

proactively for consideration in your pre-upgrade planning. 

CR #696227: 

o 

Title: sqlupgrade fails to start ASE 15.7 due to lack of kernel resource memory. 

o 

o 

Description: An In-place upgrade to ASE 15.7 may fail because the new ASE fails to start 

with the error "The configured value '4096' for parameter 'kernel resource memory' is too 

low." This occurs when ASE is configured with a large value for both the "number of user 

connections" and the "number of open indexes". 

Workaround: Temporarily reduce the “number of user connections” and the “number of 

open indexes” to “DEFAULT”. This allows ASE 15.7 to start. There may be other 

configurations that will affect this. 

CR# 705390: 

o Description: Upgrade to 15.7 fails when the “number of checkpoint tasks” is greater than 

“1”. 

o 

Workaround: On the pre-upgraded ASE server, reconfigure the number of checkpoint tasks 

to be equal to “1” or the “default”, by doing one of the following: 

1. Use sp_configure to set the value: sp_configure "number of checkpoint tasks", 1 

2. Manually edit the configuration file and set the “number of checkpoint tasks=DEFAULT”. 

CR# 702339: 

o Description: LDAP login fails to authenticate after upgrade in-place to ASE 15.7. 

o 

Workaround: 

1. First, reset the access accounts for the ldap server by doing the following: 

> sp_ldapadmin 'set_access_acct', , 

2. If the above does not work, then do the following: 

Drop all attributes, Class 17. 

Repeat your LDAP setup. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

The Number of OS File Descriptors: 

o 

o 

Problem: 

In ASE 15.7, the resource requirements for the new threaded-kernel can be 

significantly greater for servers with many CPU's and many user connections. 

If the number of OS file descriptors (ulimit –n) is too low, the sqlupgrade program 

may fail. 

For example, on a server with 44 engines and 550 user connections and a file 

descriptor setting of ulimit -n = 1024, the sqlupgrade program fails with the 

following error: 

Number (5849) Severity (16) State (1) Server (XXXXX) 

Procedure (sp_configure) Verification failed for 

parameter 'number of user connections'. 

The number of file descriptors per ASE process 

required to support the configuration resulting from 

the value 550 of the configuration parameter \'number 

of user connections\'exceeds the limit 1024 by 7. 

Workaround: 

Use the following formula to compute the maximum number of file descriptors per 

ASE process for the SMP edition in threaded mode: 

the number of user connections + number of remote sites + max cis remote 

connections + number of java sockets + max number of network listeners + 

max native threads per engine + overhead. 

CR 697533: 

o 

o 

o 

o 

Title: Numerous Disk I/O errors when ASE is running in threaded mode: "sddone: write 

error on virtual disk 235 block 10690289" 

Description: ASE on Solaris platforms reports 694 or 823 errors along with messages like 

"kernel sddone: write error on virtual disk 3 block 145536", "kernel sddone: 16384 bytes 

passed, 0 returned on write for virt disk 3 block 145536" or "kernel sddone: read error on 

virtual disk 6 block 6812351", "kernel sddone: I/O error". There are no corresponding disk 

i/o error messages reported in the Operating System logs. 

Workaround: Call Sybase Technical Support. 

Fixed: ASE 15.7 ESD#2. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

WHERE TO LEARN ABOUT THE LATEST KNOWN ISSUES AND FIXES 

To learn about all the known issues for your ASE release and where they are fixed, please see the 

documents listed below. 

1. The Cover Letter: 

A Cover Letter accompanies each ESD and it contains a complete list of CR’s that ARE FIXED in this 

release. For a list of the latest CR’s fixes available to all customers, see the Cover Letter for the most 

recent ESD in your major release family. 

Cover Letters can be found under the “Support>Download” menu on the Sybase EBF 

download site at: Sybase.com website at: 

http://downloads.sybase.com/swd/base.do?client=support 

From within the list of all products, choose ASE. Then, choose the hardware platform and 

the ESD version you are interested in. For example, the Cover Letter for ASE 15.7 ESD#1 on 

Linux x86-64 (EBF 19805) can be found at: 

http://download.sybase.com/swr/15448/EBF19805_README.html 

2. The Release Bulletin: 

A Release Bulletin accompanies each major release of ASE such as ASE 15.7.0. This document contains 

important information about the GA release and it includes a list of known issues and the 

recommended methods for working around these issues. 

The Release Bulletins for all ASE platforms (along with all the online documentation for ASE) 

can be found at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.help.ase.15.7/title.htm 

From within the list of all Release Bulletins, choose the Release Bulletin for your platform. 

For example, the Release Bulletin for ASE 15.7 on the Linux platform can be found at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc78565.1570/doc/html 

/title.html 

3. The Targeted ASE 15.x Release Schedule and CR list Information: 

The Targeted Release Schedule provides a listing of CR’s that are targeted to be fixed. This listing is 

visible to all customers as follows: 

4. Customer Service: 

The summary page for these listings can be found at: 

http://www.sybase.com/detail?id=1038641. These lists are updated on a regular basis, and 

these schedules are subject to change. 

From the listing on the summary page, choose the ASE release and ESD number you are 

interested in. For example, the list of CR’s to be schedule to be fixed in ASE 15.7 ESD#2 can 

be found at: http://www.sybase.com/detail?id=1096303. 

You may also call Sybase Customer Service if you have any questions about a known or suspected issue. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

WHERE TO GET THE LATEST SOFTWARE FIXES 

The latest software fixes are in the latest software releases. Therefore, we recommend that you 

install the latest release of ASE 15 possible. That is, do the following: 

1. Download and install the most recent base release (from the SPDC portal). For example, 

ASE 15.7. 

2. Then, download and install the most recent EBF (from the “Support Download” portal). For 

example, ASE 15.7 ESD#1. 

A definitive list of the bug fixes provided by an ESD is contained within the EBF Cover Letter for each 

release. Use this information to determine where a particular CR is fixed. 

If you have any questions about what version to install or where a particular CR is fixed, please call 

Sybase Technical Support. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

PROCEDURES FOR UPGRADING FROM ASE 12.5 TO THE LATEST VERSION 

OF ASE 

PURPOSE 

The following procedures are only applicable for upgrading from ASE 12.5.x to the latest 

version of ASE (ASE 15.7 and above). 

APPROACH 

The following procedures represent a “Best Practices” approach to an ASE upgrade. Therefore, they 

include procedures for testing and tuning your upgraded software before moving into production. 

OVERVIEW OF PROCEDURES 

The procedures for upgrading from ASE 12.5 to ASE 15 consist of the following two sections: 

1. The Upgrade Checklist: 

The upgrade checklist contains a list of significant steps that you can “check-off” as you proceed 

with the upgrade process. It also serves as a ready reference as you move from one phase of 

your upgrade to another. 

Your site may have additional or more detailed upgrade requirements. Please feel free to 

modify this checklist to meet needs. However, we strongly recommend thoroughly testing your 

upgrade before moving into production. 

2. Detailed Upgrade Procedures: 

The detailed upgrade procedures section contains a detailed explanation of the procedures to be 

performed within each step listed in the checklist. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

UPGRADE CHECKLIST FOR UPGRADING FROM ASE 12.5 TO THE LATEST 

VESION OF ASE 

PLEASE NOTE: The following Checklist is only applicable to upgrades from ASE 12.5.x to ASE 15.x. 

STEP 1: PRE-UPGRADE PLANNING PROCEDURES 

The following steps are required to develop a plan for your upgrade: 

[ ] Step 1.1: Review the ASE Documentation. 

[ ] Step 1.2: Identify New Features of Interest. 

[ ] Step 1.3: Determine the Upgrade Version: The Latest Release is Recommended. 

[ ] Step 1.4: Determine the Upgrade Method. 

[ ] Step 1.5: Understand the New License Requirements. 

[ ] Step 1.6: Understand the Increased Resource Requirements. 

[ ] Step 1.7: Consider the Semantic Partitioning Option. 

[ ] Step 1.8: Determine the ASE Database Device Attributes. 

[ ] Step 1.9: Review and Understand the New Optimization Goals. 

[ ] Step 1.10: Review and Understand the New Optimizer Level Settings. 

[ ] Step 1.11: Review and Understand the New ASE Threaded Kernel Settings. 

[ ] Step 1.12: Review Any Trace Flags Used at Startup. 

[ ] Step 1.13: Evaluate Client Interoperability and Third Party Compatibility. 

[ ] Step 1.14: Evaluate Application Interfaces and Replication. 

[ ] Step 1.15: Evaluate Disaster Recovery Procedures. 

[ ] Step 1.16: Evaluate the Latest Known Issues. 

[ ] Step 1.17: Create a Project Plan. 

[ ] Step 1.18: Create a Tactical Plan. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

[ ] Step 1.19: Create a Test Plan. 

STEP 2: PRE-UPGRADE STEPS 

The following steps should be performed in preparation for the actual upgrade: 

[ ] Step 2.1: Build a Test System. 

[ ] Step 2.2: Identify, Download and Install the New ASE Licenses. 

[ ] Step 2.3: Create a Pre-Upgrade Performance Base Line. 

[ ] Step 2.4: Generate and Save Abstract Plans. 

[ ] Step 2.5: Verify the Free Space in All Databases. 

[ ] Step 2.6: Verify the Number of Locks Configured for the Upgrade. 

[ ] Step 2.7: Consider Replacing the Update Statistics Command. 

[ ] Step 2.8: Perform the Pre-Upgrade Steps in the Install Guide (as needed). 

[ ] Step 2.9: Perform the Pre-Installation Tasks (Clean-Install Only). 

[ ] Step 2.10: Perform the Pre-Upgrade Tasks in the Cover Letter (as needed). 

[ ] Step 2.11: Implement Your ASE Database Device Attributes. 

[ ] Step 2.12: Check the Data Consistency of the Master and User Databases. 

[ ] Step 2.13: Backup All User Databases. 

[ ] Step 2.14: Backup the Master Database. 

[ ] Step 2.15: Dump the Transaction Log. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

STEP 3: UPGRADE STEPS FOR THE TEST ENVIRONMENT 

The following steps will be performed as part of the actual upgrade: 

[ ] Step 3.1: Bulk Copy Out (BCP) the Key System Tables. 

[ ] Step 3.2: Disable Replication (as needed). 

[ ] Step 3.3: Unpartition All Partitioned Tables. 

[ ] Step 3.4: Quiesce and Dump All Databases. 

[ ] Step 3.5: Perform the ASE Upgrade (Using Your Method of Choice). 

[ ] Step 3.6: Upgrade Client Software (as needed). 

[ ] Step 3.7: Upgrade Middleware, Interfaces and 3 rd -Party Software (as needed). 

[ ] Step 3.8: Upgrade Other Software (as needed). 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

STEP 4: POST-UPGRADE STEPS FOR THE TEST ENVIRONMENT 

The following steps should be performed following the upgrade into your test environment: 

[ ] Step 4.1: Perform the Post-Upgrade Steps. 

[ ] Step 4.2: Recreate Table Partitions. 

[ ] Step 4.3: Replace the Update Statistics Command. 

[ ] Step 4.4: Delete or Update Stale Statistics. 

[ ] Step 4.5: Recreate Optimizer Statistics. 

[ ] Step 4.6: Configure and Tune the New Resource Requirements: 

[ ] Step 4.6.1: Configure Procedure Cache. 

[ ] Step 4.6.2: Re-Size Tempdb. 

[ ] Step 4.6.3: Semantic Partitioning and the Number of Open Partitions. 

[ ] Step 4.6.4: Statement Cache and Literal Auto-Parameterization. 

[ ] Step 4.7: Configure and Tune the New Kernel Resources. 

[ ] Step 4.8: Create and Maintain a Post-Upgrade Baseline. 

[ ] Step 4.9: Test and Tune the New ASE 15 Optimizer Settings: 

[ ] Step 4.9.1: Test and Tune the New Optimizer Goals. 

[ ] Step 4.9.2: Advanced Tuning: Optimizer Levels. 

[ ] Step 4.9.3: Advanced Tuning: The QPTune Tool. 

[ ] Step 4.9.4: Advanced Tuning: Query Processing, Abstract Plans & More. 

[ ] Step 4.9.5: The Optimizer Compatibility Mode (The Last Resort). 

[ ] Step 4.10: Test Other New Features (as needed). 

[ ] Step 4.11: Verify Application Consistency and Stability. 

[ ] Step 4.12: Verify Backup and Recovery Procedures. 

[ ] Step 4.13: Standardize the Upgrade Procedures for Production. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

STEP 5: UPGRADE STEPS FOR THE PRODUCTION ENVIRONMENT 

Once you have completed the post-upgrade steps for the test phase of your upgrade, you are 

ready for the production upgrade and post-upgrade steps. The production steps consist of 

repeating the upgrade procedures used in test, PLUS implementing the post-upgrade 

configuration settings determined in your previous testing phase. 

In addition, if your production and test environments are different, any OS, hardware, physical 

memory, or ASE database device changes you made for test may need to be repeated for 

production. 

[ ] Step 5.1: Bulk Copy Out (BCP) the Key System Tables. 

[ ] Step 5.2: Disable Replication (as needed). 

[ ] Step 5.3: Unpartition All Partitioned Tables. 

[ ] Step 5.4: Quiesce and Dump All Databases. 

[ ] Step 5.5: Perform the ASE Upgrade (Using Your Method of Choice). 

[ ] Step 5.6: Upgrade Client Software (as needed). 

[ ] Step 5.7: Upgrade Middleware, Interfaces and 3 rd -Party Software (as needed). 

[ ] Step 5.8: Upgrade Other Software (as needed). 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

STEP 6: POST-UPGRADE STEPS FOR THE PRODUCTION ENVIRONMENT 

The post-production steps for production consist of repeating the post-upgrade steps in test, with the 

addition of using the configuration settings determined in your previous testing phase. 

[ ] Step 6.1: Perform the Post-Upgrade Steps. 

[ ] Step 6.2: Recreate Table Partitions. 

[ ] Step 6.3: Replace the Update Statistics Command. 

[ ] Step 6.4: Recreate Optimizer Statistics. 

[ ] Step 6.5: Configure the New Resource Requirements: 

[ ] Step 6.5.1: Configure Procedure Cache. 

