Best Practice

2012 Oracle Corporation Proprietary and Confidential
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Best Practices for Upgrading Oracle Database to

11g Release 2
Agrim Pandit
Principal Software Engineer
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Safe Harbor Statement

The following is intended to outline our general
product direction. It is intended for information
purposes only, and may not be incorporated into
any contract. It is not a commitment to deliver any
material, code, or functionality, and should not be
relied upon in making purchasing decision. The
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Best Practices for Upgrading Oracle Database to

11g Release 2
Agrim Pandit
Principal Software Engineer
12
Agenda
Why Upgrade?
What Is An Upgrade?
10 Best Practices
Common Issues
Real World Examples
Q&A
13
Why Upgrade?
Oracle Database 11g R2 is fully proven

New features of Oracle Database 11gR2
Length of Support Period
Staying on a version in Premier Support avoids Extended Support
fees for older versions
Availability of Patchset, CPU, PSU, and other bug fixes
.
14
Why Upgrade Continued

today
R2
January 2015
August 2015
August 2012
July 2010 July 2011
R2
January 2018
July 2013
January 2012
January 2009
Sustaining Support
Premier Support
Extended Support
July 2007 July 2008
R2
July 2010
t
2018
2017
2016
2015
2014
2013
2012
2011
2010
2009
2008
2007
2006
2005
2004
2003
2002
15
What is upgrade?
Upgrade is the process of changing the data dictionary contents of a
database to reflect a newer release of the server.
Upgrades and downgrades supported from a specific set of versions.
Upgrading from 10.2 to 11.2 is a major release upgrade.
Upgrading from 11.2.0.1 to 11.2.0.3 is a patch set upgrade.
Two most common upgrade methods

Manual Upgrade: Consists of using SQLplus to manually performing the
steps to prepare for upgrade, running the upgrade scripts, and analyzing
the upgrade results.
Database Upgrade Assistant (DBUA): A graphical user interface (GUI)
tool that interactively steps you through the upgrade process and
configures the database to run with the new release. DBUA is the Oracle
recommended method.
16
Upgrade Path to Oracle Database 11gR2
7.3.4
9.2.0.8
R2
9.2.0.4
8.0.6
R2
8.1.7.4
10.1.0.5
10.2.0.2
9.0.1.4
R2
"Empty" arrows mean: no specific patch release required
17
10 Best Practices
18
Best Practice #1
Read the FRIENDLY manuals!

Upgrade Advisor
Upgrade Companion Guide
Upgrade Guide
Upgrade checklist
OTN Upgrade Page
Upgrade Blog
19
Documentation
Note 250.1 Upgrade Advisors
20
Documentation
Note:251.1 Database Upgrades from 10.2 to 11.2
21
Documentation
Note:785351.1 Upgrade Companion 11g Release 2
22
References
Note264.1 : Database Upgrades from 9.2 to 11.2
Note785351.1: Upgrade Companion 11g Release 2
Note 837570.1 : Complete Checklist for Manual Upgrades to 11g
Release 2
Note 421191.1: Complete checklist for manual upgrades from X
to Y
Upgrade Guides:
http://download.oracle.com/docs/cd/E11882_01/server.112/e108
19/toc.htm
OTN Upgrade Page:
http://www.oracle.com/technetwork/database/upgrade/index.html
Upgrade Blog: www.blogs.oracle.com/UPGRADE
23
Best Practice #2
Use the Upgrade Planner in My Oracle Support
24
Best Practice #3
Install the latest 11gR2 patch set into a new
ORACLE_HOME to upgrade database
Download patch set 11.2.0.x from support.oracle.com
The latest patch set are listed in the following note:
Note 753736.1 :Quick Reference to Patchset Patch
Numbers
Apply latest available CPU/PSU patch to your new
$ORACLE_HOME before upgrade
Apply recommended patch bundles and one-off patches
25
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Best Practice #4
Pre-upgrade sanity operations
Oracle provided invalid objects.
Database components .
Duplicate objects .
Gather Dictionary Statistics.
Pre-Process AUD$ record.
Purge recycle bin.
Remove obsolete, deprecated and hidden parameters .
27
Sanity Operations: Invalid Objects

Always check for INVALID objects
SQL> select unique OBJECT_NAME, OBJECT_TYPE, OWNER
from DBA_OBJECTS where STATUS='INVALID';
Fix all INVALID objects BEFORE the upgrade/migration

There should be no invalid objects in SYS and SYSTEM user schema
Recompile invalid objects with utlrp.sql before the upgrade
28
Sanity Operations: Database Components

