After the Full (Base) Release 2 is installed, you can upgrade using the Patch Installer (Agent, OMS, and Management Packs) for Release 5 (10.2.0.5). This Release 5 patch can also be downloaded from the same direct Enterprise Manager Downloads page on OTN as follows.

This chapter guides you through the process of upgrading a database to the new Oracle Database 10g release. This chapter covers the following topics:

See Also:

Some aspects of upgrading are operating system-specific. See your operating system-specific Oracle documentation for additional instructions about upgrading on your operating system.

System Considerations and Requirements

The following sections discuss system considerations and requirements:

Upgrading a Cluster Database

If you are upgrading a cluster database, then most of the actions described in this chapter should be performed on only one node of the system. Actions that need to be performed on more than one node will be indicated in that particular step.

Upgrading With Read-Only and Offline Tablespaces

The Oracle database can read file headers created prior to Oracle 10g, so you do not need to do anything to them during the upgrade. The only exception to this is if you want to transport tablespaces created prior to Oracle 10g, to another platform. In this case, the file headers must be made read-write at some point before the transport. However, there are no special actions required on them during the upgrade.

The file headers of offline datafiles are updated later when they are brought online, and the file headers of read-only tablespaces are updated if and when they are made read-write sometime after the upgrade. In any other circumstance, read-only tablespaces never have to be made read-write.

See Also:

Oracle Database Administrator's Guide for more information about read-only tablespaces and transporting tablespaces between databases

Upgrading Standby Databases

The methods by which you can perform an upgrade in an Oracle Data Guard configuration are described in the following sections:

Upgrading Databases in an Oracle Data Guard Configuration

To upgrade the Oracle Database software when physical or logical standby databases are present in an Oracle Data Guard configuration, see the Oracle Data Guard Concepts and Administration documentation for the following topics:

• Upgrading to Oracle 10g with a Physical Standby Database in Place

• Upgrading to Oracle 10g with a Logical Standby Database in Place

Upgrading Databases in a Broker Configuration

To upgrade or downgrade Oracle databases and Oracle Enterprise Manager in an Oracle Data Guard broker configuration, see Oracle Data Guard Broker for the following release scenarios:

• Upgrading from release 9.0.n to release 10.n

• Upgrading from release 9.2 to release 10.n

• Upgrading from release 10.1 to release 10.2

• Downgrading from release 10.2

Using SQL Apply to Perform a Rolling Upgrade of Oracle Databases

Starting with Oracle Database 10g release 1 (10.1.0.3), you can use SQL Apply on a logical standby database to perform a rolling upgrade of the Oracle Database 10g software. During a rolling upgrade, you can run different releases of the Oracle database on the primary and logical standby databases while you upgrade them, one at a time, incurring minimal downtime on the primary database. See the Oracle Data Guard Concepts and Administration documentation for complete information.

Upgrading Your Operating System

If required, upgrade the operating system before upgrading the Oracle database.

See Also:

• Your platform-specific Oracle Database installation guide to determine if you need to upgrade your operating system

• Your operating system-specific Oracle documentation for information on how to perform an operating system upgrade

Migrating Data to a Different Operating System

When using the Database Upgrade Assistant or when performing a manual upgrade, you cannot migrate data in a database on one operating system to a database on another operating system. For example, you cannot migrate data in an Oracle9i database on Solaris to an Oracle Database 10g database on Windows 2000 using the Database Upgrade Assistant.

If you need to migrate Oracle Database to a different operating system, the best practice is to follow these steps:

1. Upgrade to the newest Oracle Database 10g release on the current operating system platform following the instructions in this book.

2. Use the Oracle Database 10g cross-platform transportable tablespace feature or the Oracle Data Pump Export and Import utilities to migrate the upgraded database to the different operating system.

Install the Release 10.2 Oracle Software

Installation of the Release 10.2 Oracle software involves three basic steps: upgrading Cluster Ready Services (CRS) if necessary, installing Oracle Database, and installing Companion products if necessary.

1. If you are upgrading a Real Application Clusters (RAC) database, you must first install Oracle Clusterware (known as Cluster Ready Services prior to Release 10.2) from the product media. See the Oracle Database Oracle Clusterware and Oracle Real Application Clusters Installation Guide for your operating system for further instructions.

2. After installing Oracle Clusterware (assuming it was necessary), follow the instructions in your Oracle operating system-specific documentation to prepare for installation of Oracle Database and start the Oracle Universal Installer.

   When installation is complete, one or more assistants may be started. If you chose to run the Database Upgrade Assistant (DBUA) during installation, then you are ready to proceed with the upgrade when the Database Upgrade Assistant is started. However, it is recommended that you run the Pre-Upgrade Information Tool before you upgrade using DBUA, so that you can preview the types of items the DBUA will be checking. (See 'Using the Pre-Upgrade Information Tool'.) You can then run the DBUA independently after the installation is complete.

   Note also that you must run the Oracle Net Configuration Assistant before running the Database Upgrade Assistant.

   When installation of Oracle Database has completed successfully, click the Exit button to close the Oracle Universal Installer.

   Note:

   If you use Oracle Label Security, you must perform a custom install because it is not part of the standard installation.