[ ] Step 6.5.2: Re-Size Tempdb. 

[ ] Step 6.5.3: Semantic Partitioning and the Number of Open Partitions. 

[ ] Step 6.5.4: Statement Cache and Literal Auto-Parameterization. 

[ ] Step 6.6: Configure the New Kernel Resources. 

[ ] Step 6.7: Configure the New ASE 15 Optimizer Settings: 

[ ] Step 6.7.1: Implement the New Optimization Goals. 

[ ] Step 6.7.2: Implement the New Optimizer-Level Settings (as needed). 

[ ] Step 6.7.3: Implement other Advanced Tuning Settings (as needed). 

[ ] Step 6.8: Perform Client, Middleware, or Application Upgrades (as needed). 

[ ] Step 6.9: Verify Database Consistency. 

[ ] Step 6.10: Backup the Upgraded User and Master Databases. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

DETAILED PROCEDURES FOR UPGRADING FROM ASE 12.5.X TO THE LATEST 

VERSION OF ASE 

PLEASE NOTE: The following detailed procedures are only applicable for upgrading from ASE 12.5.x to 

ASE 15.7 and above 

STEP 1: PRE-UPGRADE PLANNING PROCEDURES 

STEP 1.1: REVIEW THE ASE DOCUMENTATION 

1.1.1: RECOMMENDED READING 

Please review the documents listed in the “Recommended Reading” section of this guide. 

In particular, it is important to read the ASE Installation Guide, Release Bulletin and Cover Letter for 

your version and platform. These documents contain the most recent and important installation 

instructions and considerations. 

1.1.2: RELEASE BULLETIN 

The Release Bulletin contains important information about the software you are installing. This includes 

the following topics: 

o Product Summary 

o Interoperability 

o Product Compatibility 

o Changes that Affect Existing Applications 

o Backup Server 

o Open Client and Open Server 

o Changed Functionality 

o Special Installation Instructions 

o Special Licensing Instructions 

o SySAM Licensing Checkout 

o Sub-capacity licensing 

o Special Configuration Instructions 

o Special Upgrade and Downgrade Instructions 

o Loading Database Dumps During Downgrade 

o Known Installation Issues for Adaptive Server 

o Documentation Updates 

o Downloading Sybase EBFs and Maintenance Reports 

o Sybase Product and Component Certifications 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

1.1.3: COVER LETTER 

The EBF Cover Letter contains important information about the software patch you are about to install, 

such as: 

o Technical Notes 

o Platform Specific Details 

o Backup 

o New features 

o Changes 

o Known Issues 

o Loading Instructions 

o Post installation tasks 

o New Fixes in the EBF 

1.1.4: NEW FEATURES GUIDE 

ASE 15 introduces many new features; therefore, it is important to review this guide in order to 

have a high-level understanding of what these features are and how they might affect your 

applications. 

STEP 1.2: IDENTIFY NEW FEATURES OF INTEREST 

Once you have reviewed the New Features Guide, you may want to consider implementing one or 

more new features. 

If you choose to implement any of these new features, be sure to include them in your test plan. 

STEP 1.3: DETERMINE YOUR UPGRADE VERSION: CONSIDER THE LATEST RELEASE 

ASE is continually being enhanced. New features, improved performance, improved diagnostics and 

the latest bug fixes are introduced in every major and intermediate release. For example, the MDA 

tables (installed by default in 15.0.2) are now vital tools for identifying and analyzing poorly running 

queries. 

Further, new bug fixes are applied to the most recent versions first and are not automatically 

backported to earlier releases. 

Therefore, it is important to consider upgrading to the most recent release of ASE. By this, we mean 

the most recent full release, plus the most recent ESD, for example, ASE 15.7 ESD#1. We strongly 

recommend doing so unless you have a specific business requirement or have been instructed by 

Sybase to do otherwise. 

To find a chart of the latest releases, see the Targeted Release Schedule at: 


___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

To find an overview of the latest ASE release, see the ASE product page at: 

http://www.sybase.com/products/databasemanagement/adaptiveserverenterprise 

To find and download the latest full releases of ASE, go to Sybase SPDC site at 

https://sybase.subscribenet.com. From this portal, click on the “Adaptive Server Enterprise” link, 

then select the “ASE Enterprise Edition” link, and then select the latest version for your platform. 

For example, ASE Enterprise Edition 15.7 Linux x86-64 64-bit. 

To find the most recent patches (ESDs) for ASE, go to the Sybase.com “Support>Download” menu 

at: http://downloads.sybase.com/swd/base.do?client=support. From this portal, click on the 

Adaptive Server Enterprise link, then navigate to your platform and then click on the EBF number 

for the ESD of your choice. For example, for ASE 15.7 ESD#1 Linux on POWER, you would select EBF 

19810: 15.7 ESD #1 - 64 Bit 

To learn about the latest features in the latest releases, go to the ASE Product Documentation 

portal (at http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter) and then 

navigate to the latest versions. 

STEP 1.4: DETERMINE YOUR UPGRADE METHOD 

In ASE 15, there are four basic methods of upgrading. Three methods were available in ASE 12.0, 

and a fourth method was introduced in ASE 12.5 and above: 

1. In-Place Upgrade: Also referred to as a “Binary Overlay”. 

2. Clean Install: Also referred to as Dump and Load. 

3. BCP (BCP-In/BCP-Out): This refers to bulk copying ASE data out of the tables on the old 

server and bulk copying the data into the tables on the new server using ASE’s BCP utility. 

Note: The database upgrade occurs during the online phase of the data load. 

4. Mount and Unmount (Quiesce, Copy and Move): 

With the introduction of the mount/unmount feature added in ASE 12.5, there is now a 

fourth method that may be considerably faster than dump/load for customers that use 

SAN disk technology. 

The steps required for this method are: 

1. Quiesce the database using a manifest file. 

2. Copy/move the devices along with the manifest file to the ASE 15 host. 

3. Mount the database using the mount database command. 

4. Bring the database online via the online command. It is 

during the online database step that the database upgrade will be performed. 

Note: This method is only supported between machines from the same 

hardware and OS platform. Cross platform migrations are not supported. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

If you are not combining your upgrade with various schema changes that require a bcp-in/bcp-out 

approach, then Sybase Support recommends that you use either the “Clean Install” (dump and 

load) method or the mount and unmount method of upgrading ASE. 

STEP 1.5: UNDERSTAND THE NEW LICENSING REQUIREMENTS FOR ASE 15 

Since ASE 15 now uses the SYSAM 2.0 license management system for all ASE features, you will 

want to familiarize yourself with the new procedures for licensing ASE 15. 

These procedures consist of the following steps: 

o 

o 

o 

o 

Identifying the components and options to install or upgrade. 

Choosing a SySAM license model. 

Obtaining a license from the Sybase SPDC portal. 

Installing the license. 

You will need to know your host-id, Product Edition, and License type for all of your ASE licenses. 

For more details on these licensing procedures, see Step 2.2 in the Upgrade Planning section below. 

For an introduction to the latest licensing procedures, see the following Sybase documents: 

o 

o 

For SySAM pre-installation planning and SySAM installation information, see the SySAM 

Users Guide at: 


/title.html 

For an a summary of SySAM usage, see the SySAM Quick Start Guide at 


/title.html 

STEP 1.6: UNDERSTAND THE INCREASED RESOURCE REQUIREMENTS FOR ASE 15 

This step provides you advanced notice if your ASE 15.x upgrade requires additional resources. Your current 

hardware platform may need to be reconfigured to support the additional requirements of ASE 15. See the 

Post-Upgrade Steps for the Test Environment below (steps 4.6-4.7) for more details. 

STEP 1.7: CONSIDER USING THE SEMANTIC PARTITIONING OPTION 

1.7.1: PARITIONING 

ASE 15.0 introduced horizontal partitioning, horizontal partitioning, in which a selection of table rows 

can be distributed among partitions on different disk devices. Individual table or index rows are 

assigned to a partition according to a semantic or to a round-robin partitioning strategy. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

Partitioning allows you to divide large data sets into smaller, manageable chunks, known as partitions. 

Data in each partition can be processed independently of other partitions. DBA tasks such as update 

statistics, index creation, truncate, reorg, dbcc's, bcp, etc., can be broken down into smaller sub-tasks. 

This represents a divide-and-conquer strategy to manage large and increasing volumes of data. 

ASE 15.7 provides one random type of partitioning (round-robin), plus three types of semantic 

partitioning (hash, list and range). 

1.7.2: SEMANTIC PARITIONING 

Semantic partitioning is an optional license that must be purchased. For a complete listing of ASE 15.7 

standard and optional features, see the following documents: 

o 

o 

ASE 15.7 Features: http://www.sybase.com/files/Data_Sheets/Sybase_ASE_15.7_Features_DS.pdf 

ASE Options: http://www.sybase.com/files/Data_Sheets/Syb_ASE_Editions_US_DS_Feb2012_WEB.pdf 

Unlike the round-robin partitioning strategy (which assigns rows randomly without reference to data 

values), semantic partitioning allows you to control the placement of data into partitions. It uses the 

data values in a specific column to determine the partition assignment for each row. 

1.7.3: ASE 15.7 PARTITIONING STRATEGIES 

ASE’s partitioning strategies are as follows: 

1. Hash partitioning (semantic): A system-supplied hash function determines the partition assignment 

for each row. 

2. List partitioning (semantic): Values in key columns are compared with sets of user-supplied values 

specific to each partition. Exact matches determine the partition assignment. 

3. Range partitioning (semantic): Values in key columns are compared with a user-supplied set of 

upper and lower bounds associated with each partition. Key column values falling within the stated 

bounds determine the partition assignment. 

4. Round-robin partitioning: This is the default strategy: Rows are assigned randomly to partitions in a 

round-robin manner so that each partition contains an approximately equal number of rows. 

Configuration Notes: 

o You can create partitions when you create a table or index using the CREATE TABLE and CREATE 

INDEX. 

o 

o 

o 

You can use the ALTER TABLE “add partition” command to add a partition to certain existing 

tables (list or range, but not hash or round-robin). 

You can use the ALTER TABLE command to change the partitioning strategy of an existing table. 

For more details, see the Partitioning Tables and Indexes chapter in the ASE 15.7 T-SQL Guide 

at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc32300.1570/html/sqlug/B 

HAHDJBA.htm 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

STEP 1.8: DETERMINE YOUR ASE DATABASE DEVICE ATTRIBUTES 

Dsync: 

Prior to ASE 15.0, Sybase recommended that the dsync setting be turned on for devices initialized 

on UNIX operating system files. The dsync flag ensures that writes to the device file occur directly 

on the physical storage media. Each write will wait for both the file data and file status to be 

physically updated, so that ASE can recover data on the device in the event of a system failure. 

However, this functionality yields much slower performance during write operations, when 

compared to using raw partitions. 

Directio: 

o 

o 

In ASE 15, the directio parameter allows you to configure ASE to transfer data directly to 

disk, bypassing the operating system buffer cache. File system devices with directio 

perform IO in the same manner, and provide the same performance benefits, as raw 

devices. 

The directio option is a feature of the file system whereby writes go directly to the storage 

device. Direct I/O is invoked by opening a file with the O_DIRECT flag. The direct I/O 

parameter is used with disk init, disk reinit, and sp_deviceattr commands. 

Advantages of direction over dsync: 

o No double buffering. 

o 

o 

Improved performance for write and cold reads since the overhead of the FS cache is 

eliminated. 

Gives performance on par with raw with the manageability of a file system (significantly 

better than dsync). 

Recommendations: 

o In summary, using the directio option is recommended whenever file system devices are 

used. 

o 

Note: The directio and dsync parameters are mutually exclusive. If a device has dsync set to 

“true,” you cannot set directio to “true” for this device. To enable directio for a device, you 

must first reset dsync to “false.” 

STEP 1.9: REVIEW AND UNDERSTAND THE NEW OPTIMIZER GOALS 

First, it is critical that you familiarize yourself with each of the ASE 15 optimizer goals. To do so, see 

the following documents: 

o 

Adaptive Server Enterprise 15.7 > Performance and Tuning Series: Query Processing and 

Abstract Plans > Controlling Optimization > Optimization goals at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc00743.1570/html/que 

ryprocessing/queryprocessing186.htm 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

o 

o 

Adaptive Server Enterprise 15.0 > Performance and Tuning: Query Processing and Abstract 

Plans > Controlling Optimization > Optimization Goals at 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.dc00743_1500/html/qp_abstrpln/q 

p_abstrpln154.htm 

The Migration Technology Guide: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc00967.1550/html/Mig 

rationGuide/title.htm 

o Changes to Scope & Semantics of Session-Level Optimization Settings in ASE 15: 

http://www.sybase.com/files/White_Papers/ASE1502_OptimizationCriteria_v1_0.pdf 

o 

Upgrading to ASE 15 - An in-depth view of the (un)expected: 


Second, plan to assess the affects of each optimizer goal on your queries by comparing your pre- 

ASE 15 baseline with your post-upgrade performance tests. 

Testing each goal is strongly recommended over accepting the default server-level setting 

(allrows_mixed), or choosing a goal based on its description. 

In planning your testing, keep the following in mind: 

o 

o 

o 

In general, it is best to first test the performance of your queries using the default goal of 

allrows_mixed. 

Next, test each of the other goals. 

If no single optimizer goal is best for ALL queries, identify the goal that provides the best 

performance for the most queries. Use this for your server-level setting. Then, set the 

optimizer goal at the session level or query level as needed to meet the performance 

requirements of other queries. 

For more details on testing strategies, see the Post-Upgrade section of this guide. 

STEP 1.10: REVIEW AND UNDERSTAND THE NEW OPTIMIZER LEVEL SETTINGS 

ASE 15.5 introduced optimizer levels. These dynamic settings allow you to specify the level of 

optimization the ASE optimizer uses. In most situations, the cost-based query plans generated by 

the standard optimizer goals will be optimal. Therefore, optimizer levels should only be considered 

when query performance using the standard optimizer goals is unsatisfactory. 

