High Level Database Upgrade Steps From 10.2.0.5 To 11.2.0.1 - Manual PDF

UPGRADE ORACLE DATABASE FROM 10g TO 11g - MANUAL
UPGRADE DATABASE FROM 10.2.0.5 TO 11.2.0.1

This article is intended as a brief guide to upgrade Oracle Database from 10.2.0.5 to 11.2.0.1 on
LINUX OS for Self Practice. I explain step by step how to upgrade database from 10g to 11g. The
purpose of this article to minimize the downtime while upgrading the database using DBUA.
WHY UPGRADE ?
Several Bugs that are causing outages and/or business impacts?

Upgrade your database because numerous Bugs fixed.
Several new features deployed with higher versions.
Improved Performance and Scalability for latest versions rather than previous versions.
Already Thousands of customers upgraded their database from lower versions to recent versions.
Extended support fee can be avoided; no bug fixes unless you pay extra fee to get extended support.
Upgrade means the process of changing the data dictionary contents of a database to reflect
particular release.
Upgrading from 10.2.X to 11.2.X is a major release upgrade.
Ex: 10.2.0.5.0 to 11.2.0.1.0
Upgrading from 10.2.0.X to 10.2.0.X is a patch set upgrade.
EX: 10.2.0.1 to 10.2.0.5
IMPORTANT POINTS BEFORE YOU START 11G UPGRADE
1. Read Chapter 1, 2 & 3 of Database Upgrade Guide here

2. Read 11g Installation Guide for your operating system from here
DIFFERENT WAYS TO UPGRADE AN ORACLE DATABASE.
Exploring the Oracle DBA Technology by Gunasekaran ,Thiyagu
Generally peoples are using MANUAL & DBUA method. But I would prefer to use DBUA method.
DBUA
Database Upgrade Assistant Recommended by Oracle.
MANUAL Using SQL scripts and utilities.

In this article, we are going to use MANUAL option. We can learn many more when we do it manually.
When you perform upgrade process using manual option, we can re-run catupgrd.sql as many times.
MANUAL UPGRADE PROCESS
SECTION 1 falls under Pre-Upgrade.

SECTION 2 falls under actual Database Upgrade.
SECTION 3 falls under Post-Upgrade.
To perform Pre-Upgrade steps that you do NOT require down time, you must be finished before
downtime starts. Before start upgrade process finish 11g installation on preferred mount point.
INSTALL 11g ORACLE DATABASE SOFTWARE
Download 11g Software from here.
Transfer files to target server and unzip those files.
Install only 11g s/w in separate location.
Step by step 11g installation on OEL explained here.
UNZIP DOWNLOADED FILES
# FIRST UNZIP 1st FILE THEN 2nd FILE. DO NOT UNZIP PARALLELLY BOTH FILES.
$ cd /u04/software
$ unzip linux_11gR2_database_1of2.zip
$ unzip linux_11gR2_database_2of2.zip
Once you unzip both files, you will get database directory; then need to change the ownership of
that s/w or else set the appropriate permissions to oracle user to install the database s/w.
EXAMPLE FOR 11g $ORACLE_HOME LOCATION
$ mkdir p /u01/app/oracle/product/11.2.0/db_home
WHY SEPARATE $ORACLE_HOME FOR 11g
We cannot upgrade existing 10g $ORACLE_HOME for 11g database.

11g is NOT a Patchset. We have to install 11g $ORACLE_HOME separately.
To upgrade existing database into 11g, install only Oracle 11g Server software into new location.
$ORACLE_HOME for 10g : /u02/app/oracle/product/10.2.0/db_home

$ORACLE_HOME for 11g : /u01/app/oracle/product/11.2.0/db_home
Ensure that all database components/objects provided by Oracle are VALID in the source database
prior to starting upgrade. Lets start the process.
CONNECT TO THE DATABASE & FIX DUPLICATE OBJECTS
Check for duplicate objects in SYS and SYSTEM schemas.

Ensure that you do NOT have duplicate objects in the SYS and SYSTEM schema.
# FIND DUPLICATE OBJECTS FROM SYS AND SYSTEM
SYS> 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';
OBJECT_NAME
OBJECT_TYPE
---------------------- ------------------AQ$_SCHEDULES
TABLE
AQ$_SCHEDULES_PRIMARY
INDEX
DBMS_REPCAT_AUTH
PACKAGE
DBMS_REPCAT_AUTH
PACKAGE BODY
Please refer 1030426.6 How to clean up duplicate objects owned by SYS & SYSTEM schema. I would not
be clean anything from SYS & SYSTEM schema. IMO, it is safe to leave above items as it is.
CHECK INTEGRITY OF THE SOURCE DATABASE AND SANITY OPERATONS
# PURGE THE RECYCLEBIN