3. After the installation of Oracle Database is complete, install the companion Oracle Database 10g Products if you have JServer, interMedia, Spatial, or Ultra Search in your existing databases.

See Also:

Install the Latest Available Patch Set Release and Any Required Patches

Once you have installed the major Oracle Database 10g software, check to see if there is a patch set release and/or critical patch update to be installed:

• Patch sets

  Patch sets are a software-release mechanism for delivering tested and integrated product fixes on a regular basis. Patch sets provide bug fixes only; they do not include new functionality, and do not require certification on the target system.

• Critical Patch Updates

  Critical patch updates contain security patch updates and security fixes. As of 2005, Oracle began providing Critical Patch Updates for all product offerings on a quarterly schedule. The comprehensive patches address significant security vulnerabilities and include fixes that are likely to be applied, or that are prerequisites for the security fixes.

The latest patch set release and critical patch update for Oracle Database 10g Release 2 should be installed prior to upgrading your databases. Refer to the specific patch release and critical patch update documentation for installation information.

Run the Pre-Upgrade Information Tool

After you have installed the Oracle Database 10.2 software and any required patches, you should analyze your database before upgrading to the new Oracle Database 10g release. This is done by running the Pre-Upgrade Information Tool. This is a necessary step if you are upgrading manually. It is also recommended if you are upgrading with the Database Upgrade Assistant (DBUA), so that you can preview the types of items the DBUA will be checking.

Using the Pre-Upgrade Information Tool

The Pre-Upgrade Information Tool is a SQL script that ships with the new Oracle Database 10g release, and must be copied to and run from the environment of the database being upgraded. Complete the following steps to run the Pre-Upgrade Information Tool:

1. Log in to the system as the owner of the Oracle home directory of the new Oracle Database 10g release.

2. Copy the following file from the ORACLE_HOME/rdbms/admin directory of the new Oracle Database 10g release to a directory outside of the Oracle home, such as the temporary directory on your system:

   • utlu102i.sql

   Make a note of the new location of this file.

3. Log in to the system as the owner of the Oracle home directory of the database to be upgraded.

4. Change to the directory outside of the Oracle home directory that you copied files to in Step 2.

5. Start SQL*Plus.

6. Connect to the database instance as a user with SYSDBA privileges.

7. Set the system to spool results to a log file for later analysis:

8. Run utlu102i.sql:

9. Turn off the spooling of script results to the log file:

   Then, check the spool file and examine the output of the upgrade information tool. You named the spool file in Step 7; the suggested name was info.log.

The following is an example of the output generated by the Pre-Upgrade Information Tool:

The following sections describe the output of the Pre-Upgrade Information Tool.

Database

This section displays global database information about the current database, such as the database name, release number, and compatibility level. A warning is displayed if the COMPATIBLE initialization parameter needs to be adjusted before the database is upgraded.

Logfiles

This section displays a list of redo log files in the current database whose size is less than 4 MB. For each log file, the file name, group number, and recommended size is displayed. New files of at least 4 MB (preferably 10 MB) need to be created in the current database. Any redo log files less than 4 MB must be dropped before the database is upgraded.

Tablespaces

This section displays a list of tablespaces in the current database. For each tablespace, the tablespace name and minimum required size is displayed. In addition, a message is displayed if the tablespace is adequate for the upgrade. If the tablespace does not have enough free space, then space must be added to the tablespace in the current database. Tablespace adjustments need to be made before the database is upgraded.

Update Parameters

This section displays a list of initialization parameters in the parameter file of the current database that must be adjusted before the database is upgraded. The adjustments need to be made to the parameter file after it is copied to the new Oracle Database 10g release.

See Also:

Appendix A, 'Initialization Parameter and Data Dictionary Changes' for more information about changes to initialization parameters in the new Oracle Database 10g release

Deprecated Parameters

This section displays a list of initialization parameters in the parameter file of the current database that are deprecated in the new Oracle Database 10g release.

See Also:

'Deprecated Initialization Parameters' for a list of initialization parameters that are deprecated in the new Oracle Database 10g release

Obsolete Parameters

This section displays a list of initialization parameters in the parameter file of the current database that are obsolete in the new Oracle Database 10g release. Obsolete initialization parameters need to be removed from the parameter file before the database is upgraded.

See Also:

'Obsolete Initialization Parameters' for a list of initialization parameters that are obsolete in the new Oracle Database 10g release

Components

This section displays a list of database components in the new Oracle Database 10g release that will be upgraded or installed when the current database is upgraded.

Miscellaneous Warnings

This section provides warnings about specific situations that may require attention before and/or after the upgrade.

SYSAUX Tablespace

This section displays the minimum required size for the SYSAUX tablespace, which is required in Oracle Database 10g. The SYSAUX tablespace must be created after the new Oracle Database 10g release is started and BEFORE the upgrade scripts are invoked.

Issues Requiring Further Analysis Prior to Upgrading

If the Pre-Upgrade Utility displays a warning about any of the following issues, then further analysis of the database is recommended prior to upgrading to Oracle Database 10g:

Deprecated CONNECT Role

After upgrading to Oracle Database 10g, the CONNECT role will only have the CREATE SESSION privilege; the other privileges granted to the CONNECT role in earlier releases will be revoked during the upgrade. To identify which users and roles in your database are granted the CONNECT role, use the following query:

If users or roles require privileges other than CREATE SESSION, then grant the specific required privileges prior to upgrading. The upgrade scripts adjust the privileges for the Oracle-supplied users.

