Contents

Title and Copyright Information

Preface

• Audience
• Documentation Accessibility
• Related Documentation
• Conventions

1 Introduction to the Database Upgrade Process

• Where to Find the Latest Information About Upgrading
• Overview of Database Upgrade Tools and Processes
• Major Steps in the Upgrade Process
• About Oracle Release Numbers
  • Convention for Referring to Release Numbers in Oracle Database Upgrade Guide
  • About Running Multiple Oracle Releases
    • Databases in Multiple Oracle Homes on the Same Computer
    • Databases in Multiple Oracle Homes on Separate Computers
    • About Earlier Database Releases and Upgrading to the Current Release
    • About Upgrading Clients to the Current Release
• About Compatibility and Interoperability
  • What Is Compatibility?
    • The COMPATIBLE Initialization Parameter
    • Default, Minimum, and Maximum Values of the COMPATIBLE Initialization Parameter
    • Considerations for Downgrading and Compatibility
    • How the COMPATIBLE Initialization Parameter Operates
    • Checking the Compatibility Level of the Database
    • When to Set the COMPATIBLE Initialization Parameter
  • What Is Interoperability?
• About Optimal Flexible Architecture (OFA)
• Converting Databases to 64-bit Oracle Database Software
• About Rolling Upgrades
  • Summary of Methods for Performing Rolling Upgrades
• Moving From Standard Edition to Enterprise Edition
• About Moving From Enterprise Edition to Standard Edition
• About Upgrading from Oracle Database Express Edition to Oracle Database

2 Preparing to Upgrade

• Preparing to Upgrade
  • Become Familiar with New Oracle Database Features
  • Determine the Upgrade Path
  • Choose an Upgrade Method
    • Database Upgrade Assistant (DBUA)
    • Manual Upgrade
    • Export/Import
  • Choose a Location for Oracle Home
  • Develop a Testing Plan
    • Upgrade Testing
    • Minimal Testing
    • Functional Testing
    • High Availability Testing
    • Integration Testing
    • Performance Testing
    • Volume and Load Stress Testing
  • Prepare a Backup Strategy
• Testing the Upgrade Process
• Testing the Upgraded Test Database

3 Upgrading to the New Release

• System Considerations and Requirements
  • Relocating Existing Data Files to the New Oracle Database Environment
  • About Upgrading PL/SQL Packages That Are Not Installed by Default
  • About Upgrading Oracle ASM Installed with Oracle Grid Infrastructure
  • Considerations for Upgrading Oracle Clusterware and Oracle ASM Instances
    • Determining If Oracle ASM is Included in the Current Database Configuration
    • About Upgrading an Oracle Real Application Clusters (Oracle RAC) Database
    • About Requirements for Time Synchronization on Oracle RAC
    • Considerations for Upgrading Oracle RAC and Oracle Databases That Use ASM
    • About Upgrading System Authentication for Oracle ASM Instances
    • Considerations for Upgrading an Oracle ASM Instance
  • About Upgrading with Read-Only and Offline Tablespaces
  • About Upgrading Using Standby Databases
  • About Upgrading Your Operating System
  • Migrating Data to a Different Operating System
  • About Upgrading Databases That Use Oracle Streams Downstream Capture
  • About Upgrading Databases That Use Oracle Database Vault
• Installing the New Oracle Database Software
• About the Latest Patch Set Updates and Any Required Patches
• Using the Pre-Upgrade Information Tool
  • Pre-Upgrade Information Tool Miscellaneous Warnings
    • Updating the CONNECT Role from Earlier Releases
    • Managing and Updating Access Control Lists and Network Utility Packages
    • Assessing Dependencies and Adding ACLs for Network Utility Packages
    • About Database Links with Passwords from Earlier Releases
    • About Warnings for TIMESTAMP WITH TIME ZONE Data Type
    • Decreasing Downtime for Gathering Optimizer Statistics (Optional)
    • Identifying Invalid Objects
    • Saving Database Control Files and Data with the emdwgrd Utility
    • Verifying That Materialized View Refreshes Have Completed
    • Ensuring That No Files Need Media Recovery
    • Ensuring That No Files Are in Backup Mode
    • Resolving Outstanding Distributed Transactions
    • Synchronizing a Standby Database with the Primary Database
    • Purging the Database Recycle Bin
• Using the Oracle Net Configuration Assistant
• Upgrading with Database Upgrade Assistant on Linux, UNIX, and Windows
  • Considerations for Using DBUA
  • About the DBUA Graphical User Interface
    • Checks Performed by DBUA
    • Upgrade Scripts Invoked by DBUA
  • Using DBUA to Upgrade the Database on Linux, UNIX, and Windows Systems
• Optionally Performing an In-Place Upgrade (Into the Same Oracle Home)
  • In-Place Upgrade on Windows
    • Considerations for In-Place Upgrade on Windows Platforms
    • Performing an In-Place Upgrade on Windows
  • Using DBUA in Silent Mode
    • DBUA Command Line Options for Silent Mode
    • DBUA Command Line Syntax for Silent Mode
• Upgrading a Database Manually
  • Backing Up the Database
  • Preparing the New Oracle Home
  • Manually Upgrading the Database
    • About the Post-Upgrade Status Tool
• Troubleshooting the Upgrade
  • Resource Limits
  • Edition Session Startup Error
  • Manual Workaround for ORA-01408
  • Running the DBMS_DST Package After Upgrade Can Result in ORA-01822
  • Component Status
  • DBUA May Mark Invalid Components with an X Before Entire Upgrade is Done
  • Rerunning the Upgrade
  • Cancelling the Upgrade
• Upgrading an Oracle ASM Instance