Optimizer levels are dynamic (do not require a reboot) and allow you to override the decisions made 

by the Adaptive Server query processor. Therefore, use these techniques with caution, since misuse 

can have an extremely negative effect on performance. When using these settings, you should 

understand the impact on the performance of both your individual query and the possible 

implications for overall system performance. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

Using optimizer levels involve advanced tuning techniques that are outside the scope of this 

document. For more details on the techniques for using optimizer levels, see "Chapter 7, Controlling 

Optimization”, in the Performance and Tuning Series: Query Processing and Abstract Plans at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc00743.1570/html/queryprocessi 

ng/X29769.htm 

A summary of optimizer levels is also provided in the Post-Upgrade section of this document. 

STEP 1.11: REVIEW AND UNDERSTAND THE NEW ASE THREADED KERNEL 

1.11.1: OVERVIEW OF THE NEW THREADED KERNEL 

ASE 15.7 introduced a new thread-based kernel that replaces ASE’s process-based kernel. This new 

threaded kernel is designed to streamline I/O handling, reduce “wasted” CPU cycles and improve 

efficiency. 

To mitigate risk and to provide for backward compatibility, the process-based kernel has been 

retained and can be enabled using the sp_configure “kernel mode” command. However, the 

process mode should only be used if you encounter a threaded-mode issue, or if you are specifically 

instructed to do so by Sybase Technical Support. Further, the process-based kernel may not support 

all the features of Adaptive Server 15.7 and later. 

The kernel mode setting determines which kernel ASE uses: 

o 

o 

Threaded mode: 

• This is the default kernel-mode. 

• In threaded kernel mode, Adaptive Server is a single process running on the 

operating system; and it uses operating system threads to support its engines and 

specialized tasks. 

• Note: Adaptive Server supports only threaded kernel mode on the Windows 

platform. 

The Process mode: 

• The process mode is the same kernel used by Adaptive Server versions earlier 

than 15.7. 

• In the process mode, each engine is a distinct process running on the operating 

system; and Adaptive Server uses individual processes to support its engines. 

• Note: The process mode may not support all the features for Adaptive Server 

15.7 and later. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

1.11.2: GENERAL CONSIDERATIONS 

The new threaded kernel affects previous server settings and requires that a number of parameters 

be considered with its use. Therefore, when upgrading from the processed-based kernel to the 

threaded kernel, consider the following: 

o 

o 

o 

o 

All execution classes lose their engine groups and are associated with syb_default_pool. The 

administrator may then associate the execution classes with engine thread pools. 

Engine groups are obsolete when running in threaded mode. In this mode, use 

sp_addexeclass to bind execution classes to user thread pools. Thread pools separate 

processor resources between applications within Adaptive Server. 

The value of sp_configure “max online engines” must be greater than the current number 

of engines online. Because “online” is a reserved keyword, you must use quotes. 

Note: Onlining engines (using sp_engine “online”) in the threaded mode increases the 

thread count for syb_default_pool by 1. 

If switching from the default of threaded mode to process mode, consider the following: 

o 

o 

o 

Adaptive Server ignores thread pool information in the configuration file when it starts. 

Execution classes lose their thread pool association and are associated with the existing 

ANYENGINE engine group. The administrator may then associate the execution classes with 

engine groups. The reassignment of an execution class to a thread pool (or engine group) 

applies to existing connections associated with that execution class in addition to new logins. 

The process mode may not support all the features for Adaptive Server 15.7 and later. 

1.11.3: THREADED KERNEL CONFIGURATION CHANGES 

When using the threaded kernel, the following configuration parameters will need to be changed: 

o 

o 

o 

o 

o 

The number of OS file descriptors. 

The ASE “kernel resource memory” parameter. 

The ASE “idle timeout” parameter. 

The ASE “max online engines” parameter. 

For in-place upgrades the “number of user connections” and “number of open indexes” may 

need to be temporarily reduced (per CR #696227 listed above). 

For more on these configuration settings, see the “Configure and Tune the New Kernel Resource 

Settings” step in the Post-Upgrade section below. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

STEP 1.12: REVIEW ANY TRACE FLAGS USED AT STARTUP 

ASE 15 has changed the way many trace flags are used. Some have been removed, while others are 

now controlled using the sp_configure, sp_dboption or other mechanisms. Therefore, the trace flags 

you are using (in your run server file, at startup, or during run-time) may need to be changed. To 

determine any necessary changes, you must first identify which traceflags (if any) you are using, and 

then research the status of these traceflags: 

1. To determine the trace flags you are using, do the following: 

a. Review your run server file(s) and make a note of the trace flags in these files. Trace 

flags are preceded by the “–T” flag. 

b. Run the following commands on your production ASE prior to upgrading. This 

command will list all the traceflags enabled for your server and session: 

1> dbcc traceon(3604) 

2> go 

1> dbcc traceflags 

2> go 

2. Once you have a compiled a complete list of the traceflags used in your environment, refer to 

the ASE 15.x documentation for more information, or check with Sybase Technical Support on 

how to move forward with these traceflags. Note, some traceflags are not publicly 

documented and are typically used at the request of Sybase Technical Support or Engineering 

to resolve specific issues. If you know (or discover) that you are using such traceflags, please 

call Sybase Technical Support for more information. 

STEP 1.13: EVALUATE CLIENT INTEROPERABILITY AND THIRD PARTY COMPATIBILITY 

Evaluate the compatibility and interoperability of any client, middleware, third-party tools or thirdparty 

applications you are using. 

This would include products such as Sybase OpenClient, OpenServer, ODBC, JDBC, DBA Utilities (SQL 

Backtrack, BMC), etc. 

STEP 1.14: EVALUATE APPLICATION INTERFACES AND REPLICATION 

Identify and evaluate any batch interfaces you are using to move data into or out of ASE. 

Identify and evaluate any replication you are using, such as Sybase Replication Server. 

STEP 1.15: EVALUATE YOUR DISASTER RECOVERY PROCEDURES 

If you have disaster recovery procedures, you may want to plan to test these before moving into 

production. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

STEP 1.16: EVALUATE THE LATEST KNOWN ISSUES 

For any release of ASE, there is a possibility of known issues. To determine if there are any known 

issues that might affect your upgrade or your applications, consider the following: 

1. Review the “Known Issues” section of the Release Bulletin for your version of ASE: 

o http://downloads.sybase.com/swd/base.do?client=support 

2. Review the “Known Issues” section of the Cover Letter for your version of ASE: 

o http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.help.ase.15.7/title.htm 

3. Review the Targeted Release Schedule: http://www.sybase.com/detail?id=1038641. 

4. Review the “Known Upgrade Issues for 15.7” in the introduction section of this document. 

5. Contact Sybase Technical Support. 

STEP 1.17: CREATE AN OVERALL PROJECT PLAN 

1.17.1: PURPOSE 

While the Test and Tactical plans discussed below address the specific steps of testing and implementing 

your upgrade, an overall project plan allows you to build a plan that outlines the steps, dates, owner and 

responsibilities assigned for each step within all the phases of your upgrade: Pre-Upgrade, Test Upgrade, 

Post-Upgrade for Test, Production Upgrade, and Post-Upgrade for Production. 

1.17.2: CONSIDERATIONS 

Determine your upgrade version and specific upgrade method as described in the Pre-Upgrade 

Planning section above. 

Determine the new license requirements for your version of ASE per the Pre-Planning steps above. 

Evaluate all aspects of the environment that might be affected by the upgrade. For example: 

o 

o 

Evaluate the compatibility or certification of 3 rd party products. 

• You may need certification or upgrades to the client interfaces like OCS, ODBC, jdbc, 

etc. 

Evaluate interfaces with upstream/downstream applications to determine impact. 

• Review versions and feature compatibility. 

• The interfaces may need to be upgraded as well. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

o 

o 

o 

Evaluate data/batch needs for all the interfaces: 

• Downtime required for migration/upgrade and post upgrade checks/tests. 

• Changes to system functions/commands affecting the upstream / downstream 

applications. 

• Pay close attention to data-type conversion and format issues. 

Evaluate specific ASE features in use for special needs: 

• CIS, JAVA, XML, Replication, Parallelism, DTM/ASTC/rpc etc. 

• Review default settings and document any extra/special steps required to ensure that 

the functionality and data are not impacted. 

Evaluate Rollback strategies: 

• Include dump and load times required to restore the system to pre-upgrade state. 

• Set clear “GO-no-GO” decision timeframes. 

Evaluate ASE’s new features. 

Include time to create a tactical plan. 

Include time to create a test plan. 

Include time to build a test environment. 

STEP 1.18: CREATE A TACTICAL PLAN 

1.18.1: PURPOSE 

The Tactical Plan outlines the specific steps you must take in order to perform the actual upgrade. 


Consider the following when developing your tactical plan: 

Include any inter-step dependencies and recovery plans in case something goes wrong. 

Specify your rollback strategies: 

o Include dump and load times required to restore the system to pre-upgrade state. 

o Set clear “GO-no-GO” decision timeframes. 

Include dump and load times required to restore the system to the pre-upgrade state. 

Set clear “GO-no-GO” decision timeframes. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

STEP 1.19: CREATE A TEST PLAN 

1.19.1: GOALS 

While the Tactical plan covers the steps to follow on upgrade day, the test plan must cover the 

functional and performance testing of your application environment. It should also define success or 

failure criteria for each critical module. Continued testing should follow until all criteria are met. 

Knowing how and what to test will avoid serious unexpected problems in production. This testing 

phase is critical to the success of your upgrade, since ASE 15’s new features will affect your current 

settings and query performance. 

As part of a “best practices” approach, you need to build a robust test environment in order to run, 

verify, and tune your server configuration, your query performance, your query results and your 

upgrade procedures. Further, this test environment should simulate your production environment and 

application workload as close as possible in order to achieve the best results. See Step 2.1 below for 

more details. 


Evaluate the type of testing strategy you want to use, and then select an appropriate method for 

testing your application. Several different strategies are documented in “Chapter 6 Ensuring Stability 

and Performance --- Summary of testing techniques”, at the following link: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.dc34982_1500/html/mig_gde/X21853.htm 

Identify the functional areas of your application that are critical to your business and to the success of 

the upgrade. These could include the following: 

o 

o 

Periodic batches (nightly, weekly, monthly, etc). 

Functional modules including, but not limited to: 

• Online functionality 

• Upstream/downstream interfaces, data feeds, etc. 

Determine the success criteria for each module to determine acceptable variances in performance or 

resource utilization after the upgrade/migration. 

Develop “Single User” functionality tests for all (or at least the most critical) modules. The plan must 

include at least one end-to-end test of all the critical modules identified. 

Develop application “Stress Tests” that simulate peak workloads wherever possible. 

Develop a plan to test the new configurations and features described in the Pre-Upgrade Planning 

section of this document. Identify the optimal settings for your applications when using these 

features. 

Develop a plan to build a test environment that simulates your production. This will ensure the 

validity of your testing and the usefulness of any tuning or configuration changes you make as a 

result of your testing. 

Plan for a second test cycle using any later ESDs released by Sybase subsequently to the start of your 

testing. These may include fixes for issues encountered during testing saving valuable time later. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

STEP 2: PRE-UPGRADE PROCEDURES 

STEP 2.1: BUILD A TEST ENVIRONMENT TO PERFORM POST-UPGRADE TESTING 

The best way to avoid unpleasant surprises in production is to test and tune your upgraded server in 

test. This requires a test environment that closely simulates your production environment and 

application workload. The closer your test system resembles your production system, the more valid 

and useful your test results will be. 

The parameters for your test environment should include: 

o 

o 

o 

o 

o 

o 

Server Configuration: Physical memory, number of locks, number of user connections, 

traceflags, startup options, user cache, procedure cache, statement cache. 

Database and Table Sizes: User databases, user tables, system tables and tempdb. 

Security: Accounts, auditing, encryption, and LDAP. 

Workload: At the least, test your most critical and/or most frequently executed queries. 

Perform tests that simulate critical peak and batch workloads. 

Interfaces: Verify the performance of any data feeds into and out of your server. 

Backups: Consider verifying backup and restore procedures and throughput. 

STEP 2.2: IDENTIFY, OBTAIN AND DEPLOY YOUR NEW ASE 15 LICENSES 

2.2.1: OVERVIEW 

The SySAM licensing procedures for ASE consist of the following steps: 

1. Identifying the components and options to install or upgrade. 

2. Choosing a SySAM license model. 

3. Obtaining a license from the Sybase SPDC portal. 

4. Installing the license. 

2.2.2: IDENIFYING YOUR ASE LICENSES 

You need one ASE Core license, and an additional license for each optional feature you are using. 

Review your current ASE server to identify your current license usage and type. 

You may also want to choose additional licenses based on your review of ASE’s newest optional 

features. 

For a complete listing of ASE 15.7 standard and optional features, see the following documents: 

o ASE 15.7 Features: http://www.sybase.com/files/Data_Sheets/Sybase_ASE_15.7_Features_DS.pdf 

o 

ASE Options: http://www.sybase.com/files/Data_Sheets/Syb_ASE_Editions_US_DS_Feb2012_WEB.pdf 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

2.2.3: CHOOSING A LICENSE MODEL 

When installing SySAM, you have a choice of two license management models, server and unserved: 

o 

o 

o 

o 

Unserved: With this license model, the ASE license for each server is stored locally within 

the $SYBASE directory. 

Served: With this license model, the ASE licenses for multiple servers are stored in a 

centralized location on the network. 

Each of these models has their own advantages and disadvantages. The served model 

simplifies license management by providing a centralized repository for all licenses. However, it 

requires installation of additional software and is a potential point of failure unless additional 

configurations are employed as described in the SySAM Users Guide. 

For more details, see the SySAM Users Guide: Determining Your License Deployment Model 

at: 


/san1263843576833.html 

2.2.4: DOWNLOADING YOUR ASE CORE LICENSE 

Where to get your license: 

Licenses are generated and downloaded from the Sybase Product Download Center (SPDC) at 

https://sybase.subscribenet.com/. For more details on generating licenses, see the SySAM Users 

Guide, Generating Licenses at SPDC at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc00530.0200/doc/html/jon1271803 

489638.html . 