Database Links With Passwords

During the upgrade to Oracle Database 10g, any passwords in database links will be encrypted. To downgrade back to the original release, all of the database links with encrypted passwords must be dropped prior to the downgrade. Consequently, the database links will not exist in the downgraded database. If you anticipate a requirement to be able to downgrade back to your original release, then save the information about affected database links from the SYS.LINK$ table, so that you can recreate the database links after the downgrade.

TIMESTAMP WITH TIMEZONE Datatype

The time zone files that are supplied with Oracle Database 10g have been updated from version 1 to version 2 to reflect changes in transition rules for some time zone regions. The changes may affect existing data of TIMESTAMP WITH TIME ZONE datatype. To preserve this TIMESTAMP data for updating according to the new time zone transition rules, you must run the utltzuv2.sql script on the database before upgrading. This script is located in the new 10.2 ORACLE_HOME/rdbms/admin directory. This script analyzes your database for TIMESTAMP WITH TIME ZONE columns that are affected by the updated time zone transition rules.

See Also:

Oracle Database Globalization Support Guide for a detailed description of the utltzuv.sql script

If the utltzuv2.sql script identifies columns with time zone data affected by a database upgrade, then back up the data in character format before you upgrade the database. After the upgrade, you must update the tables to ensure that the data is stored based on the new rules. If you export the tables before upgrading and import them after the upgrade, the conversion will happen automatically during the import. Alternatively, create tables with the time zone information in character format (for example, TO_CHAR(column, 'YYYY-MM-DD HH24.MI.SSXFF TZR'), and recreate the TIMESTAMP data from these tables after the upgrade.

Release 8.1.7 National Character Set

Starting in Oracle9i, the SQL NCHAR datatypes (NCHAR, NVARCHAR2, and NCLOB) are limited to the Unicode character set encoding (UTF8 and AL16UTF16) only. Any other version 8 character sets that were available under the NCHAR datatype, including Asian character sets (such as JA16SJISFIXED), are no longer supported.Before migrating your 8.1.7 SQL NCHAR data to the new Unicode NCHAR, Oracle Corporation recommends that you analyze your SQL NCHAR data, using the Character Set Scanner for the identification of possible invalid character set conversion or data truncation.

See Also:

Oracle Database Globalization Support Guide for more information about the Character Set Scanner

When you upgrade to Oracle Database 10g, the value of the National Character Set of the upgraded database is set based on the value of the National Character Set of the Oracle8i database being upgraded.

If the old National Character Set is UTF8, then the new National Character Set will be UTF8. Otherwise, the National Character Set is changed to AL16UTF16.

During the upgrade, the existing NCHAR columns in the data dictionary are changed to use the new format and, if the National Character Set has been changed to AL16UTF16, the dictionary NCHAR columns will be converted to the AL16UTF16 character set.

Note:

NCHAR columns in user tables are not changed during the upgrade. For information about changing NCHAR columns in user tables, see 'Upgrade User NCHAR Columns'.

Note:

Be aware that there may be additional character set considerations if you are upgrading from a release 8.1 database. For example, if you use XDK for Java and have escape characters in your XML data, you should change your database character set to AL32UTF8 before you upgrade to Oracle Database 10g. See Oracle XML DB Developer's Guide for further information. For information on changing your database character set, see Oracle Database Globalization Support Guide.

Optimizer Statistics

When upgrading to Oracle Database 10g, optimizer statistics are collected for dictionary tables that lack statistics. This statistics collection can be time consuming for databases with a large number of dictionary tables, but statistics gathering only occurs for those tables that lack statistics or are significantly changed during the upgrade.

To decrease the amount of downtime incurred when collecting statistics, you can collect statistics prior to performing the actual database upgrade. As of Oracle Database 10g Release 10.1, Oracle recommends that you use the DBMS_STATS.GATHER_DICTIONARY_STATS procedure to gather these statistics. For example, you can enter the following:

If you are using Release 9.0.1 or 9.2.0, then you should use the DBMS_STATS.GATHER_SCHEMA_STATS procedure to gather statistics. To do this, you can run the scripts provided in Appendix C.

Table 3-1 lists the system components and schemas.