4 After Upgrading to the New Release

• Required Tasks After Database Upgrades
  • Update Environment Variables (Linux and UNIX Systems Only)
  • Upgrade the Recovery Catalog
  • Upgrade the Time Zone File Version
  • Upgrade Statistics Tables Created by the DBMS_STATS Package
  • Upgrade Externally Authenticated SSL Users
  • Install Oracle Text Supplied Knowledge Bases
  • Update Your Oracle Application Express Configuration
  • Configure Fine-Grained Access to External Network Services
  • Enable Oracle Database Vault and Revoke the DV_PATCH_ADMIN Role
• Recommended Tasks After Database Upgrades
  • Recommended Tasks After All Database Upgrades
    • Back Up the Database
    • Reset Passwords to Enforce Case-Sensitivity
    • Understand Changes with Oracle Grid Infrastructure
    • Understand Oracle ASM and Oracle Grid Infrastructure Installation and Upgrade
    • Add New Features as Appropriate
    • Develop New Administrative Procedures as Needed
    • Set Threshold Values for Tablespace Alerts
    • Migrate From Rollback Segments to Automatic Undo Mode
    • Configure Oracle Data Guard Broker
    • Migrate Tables from the LONG Data Type to the LOB Data Type
    • Test the Upgraded Production Database
  • Recommended Tasks After Upgrading an Oracle Database 10g Release 1 (10.1) Database
    • Upgrade Change Data Capture
    • Configure Secure HTTP
    • Provide Anonymous Access to XML DB Repository Data Through HTTP
  • Recommended Tasks After Upgrading an Oracle Express Edition Database
  • Recommended Tasks After Upgrading an Oracle RAC Database
• Tasks to Complete Only After Manual Database Upgrades
  • Change Passwords for Oracle Supplied Accounts
  • Create Password File with ORAPWD
  • Migrate Your Initialization Parameter File to a Server Parameter File
  • Upgrade Oracle Text
  • Upgrade the Oracle Clusterware Configuration
  • Adjust the Initialization Parameter File for the New Release
    • Setting the COMPATIBLE Initialization Parameter
    • Configuring tnsnames.ora and Listener Parameters
  • Configure Enterprise Manager
  • Set CLUSTER_DATABASE Initialization Parameter For Oracle RAC
• Required Tasks After Oracle Grid Infrastructure Upgrades
  • Using Environment Variables for Grid Infrastructure Installations
  • Upgrading An Earlier Release of Oracle ASM to Oracle Grid Infrastructure
    • Preparing to Upgrade Oracle ASM
  • Upgrading Oracle ASM
• Required Tasks After Oracle ASM Upgrades
  • Set Environment Variables
  • Single-Instance Oracle ASM Upgrade
  • Cluster Oracle ASM Upgrade
  • Additional Considerations After Oracle ASM Upgrades
    • Role-Allocated Software Owners and Database Upgrade After Oracle ASM Upgrade
    • Keeping the Existing User as the Oracle ASM Operating System User
    • Changing the Operating System User for Single-Instance Oracle ASM
    • Changing the Operating System User for an Oracle RAC Database
• Recommended Tasks After Oracle ASM Upgrades
  • Reset Oracle ASM Passwords to Enforce Case-Sensitivity
  • Advance the Oracle ASM and Oracle Database Disk Group Compatibility
  • Set Up Oracle ASM Preferred Read Failure Groups

