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Oracle® Database Upgrade Guide
11g Release 2 (11.2)

Part Number E17222-04
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1 Introduction to the Database Upgrade Process

This chapter provides an overview of the database upgrade process and information about running multiple releases of Oracle Database.

This chapter contains the following topics:

Note:

Oracle provides late-breaking updates, discussions, and best practices about pre-upgrade, post-upgrade, compatibility, and interoperability on the My Oracle Support Web site. You can search on Note IDs or key words like "Database Upgrade."

Overview of the Database Upgrade Process

This section includes an overview of the major steps required to upgrade an existing Oracle database to the new Oracle Database 11g release. These procedures transform an existing Oracle Database system (including associated applications) into an Oracle Database 11g Release 2 (11.2) system.

Oracle Database 11g Release 2 (11.2) supports the following tools and methods for upgrading a database to the new release:

See Also:

"Choose an Upgrade Method" for more details about the upgrade tools and methods

Figure 1-1 illustrates the major steps in the upgrade process.

Note:

The upgrade steps apply to all operating systems, with the possible exception of a few operating system-specific details identified in your operating system-specific Oracle documentation.

Detailed instructions are provided in the appropriate chapters in this guide. The following steps outline the major procedures performed during the upgrade process:

Step 1: Prepare to Upgrade

Step 2: Test the Upgrade Process

Step 3: Test the Upgraded Test Database

Chapter 2, "Preparing to Upgrade" provides detailed information about Steps 1 through 3.

Step 4: Prepare and Preserve the Production Database

Step 5: Upgrade the Production Database

Chapter 3, "Upgrading to the New Release" describes Steps 4 and 5 when using DBUA or when performing a manual upgrade. Chapter 4, "After Upgrading to the New Release" describes the backup procedure for Step 5 after the upgrade, and other post-upgrade tasks for Step 6.

Step 6: Tune and Adjust the New Production Database

During the upgrade, consider running multiple releases of the database software so you can use the existing release as your production environment while you test the new release. See "Running Multiple Oracle Releases".

About Oracle Release Numbers

This guide describes moving between different releases of the Oracle Database server. Figure 1-2 describes what each part of a release number represents.

Figure 1-2 Example of an Oracle Release Number

Description of Figure 1-2 follows
Description of "Figure 1-2 Example of an Oracle Release Number"

Note:

Starting with Oracle9i Release 2 (9.2), maintenance releases of Oracle Database are denoted by a change to the second digit of a release number. In earlier releases, the third digit indicated a particular maintenance release.

See Also:

Oracle Database Administrator's Guide for more information about Oracle release numbers

When a statement is made in this guide about a major database release number, the statement applies to all releases within that major database release. References to Oracle Database 11g include Oracle Database 11g Release 1 (11.1) and Oracle Database 11g Release 2 (11.2); references to Oracle Database 10g include Oracle Database 10g Release 1 (10.1) and Oracle Database 10g Release 2 (10.2); references to Oracle9i include Oracle9i Release 1 (9.0.1) and Oracle9i Release 2 (9.2).

Similarly, when a statement is made in this guide about a maintenance release, the statement applies to all component-specific and platform-specific releases (also referred to as patchset releases) within that maintenance release. Therefore, a statement about Oracle9i Release 2 (9.2) applies to release 9.2.0.1, release 9.2.0.2, and all other platform-specific releases within Oracle9i Release 2 (9.2).

Running Multiple Oracle Releases

You can run different releases of Oracle Database on the same computer at the same time. However, you must observe the following conditions when using multiple releases:

  • An Oracle Database release must be installed in a new Oracle home that is separate from earlier releases of Oracle.

    There cannot be multiple releases for each Oracle home. Oracle recommends that you adopt an Optimal Flexible Architecture (OFA) when creating multiple Oracle homes. See "Using Optimal Flexible Architecture (OFA)" for more information.

  • Each database server can access only a database that is consistent with its release number.

    For example, if you have Oracle9i and Oracle Database 11g installed on the same computer, then the Oracle9i database server can access Oracle9i databases but not Oracle Database 11g databases, and the Oracle Database 11g database server can access Oracle Database 11g databases but not Oracle9i databases.

See Also:

Your operating system-specific Oracle documentation for more information about running multiple releases of Oracle Database on your operating system. Restrictions may apply on some operating systems.

The following sections provide general information about running multiple releases of Oracle Database.

Installing Databases in Multiple Oracle Homes on the Same Computer

You may not be able to install earlier releases of Oracle Database on the same computer system and have clients connect to these databases. For example, you cannot have Oracle8i, Oracle9i, Oracle Database 10g, and Oracle Database 11g databases in multiple (or separate) Oracle homes on the same computer and have Oracle8i, Oracle9i, Oracle Database 10g, and Oracle Database 11g clients connecting to any or all of the databases. You may be able to have a combination of some releases on one system. However, be sure to obtain the latest information on compatibility and supported configurations.