Resolve invalid database components before you upgrade:
Remove components manually which are not in use.
Fix components manually which are in use but invalid.
Reference:
Note 472937.1: Information On Installed Database
Components/Schemas
Note 300056.1 : Debug and Validate Invalid Objects
Note 753041.1 :How to diagnose Components with NON
VALID status
Note 733667.1 :How to Determine if XDB is Being Used in
the Database?
29
Sanity Operations: Duplicate Objects

Always check for DUPLICATE objects in SYS/SYSTEM
SQL> select OBJECT_NAME, OBJECT_TYPE from DBA_OBJECTS
where OBJECT_NAME||OBJECT_TYPE in (select
OBJECT_NAME||OBJECT_TYPE from DBA_OBJECTS where
OWNER='SYS') and OWNER='SYSTEM' and OBJECT_NAME not in
('AQ$_SCHEDULES_PRIMARY', 'AQ$_SCHEDULES',
'DBMS_REPCAT_AUTH');
Some Duplicate objects SHOULD exist and are documented in

Note:837570.1 Complete Checklist for Manual Upgrades to 11g
Release 2
Note1030426.6 : How to Clean Up Duplicate Objects Owned by SYS
and SYSTEM Schema
30
Sanity Operations: Gather Dictionary Stats.

Create dictionary statistics in Oracle 9i:
SQL> exec DBMS_STATS.GATHER_SCHEMA_STATS
('SYS', options => 'GATHER',estimate_percent =>
DBMS_STATS.AUTO_SAMPLE_SIZE, method_opt => 'FOR
ALL COLUMNS SIZE AUTO', cascade => TRUE);
Create dictionary statistics in Oracle 10g/11g:

SQL> exec DBMS_STATS.GATHER_DICTIONARY_STATS;
31
Sanity operations :
Pre-Process AUD$ record or Truncate SYS.AUD$ (if not required)
Note 1329590.1 : How to Pre-Process SYS.AUD$ Records PreUpgrade From 10.1 or later to 11gR1 or later. OR
SQL> truncate SYS.AUD$;
Purge the recyclebin

SQL> purge DBA_RECYCLEBIN;
Remove obsolete,deprecated & hidden parameters

_always_semi_join=off
_unnest_subquery=false
optimizer_features_enable=9.0.1
event = "10061 trace name context forever, level 10"
32
Best Practice #5
Always run the pre-upgrade script regardless of using the
DBUA or Manual Upgrade process
Always implement the recommendation suggested by pre-upgrade
script .
Stored in: $OH_11g/rdbms/admin OR Download the newest
version of the pre-upgrade check script utlu112i.sql:
Note 884522.1: How to Download and Run Oracle's Database
Pre-Upgrade Utility
Download and run dbupgdiag.sql script before & after upgrade
Note 556610.1: Script to Collect DB Upgrade/Migrate Diagnostic
Information (dbupgdiag.sql)
dbupgdiag script as an information gathering script. It does not
replace the utlu112i.sql it complements it.
33
Pre-Upgrade Checks
Upgrade information script: utlu112i.sql
Run in the environment of the source database
Spool the output into a file:
Checks all init parameters and displays warnings for obsolete and
deprecated parameters
Does checks for:
Components status
Tablespace SYSAUX
Character set
Time zone file version
Cluster
34
Preparation: In RAC environment

Always upgrade Grid Infrastructure (Cluster ware and ASM) First!
The grid infrastructure version must be greater than or equal to the
version of the resources it manages .
With Oracle Grid Infrastructure 11.2, ASM and Oracle Clusterware are
installed into a single home directory, which is referred to as the Grid
Infrastructure home.
35
Preparation: Database Vault

Switch off DATABASE VAULT (if used/installed)
Oracle Database Vault Administrator's Guide: Appendix B
Unix: (simplified)
Relinking without Database Vault
[$ make -f ins_rdbms.mk dv_off ioracle]
$ chopt disable dv
Windows:
Rename oradv11.dll in ORACLE_HOME\bin
Upon restart: $ chopt disable dv
After upgrading relink with dv_on or rename the DLL and enable
Database Vault again: $ chopt enable dv
36
Preparation: Time zone Patches - 11g Release 2

Upgrade to Oracle Database 11g Release 2:
New 11.2.0.1 -$OH has timezone V11
New 11.2.0.2 and 11.2.0.3 -$OH has timezone V14
No need to patch the source $OH if TZ version < Target $OH
Database only needs to be adjusted if you are using the
datatype TIMESTAMP WITH TIMEZONE
Conversion done after the upgrade
See Note 944122.1
Package DBMS_DST
DBMS_DST.FIND_AFFECTED_TABLES
DBMS_DST.BEGIN_UPGRADE
DBMS_DST.UPGRADE_DATABASE
DBMS_DST.END_UPGRADE
37
Preparation :Preserve performance statistics