5 Upgrading Your Applications

• Overview of Upgrading Applications
  • Compatibility Issues for Applications
• Upgrading Precompiler and OCI Applications
  • Understanding Software Upgrades and Your Client/Server Configuration
    • Types of Software Upgrades
    • Possible Client/Server Configurations
  • Compatibility Rules for Applications When Upgrading Client/Server Software
    • Upgrading the Oracle Database Server Software
    • Upgrading the Oracle Database Client Software
  • Upgrading Options for Your Precompiler and OCI Applications
    • Option 1: Leave the Application Unchanged
    • Option 2: Precompile or Compile the Application Using the New Software
    • Option 3: Change the Application Code to Use New Oracle Database 11g Features
• Upgrading SQL*Plus Scripts and PL/SQL
  • Evaluation of Numeric Literals
• Upgrading Oracle Forms or Oracle Developer Applications

6 Downgrading a Database

• Supported Releases for Downgrading
• Check for Incompatibilities
• Perform a Full Backup
• Downgrade the Database
• Perform Post-Downgrade Tasks
  • Re-creating the Network Listener When Downgrading to Releases 10.2 or 11.1
  • Restoring Oracle Enterprise Manager
  • Enabling Oracle Database Vault
  • Downgrading the Oracle Clusterware Configuration

7 Moving Data Using Data Pump and Export/Import

• When to Use Data Pump Export/Import Versus Original Export/Import
• Export and Import Requirements
  • Export and Import Requirements for Upgrades
  • Export and Import Requirements for Downgrades
  • Export/Import Usage on Data Incompatible with a Previous Release
• Upgrade the Database Using Export/Import
  • Importing a Full Database Using a Network Link