Table 3-1 Statistics Collection for System Components and Schemas

Component Name	Schema
JServer JAVA Virtual Machine	SYS
OLAP Analytic Workspace	SYS The update introduces a load of new content to the MMO, including main story quests that set the stage for the game’s forthcoming Shadowbringers expansion. Final fantasy 14 ps4 patch download. The first part of Stormblood’s big 4.5 patch, A Requiem for Heroes, has arrived on PS4 and PC.
OLAP Catalog	OLAPSYS
Oracle Data Mining	DMSYS
Oracle Database Catalog Views	SYS
Oracle Database JAVA Packages	SYS
Oracle Database Packages and Types	SYS, DBSNMP, OUTLN, SYSTEM
Oracle Enterprise Manager	SYSMAN
Oracle Expression Filter	EXFSYS
Oracle Intermedia	ORDSYS, ORDPLUGINS, SI_INFORMTN_SCHEMA
Oracle Label Security	LBACSYS
Oracle OLAP API	SYS
Oracle Spatial	MDSYS, MDDATA
Oracle Text	CTXSYS
Oracle Ultra Search	WKSYS, WKPROXY,WK_TEST
Oracle Workspace Manager	WMSYS
Oracle XDK	SYS
Oracle XML Database	XDB

Run the Oracle Net Configuration Assistant

If you are upgrading from Oracle9i and a listener was not configured in the Oracle9i repository, run Oracle Net Configuration Assistant to configure the listening protocol address and service information for the new Oracle Database 10g database, including a listener.ora file. A version 10 listener is required for an Oracle Database 10g database. Previous versions of the listener are not supported for use with an Oracle Database 10g database. However, it is possible to use a version 10 listener with previous versions of the Oracle database.

Note:

It is important to run Oracle Net Configuration Assistant before running the Database Upgrade Assistant (DBUA).

See Also:

Oracle Database Net Services Administrator's Guide for complete information about using Oracle Net Configuration Assistant

Upgrade the Database Using the Database Upgrade Assistant

The following sections guide you through the process of upgrading a database using the Database Upgrade Assistant (DBUA). (Note also that you must run the Oracle Net Configuration Assistant before running the Database Upgrade Assistant.)

The DBUA provides a graphical user interface (GUI) to guide you through the upgrade of a database, or you can invoke it in silent mode, which does not present a user interface:

Note:

If the database instance is not running, the DBUA will try to start the instance with the default initialization parameter file. If that fails, you will be prompted to provide the name of the correct initialization parameter file or to start the instance. If the instance is already up and running, the DBUA connects to it.

Note:

If you abort the upgrade, but do not restore the database, then you should not restart the DBUA until you start up the existing database in UPGRADE mode using the 10.2 server. You cannot go back to the original server unless you restore your database.If you restore your database manually (not using the DBUA), then remove the following file before starting the DBUA: $10.2OracleHome/cfgtoollogs/dbua/logs/Welcome_<SID>.txt. The presence of this file indicates to the DBUA that this is a re-run operation.

Using the Database Upgrade Assistant Graphical User Interface

If you installed the new Oracle Database 10g release and specified that you are upgrading an existing database, then the Database Upgrade Assistant is started automatically. However, if you did not specify that you are upgrading an existing database, then you can start the Database Upgrade Assistant independently after installation is complete.

In the environment of the new Oracle Database 10g release, start the Database Upgrade Assistant as follows:

• On UNIX platforms, enter the following command at a system prompt:

  Note:

  The dbua executable is usually located in ORACLE_HOME/bin.

• On Windows operating systems, choose:

When the Database Upgrade Assistant starts, its Welcome screen appears. Figure 3-1 shows the Welcome screen of the Database Upgrade Assistant. Before the upgrade, the DBUA performs the following steps:

• Check for any invalid user accounts or roles

• Check for any invalid datatypes or invalid objects

• Check for any desupported character sets

• Check for adequate resources, including rollback segments, tablespaces, and free disk space

• Check for any missing SQL scripts needed for the upgrade

• Optionally, DBUA backs up all necessary files

The DBUA does not begin the upgrade until all of these pre-upgrade steps are completed.

During the upgrade, the DBUA automatically modifies or creates new required tablespaces and invokes the appropriate upgrade scripts.

While the upgrade is running, the DBUA shows the upgrade progress for each component. The DBUA writes detailed trace and log files and produces a complete HTML report for later reference. To enhance security, the DBUA automatically locks new user accounts in the upgraded database. The DBUA then proceeds to create new configuration files (parameter and listener files) in the new Oracle home.

If you need detailed instructions on using the DBUA graphical user interface, see Appendix D, 'Using the Database Upgrade Assistant'.

Figure 3-1 Welcome Screen of the Database Upgrade Assistant

Description of 'Figure 3-1 Welcome Screen of the Database Upgrade Assistant'

Using the Database Upgrade Assistant in Silent Mode

When invoked with the -silent command line option, the Database Upgrade Assistant operates in silent mode. In silent mode, the Database Upgrade Assistant does not present a user interface. It also writes any messages (including information, errors, and warnings) to a log file.

For example, the following command upgrades a database named ORCL in silent mode:

Database Upgrade Assistant Command Line Options

The Database Upgrade Assistant supports several command line options. You can specify all valid options from the command line using the following syntax:

Table 3-2 describes the various options and their parameters that are supported by the Database Upgrade Assistant.