SYS> purge dba_recyclebin;
# VERIFY INSTALLED COMPNENTS, VERSION AND STATUS
SYS> select comp_name, version, status from sys.dba_registry;
...
# FIX ALL INVALID OBJECTS BEFORE UPGRADE PROCESS
SYS> select object_name, object_type, owner FROM dba_objects where status='INVALID';
...
# IF YOU FIND ANY INVALID OBJECTS, EXECUTE FOLLOWING SCRIPT
SYS> @?/rdbms/admin/utlrp.sql;
...
Should be NO invalid objects from SYS and SYSTEM schema.
Recompile all invalid objects using utlrp.sql before upgrade process.
CHECK ANY FILES IN MEDIA RECOVERY/BACKUP MODE
SYS> select * from v$recover_file;

no rows selected.
SYS> select * from v$backup where status != 'NOT ACTIVE';
no rows selected.
Make sure no files need media recovery as well as nothing is in backup mode.
GATHER DICTIONARY STATS
In order to reduce the amount of downtime, you can collect statistics prior to perform actual
database upgrade. As of 10g Oracle Database, Oracle recommends to use DBMS_STATS procedure to
gather statistics. Following procedure gather statistics for dictionary schemas SYS, SYSTEM, etc.
# STATISTICS FOR ALL DICTIONARY OBJECTS
SYS> EXEC DBMS_STATS.GATHER_DICTIONARY_STATS;
...
If you ignore to keep stats up to date on data dictionary, then updating itself time taking process.
Oracle recommends collect stats on you dictionary as part of pre-upgrade task prior to downtime.
CHECK ANY CORRUPTION IN THE DICTIONARY
# EXECUTE AS SYS SCHEMA

SYS> spool analyze.sql;
SYS> SELECT 'Analyze cluster "'||cluster_name||'" validate structure cascade;'
FROM dba_clusters WHERE owner='SYS' UNION
SELECT 'Analyze table "'||table_name||'" validate structure cascade;'
FROM dba_tables WHERE owner='SYS'
AND partitioned='NO'
AND (iot_type='IOT' OR iot_type is NULL)
UNION
SELECT 'Analyze table "'||table_name||'" validate structure cascade into invalid_rows;'
FROM dba_tables
WHERE owner='SYS' AND partitioned='YES';
SYS> spool off;
# TO FIND ANY LOGICAL CORRUPTION, EXECUTE FOLLOWING SCRIPTS
SYS> @$ORACLE_HOME/rdbms/admin/utlvalid.sql;
SYS> spool analyze.log
SYS> @analyze.sql;
SYS> spool off;
Should not return any error.
ORACLE DATABASE VAULT
If you have enabled Oracle Database vault option in your current home, you must disable it. If you
do not disable it, DBUA will return an error to disable prior to upgrade.
# CHECK ORACLE DATABASE VAULT IS ENABLED OR NOT
SYS> select * from v$option where parameter='Oracle Database Vault';
PARAMETER
VALUE
---------------------- --------------Oracle Database Vault FALSE

Please refer NOTE:453903.1 Enabling and disabling Oracle Database Vault in UNIX.
SCRIPT TO TRACK FOR DATABASE LINKS
# DBLINK BACKUP (In case the database has to be downgraded again)

$ vi dblink.sql
SELECT 'CREATE '||DECODE(U.NAME,'PUBLIC','public ')||'DATABASE LINK '||CHR(10)
||DECODE(U.NAME,'PUBLIC',Null, 'SYS','',U.NAME||'.')|| L.NAME||chr(10)
||'CONNECT TO ' || L.USERID || ' IDENTIFIED BY "'||L.PASSWORD||'" USING
'''||L.HOST||''''
||chr(10)||';' TEXT
FROM SYS.LINK$ L, SYS.USER$ U
WHERE L.OWNER# = U.USER#;
SYS> spool dblink.log
SYS> @dblink.sql;
SYS> spool off;
BACK UP ENTERPRISE MANAGER DATABASE CONTROL DATA
You may ignore this action. After upgraded to 11g, suppose you decide to downgrade from 11g to 10g
then direct downgrade of Enterprise Manager is not supported. So it is better to save the EM data
and restore it back. The utility emdwgrd can be used to keep a copy of database control files and
data before upgrading your database. It resides in $ORACLE_HOME/bin directory.
Please refer NOTE 870877.1 How to save Oracle Enterprise Manager Database control data before
upgrading single instance database to other release?
RUN PRE-UPGRADE INFORMATION TOOL
Copy the Pre-Upgrade information script (utlu112i.sql) from 11g $ORACLE_HOME/rdbms/admin/ into
/tmp directory and start SQL*Plus. Execute the script. This script checks the database (which you
want to upgrade to 11g R2) and reports any changes need to be done before the upgrade process.
# SET 10G DATABASE ENV
$ . ./db10g.env
$ echo $ORACLE_HOME
/u02/app/oracle/product/10.2.0/db_home
# COPY utlu112i.sql SCRIPT
TO /tmp FROM
$ORACLE_HOME/rdbms/admin LOCATION.
$ cd /u01/app/oracle/product/11.2.0/db_home/rdbms/admin
$ cp utlu112i.sql /tmp
$ cd /tmp
# EXECUTE utlu112i.sql SCRIPT IN SOURCE DATABASE
SYS> spool pre_upgrade_11201_info.log
SYS> @/tmp/utlu112i.sql;
SYS> spool off;
SYS> exit
REVIEW PRE UPGRADE SCRIPT OUTPUT
$ cat pre_upgrade_11201_info.log
SQL> @/tmp/utlu112i.sql;
Oracle Database 11.2 Pre-Upgrade Information Tool
10-03-2015 23:05:57
.
**********************************************************************
Database:
**********************************************************************
--> name:
ORCL
--> version:
10.2.0.5.0
--> compatible:
10.2.0.5.0
--> blocksize:
8192
--> platform:
Linux IA (32-bit)
--> timezone file: V4

.
**********************************************************************
Tablespaces: [make adjustments in the current environment]
**********************************************************************
--> SYSTEM tablespace is adequate for the upgrade.
.... minimum required size: 693 MB
.... AUTOEXTEND additional space required: 243 MB
--> UNDOTBS1 tablespace is adequate for the upgrade.
--> SYSAUX tablespace is adequate for the upgrade.
--> TEMP tablespace is adequate for the upgrade.
--> EXAMPLE tablespace is adequate for the upgrade.
.
**********************************************************************
Flashback: OFF
**********************************************************************
**********************************************************************
Update Parameters: [Update Oracle Database 11.2 init.ora or spfile]
**********************************************************************
WARNING: --> "java_pool_size" needs to be increased to at least 64 MB
.
**********************************************************************
Renamed Parameters: [Update Oracle Database 11.2 init.ora or spfile]
**********************************************************************
-- No renamed parameters found. No changes are required.
.
**********************************************************************
**********************************************************************
Obsolete/Deprecated Parameters: [Update Oracle Database 11.2 init.ora or spfile]
**********************************************************************
--> background_dump_dest
11.1
DEPRECATED
replaced by "diagnostic_dest"
--> user_dump_dest
11.1
DEPRECATED
--> core_dump_dest
11.1
DEPRECATED
.
**********************************************************************
Components: [The following database components will be upgraded or installed]
**********************************************************************
--> Oracle Catalog Views
[upgrade]
VALID
--> Oracle Packages and Types
[upgrade]
VALID
--> JServer JAVA Virtual Machine [upgrade]
VALID
--> Oracle XDK for Java
[upgrade]
VALID
--> Oracle Workspace Manager
[upgrade]
VALID
--> OLAP Analytic Workspace
[upgrade]
VALID
--> OLAP Catalog
[upgrade]
VALID
--> EM Repository
[upgrade]
VALID
--> Oracle Text
[upgrade]
VALID
--> Oracle XML Database
[upgrade]
VALID
--> Oracle Java Packages
[upgrade]
VALID
--> Oracle interMedia
[upgrade]
VALID
--> Spatial
[upgrade]
VALID
--> Data Mining
[upgrade]
VALID
--> Expression Filter
[upgrade]
VALID
--> Rule Manager
[upgrade]
VALID
--> Oracle OLAP API
[upgrade]
VALID
.
**********************************************************************
Miscellaneous Warnings
**********************************************************************
WARNING: --> Database is using a timezone file older than version 11.
WARNING: --> Database is using a timezone file older than version 11.
.... After the release migration, it is recommended that DBMS_DST package
.... be used to upgrade the 10.2.0.5.0 database timezone version
.... to the latest version which comes with the new release.
WARNING: --> Database contains schemas with stale optimizer statistics.
.... Refer to the Upgrade Guide for instructions to update
.... schema statistics prior to upgrading the database.
.... Component Schemas with stale statistics:
....
SYS
....
OLAPSYS
....
CTXSYS
....
XDB
WARNING: --> Database contains INVALID objects prior to upgrade.

.... The list of invalid SYS/SYSTEM objects was written to
.... registry$sys_inv_objs.
.... The list of non-SYS/SYSTEM objects was written to
.... registry$nonsys_inv_objs.
.... Use utluiobj.sql after the upgrade to identify any new invalid
.... objects due to the upgrade.
.... USER PUBLIC has 1 INVALID objects.
.... USER SYS has 2 INVALID objects.
WARNING: --> Database contains schemas with objects dependent on network
packages.
.... Refer to the Upgrade Guide for instructions to configure Network ACLs.
.... USER ORACLE_OCM has dependent objects.
WARNING: --> EM Database Control Repository exists in the database.
.... Direct downgrade of EM Database Control is not supported. Refer to the
.... Upgrade Guide for instructions to save the EM data prior to upgrade.
WARNING:--> recycle bin in use.
.... Your recycle bin is turned on and it contains
.... 18 object(s).
It is REQUIRED
.... that the recycle bin is empty prior to upgrading

.... your database.
.... The command:
PURGE DBA_RECYCLEBIN
.... must be executed immediately prior to executing your upgrade.