A Behavior Changes

• Compatibility and Interoperability Issues in Oracle Database 11g Release 2 (11.2)
  • Planned De-support of Change Data Capture
  • Initialization Parameters Deprecated in Oracle Database 11g Release 2 (11.2)
  • Initialization Parameters Obsolete in Oracle Database 11g Release 2 (11.2)
  • Static Data Dictionary Views Deprecated in Oracle Database 11g Release 2 (11.2)
  • Dynamic Performance Views Deprecated in Oracle Database 11g Release 2 (11.2)
  • Deprecated Features in Oracle Database 11g Release 2 (11.2)
  • Changes to LOG_ARCHIVE_DEST_n Parameters
• Compatibility and Interoperability Issues in Oracle Database 11g Release 1 (11.1)
  • Initialization Parameters Deprecated in Oracle Database 11g Release 1 (11.1)
  • Initialization Parameters Obsolete in Oracle Database 11g Release 1 (11.1)
  • Static Data Dictionary Views with Dropped Columns in Oracle Database 11g Release 1 (11.1)
  • Deprecated Features in Oracle Database 11g Release 1 (11.1)
  • Automatic Maintenance Tasks Management
  • New SYSASM Privilege and OSASM Group for ASM Administration
  • ASM Disk Group Compatibility
  • COMPUTE STATISTICS and ESTIMATE STATISTICS Clauses
  • Oracle Data Mining Models and the DMSYS Schema Objects
  • Oracle Data Mining Scoring Engine
  • SQL Plan Management and Control of SQL Plan Baselines
  • Binary XML Support for Oracle XML Database
    • When Upgrading to Oracle Database 11g Release 1 (11.1)
  • PL/SQL Native Compilation and Access Control for Network Utility Packages
    • PL/SQL Native Compilation
    • Access Control for Network Utility Packages
  • PL/SQL Control Parameters
  • Change in WebDAV ACL Evaluation Rules in Oracle XML DB
  • Summary Management and SQL Access Advisor
  • SQL Access Advisor Tasks
  • Standard Edition Starter Database
  • Core Dump Location
  • New Default Value for UNDO_MANAGEMENT
  • LOG_ARCHIVE_DEST_n Parameters
  • SHARED_POOL_SIZE Parameter
  • JOB_QUEUE_PROCESSES Parameter
  • Automatic Diagnostic Repository
• Compatibility and Interoperability Issues in Oracle Database 10g Release 2 (10.2)
  • Initialization Parameters Deprecated in Oracle Database 10g Release 2 (10.2)
  • Initialization Parameters Obsolete in Oracle Database 10g Release 2 (10.2)
  • Static Data Dictionary Views with Dropped Columns in Oracle Database 10g Release 2 (10.2)
  • SQL
  • CONNECT Role
  • Time Zone Files
  • New Limit for FAILED_LOGIN_ATTEMPTS
• Compatibility and Interoperability Issues in Oracle Database 10g Release 1 (10.1)
  • Initialization Parameters Deprecated in Oracle Database 10g Release 1 (10.1)
  • Initialization Parameters Obsolete in Oracle Database 10g Release 1 (10.1)
  • Static Data Dictionary Views Deprecated in Oracle Database 10g Release 1 (10.1)
  • Static Data Dictionary Views Obsolete in Oracle Database 10g Release 1 (10.1)
  • Dynamic Performance Views Deprecated in Oracle Database 10g Release 1 (10.1)
  • Dynamic Performance Views Obsolete in Oracle Database 10g Release 1 (10.1)
  • SQL Optimizer
    • Rule-Based Optimizer Desupported
    • Optimizer Statistics
    • COMPUTE STATISTICS Clause of CREATE INDEX
    • SKIP_UNUSABLE_INDEXES
  • SQL Changes
  • Invalid Synonyms After an Upgrade
  • Manageability
  • Transaction and Space
  • Recovery and Data Guard
  • RMAN
  • CREATE DATABASE
  • Oracle Real Application Clusters
  • Materialized Views
  • Change Data Capture
  • Change in the Default Archival Processing to Remote Archive Destinations
  • Limitations on NCHAR Data Types
  • PL/SQL Native Compilation
  • Evaluation of Numeric Literals
  • Change in Behavior for SESSION_CACHED_CURSORS
  • New Default Value for DB_BLOCK_SIZE
  • OPTIMIZER_MAX_PERMUTATIONS and OPTIMIZER_FEATURES_ENABLE
  • Change in Behavior for LOG_ARCHIVE_FORMAT
  • New Default Value for PGA_AGGREGATE_TARGET
  • Change in Behavior for SHARED_POOL_SIZE
  • Shared Server Parameters
    • New Default Value for DISPATCHERS
    • New Default Value for SHARED_SERVERS
    • New Default Value for MAX_SHARED_SERVERS
    • New Default Value for SHARED_SERVER_SESSIONS
    • New Default Value for CIRCUITS
    • New Default Value for MAX_DISPATCHERS

B Gathering Optimizer Statistics

• Collecting Statistics for System Component Schemas
• Creating a Statistics Table

Index