Table 3-2 Database Upgrade Assistant Command Line options

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Option	Description
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-disableUpgradeScriptLogging	This option disables the detailed log generation for running SQL scripts during the upgrade process. This is enabled by default. To enable the log generation, do not specify this option.
-backupLocationdirectory	Specifies a directory to back up your database before the upgrade starts
-postUpgradeScriptsscript[,script] ..	Specifies a comma-separated list of SQL scripts. Specify complete path names. The scripts will be executed at the end of the upgrade.
-initParamparameter=value[,parameter=value] ..	Specifies a comma-separated list of initialization parameter values of the form name=value
-emConfiguration { LOCAL | CENTRAL | NOBACKUP | NOEMAIL | NONE }	Specifies Enterprise Manager management options: LOCAL - Database is locally managed by Enterprise Manager CENTRAL - Database is centrally managed by Enterprise Manager NOBACKUP - Automatic daily backups of the database are not enabled NOEMAIL - E-mail notifications are not enabled NONE - Database is not managed by Enterprise Manager
-dbsnmpPasswordpassword	Specifies the DBSNMP user password
-sysmanPasswordpassword	Specifies the SYSMAN user password
-hostUserNamehostname	Specifies the host user name for the Enterprise Manager backup job
-hostUserPasswordpassword	Specifies the host user password for the Enterprise Manager backup job
-backupSchedulehh:mm	Specifies the daily backup schedule in the form hh:mm (hours and minutes)
-smtpServerserver_name	Specifies the outgoing mail (SMTP) server for E-mail notifications
-emailAddressaddress	Specifies the E-mail address for E-mail notifications
-centralAgentlocation	Specifies the Enterprise Manager central agent location
-recoveryAreaDestinationdirectory	Specifies the destination directory for all recovery files
-h | -help	Displays usage help for the Database Upgrade Assistant

Upgrade the Database Manually

The following sections guide you through the process of performing a manual upgrade. They assume that you have already run the Pre-Upgrade Information Tool as described in 'Using the Pre-Upgrade Information Tool'.

Back Up the Database

After cleanly shutting down the instance following the analysis of the database, you should perform a full backup of the database. Complete the following steps:

1. Sign on to RMAN:

2. Issue the following RMAN commands:

Caution:

If you encounter problems with the upgrade and wish to abandon the upgrade completely, then you will need to restore the database from this backup. Therefore, make sure you back up your database now as a precaution.

See Also:

Oracle Database Backup and Recovery Basics for more information about backing up a database

Prepare the New Oracle Home

After analyzing the database to be upgraded, complete the following steps to prepare the new Oracle home:

1. Copy configuration files from the Oracle home of the database being upgraded to the new Oracle Database 10g Oracle home:

   1. If your parameter file resides within the old environment's Oracle home, then copy it to the new Oracle home. By default, Oracle looks for the parameter file in ORACLE_HOME/dbs on UNIX platforms and in ORACLE_HOMEdatabase on Windows operating systems. The parameter file can reside anywhere you wish, but it should not reside in the old environment's Oracle home after you upgrade to Oracle Database 10g.

      Tip:

      It may be necessary to create a text initialization parameter file (pfile) from the server parameter file (spfile) so that you can edit the initialization parameters.

   2. If your parameter file is a text-based initialization parameter file with either an IFILE (include file) or a SPFILE (server parameter file) entry, and the file specified in the IFILE or SPFILE entry resides within the old environment's Oracle home, then copy the file specified by the IFILE or SPFILE entry to the new Oracle home. The file specified in the IFILE or SPFILE entry contains additional initialization parameters.

   3. If you have a password file that resides within the old environment's Oracle home, then move or copy the password file to the new Oracle Database 10g Oracle home.

      The name and location of the password file are operating system-specific. On UNIX platforms, the default password file is ORACLE_HOME/dbs/orapwsid. On Windows operating systems, the default password file is ORACLE_HOMEdatabasepwdsid.ora. In both cases, sid is your Oracle instance ID.

   4. If you are upgrading a cluster database and your initdb_name.ora file resides within the old environment's Oracle home, then move or copy the initdb_name.ora file to the new Oracle home.

   Note:

   If you are upgrading a cluster database, then perform this step on all nodes in which this cluster database has instances configured.

2. Adjust your parameter file in the new Oracle Database 10g release by completing the following steps:

   1. Remove obsolete initialization parameters and adjust deprecated initialization parameters. Certain parameters are obsolete in the new Oracle Database 10g release, while other parameters have become deprecated. Remove all obsolete parameters from any parameter file that will start a release 10.2 instance. Obsolete parameters may cause errors in the new Oracle Database 10g release. Also, alter any parameter whose syntax has changed in the new Oracle Database 10g release.

      The Pre-Upgrade Information Tool displays any deprecated parameters and obsolete parameters it finds in the Deprecated Parameters and Obsolete Parameters sections, respectively.

      See Also:

      Appendix A, 'Initialization Parameter and Data Dictionary Changes' for a list of initialization parameters that have been deprecated or have become obsolete

   2. Make sure the COMPATIBLE initialization parameter is properly set for the new Oracle Database 10g release. The Upgrade Information Tool displays a warning in the Database section if COMPATIBLE is not properly set.

   3. Adjust the values of the initialization parameters to at least the minimum value indicated the Pre-Upgrade Information utility.

   4. Make sure all path names in the parameter file are fully specified. You should not have relative path names in the parameter file.

   5. If the parameter file contains an IFILE entry, then change the IFILE entry in the parameter file to point to the new location of the include file that you specified in Step 1. b. Then, edit the file specified in the IFILE entry in the same way that you edited the parameter file in Step ` through Step d.