.
PL/SQL procedure successfully completed.
Fix the warnings reported by the utlu112i.sql script.
I have fixed following warnings prior to upgrade with help of oracle docs.
FIX THE WARNINGS REPORTED BY PRE-UPGRADED TOOL
If the current database contains objects with stale optimizer statistics, then it would be better
to collect the statistics before upgrade process. If we ignore upgrade process will be slower
depending upon number of objects with stale optimizer statistics
$ vi statistics_gather.sql;
grant analyze any to SYS;
exec dbms_stats.gather_dictionary_stats;
exec dbms_stats.gather_schema_stats('WMSYS',options=>'GATHER',estimate_percent
=>DBMS_STATS.AUTO_SAMPLE_SIZE,method_opt => 'FOR ALL COLUMNS SIZE AUTO', cascade => TRUE);
exec dbms_stats.gather_schema_stats('XDB',options=>'GATHER',estimate_percent =>
DBMS_STATS.AUTO_SAMPLE_SIZE, method_opt => 'FOR ALL COLUMNS SIZE AUTO', cascade => TRUE);
exec dbms_stats.gather_schema_stats('OUTLN',options=>'GATHER',estimate_percent =>
DBMS_STATS.AUTO_SAMPLE_SIZE,method_opt => 'FOR ALL COLUMNS SIZE AUTO', cascade => TRUE);
exec dbms_stats.gather_schema_stats('DBSNMP',options=>'GATHER',estimate_percent =>
exec dbms_stats.gather_schema_stats('SYSTEM',options=>'GATHER',estimate_percent =>
exec dbms_stats.gather_schema_stats('CTXSYS',options=>'GATHER',estimate_percent =>
exec dbms_stats.gather_schema_stats('OLAPSYS',options=>'GATHER',estimate_percent =>
exec dbms_stats.gather_schema_stats('SYS',options=>'GATHER',estimate_percent =>

SYS> spool statistics_gather.log;
SYS> @statistics_gather.sql;
SYS> spool off;
# FIX DEPRECATED PARAMETERS FOR 11G DATABASE

SYS> alter system set background_dump_dest= '*' scope=spfile;
System altered.
SYS> alter system set core_dump_dest= '*' scope=spfile;
System altered.
SYS> alter system set user_dump_dest= '*' scope=spfile;
System altered.
# ADJUST JAVA_POOL_SIZE
SYS> alter system set java_pool_size=65m scope=spfile;
System altered.
# PRE-UPGRADED TOOL REPORTED WARNINGS FROM TABLESPACES SECTION

SYS> select tablespace_name from dba_data_files where autoextensible= 'YES';
...
Pre upgraded scrip reported some tablespaces need adequate space for upgrade process; they can
automatically extend by itself, if auto extendable option is enabled for those tablespaces. Using
above SQL statement you can verify which tablespaces have auto extend option.
If auto extend clause is not enabled, you can resize the tablespace at command line.
As per warnings, you need to resize required tablespaces to set sufficient space.
SQL> select file_name, file_id, tablespace_name from dba_data_files;

...
SYS> alter database datafile 1 resize 700m;
...
...
...
MISCELLANEOUS WARINGS
You can see bunch of various warnings about the current database. Even you ignore them, they may
make the upgrade to run slower and may effect some of Oracle features that you use. You need to
take care some warnings prior to upgrade and some after the upgrade.
CREATE GUARANTEED RESTORE POINT
Its better to create GUARANTEED RESTORE POINT before to execute catupgrd.sql script. It uses
db_file_recovery_dest to keep the changed blocks, even if flashback logging is NOT enabled.
To create first guaranteed restore point when flashback off, you first start the database in mount
state after a consistent shut down. After opening in mount state you can create your first
guaranteed restore point. Set following parameter before you shut down the database.
SYS> show parameter db_recovery_file_dest;

NAME
TYPE
------------------------
-----------
VALUE
------------------------------
db_recovery_file_dest
string
/u02/app/oracle/flash_recovery_area
db_recovery_file_dest_size
big integer
10G
SYS> create restore point grpt guarantee flashback database;

CREATE RESTORE POINT grpt GUARANTEE FLASHBACK DATABASE
*
ERROR at line 1:
ORA-38784: Cannot create restore point 'grpt'.
ORA-38787: Creating the first guaranteed restore point requires mount mode when flashback
database is off.
SYS> shut immediate;
...
SYS> startup mount;
...
SYS> create restore point GRPT guarantee flashback database;
...
SYS> SELECT NAME, SCN, TIME, DATABASE_INCARNATION# DI, GUARANTEE_FLASHBACK_DATABASE,
STORAGE_SIZE FROM V$RESTORE_POINT WHERE GUARANTEE_FLASHBACK_DATABASE='YES';
NAME
SCN TIME
DI GUA STORAGE_SIZE
---------- ---------- -------------------------------- ---------- --- -----------GRPT
546817 13-OCT-15 11.02.44.000000000 PM
2 YES
8192000
A guaranteed restore point ensures that you can use Flashback Database to rewind a database to its
state at the restore point SCN, even if the generation of flashback logs is disabled. Guaranteed
restore points never age out of the control file. They remain until they are explicitly dropped.
CREATE PFILE FROM SPFILE
# CREATE PFILE FROM SPFILE

SYS> create pfile from spfile;
File created.
SYS> shutdown immediate;
...
# COPY NEWLY CREATED PFILE FROM 10g $ORACLE_HOME/dbs to 11g $ORACLE_HOME/dbs

# COPY ORACLE PASSWORDFILE FROM 10g $ORACLE_HOME/dbs to 11g $ORACLE_HOME/dbs
$ echo $ORACLE_HOME
/u02/app/oracle/product/10.2.0/db_home/
$ cd /u02/app/oracle/product/10.2.0/db_home/dbs
$ cp initorcl.ora
/u01/app/oracle/product/11.2.0/db_home/dbs/
$ cp orapworcl
/u01/app/oracle/product/11.2.0/db_home/dbs/
Now adjust initialization parameters specific to 11g version of an Oracle Database.