Collecting sufficient performance data prior to the upgrade is of vital
importance, Sufficient means:
Starting at least 4 weeks before the upgrade
Gather accurate performance statistics
In Oracle 8i/9i: Use STATSPACK
Export the PERFSTAT user right before the upgrade
Note:466350.1 STATSPACK before/after upgrade
In Oracle 10g/11g: Use AWR
Take snapshots every 30-60 minutes retention: >30 days
Export the AWR with
DBMS_SWRF_INTERNAL.AWR_EXTRACT
Use AWR DIFF reports to compare before & after upgrade
performance:
DBMS_WORKLOAD_REPOSITORY.AWR_DIFF_REPORT_HTML
38
Best Practice #6
Leave COMPATIBLE at the original value for a week before changing to
11.2.
COMPATIBLE has to be at least 10.1.0 for an 11g database
No way back once >= 11.2.0 has been enabled
Supported release downgrade to 10.1.0.5, >=10.2.0.2, >=11.1.0.6
No ALTER DATABASE RESET COMPATIBILITY command anymore
39
Best Practice #7
Test fallback strategy
In any case: Take a backup!!!
Always:
Create a valid and complete online backup with RMAN
Test the restore and the recovery at least once!!!
Make sure your fallback strategy covers both cases:
Problems encountered during the upgrade
Problems found days, weeks after the upgrade
If anything unforeseen happens and you'll have to step back, will you
be allowed to lose data (i.e. changes done to the data in the system
after the upgrade): YES or NO?
If YES: restore a backup, flashback (since 10g)
If NO: export/import, downgrade, Oracle Streams, Oracle Golden
Gate
40
Fallback strategy: Issues during upgrade
41
Fallback strategy: Issues After upgrade

Assumption: No data loss allowed
42
Best Practice #8
Choose Upgrade PATH
43
Upgrade alternatives: Minimal Downtime
44
Upgrading database Step-by-Step
45
Best Practice #9
Verify upgrade
The DBUA has "spool" and "echo" on by default, Find the logs at:
For DBUA
$ORACLE_HOME/cfgtoollogs/dbua/<dbname>/upgrade<n>/
For manual method logs can be found at spooled location.
Recompiling invalid objects
SQL> @?/rdbms/admin/utlrp.sql
Post-upgrade tool/utility
Check if all components are valid: utlu112s.sql or query
DBA_REGISTRY view for current status
Dbupgdiag.sql output (run and check script to collect DB
Upgrade/Migrate Diagnostic Information Note 556610.1)
Check alert<sid>.log
46
Best Practice #10: Post Upgrade

Create system statistics during a regular workload period - otherwise
non-appropriate values for the CBO will be used:
SQL> exec DBMS_STATS.GATHER_SYSTEM_STATS('start');
... gather statistics while running a typical workload
SQL> exec DBMS_STATS.GATHER_SYSTEM_STATS('stop');
Always create an editable init.ora from the current SPFILE after the
upgrade has been finished
Prevents rewrite in case of setting wrong parameters or forced edit
Keep in mind:
The SPFILE is binary file!!! Don't edit it!! Default since Oracle 9.0
It simply will exist after using DBUA or DBCA
Parameter can be changed by:
SQL> create pfile='/tmp/initDB.ora' from spfile;
SQL> startup force pfile=/tmp/initDB.ora
SQL> create spfile from pfile;
SQL> alter system set PARAMETER=VALUE scope=both;
47
Common issues
ORA-00904: "TZ_VERSION": invalid identifier
Cause registry$database table does not have the TZ_VERSION column

OR Time zone file version was not updated in registry$database.
Solution :Restore the database and run ultu112i.sql script on the source
database then upgrade the database .
ORA-39701: database must be mounted EXCLUSIVE for UPGRADE or DOWNGRADE
Cause: It is a RAC database and was mounted for SHARED cluster

access.
Solution: Set the CLUSTER_DATABASE initialization parameter to
FALSE in spfile/pfile and restart the server with the UPGRADE or
DOWNGRADE option.
48
Common issues continued

ORA-01722: invalid number
TimeZone Patch
Cause : Source database is using TZ version files higher than defaultTZ
version files shipped with Oracle 11gR2.
Solution: Apply the TZ version patch on the Oracle 11gR2 home to
match the TZ version files at source.
Oracle Database Vault

Cause: Upgrades cannot be run with the Oracle Database Vault option set
to TRUE since AS SYSDBA connections are restricted.
Solution: relink the server without the Database Vault option (but with the
OLS option), and restart the server using UPGRADE.
Oracle Label Security
Cause: If Database Vault is installed in the database but the Oracle Label
Security option is FALSE.
Solution: relink the server with the OLS option and restart the server
using UPGRADE.
49
Common issues continued