Some things you will need to know: 

o 

o 

o 

Know your host-id: Licenses are generated specific to a Host Machine. Therefore, when you 

generate licenses at the Sybase Product Download Center (SPDC) website, you must specify the 

host ID of the machine where the licenses will be deployed: 

• The SPDC portal will provide instructions for obtaining your host-id. This procedure 

varies for each platform. 

• Note: Licenses cannot be directly swapped between machines. If you are moving this 

license to a new host, you will have to check the license back in at the SPDC website 

and regenerate it for the new host if moving. 

Know the Product Edition (PE) you will need: The licenses generated for ASE software are 

Product Edition Specific. Be sure you know what product edition you are using before 

downloading and installing your ASE software. 

Know which License Type you will need: The licenses generated for your product are also Type 

Specific. Be sure that you know your license type (LT) prior to installing the software. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

Summary of download steps: 

NOTE: If you have any questions or problems with these procedures, pleases call Sybase 

Technical Support. 

o 

o 

Go to Sybase SPDC site at https://sybase.subscribenet.com and login in using the Sybase 

account and password for your site. This is the site where you download your ASE software. 

From this portal, navigate to the platform version of ASE you want to install: 

• Click on the “Adaptive Server Enterprise” link; 

• Click the “ASE Enterprise Edition “link; and 

• Select the latest version for your platform. For example, ASE Enterprise Edition 15.7 

Linux x86-64 64-bit. 

• Note: If you do not see your product on this site, contact your Sales Representative to 

have your profile updated to list all your licensed products. 

• Accept the license. 

• Click on the “License Key” tab. 

• Select site license type. 

• Select “server” or “unserved”. 

• Follow the instructions. 

For more details on generating a license key, see the following: 

o The SySAM Quick Start Guide at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc70043.0200/doc/html/titl 

e.html 

o 

The SySAM Users Guide at: 


e.html. 

If you have any questions about this procedure, please call Sybase Technical Support. 

For additional troubleshooting information, see the Troubleshooting chapter in the ASE 15.7 

Installation Guide for your platform. For example, see Adaptive Server Enterprise 15.7 > Installation 

Guide Adaptive Server Enterprise 15.7 for Linux > at 


___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

2.2.5: DOWNLOAD YOUR OPTIONAL ASE LICENSES 

If you are using optionally licensed features, you will also need to download and deploy the ASE 15 

version of these license files as well. 

The procedures for downloading optional licenses are similar to those above. Please note: 

o 

o 

When upgrading from ASE 12 to ASE 15, you may need to “Check-in” your old license and then 

“Check-out” your new ASE 15 license. 

If this is an intermediate or minor upgrade (upgrading from ASE 15.0 to ASE 15.7), you will have 

the option of “upgrading” your ASE license. 

For more information, see the SySAM documents listed above, or call Sybase Technical Support. 

2.2.6: DEPLOY YOUR NEW SYSAM2 LICENSING FILES 

To deploy your licenses, you need to know the information below. 

SySAM uses the information stored in two special license files: 

1) The *.lic file: 

• You generate this license file from the SPDC (Sybase Product Download Center) 

Web Site. 

• You must generate and download a *.lic file whenever you download ASE 

installation or upgrade software. 

• If you are using the “unserved” model, the .lic file should be placed in the local 

$SYBASE/SYSAM-2_0/licenses/ directory for your server. 

• If you are using the “served” model, the .lic file will be placed in the 

$SYBASE/SYSAM-2_0/licenses/ directory on the license server host. 

2) The .properties file: 

• This is the new license property file created when you install a new ASE 15 server. 

• It is located in the $SYBASE/ASE-15_0/sysam/ directory. This file is updated every 

time the server boots with any knew updates or new licenses that are added to the 

$SYBASE/SYSAM-2_0/licenses/ directory. 

2.2.7: SYSAM LICENSING DOCUMENTATION 

For more details on regenerating, renewing and rehosting SySAM licenses, see: “Regenerating, 

Renewing, and Rehosting Licenses” in the SySAM Users Guide: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc00530.0200/doc/html/san12 

63843596255.html 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

For more details on the use of SySAM, please see the following product Guides: 

o 

o 

o 

For information on Generating Licenses at SPDC (in the SySAM Users Guide), see: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc00530.0200/doc/html/jon 

1271803489638.html 

For SySAM pre-installation planning and SySAM installation information, see the SySAM Users 

Guide at: 


e.html 

For Troubleshooting, see the Troubleshooting chapter in the ASE 15.7 Installation Guide for 

your platform. For example, see Adaptive Server Enterprise 15.7 > Installation Guide Adaptive 

Server Enterprise 15.7 for Linux > at 


2.2.8: DETECT SYSAM ERRORS AND TAKE THE APPROPRIATE ACTION 

To avoid interruptions in service, it is CRITICAL that you regularly scan your log for SySAM messages and 

take the appropriate action to resolve any error messages or warnings. Therefore, consider the 

following: 

SySAM performs licensing checks at various times during the server’s runtime cycle: 

o 

o 

Some licenses are checked at startup, some upon access of the feature and some are 

checked at both times. 

Licenses are also checked periodically during the server’s runtime according to a 

“heartbeat” interval of 2 to 24 hours. When invoked, a mechanism checks for any changes 

and updates to ASE licenses. 

Because SySAM checks for license issues on a regular basis during the server’s run cycle, SySAM errors 

can be detected and reported at any time: 

o 

o 

o 

When a message is issued, it is important that you take the appropriate action in a timely 

manner. 

All SySAM-related errors are printed in the ASE error log and are prefixed with "kernel 

SySAM:”. For example: 

kernel SySAM: Failed to obtain 1 license(s) 

For ASE_CORE feature from license file(s) or server(s). 

If e-mail alerts are configured, recipients also receive an e-mail whenever a SySAM event 

occurs. 

o 

o 

o 

When a license problem is first noted, ASE provides a 30-day grace period from the time of 

build, if applicable. 

SySAM error messages will provide date information to indicate if and when ASE will be 

shutdown. Permanent licensing will support a runnable grace or run-time grace period. 

To avoid interruptions in service, it is CRITICAL that you regularly scan your log for SySAM 

messages and take the appropriate action to resolve any error messages or issues. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

o 

For more information on Fault Tolerance, License Grace and Redundancy, see: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc70043.0200/doc/html/san1263 

843579787.html 

STEP 2.3: CREATE A PRE-UPGRADE BASELINE OF QUERY PERFORMANCE 

In order to determine how well ASE is performing after the upgrade, it is crucial to have a 

quantitative understanding of how ASE performed prior to the upgrade. One of the best ways of 

doing this is to establish a baseline of pre-upgrade performance: 

Baseline Environment: Your pre-upgrade baseline is best created using your production 

environment. If this is not feasible, then the next best option is a non-production environment 

that very closely simulates your production environment. The closer your baseline environment 

matches your production environment, the greater the validity of your baseline data. 

Baseline Data Generation: At a minimum, we recommend the execution of your most 

frequently used and business-critical queries, stored procedures, reports, data feeds and batch 

applications. The more queries you test, the less chance of surprises. 

Baseline Data Measurements: Baseline measurements should consist of the following: 

o 

Measurement of query execution times. If possible, divided into three components: 

• Network time from the client to ASE. 

• Execution time within the ASE server. 

• Network time from ASE back to the client. 

o 

o 

o 

Measurement of logical I/O’s. 

A collection of ASE Query Plans for each query being tested (see the following section 

for more details). 

A collection of result sets and report output from key applications for later comparison 

to post-upgrade results. 

Baseline Data Collection Methods: There are various methods of collecting baseline 

performance data, such as the following: 

o 

o 

Canned stored procedures to query the MDA tables. 

A “wrapper” type of stored procedure that executes and times your compiled objects. 

MDA and Wrapper stored procedures are available at the following links: 

• MDA Link: http://www.sybase.com/files/Technical_Documents/MDA_Collector.zip 

• Wrapper Link: http://www.sybase.com/files/Technical_Documents/gen_collector.zip 

o 

o 

Third-party tools. 

Your own method of measuring performance. The important point here, is that you use 

some method of quantitatively measuring how your system runs, at as detailed a level 

as possible, before you begin your upgrade. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

STEP 2.4: GENERATE AND SAVE ABSTRACT PLANS 

Beginning with ASE 12.0, abstract plan capture can be used to intercept client-submitted SQL text. This 

text is stored in the sysqueryplans table along with the abstract query plan. This captured query text 

can be retrieved directly from this table. 

In ASE 15, the new feature of “query metrics capture” uses this same underlying mechanism of abstract 

plan capture to collect execution metrics (such as I/O counts and execution times), along with the SQL 

text. These metrics are also stored in sysqueryplans, but should be accessed through a view called 

“sysquerymetrics”. 

It is strongly recommended that you capture and save query plans from your pre-upgraded production 

server for the following purposes: 

o 

o 

For later comparison to post-upgrade query plans. Query plans can be used to help resolve 

performance problems in the event there is an issue with a particular query. 

For import into your post-upgraded server. Ideally, these query plans are from production or 

they may not be useful. Keep in mind that many of the Abstract Plans in ASE 12.5.x will not 

import to 15.x because of the optimizer differences. 

For more information about query metrics capture, see the ASE 15.7 Performance and Tuning Series: 

Query Processing and Abstract Plans at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc00743.1570/html/queryprocessing 

/title.htm 

STEP 2.5: VERIFY THE FREE SPACE IN ALL DATABASES 

User Databases 

Make sure that you have plenty of free space within your pre-upgraded databases. While the preupgrade 

utility will help verify that ample space is present, it is always advisable to have at least 25% of 

free space available within each user database. You can verify this by reviewing the output of either 

dbcc checkstorage or dbcc checkalloc (from the previous step) which report the amount of free space. 

System Databases 

Due to the increased space required for the system catalog, Sybase recommends that system databases 

such as master and sybsystemprocs be no more than about 50% full. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

STEP 2.6: VERIFY THE NUMBER OF LOCKS CONFIGURED FOR UPGRADE 

In order to help ensure that you configure ASE with enough lock structures for the upgrade process to 

complete successfully, we recommend that you perform the following steps: 

1. In every user database, execute the following query: 

1> select 2 * (count(*)) + 100 from systabstats 

2> go 

2. Record the highest value returned. 

3. Run the following command from any database: 

1> sp_configure “number of locks” 

2> go 

4. If the value from Step 2 above is less than the current number of configured lock structures, 

then increase the configured value to the value from Step 2, as shown below: 

1> sp_configure „number of locks”, 

2> go 

STEP 2.7: CONSIDER REPLACING THE UPDATE STATISTICS COMMAND 

One of the major enhancements to ASE 15’s new query optimizer is its increased use of statistical 

attributes. That is, prior to ASE 15.x, the optimizer only used statistics from the leading column of a 

multi-column/composite index. Therefore, the update statistics command only creates statistics for the 

leading column of each index. In ASE 15, this has changed and the optimizer will now consider statistics 

on all columns of a composite index. 

Therefore, we strongly recommend the following for ASE 15: 

1. Run the “update index statistics ” whenever possible. 

2. If feasible, replace your “update statistics” commands with the “update index statistics” 

command. This command will generate statistics on all columns of a composite index and will help 

ASE’s optimizer make the best decisions. 

Note: Since the "update index statistics" command is doing more work in ASE 15 than in ASE 12.5, 

updating a table’s statistics will take longer in ASE 15 than in ASE 12. That is, at least for indices with 

more than one column. On very large datasets, you may need to consider alternate ways of gathering 

statistics in order to meet maintenance windows and/or resource constraints. Some of these methods 

include: 

o 

Running update statistics to generate statistics for the leading 

column of one or all indices, as well as densities of all pre-fix permutations of columns in 

composite indices. Then running update statistics for all unique columns 

in the table that are contained in one or more indices. These can run in parallel, given sufficient 

CPU, memory, and tempdb space. 

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_________________________________________________________________________________________________ 

o 

o 

o 

Running update index statistics with sampling percentage. However, keep in mind that there 

are no recommended values for the sampling. Therefore, you will need to test and balance 

between too low a percentage (rendering the statistics ineffective), and too high a percentage 

(not yielding any significant savings in time). 

Running update statistics as needed, determined by using the datachange() function, with the 

understanding that the percentage can vary depending on the cardinality of underlying data. 

Importing current statistics from a Disaster Recovery or Development server with the same 

data using optdiag. For more information and examples, see the Migration or Administrators 

guide. 

STEP 2.8: PERFORM THE PRE-UPGRADE STEPS IN THE INSTALL GUIDE 

Perform the pre-upgrade steps specified in the ASE Installation Guide. These are found in the 

“Performing Pre-Upgrade Tasks” section within the ASE 15.7 Installation Guide for your platform. For 

example, on Linux, these would be found at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc30119.1570/doc/html/jon1257988 

586420.html 

These steps include, but are not limited to: 

o Check the system and upgrade requirements. 

o Verify that master is the default database for the "sa" user. 

o Confirm that you have enough space for the upgrade to succeed. You may need to increase 

the size of sysprocsdev before upgrading Adaptive Server. 

o Ensure you have sufficient physical memory. 

o Ensure that the directory to which your TEMP environment variable points exists. 

o Run a Reserved Word Check 

o 

o 

Verify that the text of all stored procedures you upgrade is available in syscomments. 

If you deleted text from the syscomments system table, drop and then re-create the stored 

procedures to re-add the text. Sybase recommends that you use the sp_hidetext stored 

procedure to hide text, rather than deleting text. 

o Prepare the database and devices for upgrade using the preupgrade utility, and fix any 

problems that the preupgrade utility identifies. 

o If you use auditing, obtain the current audit settings for the pre-15.7 Adaptive Server using 

sp_displayaudit; you use this saved information to re-enable auditing after you complete 

the installation. 

o If you modified any system stored procedures without altering their names, back them up 

before you upgrade Adaptive Server. 

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STEP 2.9: PERFORM THE PRE-INSTALLATION TASKS FOR A CLEAN INSTALL (AS NEEDED) 

If you have chosen the “Clean Install” (“dump and load”) method of upgrading ASE, then you will 

need to perform the pre-installation tasks specified in the Installation Guide for your platform. For 

example, if you are installing ASE 15.7 on Linux see: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc30119.1570/doc/html/title.html 

If you are not using the “Clean-Install” method, then you can skip this step and continue with the 

upgrade steps listed below. 