1) Remove/comment deprecated parameters (background_dump_dest, core_dump_dest, user_dump_dest).
2) Set value of compatible parameter to 11.2.0.1.0
3) Add diagnostic_dest parameter to 11g $ORACLE_BASE
# REMOVE DEPRECATED PARAMETERS
*.background_dump_dest
*.core_dump_dest
*.user_dump_dest
# CHANGE COMPATIBLE;
*.compatible=11.2.0.1.0
# SET 11g $ORACLE_BASE
*.diagnostic_dest='/u01/app/oracle/'
Once you change value of COMPATIBLE to 11.2.0, the database subsequently cannot be downgraded.
CONFIGURE ENV FILE FOR 11G DATABASE
$ vi db11.env
# ENV SETUP FOR 11G DATABASE
export PATH=$ORACLE_HOME/bin:$PATH
export ORACLE_BASE=/u01/app/oracle
export ORACLE_HOME=$ORACLE_BASE/product/11.2.0/db_home
export LD_LIBRARY_PATH=$ORACLE_HOME/lib:/usr/lib
export TNS_ADMIN=$ORACLE_HOME/network/admin
export CLASSPATH=$ORACLE_HOME/JRE:$ORACLE_HOME/jlib:$ORACLE_HOME/rdbms/jlib
export EDITOR=vi
#. oraenv
NETWORK CONFIGURATION FOR 11G
When you create a listener on a NON-DEFAULT PORT, PMON will look for the value of LOCAL_LISTENER
in tnsnames.ora file. If it does NOT find this entry, it will throw error. Before you startup the
database using upgrade option, you must add proper entry in 11g $ORACLE_HOME tnsnames.ora file.
For 10g database, Listener configured port number: 1522
For 11g database, Listener configured port number: 1598
So I am adding LISTENER_ORCL in tnsnames.ora at 11g $ORACLE_HOME/network/admin
NETWOTK FILES
# LISTENER.ORA FILE CONFIGURATION

$ cd $ORACLE_HOME/network/admin
$ vi listener.ora
# listener.ora Network Configuration File:
/u01/app/oracle/product/11.2.0/db_home/network/admin/listener.ora
# Generated by Oracle configuration tools.
LISTENER11G =
(DESCRIPTION_LIST =
(DESCRIPTION =
(ADDRESS = (PROTOCOL = TCP)(HOST = DEVSERVER)(PORT = 1598))
)
)
ADR_BASE_LISTENER11G = /u01/app/oracle
SID_LIST_LISTENER11G =
(SID_LIST =
(SID_DESC =
(SID_NAME = orcl)
(ORACLE_HOME = /u01/app/oracle/product/11.2.0/db_home)
)
)
# TNSSNAMES.ORA CONFIURATION
$ vi tnsnames.ora
# tnsnames.ora Network Configuration File:
/u01/app/oracle/product/11.2.0/db_home/network/admin/tnsnames.ora
# Generated by Oracle configuration tools.
LISTENER_ORCL =
(ADDRESS = (PROTOCOL = TCP) (HOST = devserver.com) (PORT = 1598))
ORCLDB =
(DESCRIPTION =
(ADDRESS = (PROTOCOL = TCP)(HOST = devserver.com)(PORT = 1598))
(CONNECT_DATA =
(SERVER = DEDICATED)
(SID_NAME = orcl)
(SERVICE_NAME = orcl)
)
)
If you ignore to add an entry, you face following error when startup your database.
ORA-00119: invalid specification for system parameter LOCAL_LISTENER

ORA-00132: syntax error or unresolved network name 'LISTENER_ORCL'
STOP 10g DATABASE COMPONENTS
# TO STOP ISQLPLUS (if it is running)

$ isqlplusctl stop
...
# TO STOP ENTERPRISE MANAGER DBCONSOLE
$ emctl stop dbconsole
...
# TO STOP LISTENER (10g & 11g)
$ lsnrctl stop listener_name
...
# BACKUP 10G $ORACLE_HOME
$ cd /u02/app/oracle/product/10.2.0/
$ tar czf /u04/bkp/orclhomebkp.tar.gz
db_home
I maintain all physical files at /u02/app/oracle/oradata/devdb/

I would prefer to take cold backup because I have downtime.
# BACKUP DATABASE PHYSICAL FILES CONTROLFILES, DATAFILES AND LOGFILES

$ cd /u02/app/oracle/oradata
$ tar czf /u04/bkp/orcl.tar.gz orcl
SET ENV VARIABLES & STARTUP THE DATABASE
Make environment variables ($ORACLE_HOME, $PATH) point to 11g $ORACLE_HOME