ORA-00201 control file version <num> incompatible with Oracle version <num>
Cause: You have set the compatible to the higher release and now try to
open or downgrade the database with lower release binaries .
Solution: Restore the database using backup and then open the with
lower release binaries .
50
Real world examples
From support experience few interesting cases,

Very small shared pool size when upgrading from 8i to 10g:
Database upgrade run 48 hours instead of 1 hour
Millions of audit records in SYS.AUD$
Upgrade took 24 hours once truncated upgrade completed in under
1 hour
Objects of SYS users in user tablespace, upgrade fails with ora-0600
Customers forgot to analyze Dictionary Database
Especially in huge dictionary database (like E-business suite or SAP)
a big problem as we create stats while the upgrade runs
51
Summary: Upgrade Best Practice

Planning is a key to successful upgrade. A successful
upgrade,
requires minimal downtime,
requires minimized, predictable efforts to
upgrade,
It produces a stable upgraded environment
without any surprises.
It identifies issues proactively and addresses
them during the planning and testing phase.
52
Summary: Upgrade Best Practice (cont.)

Drive upgrade as a project which should have
Evaluate, Plan, Configure, Test, Implement stages.
Upgrade Advisor Note 251.1
Take consistent backup which is useful when its
needed for recovery.
Test upgrade in test environment, Optimize steps of
upgrade to minimize upgrade window.
Leverage tools of PreUpgrade, PostUpgrade even
though DBUA is used.
53
Summary: Upgrade Best Practice (cont.)

Dont underestimate test efforts, reserve enough time
and resource for testing. Always use real world data
for testing
Create and test fallback strategy ( Does it really works
?)
Document all changes detailed and clearly in change
log.
54
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Further Info & Help

Advisor Webcast Archived Recordings (Doc ID 740964.1)
Advisor Webcast Current Schedule (Doc ID 740966.1)
DB Newsletter (Doc ID 1284265.1)
MOS Community DB Install
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2012 Oracle Corporation Proprietary and Confidential

2012 Oracle Corporation Proprietary and Confidential

ATTENTION AUDIO Options

2012 Oracle Corporation Proprietary and Confidential

Voice Streaming Audio Broadcast

Listen only mode

2012 Oracle Corporation Proprietary and Confidential

ATTENTION AUDIO INFORMATION

1. Conference ID: 57559830

2. International dial in: +44 (0) 1452 562 665

2012 Oracle Corporation Proprietary and Confidential

<Insert Picture Here>

Best Practices for Upgrading Oracle Database to

2012 Oracle Corporation Proprietary and Confidential

Advisor Webcast Archived Recordings DocID 740964.1

2012 Oracle Corporation Proprietary and Confidential

AUDIO INFO - Teleconference

1. Conference ID: 57559830

2. International dial in: +44 (0) 1452 562 665

2012 Oracle Corporation Proprietary and Confidential

Send your question

2012 Oracle Corporation Proprietary and Confidential

type your question here

your question pop-up here

2012 Oracle Corporation Proprietary and Confidential

Safe Harbor Statement

2012 Oracle Corporation Proprietary and Confidential

<Insert Picture Here>

Best Practices for Upgrading Oracle Database to

2012 Oracle Corporation Proprietary and Confidential

2012 Oracle Corporation Proprietary and Confidential

Oracle Database 11g R2 is fully proven

2012 Oracle Corporation Proprietary and Confidential

Why Upgrade Continued

July 2010 July 2011

July 2007 July 2008

2012 Oracle Corporation Proprietary and Confidential

Two most common upgrade methods

2012 Oracle Corporation Proprietary and Confidential

Upgrade Path to Oracle Database 11gR2

2012 Oracle Corporation Proprietary and Confidential

2012 Oracle Corporation Proprietary and Confidential

Read the FRIENDLY manuals!

2012 Oracle Corporation Proprietary and Confidential

2012 Oracle Corporation Proprietary and Confidential

2012 Oracle Corporation Proprietary and Confidential

2012 Oracle Corporation Proprietary and Confidential

2012 Oracle Corporation Proprietary and Confidential

2012 Oracle Corporation Proprietary and Confidential

2012 Oracle Corporation Proprietary and Confidential

2012 Oracle Corporation Proprietary and Confidential

2012 Oracle Corporation Proprietary and Confidential

Sanity Operations: Invalid Objects

Fix all INVALID objects BEFORE the upgrade/migration

2012 Oracle Corporation Proprietary and Confidential

Sanity Operations: Database Components

2012 Oracle Corporation Proprietary and Confidential

Sanity Operations: Duplicate Objects

Some Duplicate objects SHOULD exist and are documented in

2012 Oracle Corporation Proprietary and Confidential

Sanity Operations: Gather Dictionary Stats.

Create dictionary statistics in Oracle 10g/11g:

2012 Oracle Corporation Proprietary and Confidential

Purge the recyclebin