See Also:

Note 207303.1 "Client / Server / Interoperability Support Between Different Oracle Versions" on My Oracle Support at https://support.us.oracle.com/oip/faces/secure/km/DocumentDisplay.jspx?id=207303.1

Installing Databases in Multiple Oracle Homes on Separate Computers

You can install Oracle8i, Oracle9i, Oracle Database 10g, and Oracle Database 11g databases in multiple (separate) Oracle homes on separate computers and have Oracle8i, Oracle9i, Oracle Database 10g, and Oracle Database 11g clients connecting to any or all of the databases.

Upgrading a Database to the Current Release

You can upgrade an Oracle8i, Oracle9i, Oracle Database 10g, or Oracle Database 11g database to the new Oracle Database 11g release and have Oracle8i, Oracle9i, Oracle Database 10g, and Oracle Database 11g clients connecting to the upgraded database. Be sure to obtain the latest information on compatibility and supported configurations.

Upgrading Clients to the Current Release

You can upgrade any or all of your Oracle8i, Oracle9i, Oracle Database 10g, or Oracle Database 11g clients to the new Oracle Database 11g release. The new Oracle Database 11g release client can access your Oracle8i, Oracle9i, Oracle Database 10g, and Oracle Database 11g databases.

About Compatibility and Interoperability

This section describes compatibility and interoperability issues that may arise because of differences between Oracle Database releases. These differences might affect general database administration and existing applications.

This section covers the following topics:

See Also:

Note 207303.1 "Client / Server / Interoperability Support Between Different Oracle Versions" on My Oracle Support at https://support.us.oracle.com/oip/faces/secure/km/DocumentDisplay.jspx?id=207303.1

What Is Compatibility?

Databases from different releases of Oracle Database software are compatible if they support the same features and those features perform the same way. When you upgrade to a new release of Oracle Database, certain new features might make your database incompatible with your earlier release.

Your upgraded database becomes incompatible with your earlier release under the following conditions:

  • A new feature stores any data on disk (including data dictionary changes) that cannot be processed with your earlier release.

  • An existing feature behaves differently in the new environment as compared to the old environment. This type of incompatibility is classified as a language incompatibility.

The COMPATIBLE Initialization Parameter

Oracle Database enables you to control the compatibility of your database with the COMPATIBLE initialization parameter. By default, when the COMPATIBLE initialization parameter is not set in your parameter file, it defaults to 11.2.0 for Oracle Database 11g Release 2 (11.2). You cannot use new Oracle Database 11g Release 2 (11.2) features that would make your upgraded database incompatible unless the COMPATIBLE initialization parameter is set to this value.

Note:

  • Before upgrading to Oracle Database 11g Release 2 (11.2), the COMPATIBLE initialization parameter must be set to at least 10.0.0, which is the lowest possible setting for Oracle Database 11g Release 2 (11.2).

  • Oracle recommends increasing the COMPATIBLE parameter only after complete testing of the upgraded database has been performed.

  • After you increase the COMPATIBLE parameter, the database cannot subsequently be downgraded to releases earlier than what is set for compatibility.

See Also:

Oracle Database Administrator's Guide for information about managing initialization parameters

Table 1-1 lists the default, minimum, and maximum values of the COMPATIBLE initialization parameter in Oracle Database 11g Release 2 (11.2) and in each release supported for upgrading to Oracle Database 11g Release 2 (11.2).

Table 1-1 The COMPATIBLE Initialization Parameter

Oracle Database Release Default Value Minimum Value Maximum Value

Oracle9i Release 2 (9.2)

8.1.0

8.1.0.0.0

9.2.0.n.n

Oracle Database 10g Release 1 (10.1)

10.0.0

9.2.0.0.0

10.1.0.n.n

Oracle Database 10g Release 2 (10.2)

10.2.0

9.2.0.0.0

10.2.0.n.n

Oracle Database 11g Release 1 (11.1)

11.0.0

10.0.0.0.0

11.1.0.n.n

Oracle Database 11g Release 2 (11.2)

11.2.0

10.0.0.0.0

11.2.0.n.n


Downgrading and Compatibility

Before upgrading to Oracle Database 11g Release 2 (11.2), the COMPATIBLE initialization parameter must be set to at least 10.0.0. Only a subset of Oracle Database 11g Release 2 (11.2) features are available while the COMPATIBLE initialization parameter is set to this value.

After upgrading to Oracle Database 11g Release 2 (11.2), you can set the COMPATIBLE initialization parameter to match the release number of the new release. Doing so enables you to use all features of the new release, but prevents you from downgrading to your earlier release.