# SET YOUR ENVVIRONMENT VARIABLES TO 11G DATBASE
$ export ORACLE_HOME=/u01/app/oracle/product/11.2.0/db_home
$ export PATH=$ORACLE_HOME/bin:$PATH
$ export ORACLE_SID=orcl
$ cd /u01/app/oracle/product/11.2.0/db_home/
$ rlsqlplus / as sysdba
SQL*Plus: Release 11.2.0.1.0 Production on Wed Oct 14 00:35:42 2015
Copyright (c) 1982, 2009, Oracle.
All rights reserved.
Connected to:
Oracle Database 11g Enterprise Edition Release 11.2.0.1.0 - Production
With the Partitioning, OLAP, Data Mining and Real Application Testing options
SYS> startup upgrade;
...
SYS> set echo on;
SYS> spool upgrade.log
# EXECUTE THE UPGRADE SCRIPT

SYS> @?/rdbms/admin/catupgrd.sql;
SQL> Rem
SQL> Rem $Header: catupgrd.sql 29-mar-2007.12:50:24 cdilling Exp $
..
...
SQL>
SQL>
SQL> /*****************************************************************************/
SQL> /* Step 10 - SHUTDOWN THE DATABASE..!!!!!
SQL> */
SQL> /*****************************************************************************/
SQL> shutdown immediate;
Database closed.
Database dismounted.
ORACLE instance shut down.
SQL>
SQL>
SQL>
SQL> DOC
DOC>#######################################################################
DOC>#######################################################################
DOC>
DOC>
The above sql script is the final step of the upgrade. Please
DOC>
review any errors in the spool log file. If there are any errors in
DOC>
the spool file, consult the Oracle Database Upgrade Guide for
DOC>
troubleshooting recommendations.
DOC>
DOC>
Next restart for normal operation, and then run utlrp.sql to
DOC>
recompile any invalid application objects.
DOC>
DOC>#######################################################################
DOC>#######################################################################
DOC>#
SQL>
SQL> Rem Set errorlogging off
SQL> SET ERRORLOGGING OFF;
SQL>
SQL> Rem *********************************************************************
SQL> Rem END catupgrd.sql
SQL> Rem *********************************************************************
SYS> spool off;
SYS> exit
...
We can see once the upgrade completed, the database automatically shutdown.
STARTUP THE DATABASE
$ sqlplus / as sysdba
...
SYS> startup;
...
SYS> select * from v$version;
BANNER
-------------------------------------------------------------------------------Oracle Database 11g Enterprise Edition Release 11.2.0.1.0 - Production
PL/SQL Release 11.2.0.1.0 - Production
CORE
11.2.0.1.0
Production
TNS for Linux: Version 11.2.0.1.0 - Production

NLSRTL Version 11.2.0.1.0 - Production
SYS> show parameter compatible;
NAME
TYPE
VALUE
------------------------------------ ----------- -----------------------------compatible
string
11.2.0.1.0
CHECK THE UPGRADE SUMMARY
# EXECUTE POST UPGRADE SCRIPT.

# IF ANY INVALID COMPONENTS, THEN FIX IT MANUALLY
SYS> @?/rdbms/admin/utlu112s.sql;
.
Oracle Database 11.2 Post-Upgrade Status Tool
.
Component
Status
.
Oracle Server
.
VALID
JServer JAVA Virtual Machine
.
VALID
Oracle Workspace Manager
.
VALID
OLAP Analytic Workspace
.
VALID
OLAP Catalog
.
VALID
Oracle OLAP API
.
VALID
Oracle Enterprise Manager
.
VALID
Oracle XDK
.
VALID
Oracle Text
.
VALID
Oracle XML Database
.
VALID
Oracle Database Java Packages
.
VALID
Oracle Multimedia
10-14-2015 02:49:53
Version
HH:MM:SS
11.2.0.1.0
00:16:56
11.2.0.1.0
00:02:52
11.2.0.1.0
00:00:26
11.2.0.1.0
00:00:52
11.2.0.1.0
00:00:50
11.2.0.1.0
00:00:25
11.2.0.1.0
00:08:30
11.2.0.1.0
00:01:46
11.2.0.1.0
00:00:31
11.2.0.1.0
00:02:23
11.2.0.1.0
00:00:16
.
Spatial
.
Oracle Expression Filter
.
Oracle Rules Manager
.
Gathering Statistics
.
Total Upgrade Time: 00:48:22
VALID
11.2.0.1.0
00:03:55
VALID
11.2.0.1.0
00:04:13
VALID
11.2.0.1.0
00:00:07
VALID
11.2.0.1.0
00:00:10
00:04:02