STEP 2.10: PERFORM THE PRE-UPGRADE STEPS FOR APPLYING AN EBF 

Applying an EBF overwrites your existing ASE software. Therefore, if you are applying an EBF, backup 

your $SYBASE directory, in case you need to roll back to the original version of the software. 

STEP 2.11: IMPLEMENT YOUR ASE DATABASE DEVICE ATTRIBUTES 

Implement any changes you decided to make to your database device attributes. 

STEP 2.12: CHECK THE CONSISTENCY OF THE MASTER AND ALL USER DATABASES 

2.12.1: GENERAL CONSISTENCY CHECKS 

Attempting to upgrade a corrupted database is a recipe for a failed upgrade and a time-consuming 

recovery process. Therefore, we strongly recommend that you complete consistency checks prior to 

attempting an upgrade to ASE 15.x. That is, we strongly recommend running dbcc checkstorage on the 

master and all user databases. 

If you prefer not to run dbcc checkstorage, then it is probably sufficient to run dbcc checkdb and 

checkalloc on the master and all user databases. 

Resolve any issues reported by these procedures before continuing with the upgrade. 

2.12.2: CHECK SYSTEM TABLES 

You should manually review the sysusers and the sysroles tables to ensure that any manually inserted 

user or role ID’s are within the normal Sybase user range. 

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If the upgrade process attempts to add a new user or role and one already exists with the same ID, then 

the attempt will fail and the entire upgrade could be compromised. This can occur because in ASE 

12.5.x some of the user roles (such as dtm_tm_role, ha_role) were not automatically installed in the 

user databases by ASE. 

If these roles were added to the database in 12.5.x as a user defined roles, the lrid and uid of this role 

can conflict with the system roles that are automatically created in databases by ASE 15. 

o 

o 

To verify this, execute the following: 

select * from master..syssrvroles 

select * from dbname..sysroles 

select * from dbname..sysusers 

The relationships are: 

db.sysusers.uid db..sysroles.lrid db.sysroles.id master.syssrvroles.srid 

The workaround is to remove the entries of mismatched roles. 

STEP 2.13: BACKUP ALL USER DATABASES 

Backup your user databases after running consistency checks. 

If there is an issue with the upgrade, you will use this backup to recover your databases. 

STEP 2.14: BACKUP THE MASTER DATABASE 

Backing up the master database is the cornerstone of any backup and recovery plan. The master 

database contains details about the structure of your entire database system. Its keeps track of the ASE 

databases, devices, and device fragments that comprise those databases. Because ASE needs this 

information during recovery, it is crucial that you maintain an up-to-date backup copy of the master 

database at all times. To ensure that your backup of master is always up to date, back up the database 

after each command that affects disks, storage, databases, or segments. This means you should back up 

the master after performing any of the following procedures: 

Creating or deleting databases. 

Initializing new database devices. 

Adding new dump devices. 

Using any device mirroring command. 

Creating or dropping system stored procedures, if they are stored in master. 

Creating, dropping, or modifying a segment. 

Adding new Adaptive Server logins. 

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To back up the master db to a tape device, start isql and enter the following command: 

1> dump database master to "tape_device" 

2> go 

Note: “tape_device” is the name of the tape device-for example, /dev/rmt0): 

STEP 2.15: DUMP THE TRANSACTION LOG 

Dump the transaction log after backing up your user and master databases. 

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_________________________________________________________________________________________________ 

STEP 3: UPGRADE STEPS FOR THE TEST ENVIRONMENT 

STEP 3.1: BULK COPY OUT KEY SYSTEM TABLES 

We recommend that you bulk copy (BCP) the contents of the following system tables from the master 

database and have them available after the upgrade: 

sysdevices (optional, depending on usage) 

sysconfigures 

sysservers 

syscharsets 

sysremotelogins 

syslogins 

sysloginroles 

sysusages 

sysdatabases 

STEP 3.2: DISABLE REPLICATION 

You can use Sybase Central or the procedure below to quiesce a system consisting of several Replication 

Servers. 

Quiesce a Replication System 

1. Execute the “suspend log transfer from all” command at each Replication Server. This prevents the 

RepAgent from connecting to the Replication Servers. 

2. Execute “admin quiesce_force_rsi” at each Replication Server. This command forces the 

Replication Server to deliver all queued messages to other Replication Servers, then reports 

whether the system is successfully quiesced. Quiescing occurs most efficiently if you follow the flow 

of the data. For example, if data flows from TOKYO_RS to MANILA_RS to SYDNEY_RS, quiesce the 

Replication Servers in that order. 

Verify the Quiescent State 

1. Check that the Replication Server is quiescent using the “admin quiesce_check” command. If 

necessary, repeat steps 2 and 3 until all Replication Servers are quiescent. 

2. After all Replication Servers are quiescent, execute “admin quiesce_force_rsi”once more at each 

Replication Server. Check that each Replication Server is quiescent using the “admin 

quiesce_check” command. If necessary, repeat this step until all Replication Servers are quiescent. 

This step is necessary because, although a Replication Server may be quiescent, it may have 

recently sent messages to another Replication Server. These messages may initiate more 

communication between these two Replication Servers or between several Replication Servers in 

the replication system. Repeating steps 2 and 3 ensures that you have quiesced the entire 

replication system. 

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_________________________________________________________________________________________________ 

STEP 3.3: UNPARTITION ALL PARTITIONED TABLES 

Because of changes to the system tables, and the changes made to support semantic partitioning, 

tables that are partitioned on pre-ASE 15.x servers will be unpartitioned during the upgrade process. 

Prior to unpartitioning any tables, please be sure to record exactly which tables are partitioned and to 

what degree. This can be done by running the below procedure: 

1> sp_helpartition 

2> go 

There are two ways to unpartition your tables: 

o 

o 

o 

You can manually execute an alter table unpartition command for every 

partitioned user table. 

Or, you can execute the following stored procedure: 

1> sp_unpartition 

2> go 

Note: The sp_unpartition procedure is not a normal Sybase system stored procedure, but 

documentation for it can be found at the following link: 

http://www.sybase.com/files/Technical_Documents/ase15_mig_stored_procs.zip 

STEP 3.4: QUIESCE ALL DATABASES 

This step is to prevent the occurrence of uncommitted transactions in the log. These can cause 

problems during the database upgrade process. This step also helps to ensure overall consistency and 

efficiency of the upgrade process. 

To quiesce the database, we use the same process as used for performing a Cross-Platform 

Dump/Load: 

1. Execute dbcc checkdb and dbcc checkalloc to verify the database is clean. 

2. To prevent concurrent updates from open transactions by other processes during dump 

database, use sp_dboption to place the database in a single- user mode. 

3. Flush statistics to systabstats using sp_flushstats. 

4. Wait for 10 to 30 seconds, depending on the database size and activity. 

5. Run checkpoint against the database to flush updated pages. 

6. Run dump database. 

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STEP 3.5: PERFORM THE UPGRADE 

When you reach this step, it is time to execute the upgrade method that you determined in the Pre- 

Upgrade Planning phase (Step 1.2) of this process. 

If you have not already done so, you should also perform any pre-upgrade steps specified in the ASE 

Installation Guide, Release Bulletin or EBF Cover Letter. 

STEP 3.6: UPGRADE YOUR CLIENT SOFTWARE 

If you need to upgrade your client software (such as your Sybase OpenClient, ODBC, jConnect, etc), this 

is a good time to do so. 

If you are upgrading to ASE 15.7, we recommend that you upgrade your OpenClient software to version 

15.7. 

STEP 3.7: UPGRADE YOUR MIDDLEWARE, INTERFACES AND 3 RD PARTY SOFTWARE 

This is the step to perform any necessary upgrades to your middleware, interface processes, 3 rd -Party 

utility or application software such as DirectConnet, SQL Backtrack, Trizetto, Informatica, etc. 

STEP 3.8: UPGRADE ANY OTHER SOFTWARE 

This last step is a reminder to perform any other software upgrades necessary to support your 

applications running on the upgraded server. 

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_________________________________________________________________________________________________ 

STEP 4: POST-UPGRADE STEPS FOR THE TEST ENVIRONMENT 

OVERVIEW 

As part of a “best practices” approach, you will upgrade your ASE server in a test environment before 

upgrading in production. In this phase, you will evaluate the impact of the upgrade on your applications, 

tune ASE‘s new features and standardize your upgrade procedures. Doing so, will ensure a successful 

upgrade and avoid any unpleasant surprises in production. 

STEP 4.1: PERFORM THE POST-UPGRADE STEPS 

Your post-upgrade steps will vary depending on a number of factors including the type of upgrade method 

you choose (in-place vs. clean-install), the EBF you are applying, and your use of Replication. 

4.1.1: POST-INSTALLATION TASKS 

If you are using the “Clean Install” method of upgrading, then this is the step to perform any post-upgrade 

steps specified in the “Post-Installation Tasks” section of the ASE 15.7 Installation Guide for your platform. 

For Linux, this would be the ASE 15.7 Installation Guide for Linux at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc30119.1570/doc/html/rsa12362074338 

82.html 

4.1.2: POST-UPGRADE TASKS FOR YOUR EBF 

This is the step to perform the post-upgrade steps specified in the Cover Letter of the EBF you are 

applying For example, the EBF Cover Letter for ASE 15.7 ESD#1 for Linux on Power can be found at: 

http://download.sybase.com/swr/15483/EBF19810 README.html 

Per the Cover Letter, the post-installation steps for an EBF may include the following: 

o 

o 

Reload any Sybase system stored procedures you have modified. 

Run Required Scripts: 

• Run the new installmaster script included with the release. 

• Run the instmsgs.ebf script to bring your ASE messages up to the level of the software 

you are installing. 

o 

Run the Optional Scripts: 

• Run the installdbccdb script if you have created a dbccdb database. 

• Run the installmontables script if you have previously installed the Monitoring Tables. 

• Run the installcommit script if you use two-phase commits or distributed transactions. 

• Run the installsecurity script if the ASE Auditing functionality was enabled in your 

installation of ASE. 

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_________________________________________________________________________________________________ 

• Run the installhasvss script if you are using the HA functionality. 

• Run the installmsgsvss script if you are using the RTDS ASE MESSAGING. 

• Run the installpcidb script if you are using the Java in database functionality during the 

installation or upgrade. 

• Run the installjsdb script if you have installed Adaptive Server with the Job Scheduler 

feature enabled. 

4.1.3: ROLLING BACK AN EBF 

If for any reason it is necessary to revert to the previously installed release, you will need to use the 

backup copy you created earlier in the pre-upgrade phase of this upgrade process. 

You will also need to rerun the install scripts located in your backup copy. This will ensure that all 

scripts and messages are returned to their former versions. 

4.1.4: RE-ENABLE REPLICATION 

Re-enable Replication if you are using it. 

STEP 4.2: RECREATE TABLE PARTITIONS 

Since partitioned tables in pre-15 will be un-partitioned after upgrading to 15, you will need to 

repartition your tables. The pre-15 syntax for partitioning remains valid, and the results are 

equivalent to using the new “round robin” partitioning syntax. The only exception is “alter 

table…un-partition”. This syntax is not valid, since un-partitioned tables do not exist in 15. That is, 

by default, each table has at least one “round robin” partition. 

Also note: Each partition has its own partition ID in the page header. Therefore, a new partition-id is 

stamped on every page during the database upgrade process. This requires additional time and 

resources during the upgrade, because every page of the table is modified and logged, even though 

no data is moved. 

STEP 4.3: REPLACE THE “UPDATE STATISTICS” COMMAND 

This is the step to test the use of the “update index statistics ” instead of the “update 

statistics” command as discussed in step 2.7. Since the ASE 15 query optimizer is now able to use the 

additional information generated by the “update index statistics” command, providing this data will 

improve query performance by providing the optimizer with more information. 

STEP 4.4: DELETE OR UPDATE STALE STATISTICS 

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In this step, you will identify and delete old statistics pre-upgrade statistics that were created using one 

of the update statistics commands: update statistics, update index statistics, update all statistics, or 

update statistics tablename (). 

4.4.1: Identify Stale Statistics 

Stale statistics will negatively affect performance if the histogram, density and selectivity values are 

no longer representative of the data contained in the columns. Generating current statistics, or 

removing unused statistics, will help the optimizer choose the most efficient access plan. 

Use the following query to identify stale statistics. (Note: This output is ordered by oldest to newest 

statistics: 

use 

go 

select "Oldest to Newest Statistics" = 

convert(varchar(40), object_name(sc.id) + "." + sc.name), 

"Last updated On " = convert(varchar,ss.moddate,0) 

from syscolumns sc, sysstatistics ss 

where ss.id = sc.id 

and ss.colidarray = convert(varbinary,sc.colid) 

and ss.formatid = 100 

and ss.id > 99 

order by ss.moddate asc, sc.name 

4.4.2: Delete Stale Statistics 

To remove unused statistics, use the “delete statistics” command. For example, delete statistics 

(column_name). 

Note: Dropping an index does not drop the statistics for that index. Further, if the distribution of 

keys in the columns change after the index is dropped, the outdated statistics will negatively affect 

query plans. 

4.4.3: Restore Statistics (as needed) 

When used with just the table name, the delete statistics command removes all statistics for a 

table, even where indexes exist. In this case, you must run update index statistics on the table to 

restore the statistics for the index. 

STEP 4.5: RECREATE OPTIMIZER STATISTICS 

Since ASE 15’s query optimizer uses more statistical information about data column attributes than in 

previous versions, it is extremely important to give the optimizer all the data it can use. This step presents 

procedures for generating “missing statistics” and step counts. Note: This step can be performed whenever 

you experience a slow performing query. 

4.5.1: MISSING STATISTICS 

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To check for missing statistics, ASE 15.0.2 and above provides a new option, “show_missing_stats on”. 