If, after upgrading, you want to downgrade, then the COMPATIBLE initialization parameter must be left as follows after the upgrade:

  • Keep the setting at 10.1.0 if you upgraded from Oracle Database 10g Release 1 (10.1)

  • Set to 10.2.0 or 10.1.0 if you upgraded from Oracle Database 10g Release 2 (10.2)

  • Set to 11.1.0, 10.2.0, or 10.1.0 if you upgraded from Oracle Database 11g Release 1 (11.1)

See Also:

Chapter 6, "Downgrading a Database" for more information about downgrading
How the COMPATIBLE Initialization Parameter Operates

The COMPATIBLE initialization parameter operates in the following way:

  • It controls the behavior of your database. For example, if you run an Oracle Database 11g Release 2 (11.2) database with the COMPATIBLE initialization parameter set to 10.1.0, then it generates database structures on disk that are compatible with Oracle Database 10g Release 1 (10.1). Therefore, the COMPATIBLE initialization parameter enables or disables the use of features. If you try to use any new features that make the database incompatible with the COMPATIBLE initialization parameter, then an error is displayed. However, any new features that do not make incompatible changes on disk are enabled.

  • It makes sure that the database is compatible with its setting. If the database becomes incompatible with its setting, then the database does not start and terminates with an error. If this happens, then you must set the COMPATIBLE initialization parameter to an appropriate value for the database.

See Also:

Oracle Database Concepts for more information about database structures
Compatibility Level

The compatibility level of your database corresponds to the value of the COMPATIBLE initialization parameter. For example, if you set the COMPATIBLE initialization parameter to 11.0.0, then the database runs at release 11.0.0 compatibility level.

To check the current value of the COMPATIBLE initialization parameter, enter the following SQL statement:

SQL> SELECT name, value FROM v$parameter
         WHERE name = 'compatible';
When to Set the COMPATIBLE Initialization Parameter

Oracle recommends increasing the COMPATIBLE parameter only after complete testing of the upgraded database has been performed. After the upgrade is complete, you can increase the setting of the COMPATIBLE initialization parameter to the maximum level for the new Oracle Database 11g release. However, after you increase the COMPATIBLE parameter, the database cannot subsequently be downgraded.

What Is Interoperability?

In Oracle Database, interoperability is the ability of different releases of Oracle Database to communicate and work in a distributed environment. A distributed database system can comprise different releases of Oracle Database, and all supported releases of Oracle Database can participate in the distributed database system. However, the applications that work with a distributed database must also be able to interoperate with the features and functions that are available at each node in the system.

Interoperability across disperate operating systems and operating system versions might be a problem (especially during rolling upgrades) because the minimum requirements for the new Oracle Database 11g release might require you to upgrade the operating systems on some or all of your hosts. Therefore, you must check drivers, network, and storage compatibilities for all the interim states of the system during the rolling upgrade.

Note:

Because this guide discusses upgrading and downgrading between different releases of Oracle Database, the definition of interoperability in this guide is for Oracle Database releases. Other Oracle documentation might use a broader definition of the term interoperability. For example interoperability might in some cases describe communication between different hardware platforms and operating systems.

See Also:

Appendix A, "Behavior Changes" for more information on compatibility and interoperability

Using Optimal Flexible Architecture (OFA)

Oracle recommends the Optimal Flexible Architecture (OFA) standard for Oracle Database installations. The OFA standard is a set of configuration guidelines for efficient and reliable Oracle databases, which results in more streamlined maintenance.

OFA provides the following benefits:

If you are not currently using the OFA standard, then switching to the OFA standard involves modifying your directory structure and relocating your database files.

See Also:

Converting Databases to 64-bit Oracle Database Software

If you are installing 64-bit Oracle Database 11g software but were previously using a 32-bit Oracle Database installation, the database is automatically converted to 64-bit during a patch release or major release upgrade to the new Oracle Database 11g release.

To complete the conversion, you must manually perform the following post-upgrade tasks:

See Also:

Note:

When migrating a 32-bit database to 64-bit, when running the utlrp.sql script), there is a known error:

ORA-07445: exception encountered: core dump [_intel_new_memcpy()+2132] [ACCESS_VIOLATION] [ADDR:0x11D1F0F67] [PC:0x621BEA4] [UNABLE_TO_READ] []

The utlrp.sql script, which is located in the ORACLE_HOME/rdbms/admin directory, is used to recompile stored PL/SQL and Java code. This error and workaround are described in Note 341880.1.

About Rolling Upgrades

The rolling upgrade process supports Oracle Automatic Storage Management (Oracle ASM) instances in an Oracle Real Application Clusters (Oracle RAC) environment one at a time, without stopping the database. Depending on the method you choose to perform a rolling upgrade, you can upgrade the Oracle Database software or Oracle ASM instances, apply patchsets, or apply individual patches (sometimes referred to as one-off patches), incurring little or no database downtime. Database instance rolling upgrade is not supported.