# TO PERFORM UPGRADE ACTIONS THAT CHANGES THE DATABASE FROM UPGRADE MODE TO NORMAL MODE
SYS> @?/rdbms/admin/cauppst.sql;
...
# VERIFY UPGRADED COMPONENTS, VERSION AND STATUS
SQL> select comp_name,version, status from dba_registry;
COMP_NAME
VERSION
STATUS
---------------------------------------- ------------------------------ ----------Oracle Enterprise Manager
11.2.0.1.0
VALID
OLAP Catalog
11.2.0.1.0
VALID
Spatial
11.2.0.1.0
VALID
Oracle Multimedia
11.2.0.1.0
VALID
Oracle XML Database
11.2.0.1.0
VALID
Oracle Text
11.2.0.1.0
VALID
Oracle Data Mining
11.2.0.1.0
VALID
Oracle Expression Filter
11.2.0.1.0
VALID
Oracle Rules Manager
11.2.0.1.0
VALID
Oracle Workspace Manager
11.2.0.1.0
VALID
Oracle Database Catalog Views
11.2.0.1.0
VALID
Oracle Database Packages and Types
11.2.0.1.0
VALID
JServer JAVA Virtual Machine
11.2.0.1.0
VALID
Oracle XDK
11.2.0.1.0
VALID
Oracle Database Java Packages
11.2.0.1.0
VALID
OLAP Analytic Workspace
11.2.0.1.0
VALID
Oracle OLAP API
11.2.0.1.0
VALID
# FIND INVALID OBJECTS COUNT

SYS> select count(*) from dba_objects where status=INVALID;
...
# EXECUTE UTLRP.SQL SCRIPT TO MAKE OBJECTS AS VALID
SYS> @?/rdbms/admin/utlrp.sql;
...
# VERIFY ANY INVALID OBJECTS IS EXISTING OR NOT
SYS> select distinct object_name FROM dba_invalid_objects;
...
# GENERATE FIXED OBJECT STATS

SYS> exec dbms_stats.gather_fixed_objects_stats;
...
EXECUTE UTLUIOBJ.SQL SCRIPT
Once the upgrade is complete execute the script utluiobj.sql at 11g $ORACLE_HOME/rdbms/admin to
check if the upgrade caused any other objects to be invalid. Make sure there is nothing reported
by this script.
SQL> @?/rdbms/admin/utluiobj.sql
.
Oracle Database 11.1 Post-Upgrade Invalid Objects Tool 10-14-2015 03:22:07
.
This tool lists post-upgrade invalid objects that were not invalid
prior to upgrade (it ignores pre-existing pre-upgrade invalid objects).
.
Owner
Object Name
Object Type
.
UPGRADE TIMEZONE FILE VERSION
Oracle 11g provides a built in package DBMS_DST that can be used to evaluate the current timezone.
# EXECUTE DBMS_DST PACKAGE TO UPGRADE THE TIMEZONE FILE VERSION
SQL> select * from v$timezone_file;
FILENAME
VERSION
-------------------- ---------timezlrg_4.dat

...
SYS> startup upgrade;
...
SYS> ELECT PROPERTY_NAME, SUBSTR(property_value, 1, 30) value
FROM DATABASE_PROPERTIES
WHERE PROPERTY_NAME LIKE 'DST_%'
ORDER BY PROPERTY_NAME;
PROPERTY_NAME
VALUE
------------------------------ -----------------------------DST_PRIMARY_TT_VERSION
DST_SECONDARY_TT_VERSION
DST_UPGRADE_STATE
none
** Primary timezone file version is now 4 and secondary is 0. The upgrade state is NONE.**
SYS> exec DBMS_DST.BEGIN_UPGRADE(11);

SYS> SELECT PROPERTY_NAME, SUBSTR(property_value, 1, 30) value
FROM DATABASE_PROPERTIES
WHERE PROPERTY_NAME LIKE 'DST_%'
PROPERTY_NAME
VALUE
11
DST_UPGRADE_STATE
UPGRADE
** Primary timezone file version is now 11 and secondary is 4. The upgrade state is UPGRADE.**
...
SYS> startup;
...
SYS> set serveroutput on
VAR numfail number
BEGIN
DBMS_DST.UPGRADE_DATABASE(:numfail,
parallel
=> TRUE,
log_errors
=> TRUE,
log_errors_table
=> 'SYS.DST$ERROR_TABLE',
log_triggers_table
=> 'SYS.DST$TRIGGER_TABLE',
error_on_overlap_time
=> TRUE,
error_on_nonexisting_time => TRUE);

DBMS_OUTPUT.PUT_LINE('Failures:'|| :numfail);
END;
/
Table list: SYSMAN.MGMT_PROV_SUITE_INST_MEMBERS
Number of failures: 0
Table list: SYSMAN.MGMT_PROV_STAGING_DIRS
Table list: SYSMAN.MGMT_PROV_RPM_REP
..
...
Failures:0
SQL> print :numfail
NUMFAIL
---------0
/* If numfail is greater then 0 DBMS_DST.END_UPGRADE will fail. */
SYS> BEGIN
DBMS_DST.END_UPGRADE(:numfail);
END;
/
An upgrade window has been successfully ended.
SYS> SELECT PROPERTY_NAME, SUBSTR(property_value, 1, 30) value
FROM DATABASE_PROPERTIES WHERE PROPERTY_NAME LIKE 'DST_%'
PROPERTY_NAME
VALUE
11
DST_UPGRADE_STATE
NONE
SYS> select * from v$timezone_file;

FILENAME
VERSION
-------------------- ---------timezlrg_11.dat
11
The timezone file version is upgraded to 11 now.
# DROP GUARANTEED RESTORE POINT