   6. If you are upgrading a cluster database, then modify the initdb_name.ora file in the same way that you modified the parameter file.

   Make sure you save all of the files you modified after making these adjustments.

   Note:

   If you are upgrading a cluster database, then perform this step on all nodes in which this cluster database has instances configured.

3. If you are upgrading a cluster database, then set the CLUSTER_DATABASE initialization parameter to false. After the upgrade, you must set this initialization parameter back to true.

Upgrade the Database

After preparing the new Oracle home, you are ready to proceed with the manual upgrade. Complete the following steps to upgrade the database:

1. Shut down the instance:

   If your operating system is Windows, then complete the following steps:

   1. Stop the OracleServiceSID Oracle service of the database you are upgrading, where SID is the instance name. For example, if your SID is ORCL, then enter the following at a command prompt:

   2. Delete the Oracle service at a command prompt using ORADIM.

      If your SID is ORCL, then enter the following command:

   3. Create the new Oracle Database 10g service at a command prompt using the ORADIM command of the new Oracle Database release:

      This syntax includes the following variables:

      Variable	Description
      SID	The same SID name as the SID of the database you are upgrading.
      PASSWORD	The password for the new release 10.2 database instance. This is the password for the user connected with SYSDBA privileges. The -INTPWD option is not required. If you do not specify it, then operating system authentication is used, and no password is required.
      USERS	The maximum number of users who can be granted SYSDBA and SYSOPER privileges.
      ORACLE_HOME	The release 10.2 Oracle home directory. Ensure that you specify the full path name with the -PFILE option, including drive letter of the Oracle home directory.

      
      

      For example, if your SID is ORCL, your PASSWORD is TWxy579, the maximum number of USERS is 10, and the ORACLE_HOME directory is C:ORA92, then enter the following command:

2. If your operating system is UNIX, then make sure that your ORACLE SID is set correctly and that the following environment variables point to the new release 10.2 directories:

   • ORACLE_HOME

   • PATH

   • ORA_NLS10

   • LD_LIBRARY_PATH

   Note:

   If you are upgrading a cluster database, then perform this step on all nodes in which this cluster database has instances configured.

   See Also:

   Your operating system-specific Oracle Database installation documents for information about setting other important environment variables on your operating system.

3. Log in to the system as the owner of the Oracle home directory of the new Oracle Database 10g release.

4. At a system prompt, change to the ORACLE_HOME/rdbms/admin directory.

5. Start SQL*Plus.

6. Connect to the database instance as a user with SYSDBA privileges.

7. Start up the instance by issuing the following command:

   Note:

   The UPGRADE keyword allows you to open a pre-10.2 database. It also restricts logons to AS SYSDBA sessions, disables system triggers, and performs additional operations that prepare the environment for the upgrade.

   You may need to use the PFILE option to specify the location of your initialization parameter file.

   The following are common errors that may occur when attempting to start the new Oracle Database 10g release. If you receive any of these errors, issue the SHUTDOWN ABORT command to shut down the database and correct the problem.

   • If the COMPATIBLE initialization parameter is set to a value less than '9.2.0':

   • If the CLUSTER_DATABASE initialization parameter is set to true instead of false:

   • If the STARTUP command was issued without the UPGRADE keyword:

   • If a redo log's size is less than 4 MB:

   If errors appear listing obsolete initialization parameters, then make a note of the obsolete initialization parameters and continue with the upgrade. Then, remove the obsolete initialization parameters the next time you shut down the database.

8. If you are upgrading from release 10.1, then skip to step 9. Otherwise, if you are upgrading from release 8.1.7, 9.0.1, or 9.2.0, then create a SYSAUX tablespace. In Oracle Database 10g, the SYSAUX tablespace is used to consolidate data from a number of tablespaces that were separate in previous releases.

   The SYSAUX tablespace must be created with the following mandatory attributes:

   • ONLINE

   • PERMANENT

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   • READ WRITE

   • EXTENT MANAGEMENT LOCAL

   • SEGMENT SPACE MANAGEMENT AUTO

   The Pre-Upgrade Information Tool provides an estimate of the minimum required size for the SYSAUX tablespace in the SYSAUX Tablespace section. Table 3-3 can be used to determine an optimal size for the SYSAUX tablespace.

   Table 3-3 Guidelines for Sizing the SYSAUX Tablespace

   Factor	Small	Medium	Large
   Number of CPUs	2	8	32
   Number of concurrently active sessions	5	20	100
   Number of user objects (tables and indexes)	500	5,000	50,000
   Estimated SYSAUX size at steady state with default config	500 MB	2 GB	5 GB

   
   

   The following SQL statement would create a 500 MB SYSAUX tablespace for the database:

   See Also:

   Oracle Database Administrator's Guide for more information about the SYSAUX tablespace

9. Set the system to spool results to a log file for later verification of success:

10. Run catupgrd.sql:

    The catupgrd.sql script determines which upgrade scripts need to be run and then runs each necessary script. You must run the script in the new release 10.2 environment.

    The upgrade script creates and alters certain data dictionary tables. It also upgrades or installs the following database components in the new release 10.2 database:

    • Oracle Database Catalog Views

    • Oracle Database Packages and Types

    • JServer JAVA Virtual Machine

    • Oracle Database Java Packages

    • Oracle XDK

    • Oracle Real Application Clusters

    • Oracle Workspace Manager

    • Oracle interMedia

    • Oracle XML Database

    • OLAP Analytic Workspace

    • Oracle OLAP API

    • OLAP Catalog

    • Oracle Text

    • Spatial

    • Oracle Data Mining

    • Oracle Label Security

    • Messaging Gateway

    • Expression Filter

    • Oracle Enterprise Manager Repository

11. Run utlu102s.sql to display the results of the upgrade:

    The Post-upgrade Status Tool displays the status of the database components in the upgraded database and the time required to complete each component upgrade. The Upgrade Status Tool displays output similar to the following:

12. Turn off the spooling of script results to the log file:

    Then, check the spool file and verify that the packages and procedures compiled successfully. You named the spool file in Step 9; the suggested name was upgrade.log. Correct any problems you find in this file (see 'Troubleshoot the Upgrade') and rerun the catupgrd.sql script, if necessary. You can rerun any of the scripts described in this chapter as many times as necessary. (If you have JAVAVM in your database, but you did not install the companion Oracle Database 10g Products, you will most likely receive error message ORA-29558.)

13. Shut down and restart the instance to reinitialize the system parameters for normal operation.

    Cleanly shutting down and restarting the instance flushes all caches, clears buffers, and performs other housekeeping activities. These measures are an important final step to ensure the integrity and consistency of the newly upgraded Oracle Database.

    Also, if you encountered a message listing obsolete initialization parameters when you started the database in Step 7, then remove the obsolete initialization parameters from the parameter file before restarting. If necessary, convert the spfile to a pfile so you can edit the file to delete parameters.

14. Run olstrig.sql to re-create DML triggers on tables with Oracle Label Security policies. (See Oracle Database Enterprise User Administrator's Guide for more information.) This step is only necessary if Oracle Label Security is in your database.

15. Run utlrp.sql to recompile any remaining stored PL/SQL and Java code.

    Verify that all expected packages and classes are valid:

16. Exit SQL*Plus.

Your database is now upgraded to the new Oracle Database 10g release. Complete the procedures described in Chapter 4, 'After Upgrading a Database'.

WARNING:

If you retain the old Oracle software, then never start the upgraded database with the old software. Only start the database with the executables in the new Oracle Database installation. Also, before you remove the old Oracle environment, make sure you relocate any data files in that environment to the new Oracle Database environment. See the Oracle Database Administrator's Guide for information about relocating data files.

Troubleshoot the Upgrade

There are three resources that generally require increases for a new Oracle Database release:

• SYSTEM tablespace

• Shared memory

• Rollback segments/Undo Tablespace

If you run out of one of these resources during the upgrade, then increase the resource allocation. After increasing the resource allocation, you should perform a SHUTDOWN ABORT and restart the instance (in UPGRADE mode) before rerunning the catupgrd.sql script or restarting the Database Upgrade Assistant.

SYSTEM and SYSAUX Tablespace

Typically you will receive one of the following messages during the upgrade if your SYSTEM tablespace size is insufficient:

To avoid these errors, set AUTO EXTEND ON MAXSIZE UNLIMITED for the SYSTEM and SYSAUX tablespaces.

Shared Memory

You may require larger shared memory pool sizes in some cases. The error message will indicate which shared memory initialization parameter needs to be increased.

Refer to Oracle Database Reference for information about shared memory initialization parameters.

Public Rollback Segment

If you are using rollback segments, then you need to have a single large (100 MB) PUBLIC rollback segment online while the upgrade scripts are being run. Smaller public rollback segments should be taken offline during the upgrade. Typically you will get the following error if your rollback segment size is insufficient:

Abandon the Upgrade

If you completed the steps in 'Back Up the Database' to back up your database, then the easiest way to abandon the upgrade is to restore that backup. Complete the following steps:

1. Log in to the system as the owner of the Oracle home directory of the previous release.

2. Sign on to RMAN:

3. Issue the following RMAN commands:

08 July 2013

With every release of the Oracle database there is always an upgrade path that should be followed. For many, they rush out and download the software and attempt an install/upgrade; often before knowing what needs to be done. This can lead to disasters and potentially affect the business if not done successfully. The upgrade path for going to Oracle Database 12c

With every release of the Oracle database there is always an upgrade path that should be followed. For many, they rush out and download the software and attempt an install/upgrade; often before knowing what needs to be done. This can lead to disasters and potentially affect the business if not done successfully.

The upgrade path for going to Oracle Database 12c (12.1.0.1) is pretty straightforward. If you are running an Oracle Database that is a supported direct path upgrade to Oracle Database 12c you will have no problems using any of the supported upgrade methods. If you are not on a version that supports direct path upgrade, you will need to upgrade to a supported version before upgrading to Oracle Database 12c.

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Supported Direct Upgrade Paths:

• Oracle Database 10g (10.2.0.5)
• Oracle Database 11g (11.1.0.7)
• Oracle Database 11g (11.2.0.2 or later)

There are three supported upgrade paths/tools. All the upgrade options have their own issues that may be ran into. The upgrade options that are supported with Oracle Database 12c are:

• Database Upgrade Assistant (DBUA)
• Manual Upgrade (script based)
• Export/Import

For the purpose of this article, let’s focus on using the Database Upgrade Assistant (DBUA).