This option displays a short message for each column or column group where the availability of 

additional statistics would have helped the optimizer. Below, are examples of how it may be used both 

by a user with sa_role and a user without sa_role: 

o 

User with sa_role: 

This option requires either Trace Flag 3604 or 3605 for all users! 

set option show_missing_stats on 

dbcc traceon(3604) 

go 

User with sa_role granting permission to DevUser: 

grant set tracing to DevUser 

go 

o 

User without sa_role: 

User DevUser: 

Trace Flag 3605 sends messages to the error log. 


go 

In addition to using the new set option above, we also recommend making the following configuration 

changes: 

1> sp_configure “number of histogram steps”, 200 

2> go 

1> sp_configure “histogram tuning factor”, 10 

2> go 

4.5.2: ESTIMATE IDEAL STEP COUNTS 

To estimate the new ideal “step count” value, use the following process for all user tables: 

1. For each large or key table, use the data_pages function to determine the number of data 

pages that the table currently occupies. Then, divide this number by 10,000. (Sybase 

estimates each table will have one histogram step per 10,000 data pages; but never to 

exceed 2,000 steps). For example: 

1> select data_pages(db_id(), object_id(“”) ) / 10000 

2> go 

2. Note: If the result from the above query is either of the following: 

Greater than 2,000: Then use 2,000 histogram steps for indices on that table. 

Less than 20: Then use 20 histogram steps for indices on that table. 

3. Then for each key table, execute the following command: 

1> update index statistics using values 

2> go 

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4.5.3: OPTIMIZER STATISTICS DOCUMENTATION 

For more information on using optimizer statistics, see Understand & Managing Optimizer Statistics in ASE 

at: http://www.sybase.com/files/Technical_Documents/understanding_optimizer_stats.zip 

STEP 4.6: CONFIGURE AND TUNE THE NEW ASE 15 RESOURCES REQUIREMENTS 

STEP 4.6.1: OVERVIEW 

ASE 15’s new features and enhancements require more resources than in ASE 12. Consequently, 

several configuration parameters must be adjusted to achieve optimal server performance. In this 

step, you will configure and tune these resource settings as needed for your application. 

Note: Testing these settings can occur in parallel with the query performance testing described 

below. However, optimizing these settings requires the use of ASE’s sysmon utility as you perform 

your other testing. 

STEP 4.6.2: CONFIGURE PROCEDURE CACHE 

ASE 15’s new query processing engine requires more procedure cache than in previous versions. 

This increased requirement applies to both the optimization and execution of queries. 

ASE 15 also has many more join methods and data access algorithms than in prior versions. This is 

especially true for allrows_dss, which generally consumes more procedure cache than allrows_mix, 

which in turn usually requires more procedure cache than allrows_oltp. 

It is difficult to predict exactly how much more memory ASE 15 than before. As a rule of thumb, 

Sybase recommends increasing ASE 15’s procedure cache between 2 to 6 times, over what it was in 

ASE 12.5. 

Use the “procedure cache” section of sp_sysmon to monitor and tune procedure cache usage. 

Note: There is a new sizing limitation for procedure cache: As of ASE 15.0.2 ESD#2, a limitation 

was imposed on the maximum amount of procedure cache than can be used by the query 

optimizer. This is based on the value of the "max resource granularity" configuration parameter. 

This setting is an integer between 1 and 100, reflecting a percentage. The default setting is 10. This 

parameter can be set at the session level with set resource_granularity. 

STEP 4.6.3: RE-SIZE TEMPDB 

ASE 15 requires a larger tempdb than ASE 12.5. This is partly due to an increase in the workspace 

requirements of more join methods and access algorithms. Additionally, several new features also 

increase tempdb utilization, such as scrollable cursors, computed columns, and functional indexes. 

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Keep this increased utilization in mind when planning disk space, and when observing I/O rates in 

tempdb. The amount of increased tempdb usage will vary, depending on the optimization goals you 

use, the features you use, and your specific workload mix. 

STEP 4.6.4: SEMANTIC PARTITIONING AND SIZING THE NUMBER OF OPEN PARTITIONS 

Table partitioning is another new feature of ASE 15. Although semantic data partitioning is an optional 

license feature, its introduction affects resource consumption even when it is not enabled. That is, each 

table and index consists of at least one partition in ASE 15. Consequently, the value of the configuration 

parameter “number of open partitions” must be set high enough to avoid unnecessary performance 

overhead in the reuse of this resource. 

As a starting point, Sybase recommends using sp_countmetadata to estimate the required setting for 

this parameter and then use sp_monitorconfig to monitor usage. Keep in mind that temp tables are 

not included in the results of sp_countmetadata. 

STEP 4.6.5: STATEMENT CACHE AND LITERAL AUTO-PARAMETERIZATION 

Advantages of Enabling Statement Cache and Literal Auto Parameterization 

Due to the increased complexity of query optimization in ASE 15, the query optimizer will typically 

use significantly more resources (compilation time and procedure cache) than in prior versions. 

Therefore, if you are running many identical, or similar SQL queries (queries that differ only in their 

search argument), we strongly recommend enabling both statement cache and the new literal autoparameterization 

feature (introduced in ASE 15.0.1). These settings will improve overall performance 

by reducing the time and resources required by the query optimizer. 

Statement Cache: When statement cache is enabled, the first execution of a query results in the 

caching of its query plan. When the query runs again, it reuses the cache plan rather than recompile 

it again, thus improving performance by saving time and resources. 

Literal Auto-Parameterization: With literal auto-parameterization enabled, caching is extended to 

almost-identical queries that differ only in a constant value, and are likely to end up with the same 

plan. Therefore, literal auto-parameterization can greatly improve the effectiveness of your 

statement cache. We recommended that you enable and test this feature if your application uses 

many almost-identical SQL queries that are not part of stored procedures and are not run in executeimmediate. 

Enabling Statement Cache 

The statement cache is enabled sever-wide with the configuration parameter: 

1> sp_configure "statement cache size" 

2> go 

Note: The statement cache can be disabled at the session level using the set statement cache off. 

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Enabling Literal Auto-Parameterization 

Literal auto-parameterization is enabled with a new server-wide configuration parameter: 

1> sp_configure "enable literal autoparam" 

2> go 

At the session level, literal auto-parameterization can be enabled using the set command. Note: This 

setting will only take affect if statement cache is enabled: 

> set literal_autoparam [off | on] 

Sizing Statement Cache 

A cached statement requires approximately 1K memory in the statement cache (depending on the 

length of the SQL text), plus 2k for the cached plan, plus a few hundred bytes of overhead per plan. 

Since the statement cache will contain duplicate plans when two or more users request a plan 

concurrently, usage depends on the number of queries and the size of cached statements. 

Be careful NOT to make the statement cache too large. If it is too large, then the time it takes to 

search the cache will exceed the time saved by not having to read the statement into cache. 

Therefore, start with a small statement cache and monitor it with sp_sysmon. For example, we 

recommend the following procedure: 

o 

o 

o 

o 

Start with a statement cache size of 25 Mb’s to 100 Mb’s. 

Then, monitor statement cache usage by reviewing the “Statements Dropped” counter in 

the sysmon reports. The Statements Dropped counter displays the number of statements 

that were dropped from the cache. A high value usually indicates either an insufficient 

amount of procedure cache, or the statement cache size is too small. 

If the number of statements dropped is high, consider increasing size of the statement 

cache. 

For more details on monitoring statement cache, see Monitoring the statement cache in the 

Adaptive Server Enterprise 15.7 > System Administration Guide: Volume 2 > Configuring 

Memory > The statement cache > Setting the statement cache at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc31644.1570/html/sag2 

/sag299.htm 

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STEP 4.7: CONFIGURE AND TUNE THE NEW KERNEL RESOURCE SETTINGS 

4.7.1: OVERVIEW 

Once you have configured the new resource settings in the previous step, you will need to configure 

and tune the new kernel resource settings. 

These configurations include the following: 

o 

o 

• 

o 

• 

o 

All execution classes lose their engine groups and are associated with syb_default_pool. The 

administrator may then associate the execution classes with engine thread pools. 

Engine groups are obsolete when running in threaded mode. In this mode, use sp_addexeclass 

to bind execution classes to user thread pools. Thread pools separate processor resources 

between applications within Adaptive Server. 

The value of sp_configure “max online engines” must be greater than the current number of 

engines online. Because “online” is a reserved keyword, you must use quotes. 

When onlining engines using sp_engine “online”, note the following: In the threaded mode, 

online increases the thread count for syb_default_pool by 1. 

Therefore, in this step you will configure and tune these resource settings as needed for your 

application: 

o 

o 

o 

o 

o 

The number of OS file descriptors. 

The ASE “kernel resource memory” parameter. 

The ASE “idle timeout” parameter. 

The ASE “max online engines” parameter. 

The “number of user connections” and “number of open indexes” may need to be temporarily 

reduced (per CR #696227 listed above) if you are performing an in-place upgrade. 

4.7.2: SWITCHING KERNEL MODES 

Purpose: 

o In ASE 15.7 and above, the server is configured to use the new thread-based kernel mode by 

default. 

o 

o 

o 

However, the previous process-based kernel has been retained for risk mitigation, and can 

be enabled using the new “kernel mode” configuration option. 

This static parameter sets the kernel mode to process or threaded. The server must be 

rebooted for this option to take effect. 

Reverting to the processed-based kernel mode should only be considered as a “last resort” 

for resolving an issue or if you are specifically instructed to do so by Technical Support. 

Otherwise, we recommend using the threaded kernel. 

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_________________________________________________________________________________________________ 

o 

For more details on setting this or other configuration settings, please see Alphabetical 

Listing of Configuration parameters in the Adaptive Server Enterprise 15.7 > System 

Administration Guide: Volume 1 > Setting Configuration Parameters > Configuration 

parameters at 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc31654.1570/html/sag1 

/sag1113.htm 

Syntax: 

o sp_configure “kernel mode”, 0, 

Process vs. Threaded Mode: 

o 

New to ASE 15.7. Independent of kernel. Can be set in either mode to switch kernel mode. 

Usage: 

o 

o 

Interactive: 

• To interactively set the kernel mode to process-based, do the following: 

1>sp_configure "kernel mode", 0, process 

2>go 

• Then, restart the server for this option to go into affect. 

Using the Configuration File: 

• Edit your server configuration file to explicitly set the kernel mode to process: 

Add the following: kernel_mode = process. 

This option will take affect the next time the server is started. 

Verification: 

o To verify which kernel mode is operational, you can query the new global variable for the 

kernel mode: 

1> select @@kernelmode 

2> go 

o 

You will also see the following message in the startup sequence of the ASE error log when 

using the threaded-kernel mode: 

00:0000:00000:00000:2011/12/02 13:19:24.19 kernel Adaptive Server is using the threaded 

kernel mode. 

4.7.3: SETTING THE FILE DESCRIPTOR VALUES 

Purpose: 

o Sets OS file descriptions for ASE. 

Syntax: 

o 

The syntax for setting file descriptions varies by OS platform. 


o 

Changes: Both process and threaded kernel modes use file descriptors. However, the 

formula for estimating the number of file descriptors differs between the two. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

o 

In Threaded Mode: When using the new Threaded Kernel mode (default), you will use a 

different formula to estimate file descriptors than used in the process-based mode. 

The Formula for Estimating File Descriptors in Threaded Mode: Use the following 

formula to compute the maximum number of file descriptors per ASE process in 

threaded mode: 

The number of user connections + number of remote sites + max cis 

remote connections + number of java sockets + max number network 

listeners + max native threads per engine + overhead. 

For UNIX, this is the value for the “ulimit –n” parameter. 

o 

In Process Mode: When using the previous Process Kernel mode, each engine adds to ASE’s 

descriptor pool. 

The Formula for Estimating File Descriptors in Process Mode: Total descriptors = 

per-process limit * engines. 

Tuning: 

o 

You may need to adjust your shell limits for large user configurations. 

4.7.4: SETTING THE KERNEL RESOURCE MEMORY PARAMETER 

Purpose: 

o Controls the amount of memory available for kernel allocations. 

Syntax: 

o sp_configure “kernel resource memory” 


o 

o 

o 

Changes: None. This parameter applies to both kernel modes and the formula for estimating 

the value for this parameter remains the same and is as shown below. 

Rules of Thumb for Both Process and Thread Modes: 

1. sp_monitorconfig "kernel resource memory" 

2> go 

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_________________________________________________________________________________________________ 

4.7.5: SETTING THE MAX ONLINE ENGINES PARAMETER 

Purpose: 

o Places an upper limit on the number of engine threads that can be brought online. It does 

not take into account the number of CPUs available at start-up, and allows users to add CPUs 

at a later date. See Chapter 5, Managing Multiprocessor Servers,” in System Administration 

Guide: Volume 2 for a detailed discussion of how to set this parameter for your SMP 

environment. 

Syntax: 

Usage: 

o 

o sp_configure “max online engines”, 8 

reboot 

alter thread pool syb_default_pool with thread count = 8 

The value of sp_configure “max online engines” must be greater than the current number 

of engines online. Because “online” is a reserved keyword, you must use quotes. 


o In Threaded Mode: 

“max online engines” is still a static parameter. 

The “number of engines at startup” is ignored. 

Engines are based on explicit thread pool sizes. 

Use “alter thread pool” to online & offline engines 

When using the sp_engine “online” procedure, the “online” value increases the 

thread count for syb_default_pool by 1. 

Verification: 

o To verify how many engines are configured: 

Total engines = syb_default_pool thread count + user pool thread counts. 

o Select count(*) from sysengines still works, but it cannot return a value greater than “max 

online engines. 

o 

Relevant CR’s: 

o CR 684046: Free the Kernel Resource Memory after copying the thread pool configuration. 

4.7.6: SETTING THE IDLE TIMEOUT PARAMETER 

Purpose: 

o In threaded kernel mode, the “Idle timeout” parameter for the “alter thread pool” command 

replaces the “runnable process search count” (RPSC) parameter from the process kernel 

mode. 

Syntax: 

o alter thread pool pool_name with { pool name = “new_name” 

thread count = thread_count, 

[pool description = “description”]} 

[idle timeout = time_period] 

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_________________________________________________________________________________________________ 

Usage: 

o For example, to modify the test_pool so that threads sleep if they do not find work after 500 

microseconds: 

1>alter thread pool test_pool with idle timeout = 500 

2>go 


o 

o 

RPSC: For the process-based kernel, the RPSC parameter controls how engines spin before 

sleeping: 

Set via sp_configure. 

It is server-wide, and applies to all engines. 

It is a loop count, and specifies how many times ASE loops looking for work. This can 

result in drastically different times across different computers. The RPSC setting 

remains available for the process mode only. 

Idle Timeout: For the new threaded kernel, the “idle timeout” setting controls how engines 

spin before sleeping: 

Set the “idle timeout” value using the “alter thread pool” command. 

“idle timeout” is an attribute of the thread pool and therefore you can mix values 

within an ASE server. 

Is a time value in microseconds (one millionth of a second) that is consistent across 

different computers. 

Tuning Considerations: 

o 

o 

o 

o 

o 

o 

o 

This is a dynamic configuration setting that can be easily modified as needed. 

The default is 100 microseconds (one millionth of a second). 

If this value is set too low, it can lead to added latency due to engine sleep. 

A value of 0 means never spin, sleep immediately. At this setting, latency can be increased 

by the overhead of re-acquiring the CPU. 

If this value is too high, it can result in wasted CPU cycles. 

A value of -1 means never sleep, always spin, never yield. At this setting, the engines 

consume 100% of the CPU. 

Note: ASE at lower values (under 100) ASE may not precisely honor the timeout period. 

Tuning Recommendations: 

o 

Start with the default, and then use the sp_sysmon output for “CPU Yields”, “Engine 

Utilization” and “Context Switches at OS” to determine whether this parameter needs to be 

adjusted. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

Tuning Examples: 

o 

o 

o 

CPU Yields: 

Relevant CR’s: 

o 

• Sample output (sp_sysmon): 

CPU Yields by Engine per sec per xact count % of total 

----------------------------- ---------- ------------ ---------- ---------- 

ThreadPool : syb_default_pool 

Engine 0 

Full Sleeps 0.1 0.2 2 0.5 % 

Interrupted Sleeps 2.0 5.5 60 16.5 % 

• Analysis: 

Engine Utilization: 

Full sleeps are good. 

A high percentage of interrupted sleeps may indicate the idle timeout value is 

too low. 


• Analysis: 

Engine Utilization (Tick %) User Busy System Busy I/O Busy Idle 

----------------------------------------- -------------- ----------------- -------------- --------- 


Engine 0 1.0 % 0.0 % 54.0 % 45.0 % 

• If Engine utilization is greater than OS utilization, this could mean the idle 

timeout is too high. 

• If “User Busy” percentage is low (single digits), and “ I/O Busy” percentage is 

high and context switching high (see below), then consider adjusting the idle 

timeout value, or take one or more engines offline because threads are not 

being used effectively. 

Engine OS Context Switching: 


Context Switches at OS per sec per xact count % of total 

-------------------------------------------- ------------ ------------ --------- --------------- 


Voluntary 0.0 0.0 0 0.0 % 

Non-Voluntary 

• Analysis: 

If non voluntary context switches on the syb_default pool are high, consider 

reducing the idle timeout. 

CR#686282: 

• Fixed in ASE 15.7 ESD #1 

• Idle timeout value for a thread pool is set to 0, if it is set to 'DEFAULT' in configuration file. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

4.7.7: ERRORLOG CHANGES 

In both threaded and process kernel mode, each line entry in the ASE log is preceded by a header 

row of information. This format is as follows: instance id : engine number : family id : spid : date 

time: msg 

When running in threaded mode, the internal thread id replaces the engine number. This allows us 

to identify messages from non-engine threads. 

o 

For example: 

00:0024:00000:00000:2011/04/27 10:28:07.82 kernel Thread 24 (LWP 24390) of Threadpool 

syb_default_pool online as engine 0 

o 

o 

In this example, we can see that engine 0 came online as thread 24, and that 0024 is 

reported as engine 0 in the message. 

You can also lookup the ThreadID in the monEngine table: 

1> select EngineNumber, ThreadID from monEngine 

2> go 

EngineNumber ThreadID 

------------------- ------------- 

0 24 

1 25 

2 26 

(3 rows affected) 

4.7.8: TESTING 

Testing these settings can occur in parallel with the query performance testing presented below. 

However, optimizing these settings may also require the use of ASE’s sysmon utility to monitor and 

evaluate these settings as you perform your other testing. 

STEP 4.8: CREATE AND MAINTAIN A POST-UPGRADE BASELINE 

STEP 4.8.1: OVERVIEW 

Now that your ASE software has been upgraded, the next step is to evaluate how it is performing. 

The best way to accomplish this is by conducting a thorough and methodical testing of your 

applications on the newly upgraded server. 

One of the primary goals of the testing phase is to tune ASE 15’s new optimizer features. 

Secondarily, you will also want to use this environment to verify the resource configurations settings 

(described in the steps above), perform consistency and stress tests, and to test any new ASE 15 

features you want to implement. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

The following sections present a discussion of recommended procedures for accomplishing this goal. 

STEP 4.8.2: CREATE A POST-UPGRADE BASELINE 

In order to quantitatively asses the impact of your upgrade, create a post-upgrade baseline for 

comparison to your pre-upgrade baseline. Repeat the same steps used earlier to create a pre-upgrade 

baseline. This includes: 

o 

o 

o 

o 

At a minimum, running your most frequently used and/or key stored procedures, queries, 

reports and batch applications. 

Measuring query execution times. 

Measuring logical I/O’s. 

Collecting Query Plans as needed to help resolve any performance problems you encounter. 

STEP 4.8.3: COMPARE PRE-UPGRADE AND POST-UPGRADE PERFORMANCE 

Once you have collected post-upgrade data, the next step is to compare this data to your pre-upgrade 

baseline. 

In general, this is an iterative process. That is, you will need to perform repeated testing and creation 

of post-upgrade levels of performance as you test, tune and evaluate ASE 15’s new features and 

configuration settings. 

STEP 4.9: TEST AND TUNE YOUR NEW OPTIMIZER SETTINGS 

STEP 4.9.1: TEST AND TUNE YOUR NEW OPTIMIZATION GOALS 

1. Optimizer Goals 

Optimization Goals are an important new concept in ASE 15.0. They provide hints to the Query 

Optimizer about the type of queries it will be optimizing. This enables the optimizer to generate 

better query plans in less time than before. 

Therefore, the goals you choose will affect the types of query plans generated and the time spent on 

optimization. The three supported optimization goals are as follows: 

1. allrows_mix: This is the default server-level goal for ASE 15. This is the best goal for 

application environments running a mixture of simple online transactions and more complex 

decision support queries. 

2. allrows_oltp: This is the best goal for application environments consisting primarily of OLTP, 

simple point queries using NLJ and sort based grouping. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

3. allrows_dss: This is the best goal for Decision Support (DSS) applications, medium-to-high 

complexity applications that use NLJ, SMJ, HJ sort/hash based grouping, bushy tree plans, 

and parallelism. 

To allow for fine-tuning of query performance, optimizer goals can be set at the server, session or 

query level. Goals set at the session level override the server level; goals set at query level override 

the session level. 

2. Testing Goals 

In ASE 15, the allrows_mix goal was chosen as the server-level default because it can accommodate 

the widest range of queries. However, this goal may not be the best for all, or even some, of your 

queries. 

Therefore, the purpose of testing ASE’s optimizer goals is two-fold: 1) To identify the best serverlevel 

optimizer goal; 2) To identify any queries or applications that require a different session level or 

query level goal. 

3. One Goal May Not Work for All 

In complex processing environments, no single optimizer goal will be best for ALL queries. This is 

especially the case where there is a skewed workload mix. That is, where the applications mix is 

comprised mostly of one type of processing with a small number of another type. For example, mostly 

OLTP with just a few DSS reports; or, mostly DSS reports/batch processing with a small mix of OLTP. In 

these cases, it is best to set the server-level optimizer goal to the one goal that provides the best 

performance for the greatest number of queries. Then, override this server-level setting at either the 

session level, or query level, as needed to meet the performance requirements of a particular application 

or individual query. 

4. Testing Strategies 

To determine which optimizer goals are best for your server, test all of the optimizer goals and compare 

the results to your pre-upgrade performance baseline: 

In general, it is best to begin your performance testing using the default goal of allrows_mixed. 

Depending on your performance results and requirements, test each of the other two goals using all 

or just some of your queries: 

o 

o 

o 

You may find that all of your queries perform as well or better than they did on your preupgrade 

server when using the default goal. In this case, you may not need to continue testing. 

However, you may find that some of your queries do not perform as well as they did on your 

pre-upgraded server. In this case, repeat your tests using one of the other optimizer goals 

for those slow performing queries. 

The recommended approach is to test ALL of your queries using all three optimizer goals. 

This way, you will identify the optimizer goal that works best for each query, as well as which 

goal works best for the majority of queries. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

o 

Use the goal that performs the best for the most number of queries as your server-level 

setting. Than, override this goal at the session or query level as needed for individual 

queries or applications. 

5. Implementation Examples 

To set the optimizer goal at the Server Level, do the following: 

> sp_configure "optimization goal", 0, "allrows_dss" 

To set the optimizer goal at the Session Level: 

> set plan optgoal allrows_mix 

To set the optimizer goal at the Query Level: 

> select * from blah plan "(use optgoal allrows_oltp)" 

The individual optimization algorithms used under various optgoals can also be turned on and off at 

the session level, for example: 

o 

o 

o 

set nl_join ON/OFF 

set parallel_query ON/ OFF 

set merge_join ON/OFF 

6. Additional Testing Considerations 

If you are still finding that one or more queries, stored procedures or other compiled objects have 

worsened in performance, we recommend you consider the following: 

o 

o 

o 

o 

o 

o 

First, review Steps 2.7, 4.3, 4.4 and 4.5 regarding table and index-level statistics and ensure 

that the tables and indices involved all have up-to-date statistics. 

Second, if you have not already done so, re-run the query or procedure under each of the 

different optimization goals (in Step 4.9) to see if one generates a better plan than the 

others. 

Third, verify that your new server level configuration settings (in steps 4.6 and 4.7) are 

satisfactory. 

Fourth, for troubleshooting slow performing queries, it is very useful to compare the postupgrade 

query plans to you pre-upgrade query plans. This comparison can be used in 

performing the advanced tuning techniques listed below. 

Fifth, consider the advanced tuning techniques discussed in the steps below for: 

• Optimizer Level Settings 

• Abstract Plans 

• The New QPTune Tool 

Lastly, if all the above fails, then consider the optimizer compatibility mode discussed 

below. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

7. Future Testing Considerations 

Keep in mind that there may be behavior changes in optgoals between ESDs. Consider re-visiting these 

testing strategies, should you run into any issues after applying future ESD’s. 

STEP 4.9.2: ADVANCED TUNING TECHNIQUES: OPTIMIZER LEVEL SETTINGS 

1. Optimizer Level Settings 

ASE 15.5 introduced optimizer level configuration settings. These are dynamic settings that enable 

you to “fine-tune” ASE’s standard optimizer goals. However, optimizer levels are advanced tuning 

mechanisms that should only be considered when the standard optimizer goals (allrows_dss, 

allrows_oltp and allrows_mix) do not meet your performance requirements. 

The current optimizer levels include the following settings: 

o ase_current: Enables all optimizer changes through the current release. 




2. Purpose 

In most situations, the cost-based query plans generated by the standard three optimizer goals will be 

optimal. However, there are times when the query processor chooses the wrong index for optimal 

performance, or chooses a suboptimal join order. In these cases, you may need to explicitly control the 

access methods ASE uses to execute your query. To do so, ASE provides advanced tools and techniques 

for query analysis and optimization settings that are designed to let you understand why the query 

processor makes the choices that it does and how to control them as needed. 

These tools include the new Optimizer Levels which include the following settings: 

o ase_current: Enables all optimizer changes through the current release. 




3. How to Use the Optimizer Level Settings 

By default, ASE does not enable the optimizer level settings; you must explicitly enable them at the 

server level using the sp_configure command or at the session level using the set command. 

Some optimizer criteria levels are specified by their CR numbers, while other optimizer levels are 

specified with descriptive names. Use the sp_options command to view the list of available options in 

the current release. This enables the optimization criteria for CR 545180: “set CR545180 on”. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

Here are some examples from the 15.7 Performance and Tuning Series Guide: 

o 

o 

At the session level: Use set plan optlevel to set the optimization level for the current session. 

This configures the session to use the all optimization changes up through the current version 

of Adaptive Server. For example: set plan optlevel ase_current 

For individual logins: Use sp_modifylogin to set the optimization level for logins. 

sp_modifylogin calls a user-created stored procedure that defines the optimization level. For 

example, if you create this stored procedure to enable the ase1503esd2 optimization level, but 

disable the optimization level for cr545180. 

• For example: 

create proc login_proc 

as 

set plan optlevel ase1503esd2 

set cr545180 off 

• You may apply these optimization settings to any login. This applies the settings from 

login_proc to user joe: 

sp_modifylogin joe, 'login script', login_proc 

o 

o 

o 

During a session with the set command: Use the set command to change the optimizer criteria 

level for the current session. You may find better performance by applying the optimizer 

criteria level at a fine grain level (perhaps at the query level). 

• For example: set cr545180 off 

Across the server: Use the sp_configure “optimizer level” parameter to set the optimization 

level globally. This setting enables all optimizer changes up to the current version of Adaptive 

Server. 

• For example: 

sp_configure 'optimizer level', 0, 'ase_current' 

Within an abstract plan: Use the optlevel abstract plan to set the optimizer level. This example 

enables all optimizer changes up to the current version of Adaptive Server for the current plan: 

select name from sysdatabases 

plan '(use optlevel ase_current)' 

To Determine Your Current Optimization Settings: Use the @@optlevel global variable to determine 

the current optimization level settings: select @@optlevel 

While applying these advanced optimizer settings, you may also want to asses the effects of a different 

join order, I/O size, or cache strategy. Some of the optimization options let you specify query 

processing or access strategy without costly reconfiguration. For more details on these settings, see 

"Chapter 7, Controlling Optimization, in the Performance and Tuning Series: Query Processing and 

Abstract Plans at: 


/X29769.htm 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

4. Where to Find More Information on Using Optimizer Levels 

Using optimizer levels involve advanced tuning techniques that are outside the scope of this document. 

A summary of these settings is provided below. "Chapter 7, Controlling Optimization, in the 

Performance and Tuning Series: Query Processing and Abstract Plans at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc00743.1570/html/query 

processing/X29769.htm 

Also see: Adaptive Server Enterprise 15.7 > Performance and Tuning Series: Query Processing and 

Abstract Plans > Controlling Optimization at 


/queryprocessing185.htm 

5. Other Optimizer Settings 

There are other less documented optimizer settings may be useful in very specific situations. 

For these situations, please contact Sybase Technical Support with a specific query issue for advice on 

when and how to use these settings. 

STEP 4.9.3: ADVANCED TUNING TECHNIQUES: THE QPTUNE TOOL 

In ASE 15.0.3 ESD#1, Sybase introduced the Query Processing Tuning Tool (QP Tune Tool). This query 

analysis tool identifies and helps you tune poorly performing queries. A brief summary of this tool is 

provided below. 

Overview to the New Query Processing Tuning Tool 

There are two basic functions in QPTune, capturing missing statistics and query tuning: 

1. Capturing missing statistics: The first step is the statistics advisory function. This will identify and 

optionally create missing statistics (those the optimizer would use if they were available). Statistics 

are absolutely critical to the ASE 15 optimizer choosing the correct plans. 

2. Tuning: 

Once you have created all the necessary statistics for your queries, the next step is to 

identify and tune any slow performing queries. 

Simply identifying and creating these statistics resolves many performance problems. For 

those queries that are still performing inadequately, the QPTune tool can be used to 

capture query text plus a variety of metrics (such as elapsed time, logical or physical I/O). 

The most important aspect of this tool is its ability to capture and compare metrics across 

multiple runs. Then, the tool allows you to tune your query at either the server level or the 

query level. This part of the process is quick and provides valuable information. At the 

query level, the QPTune tool can tune subqueries. That is, it can identify and set the best 

optimizer goal for different portions of the query in order to maximize query performance. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

If you continue to experience slow performing queries that you are unable to resolve, then it may be 

time to contact Technical Support. Before doing so, the entire process will be easier and faster if you 

generate some basic trace information for Technical Support to review. Therefore, if you have 

narrowed a performance problem down to a particular stored procedure or query, please generate the 

information listed below, prior to contacting Sybase Technical Support. This information may not be all 

that is needed, but it will get the diagnostic effort off to a fast start: 

1. Output from select @@version. 

2. Copy of ASE's .cfg file. 

3. Optdiag Statistics for each table involved in the query. For example: 

unix% optdiag statistics .. -Uxx –Pxx > outputfile 

4. sp_help for each table (or DDL for table & indices). 

5. Run the problematic query after setting the following: 

set statistics time, io on 

set showplan on 


set option show_lio_costing on 

set option show_search_engine on 

Note: 

The sa_role is required for some of the options above. 

For stored procedures, you may need to drop and recreate the procedure first 

in order to generate output from some of the above trace commands. 

Additional Documentation 

For a free course that includes training on the use of the QPT Tool, please do the following: 

Go to the “Migrate to Adaptive Server Enterprise 15” web page at: 

http://www.sybase.com/products/databasemanagement/adaptiveserverenterprise/migrate?htab=Tab+Holder&v 

tab=Technical+Resources&hid=80555&vid=80552 

Scroll to the bottom of the page and find the “Education Courses” section. From here, find and click on 

the Free Course: ASE 15 Post-Migration Performance Tuning link. 

Enter your email address and get the course for free. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

STEP 4.9.4: ADVANCED TUNING: QUERY PROCESSING, ABSTRACT PLANS AND MORE 

There are a number of advanced tuning techniques beyond the scope of this document. These include the 

following: 

1. ASE 15.7’s Performance and Tuning Series: Abstract Plans 

For more details on using abstract plans, see the Adaptive Server Enterprise 15.7 > Performance and 

Tuning Series: Query Processing and Abstract Plans > Introduction to Abstract Plans at: 


/X14674.htm 

2. ASE 15.7’s Performance and Tuning Series: Query Processing 

For a more detailed discussion of a variety of advanced query tuning techniques, please see the ASE 

15.7 Performance and Tuning Series: Query Processing and Abstract Plans at: 


/title.htm 

3. Online Training 

For a free online training course go to: 

o http://www.sybase.com/products/databasemanagement/adaptiveserverenterprise/migrate 

o Click on: Technical Resources 

o Then click on: Free Course: ASE 15 Post-Migration Performance Tuning 

4. The Complete ASE 15.7’s Performance and Tuning Series Guides 

For a review of our complete listing of the ASE 15.7 Performance Tuning Series, please see the listing in 

“Configuration and Tuning” within the “Assumptions and Limitations” section at the beginning of this 

document. 

STEP 4.9.5: THE OPTIMIZER COMPATIBILITY MODE: THE OPTION OF LAST RESORT 

1. Overview 

In most cases, ASE 15.0 will perform better than prior versions, especially for complex queries. 

However, there may be cases where a query does not perform as well as it did prior to 15. For these 

cases, we introduced the Compatibility Mode for Query Processing in ASE 15.0.3 ESD#1. 

The compatibility mode is the optimizer goal of “last resort”. It will not work in all cases and its use 

precludes the use of the latest optimizer features as well as some additional new ASE 15 features. For 

more details on its use and restrictions, see the references and information below. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

For example, if you will not be using new features in ASE 15, the Compatibility Mode provides a way to 

generate and execute a query similar to ASE 12.5.4. The Compatibility Mode removes the application 

tuning process from the upgrade process until a later date. However, this will need to be addressed in 

order to use all of ASE 15 features or if this optimizer goal is deprecated (although currently, there are 

no plans to do so). 

2. Using the Compatibility Mode 

Purpose: 

The optimizer compatibility mode provides an alternative optimizer strategy for ASE 15 that simulates 

the behavior of the ASE 12.5.4 optimizer. 

Syntax: 

o 

o 

To enable Compatibility Mode Server-wide: (not usually recommended): 

> sp_configure ‘enable compatibility mode’,[1 | 0] 

To enable Compatibility Mode at the Session-level: (recommended): 

> set compatibility_mode [on | off] 

Usage: 

o 

o 

o 

The session setting will override the server-wide setting. 

Compatibility Mode is only available in ASE 15.0.3 ESD #1 and later releases. There are other 

restrictions on whether Compatibility Mode can be used, and at what level. See Table 3.1 in the 

15.0.3 Migration Guide for specifics: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc00967.1503/htm 

l/MigrationGuide/title.htm 

SQL statements will be processed in one of three modes: 

Full Compatibility Mode: Optimized by an ASE 12.5.4-like optimizer, code generated 

into ASE 12.5.4 query plans and executed by the ASE 12.5.4 query execution engine. 

Restricted Compatibility Mode: Optimized by an ASE 12.5.4-like optimizer to generate 

an abstract query plan that will be processed by the ASE 15 optimizer and query 

execution engine. 

Default Mode: Optimized by the ASE 15 optimizer and executed by the ASE 15 query 

execution engine. 

o 

o 

To see which mode was used to execute the previous query: 

> select @@qpmode 

Values: 

0– Non-optimizable query (create index, set rowcount, …) 

1– Full Compatibility Mode. 

2 – Restricted Compatibility Mode. 

3 – Compatibility Mode could not be applied 

Available trace flags: 

441 - Allow all parameterized literals in Compatibility Mode. 

___________________________________________________________________________________________________________ 



_________________________________________________________________________________________________ 

446 - Skip Restricted Compatibility Mode. 

477 - Prints the following : 

Prints the reason why a query was not processed using Full Compatibility 

Mode. 

Prints whether a query was chosen for Full Compatibility Mode or not. 

Prints the query text (if available). 

Use trace flag 3604/3605 to direct the output. 

o 

Enabling compatibility mode may not always have an effect. There will be no effect on plans 

that are already cached. 

3. Additional Documentation for Compatibility Mode 

For more information on running the query processor in compatibility mode, refer to the following 

documents: 

“Using Compatibility Mode in ASE 15” at: http://www.sybase.com/detail?id=1063556&contentOnly=true 

Chapter 3: Running the Query Processor in Compatibility Mode, from the ASE 15.0.3 Migration 

Technology Guide at: 

http://infocenter.sybase.com/help/index.jsp?topic=/com.sybase.infocenter.dc00967.1503/html/MigrationGuide/ 

CBHHFIAG.htm 

STEP 4.10: TEST ANY NEW FEATURES YOU WILL BE USING 

If you have decided to implement any other new features, this is a good time to test them. 

STEP 4.11: VERIFY APPLICATION CONSISTENCY AND STABILITY 

In this step, you can verify the consistency of your application queries. That is, verify that the postupgrade 

result sets and output are the same as they were before the upgrade. 

This step can also be used to perform stress tests to verify that you applications are stable under highvolume 

workloads. 

Note: In most cases, this step can be done in parallel with the performance and tuning tests performed 

above if you capture the result sets and output for the queries being executed in the performance 

phases. 

STEP 4.12: VERIFY BACKUP AND RECOVERY PROCEDURES 

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In this step, you should verify your backup and recovery procedures. 

Ensure that your backup procedures (manual and automatic) are using the correct Backup Server 

version for the ASE 15 version you have upgraded to. 

STEP 4.13: STANDARDIZE YOUR UPGRADE PROCEDURES 

In this last step, you will use all the information gathered in the previous tests phases to create a 

standardized set of upgrade procedures. 

This would include detailed procedures for each step, recovery procedures and the configuration 

settings identified in your test environment phase. 

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STEP 5: UPGRADE STEPS FOR THE PRODUCTION ENVIRONMENT 

Once you have completed the post-upgrade testing and tuning steps in your test environment, you 

are ready for the production upgrade. 

Your production upgrade steps will be based on your experiences in test. These steps will be similar 

to those contained in part 3 of this document, plus any modifications you made as a result of your 

upgrade in test. 

The biggest difference between the test and production upgrade is in the post-upgrade process. 

For production, you will use the tuning and configuration settings determined in your prior testing 

phase. 

STEP 6: POST-UPGRADE STEPS FOR THE PRODUCTION ENVIRONMENT 

The post-upgrade steps for your production environment will also based on your test environment 

experiences. These steps will consist of implementing the configuration procedures and settings you 

determined in your testing phase. 

STEP 6.1: PERFORM POST-UPGRADE STEPS IN RELEASE BULLETIN AND COVER LETTER 

Perform the Post-Installation tasks for your upgrade. These will depend on the type of upgrade method you are 

using. 

STEP 6.2: RECREATE TABLE PARTITIONS 

Repartition your tables using the procedures you established used in your test environment. These will depend 

on the type of partitioning strategy you are using. 

STEP 6.3: REPLACE UPDATE STATISTICS COMMAND 

Replace the “update statistics” command with the “update index statistics ” as determined during 

your testing phase. 

STEP 6.4: RECREATE OPTIMIZER STATISTICS 

Recreate your optimizer statistics using the procedures you established in your test environment. 

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STEP 6.5: CONFIGURE THE NEW RESOURCE REQUIREMENTS FOR ASE 15 

Implement the resource settings for ASE 15’s new features as determined in your testing phase. 

STEP 6.5.1: CONFIGURE PROCEDURE CACHE 

Implement the procedure cache configuration determined in your testing phase. 

STEP 6.5.2: RE-SIZE TEMPDB 

Increase the size of tempdb as determined in your test phase. 

STEP 6.5.3: SEMANTIC PARTITIONING AND THE NUMBER OF OPEN PARTITIONS 

Implement the partition strategy and open partition setting as determined in your test phase. 

STEP 6.5.4: STATEMENT CACHE AND LITERAL AUTO-PARAMETERIZATION 

If you chose to do so, enable statement cache and literal auto-parameterization as determined in your test 

phase. 

STEP 6.6: CONFIGURE THE NEW KERNEL RESOURCES 

Implement the threaded kernel resource settings as determined in your test phase. 

STEP 6.7: CONFIGURE THE NEW ASE 15 OPTIMIZER SETTINGS 

Implement the optimizer goals and advanced tuning strategies as determined in your previous test phase. 

STEP 6.7.1: IMPLEMENT YOUR NEW OPTIMIZATION GOALS 

Implement the optimizer goals you established during your test phase. 

STEP 6.7.2: IMPLEMENT YOUR NEW OPTIMIZER-LEVEL SETTINGS 

Implement the optimizer levels you established in your test phase. 

STEP 6.7.3: IMPLEMENT ADVANCED TUNING SETTINGS (AS NEEDED) 

Implement any advance tuning settings you established in your previous test phase. 

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STEP 6.8: PERFORM OTHER SOFTWARE UPGRADES AS NEEDED 

Upgrade any other software required by your applications. 

This would include client, application and third-party software. 

Upgrade your version of OpenClient to 15.7 as determined in your test phase. 

STEP 6.9: VERIFY DATABASE CONSISTENCY 

If time allows, this would be a good time to verify your database consistency by running dbcc’s. 

STEP 6.10: BACKUP YOUR UPGRADED USER AND MASTER DATABASES 

Now that you have completed and verified your production upgrade, it is highly recommended that you 

backup your master and user databases. 

This ensures that you have a clean post-upgrade recovery point should you encounter any subsequent 

issues before the next backup. Without this backup, your next recovery point is your pre-upgraded 

backup. In most cases, this backup is no longer compatible with your upgraded server and recovery 

would involve downgrading or loading the pre-upgrade backup into your pre-upgrade ASE server (if you 

still have it). 

Congratulations, you have completed the upgrade. 

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_________________________________________________________________________________________________ 

SYBASE, INC. 

WORLDWIDE HEADQUARTERS 

ONE SYBASE DRIVE 

DUBLIN, CA 94568-7902 USA 

Tel: 1800 8 SYBASE 

www.sybase.com 

Copyright © 2012 Sybase, Inc. All rights reserved. Unpublished rights reserved under U.S. copyright 

laws. Sybase, and the Sybase logo are trademarks of Sybase, Inc. or its subsidiaries. All other 

trademarks are the property of their respective owners. ® indicates registration in the United 

States. Specifications are subject to change without notice. 

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Upgrading and Migrating an IQ database from older ... - Sybase

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