SYS> drop restore point grpt;
...
# CREATE SPFILE FROM PFILE
SYS> create spfile from pfile;
...
SYS> shut immediate;
...
SYS> startup;
...
SYS> show parameter dump_dest;
NAME
TYPE
VALUE
---------------------------- ----------- -----------------------------background_dump_dest
string
/u01/app/oracle/diag/rdbms/orcl/orcl/trace
core_dump_dest
string
/u01/app/oracle/diag/rdbms/orcl/orcl/cdump
user_dump_dest
string
/u01/app/oracle/diag/rdbms/orcl/orcl/trace
SQL> show parameter diagnostic_dest;

NAME
TYPE
VALUE
------------------------------------ ----------- -----------------------------diagnostic_dest
string
/u01/app/oracle
SYS> show parameter local_listener;

NAME
TYPE
VALUE
------------------------------------ ----------- -----------------------------local_listener
string
LISTENER_ORCL
# UPDATE $ORACLE_HOME PATH IN ORATAB FILE

# vi /etc/oratab
..
...
orcl:/u02/app/oracle/product/10.2.0/db_home:N
# Remove an old entry
orcl:/u01/app/oracle/product/11.2.0/db_home:N
# Add a new entry
START THE LISTENER
$ lsnrctl start LISTENER11G

...
$ lsnrctl status LISTENER11G
...

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High Level Database Upgrade Steps From 10.2.0.5 To 11.2.0.1 - Manual PDF

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UPGRADE ORACLE DATABASE FROM 10g TO 11g - MANUAL

UPGRADE DATABASE FROM 10.2.0.5 TO 11.2.0.1

Several Bugs that are causing outages and/or business impacts?

IMPORTANT POINTS BEFORE YOU START 11G UPGRADE

1. Read Chapter 1, 2 & 3 of Database Upgrade Guide here

Exploring the Oracle DBA Technology by Gunasekaran ,Thiyagu

UPGRADE ORACLE DATABASE FROM 10g TO 11g - MANUAL

Database Upgrade Assistant Recommended by Oracle.

MANUAL Using SQL scripts and utilities.

MANUAL UPGRADE PROCESS

SECTION 1 falls under Pre-Upgrade.

INSTALL 11g ORACLE DATABASE SOFTWARE

Download 11g Software from here.

Transfer files to target server and unzip those files.

Install only 11g s/w in separate location.

Step by step 11g installation on OEL explained here.

UNZIP DOWNLOADED FILES

WHY SEPARATE $ORACLE_HOME FOR 11g

We cannot upgrade existing 10g $ORACLE_HOME for 11g database.

$ORACLE_HOME for 10g : /u02/app/oracle/product/10.2.0/db_home

Exploring the Oracle DBA Technology by Gunasekaran ,Thiyagu

UPGRADE ORACLE DATABASE FROM 10g TO 11g - MANUAL

CONNECT TO THE DATABASE & FIX DUPLICATE OBJECTS

Check for duplicate objects in SYS and SYSTEM schemas.

# PURGE THE RECYCLEBIN

CHECK ANY FILES IN MEDIA RECOVERY/BACKUP MODE

SYS> select * from v$recover_file;

Exploring the Oracle DBA Technology by Gunasekaran ,Thiyagu

UPGRADE ORACLE DATABASE FROM 10g TO 11g - MANUAL

GATHER DICTIONARY STATS

# EXECUTE AS SYS SCHEMA

---------------------- --------------Oracle Database Vault FALSE

Exploring the Oracle DBA Technology by Gunasekaran ,Thiyagu

UPGRADE ORACLE DATABASE FROM 10g TO 11g - MANUAL

SCRIPT TO TRACK FOR DATABASE LINKS

# DBLINK BACKUP (In case the database has to be downgraded again)

BACK UP ENTERPRISE MANAGER DATABASE CONTROL DATA

Exploring the Oracle DBA Technology by Gunasekaran ,Thiyagu

UPGRADE ORACLE DATABASE FROM 10g TO 11g - MANUAL

REVIEW PRE UPGRADE SCRIPT OUTPUT

--> timezone file: V4

Exploring the Oracle DBA Technology by Gunasekaran ,Thiyagu

UPGRADE ORACLE DATABASE FROM 10g TO 11g - MANUAL

--> Oracle Packages and Types

--> JServer JAVA Virtual Machine [upgrade]

--> Oracle XDK for Java

--> Oracle Workspace Manager

--> OLAP Analytic Workspace

--> OLAP Catalog

--> Oracle Text

--> Oracle XML Database

--> Oracle Java Packages

--> Oracle interMedia

--> Data Mining

--> Expression Filter

--> Rule Manager

--> Oracle OLAP API

WARNING: --> Database contains INVALID objects prior to upgrade.

Exploring the Oracle DBA Technology by Gunasekaran ,Thiyagu

UPGRADE ORACLE DATABASE FROM 10g TO 11g - MANUAL

.... that the recycle bin is empty prior to upgrading

.... must be executed immediately prior to executing your upgrade.

FIX THE WARNINGS REPORTED BY PRE-UPGRADED TOOL

Exploring the Oracle DBA Technology by Gunasekaran ,Thiyagu

UPGRADE ORACLE DATABASE FROM 10g TO 11g - MANUAL