Oracle has improved the DBUA to provide a seamless upgrade. If errors arise we now have options to fix them directly from DBUA. Additionally, the DBUA makes monitoring the upgrade easier. To use the DBUA we have to go to the Oracle Database 12c home and start it by running dbua. From working with Oracle Database 12c through beta testing and now general release, it is a best practice to run the preupgrd.sql to see what we may need to fix before running DBUA.

Run the PREUPGRD.SQL

In order to run the preupgrd.sql file, we first need to install the new binaries into an Oracle home for 12c. Once the binaries are in place, we need to setup our environment to connect to the database we want to upgrade.

In my test environment, my Oracle Database 11g settings are:

Next we need to go to the directory where the preupgrd.sql file is located:

Finally, we need to connect to the 11g database with SQL*Plus and run the preupgrd.sql file:

When the preupgrd.sql script is done, we will be given the locations of the files that we need to reference for verifying and correcting any issues with our environment.

Results of the checks are located at:

Pre-Upgrade Fixup Script (run in source database environment):

Post-Upgrade Fixup Script (run shortly after upgrade):

Review these scripts and correct anything that needs to be fixes. Once these corrections are made, running the DBUA will be simpler. If there are any errors listed in the preupgrade.log, these need to be corrected before proceeding.

Running DBUA

Once everything has been corrected after reviewing the preupgrade.log, we can start the Database Upgrade Assistant (DBUA).

To start the DBUA, we need to go to the Oracle Database 12c home and run dbua:

This will start the GUI to begin the upgrade. You will notice that I did not change anything in my environment. I’m still pointing to the 11g environment.

Once the DBUA starts, you will notice that we are at step 1 of 11. The number of steps will change depending on the options that are selected. Step 1, we have two options:

• Upgrade an Oracle Database
• Move an existing 12c database to a new 12c oracle home

For the purpose of the update, we can just click next and move on.

Part of the upgrade process we need to identify which Oracle home we want to upgrade. Since we started the DBUA with the Oracle home set to the 11g home, the DBUA will give us all databases associated with that Oracle home. Select the database to be upgraded, then click next.

In step 3 we see results that look similar to what we looked at in the preupgrade.log. As you can tell, the DBUA is actually running the same preupgrd.sql script and returning the results back to the GUI. Additionally, Oracle has made the DBUA more intelligent by allowing us to select whether we can fix, ignore or revalidate the issues found by the preupgrd.sql. Make the selections you want and continue.

Step 4 is one of the most interesting screens in the DBUA. Oracle has made a fundamental change to how upgrades are handled. Upgrades can now be done in parallel! This is accomplished by using a new perl script, catctl.pl. The number of parallelism is calculated based on the number of CPUs in the server. Additionally, we can recompile object now in parallel and have DBUA perform the upgrade of time zones, gather statistics and make tablespaces read only during the upgrade. Click next to continue.

Step 5 allows us to select how we want to manage our Oracle Database 12c environment. We can either select to use EM Express, the new web interface for Oracle Database 12c that replaces the database console in previous versions or we can register that database with Oracle Enterprise Manager 12c (OEM).

Note: If the OEM12c agents are already installed on the server where the upgrade is being done, the DBUA will pick up the need information automatically.

Step 6 allows us to specify where we want to move our data files and setup our Fast Recovery Area (FRA). We can also configure if we want to use Oracle Managed Files (OMF) at this point.

Step 7 gives us the option to migrate the listener for 11g over to 12c (if not already up). In the image below the 12c binaries are already installed and have a listener running from it. What’s important on this screen is the ‘Migrate’ column. This column will tell you whether or not the listener is going to be migrated.

In step 8 we have the option to create a new backup of our database before upgrading. If we are confident in our backup strategies, we can tell the DBUA not to make a backup by selecting the radio button: ‘I have my own backup and restore strategy’.

Finally, we reach the summary screen (Step 9). This screen will show us what the DBUA thinks it will be doing. One should always review this screen and make sure everything appears to be in order before clicking ‘Finish’. Once we click finish, the upgrade will begin and we can monitor it via the progress screen.

On the progress screen, we can watch the progress of the upgrade. The arrows on this screen can be expanded to show the step that the DBUA is currently on. Another nice feature on the progress screen is the ability to see how long something takes to complete; this is found in the time column.

Once the upgrade is complete, the ‘Stop’ button will change it’s wording and say ‘Upgrade Results’. When you click this button, the interface will change and provide you with the results of the upgrade.

At this point, the upgrade is done and the DBUA can be closed. Click the ‘Close’ button to exit the GUI.

Verify the Upgrade

There are multiple ways that the upgrade can be verified. The easiest way is the check the /etc/oratab file. Once the upgrade is done, this oratab file should have changed the Oracle home to match the 12c binary location.

Another way to verify is to check the environment variables from the command line:

Lastly, we can use SQL*Plus to check the version of the database:

I hope this article has shown you how easy it is to upgrade an Oracle Database 11g up to the latest release of the Oracle Database 12c.