See Also:

Oracle Database High Availability Best Practices for help choosing a method to perform database upgrades

Table 1-2 summarizes the various methods for performing rolling upgrades and provides references to the appropriate documentation.

Table 1-2 Methods for Performing Rolling Upgrades

Method Description Reference

Oracle Data Guard SQL Apply

Use SQL Apply and logical standby databases to upgrade Oracle Database software and patchsets.

"Upgrading Using Standby Databases"

Oracle Data Guard Physical Standby Database

Use an existing physical standby database to perform a rolling database upgrade by temporarily converting it to a logical standby database.

"Upgrading Using Standby Databases"

Oracle Streams

Use Oracle Streams source and destination databases, you can upgrade to a new release of Oracle Database software, migrate an Oracle database to a different operating system or character set, upgrade user-created applications, and apply Oracle Database patches.

Oracle Streams Concepts and Administration

Oracle RAC with the OPatch Utility

Use the OPatch Utility to perform rolling patch upgrades with Oracle RAC. You can use the OPatch utility only to apply individual patches, not patchset releases.

This method enables some instances of the Oracle RAC to remain available during the patch upgrade. Only the Oracle RAC instance being patched must be brought down; the other instances can continue to remain available. The OPatch Utility enables you to apply the patch successively to the different instances of Oracle RAC.

Oracle Universal Installer and OPatch User's Guide for Windows and UNIX

Oracle Database High Availability Best Practices

Oracle Clusterware and Oracle Universal Installer (OUI)

Use OUI and Oracle Clusterware to perform a rolling upgrade to apply patchset releases of Oracle Clusterware.This method enables some instances of the Oracle RAC to remain available during the patchset upgrades. Only the node that is currently being patched must be brought down; the other instances remain available. OUI enables you to apply the patchset successively to the different instances of the cluster.

Oracle Grid Infrastructure Installation Guide

Oracle Universal Installer and OPatch User's Guide for Windows and UNIX

Oracle Automatic Storage Management (Oracle ASM)

Use Oracle ASM to independently upgrade or patch clustered Oracle ASM instances. This method allows all of the features of a clustered Oracle ASM environment to continue to function even while one or more Oracle ASM instances run different software versions.

Note: An Oracle ASM rolling upgrade to Oracle Database 11g Release 2 (11.2) moves the Oracle ASM instance to an Oracle grid infrastructure home.

Oracle Grid Infrastructure Installation Guide

"Using Oracle ASM Rolling Upgrade" in Oracle Database Storage Administrator's Guide


Moving From Standard Edition to Enterprise Edition

If you have a Standard Edition database at a release earlier than the new Oracle Database 11g release, then you can change it to an Enterprise Edition database by installing Enterprise Edition and following the normal upgrade procedures, as described in this guide.

To change your existing Standard Edition database to an Enterprise Edition database 

  1. Ensure that the release number of your Standard Edition server software is the same release as Enterprise Edition server software.

    For example, if your Standard Edition server software is release 11.1.0.6, then you must upgrade to release 11.1.0.6 of Enterprise Edition.

  2. Shut down your database.

  3. If your operating system is Windows, then stop all Oracle services, including the OracleServiceSID Oracle service, where SID is the instance name.

  4. Deinstall Standard Edition server software.

    Run the deinstall tool from the Oracle home.

  5. Install Enterprise Edition server software using Oracle Universal Installer (OUI).

    Select the same Oracle home that was used for the de-installed Standard Edition. During the installation, be sure to select Enterprise Edition. When prompted, choose Software Only from the Database Configuration screen.

  6. Start up your database.

Your database is now upgraded to Enterprise Edition.

Moving From Enterprise Edition to Standard Edition

You cannot use the procedure described in "Moving From Standard Edition to Enterprise Edition" to convert an Enterprise Edition database to a Standard Edition database. Enterprise Edition contains data dictionary objects that are not available in Standard Edition. If you only install Standard Edition software, then some data dictionary objects become invalid and create problems when maintaining the database.

Important:

The only way to properly convert from an Enterprise Edition database to a Standard Edition database is through an Export/Import operation. Oracle recommends using the Standard Edition Export utility to export the data. The Export/Import operation does not introduce data dictionary objects specific to the Enterprise Edition, because the SYS schema objects are not exported.

After the Import in the Standard Edition database, you are only required to drop all user schemas related to Enterprise Edition features, such as the MDSYS account used with Oracle Spatial.

Upgrading from Oracle Database Express Edition to Oracle Database

To upgrade Oracle Database 10g Express Edition (Oracle Database XE) to Oracle Database 11g, you must install Oracle Database 11g on the same system as Oracle Database XE and use DBUA to perform the upgrade.

See Also: