Complete Checklist for Manual Upgrades to 11gR2 [ID 837570.1]
Modified 14-DEC-2011     

In this Document
  Purpose
  Scope and Application
  Complete Checklist for Manual Upgrades to 11gR2
     Community Discussions
  References

Applies to:
Oracle Server - Standard Edition - Version: 9.2.0.8 to 11.2.0.3 - Release: 9.2 to 11.2
Oracle Server - Enterprise Edition - Version: 9.2.0.8 to 11.2.0.3   [Release: 9.2 to 11.2]
Information in this document applies to any platform.

Purpose
This document is created for use as a guideline and checklist when manually upgrading from Oracle 9iR2 (9.2), Oracle 10gR1 (10.1), Oracle 10gR2 (10.2) or Oracle 11gR1 (11.1) to  Oracle 11gR2 (11.2).

Scope and Application
Database Administrators, Support

Complete Checklist for Manual Upgrades to 11gR2

Recommendations for Source database
1) Ensure that all database components/objects provided by Oracle are VALID in the source database  prior to starting the upgrade.
2) Ensure that you do not have duplicate objects in the SYS and SYSTEM schema.

The following objects are permissible duplicate objects:

OBJECT_NAME                    OBJECT_TYPE
------------------------------ -------------------
AQ$_SCHEDULES                   TABLE
AQ$_SCHEDULES_PRIMARY           INDEX
DBMS_REPCAT_AUTH                PACKAGE
DBMS_REPCAT_AUTH                PACKAGE BODY

Please refer to the following article for complete instructions to remove any other duplicates.
NOTE.1030426.6 HOW TO CLEAN UP DUPLICATE OBJECTS OWNED BY SYS AND SYSTEM
Note: All these checks are done when you execute step 3 (dbupgdiag.sql)

Requirements and recommendations for target database

* Check the certification of Oracle 11gR2 with your Platform/Operating system before downloading and installing Oracle 11gR2. Please check the certification information on My Oracle Support.
* Download and Install Oracle 11g Release 2 in a new Oracle Home and make sure there are no relinking errors.
* Install the latest available Patchset from Metalink (if available).
* Install the latest opatch available for your platform and database version (if available).
* Install the latest available Critical Patch Update (if available).
* Either take a Cold or Hot backup of your source database (advisable to have cold backup).
* If you have XDB installed then please install the PSE for 10368698 to the 11.2.0.2 Home before doing the upgrade. If there is not an existing one-off patch for your platform please open an SR to request the one-off patch. This defect can cause certain databases that are XDB enabled to take a great deal of time to upgrade.
* If you have XDB installed then the installing the fix for Bug 10419629 in the 11.2.0.2.0 home prior to upgrade . Please refer  Note 1305561.1 While Upgrading From 10.2.0.4.0 To 11.2.0.2.0 Catupgrd.sql=ORA-31061 ORA-19202 LSX-23
* If you are running XDB, you must set SHARED_POOL_SIZE = 250M and JAVA_POOL_SIZE = 250M or higher before upgrading otherwise you may run into the issue described in the following article
    Note 1127179.1 ORA-07445 [qmkmgetConfig()+52] During Catupgrd.sql (11.2.0.1).

If ASMM is configured on the database, set both parameters as indicated above to guarantee a minimum value for those pools.

* For an awareness of performance-related issues in 11.2.0.2 . Please refer Note 1320966.1 "Things to Consider Before Upgrade to 11.2.0.2 in Relation to Database Performance"

Compatibility Matrix
Minimum version of the database that can be directly upgraded to Oracle 11g Release 2 (11.2)
Source Database      Target Database
9.2.0.8 or higher    11.2.x
10.1.0.5 or higher   11.2.x
10.2.0.2 or higher   11.2.x
11.1.0.6 or higher   11.2.x

The following database versions will require an indirect upgrade path:
Source Database    Upgrade Path for Target Database  Target Database
7.3.3 (or lower)    ---->    7.3.4 -> 9.2.0.8      ---->    11.2.x
8.0.5 (or lower)    ---->    8.0.6 -> 9.2.0.8      ---->    11.2.x
8.1.7 (or lower)    ---->    8.1.7.4 -> 10.2.0.4   ---->    11.2.x
9.0.1.3 (or lower)  ---->    9.0.1.4 -> 10.2.0.4   ---->    11.2.x
9.2.0.7(or lower)   ---->    9.2.0.8               ---->    11.2.x

For example:
If source database is 8.1.7.0.0, the upgrade path to be followed is as below:
8.1.7.0.0 --> 8.1.7.4 --> 10.2.0.4--> 11.2.x.

Pre-Upgrade Steps
In this section all the steps need to be performed after having set the environment of the previous version of the Oracle Database. Note that the database must be running in normal mode in the old release.

To download and use the latest Pre-Upgrade Information Tool see the following:
How to Download and Run Oracle's Database Pre-Upgrade Utility Note 884522.1
or
Run the Pre-Upgrade Information Tool for Collecting Pre-Upgrade Information

 Step1
    Log into the system as the owner of the Oracle Database 11g Release 2 (11.2) Oracle Home directory.
    Copy the Pre-Upgrade Information Tool (utlu112i.sql) from the Oracle Database 11g Release 2 (11.2) ORACLE_HOME/rdbms/admin directory to a directory outside of the Oracle Home, such as the temporary directory on your system.
$ORACLE_HOME/rdbms/admin/utlu112i.sql

Step 2
    Change to the directory where utlu112i.sql had been copied in the previous step.
    Start SQL*Plus and connect to the database instance as a user with SYSDBA privileges. Then run and spool the utlu112i.sql file. Please note that the database should be started using the source Oracle Home .

$ sqlplus '/ as sysdba'
SQL> spool upgrade_info.log
SQL> @utlu112i.sql
SQL> spool off
SQL>

Check the spool file and examine the output of the Upgrade Information Tool.
The sections which follow describe the output of the Upgrade Information Tool.
For sample output, Click here

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 you must adjust the COMPATIBLE initialization parameter 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.
In a manual upgrade using SQL scripts and utilities, new files of at least 4 MB (preferably 10 MB) must be created in the current database, and any redo log files less than 4 MB must be dropped before the database is upgraded. These tasks are performed automatically by the Database Upgrade Assistant.

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.In a manual upgrade using SQL scripts and utilities, space must be added to tablespaces that do not have enough free space in the current database. These tablespace adjustments must be made before the database is upgraded. This task is performed automatically by the Database Upgrade Assistant.

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 must be made to the parameter file after it is copied to the new Oracle Database 11g 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 11g 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 11g release2 (11.2). Obsolete initialization parameters must be removed from the parameter file before the database is upgraded.

Appendix A: "Deprecated Initialization Parameters" for a list of initialization parameters that are deprecated in Oracle Database 11g release 2 (11.2).

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 11g release 2 (11.2). Obsolete parameters need to be removed from the parameter file before the database is upgraded. Obsolete parameters' means parameters which are no longer valid (or) in use.
Appendix B: "Obsolete Initialization Parameters" for a list of initialization parameters that are obsolete in Oracle Database 11g release 2 (11.2)

Components
This section displays a list of database components in the new Oracle Database 11g release 2 (11.2) that are upgraded or installed when the current database is upgraded.

Miscellaneous Warnings
This section provides warnings about specific situations that might require attention before or after the upgrade.

SYSAUX Tablespace
This section displays the minimum required size for the SYSAUX tablespace which is required in the new Oracle Database 11g release 2 (11.2). The SYSAUX tablespace must be created if it does not exist (in Oracle 9i ) after the new release is started and before the upgrade scripts are invoked.

Note : If SYSAUX was created in 9i then it must be dropped and re-created after starting in the new release. If created in 10g or later then it can be left there and used.

Preparing Database for Upgrade

Step3
Check for the integrity of the source database.

Check for the integrity of the source database prior to starting the upgrade by downloading and running the  dbupgdiag.sql script from the My Oracle Support article below:

Note 556610.1  Script to Collect DB Upgrade/Migrate Diagnostic Information (dbupgdiag.sql)

If the dbupgdiag.sql script reports any invalid objects, run $ORACLE_HOME/rdbms/admin/utlrp.sql (multiple times) to validate the invalid objects in the database until there is no change in the number of invalid objects.

$ cd $ORACLE_HOME/rdbms/admin
$ sqlplus "/ as sysdba"
SQL> @utlrp.sql

After validating the invalid objects, re-run dbupgdiag.sql in the database once again and make sure that everything is fine.

Step 4
Deprecated CONNECT Role

After upgrading to Oracle Database 11g Release 2 (11.2) from Oracle Database9i Release 2 (9.2) or Oracle Database 10g Release 1 (10.1), the CONNECT role has only the CREATE SESSION privilege; the other privileges granted to the CONNECT role in earlier releases are revoked during the upgrade. To identify which users and roles in your database are granted the CONNECT role, use the following query:

SELECT grantee FROM dba_role_privs
WHERE granted_role = 'CONNECT' and
grantee NOT IN (
'SYS', 'OUTLN', 'SYSTEM', 'CTXSYS', 'DBSNMP',
'LOGSTDBY_ADMINISTRATOR', 'ORDSYS',
'ORDPLUGINS', 'OEM_MONITOR', 'WKSYS', 'WKPROXY',
'WK_TEST', 'WKUSER', 'MDSYS', 'LBACSYS', 'DMSYS',
'WMSYS', 'EXFSYS', 'SYSMAN', 'MDDATA',
'SI_INFORMTN_SCHEMA', 'XDB', 'ODM');

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

In Oracle 9.2.x and 10.1.x CONNECT role includes the following privileges:

SELECT GRANTEE,PRIVILEGE
FROM DBA_SYS_PRIVS
WHERE GRANTEE ='CONNECT'

GRANTEE PRIVILEGE
------- ----------------------
CONNECT CREATE VIEW
CONNECT CREATE TABLE
CONNECT ALTER SESSION
CONNECT CREATE CLUSTER
CONNECT CREATE SESSION
CONNECT CREATE SYNONYM
CONNECT CREATE SEQUENCE
CONNECT CREATE DATABASE LINK

From Oracle 10.2, 'CONNECT' role only includes 'CREATE SESSION' privilege.

Step 5
Create script for DBLINK (in case the database has to be downgraded again).

During the upgrade to Oracle Database 11g Release 2 (11.2) from Oracle Database 9i Release 2 (9.2) or Oracle Database 10g Release 1 (10.1), any passwords in database links are encrypted. To downgrade to the original release, all of the database links with encrypted passwords must be dropped prior to the downgrade. Consequently, the database links do not exist in the downgraded database. If you anticipate a requirement to be able to downgrade to your original release, then save the information about affected database links from the SYS.LINK$ table, so that you can re-create the database links after the downgrade.

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#;

Step 6
Check for TIMESTAMP WITH TIMEZONE Datatype

The RDBMS DST patching has been greatly improved in 11gR2.
Unlike upgrading for older versions (upgrading 10.2.0.4 to 11.1.0.7 for example) there is no need anymore to apply "dst patches" on the old version *before* the upgrade.

If you upgrade from an older RDBMS version to 11gR2 the DST version in 11gR2 after the upgrade will be simply the same as the DST version that was used in the older RDBMS version.

There are however a few situations where some extra steps are needed, so please do check below notes before upgrading to 11gR2., depending on to what 11gR2 version you upgrade to

Note 815679.1 :  Actions For DST Updates When Upgrading To 11.2.0.1 Base Release
Note 1201253.1 : Actions For DST Updates When Upgrading To Or Applying The 11.2.0.2 Patchset
Note 1358166.1 : Actions For DST Updates When Upgrading To Or Applying The 11.2.0.3 Patchset

Simply follow above note ( depending on to what 11gR2 version you upgrade to ) in most cases there will be no action to take before the upgrade, but better be safe than sorry.

If the note say's to apply a RDBMS DST patch to the 11gR2 then do so.
Make sure that
SQL> select TZ_VERSION from registry$database;
returns the RDBMS DST version of you old version.( = the value found in step 1 of the above notes)

If this select gives an error or a different value then re-run the utlu112i.sql (Pre-Upgrade Information Tool) script and check again.

Step 7
Check that the National Characterset (NLS_NCHAR_CHARACTERSET) is UTF8 or AL16UTF16.

select value from NLS_DATABASE_PARAMETERS where parameter = 'NLS_NCHAR_CHARACTERSET';

If this is UTF8 or AL16UTF16 then no action is needed.
If is not UTF8 or AL16UTF16 then refer to the following article:
Note 276914.1 The National Character Set in Oracle 9i and 10g.

Step 8
Optimizer Statistics
When upgrading to Oracle Database 11g Release 2 (11.2), 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 determine the schemas which lack statistics, either review the output of the utlu112i.sql script or download and run the script from the below article:
Note 560336.1 Script to Check Schemas with Stale Statistics

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 1 (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:
$ sqlplus "/as sysdba"
SQL> EXEC DBMS_STATS.GATHER_DICTIONARY_STATS;

If you are using Oracle Database 9i Release 2 (9.2), 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 D.

Appendix D has a sample script, which creates the table dictstattab and exports the statistics for the RDBMS component schema into it. The statistics collection might give errors if a particular component schema does not exist in the database or if a component is not installed or is invalid.

Backup the existing statistics to revert/import back the statistics, once the upgrade is successful.

For example, the following PL/SQL subprograms import the statistics for the SYS schema after deleting the existing statistics:

SQL> EXEC DBMS_STATS.DELETE_SCHEMA_STATS('SYS');
SQL> EXEC DBMS_STATS.IMPORT_SCHEMA_STATS('SYS','dictstattab');

Step 9
Disable Oracle Database Vault

When upgrading from Oracle Database release 10.2, if you have enabled the Oracle Database Vault option in your current Oracle Home, then you must disable Oracle Database Vault in the target Oracle Home where the new release 11.2 software is installed before upgrading the database, and enable it again when the upgrade is finished. If Database Vault is enabled, then DBUA will return an error asking you to disable Database Vault prior to upgrade.

You must do this before upgrading the database. Enable Oracle Database Vault again once the upgrade is complete.

Please refer to the following Documentation/Articles for complete information to Disable/Enable Oracle Database Vault.

Disabling and Enabling Oracle Database Vault
OR
You can also refer to the following  documents for Disabling Oracle Database Vault before the upgrade and enabling it after the upgrade.
Note 453903.1  - Enabling and Disabling Oracle Database Vault in UNIX
Note 453902.1  - Enabling and Disabling Oracle Database Vault in WINDOWS

Step 10
Backing up Enterprise Manager Database Control Data

After upgrading to Oracle Database 11g release 2 (11.2), if you want to downgrade Oracle Enterprise Manager Database Control you must save your Database Control files and data before upgrading your database. The emdwgrd utility can be used to keep a copy of your database control files and data before upgrading your database. The emdwgrd utility resides in the ORACLE_HOME/bin directory in the Oracle Database 11g release 2 (11.2) home.

1. Set ORACLE_HOME to your old Oracle Home
2. Set ORACLE_SID to the SID of the database being upgraded.
3. Set PATH, LD_LIBRARY_PATH and SHLIB_PATH to point to the Oracle home from which the database is being upgraded.
4. Change directory to Oracle Database 11g release 2 (11.2) home.
5. Run the emdwgrd command.
   a. Run the following command for single instance database:
   $ emdwgrd -save -sid old_SID -path save_directory
where old_SID is the SID of the database being upgraded and save_directory is the path to the storage place you have chosen for your Database Control files and data.
@Note 870877.1  How To Save Oracle Enterprise Manager Database Control Data Before Upgrading The Single Instance Database To Other Release ?
   b. For RAC database, remote copy is required across the cluster nodes. Define an environment variable to indicate which remote copy is configured. For example: setenv EM_REMCP /usr/bin/scp
  $ emdwgrd -save -cluster -sid old_SID -path save_directory
Note: If 10g Oracle Home is on a shared device, add -shared to the previous command line.
The above command(s) may core dump on the HP-UX Itanium platform, which is a known issue. For more information, refer to following article:
Note 562980.1 - emdwgrd core dumps : emdwgrd[228]: 10366 Memory fault(coredump)
6. Enter the SYS password for the database to be upgraded.
Note: On RAC databases you will be prompted to run '/tmp/racdwgrd_dbctl.sh' on each of the nodes.

Step 11
Configuring Network ACL's

Oracle Database 11g Release 2 (11.2) includes fine-grained access control to the UTL_TCP, UTL_SMTP, UTL_MAIL, UTL_HTTP, or UTL_INADDR packages using Oracle XMLDB. If you have applications that use one of these packages, you must install OracleXML DB if it is not already installed. You must also configure network access control lists (ACLs) in the database before these packages can work as they did in prior releases. Actions are discussed in Post Upgrade tasks (Step 36), as the DBMS_NETWORK_ACL_ADMIN package is introduced after upgrading the database and not available in prior releases.

Step 12
This optional check is introduced to spot any logical corruption in underlying objects and their dependencies.
This proactive check is introduced to avoid any failure in database upgrade at a later stage due to such corruption. If there is corruption the upgrade will most likely fail.

To check for corruption in the dictionary, use the following commands in SQL*Plus (connected as sys):

Set verify off
Set space 0
Set line 120
Set heading off
Set feedback off
Set pages 1000
Spool analyze.sql

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';

spool off

This creates a script called analyze.sql.
Now execute the following steps:

$ sqlplus "/ as sysdba"
SQL> @$ORACLE_HOME/rdbms/admin/utlvalid.sql
SQL> @analyze.sql

This script (analyze.sql) should not return any errors.

Note:
1. ORA-30657 might occur if there is any external table validated, which can be safely ignored as per Note 209355.1 ORA-30657: Using ANALYZE TABLE for an External Table
2. Errors shown below when executing analyze.sql can be ignored:
SP2-0734: unknown command beginning "SQL> SELEC..." - rest of line ignored.
SP2-0042: unknown command "SQL>" - rest of line ignored.
SP2-0734: unknown command beginning "SQL> spool..." - rest of line ignored.

Step 13
Ensure that all snapshot refreshes are successfully completed, and that replication is stopped.
SELECT DISTINCT(TRUNC(last_refresh))
FROM dba_snapshot_refresh_times;

Step 14
Ensure that no files need media recovery.
SELECT * FROM v$recover_file;
This should return no rows.

Step 15
Ensure that no files are  in backup mode.
SELECT * FROM v$backup WHERE status != 'NOT ACTIVE';
This should return no rows.

Step 16
Resolve outstanding distributed transactions prior to the upgrade.
SQL> select * from dba_2pc_pending;

If this returns rows you should do the following:
SQL> SELECT local_tran_id
     FROM dba_2pc_pending;
SQL> EXECUTE dbms_transaction.purge_lost_db_entry('');
SQL> COMMIT;

Step 17
To check if a standby database exists, issue the following query:

SELECT SUBSTR(value,INSTR(value,'=',INSTR(UPPER(value),'SERVICE'))+1)
FROM v$parameter
WHERE name LIKE 'log_archive_dest%' AND UPPER(value) LIKE 'SERVICE%';

If this query returns a row, then sync the standby database with the primary database.
1. Make sure all the logs are transported to the standby server after a final log switch
in the primary.
2. Start the recovery of the standby database with the NODELAY option.

Step 18
Disable all batch and cron jobs.

Step 19
Ensure the users SYS and SYSTEM have 'SYSTEM' as their default tablespace.
You must have sufficient space in the tablespace or be set to extents unlimited.

SQL> SELECT username, default_tablespace
     FROM dba_users
     WHERE username in ('SYS','SYSTEM');

If DEFAULT_TABLESPACE is anything other than SYSTEM tablespace, modify the default tablespace to SYSTEM by using the below command.

SQL> ALTER user SYS default tablespace SYSTEM;
SQL> ALTER user SYSTEM default tablespace SYSTEM;

Step 20
Ensure that if the aud$ table exists that it is in the SYS schema and in the SYSTEM tablespace.

SQL> SELECT owner,tablespace_name
     FROM dba_tables
     WHERE table_name='AUD$';

If the AUD$ table is not in SYSTEM tablespace and not owned by the SYS user then before doing the upgrade put it back to the SYSTEM tablespace and it should be owned by SYS .

Note: If the AUD$ table exists and is in use, upgrade performance can be effected depending on the number of records in the table.

For 10.2 and later source versions there is now a pre-process script available.

Please review and refer the following note  for complete information :
NOTE:1329590.1 How to Pre-Process SYS.AUD$ Records Pre-Upgrade From 10.1 or later to 11gR1 or later. (Doc ID )

Step 21
Check whether database has any externally authenticated SSL users.

SQL> SELECT name FROM sys.user$
     WHERE ext_username IS NOT NULL
     AND password = 'GLOBAL';
If any SSL users are found then Step 34 has to be followed after the upgrade.

Step 22
Note down the location of datafiles, redo logs and control files. Also take a backup of all configuration files like listener.ora, tnsnames.ora, etc. from $ORACLE_HOME.

SQL> SELECT name FROM v$controlfile;
SQL> SELECT file_name FROM dba_data_files;
SQL> SELECT group#, member FROM v$logfile;.

Step 23
a) Stop the listener for the database.
$ lsnrctl stop
Previous versions of the listener are not supported for use with an Oracle Database 11g Release 2 (11.2) database. However, it is possible to use the new version of the listener with previous versions of Oracle Databases.
If you are upgrading from 9i or upgrading manually without using DBUA, run Oracle Net Configuration Assistant before upgrading the Oracle RAC database.

This is a two-step option.
 You must first run Oracle Net Configuration Assistant from the old Oracle Home to remove the old listener.
- Invoke the Netca
- Choose the configuration you want to do  ==> Choose Listener Configuration
- Select what you want to do ==> Delete
- Select the listener you want to delete .

 Then you must run Oracle Net Configuration Assistant again from the new Oracle Database 11g Release 2 (11.2) Home to create a new listener.

- Invoke the Netca
- Choose the configuration you want to do ==> Choose Listener Configuration
- Select what you want to do ==> Add
- Provide the detail that is required to configure the listener.

You must remove the old listener before creating a new one. If you attempt to create a new listener from the new Oracle Home first, and use the same name and port as the old listener, then Oracle Net Configuration Assistant returns an error.

Note: This is your only option if you want to upgrade your Oracle RAC database manually.

b) Stop other executable such as dbconsole, isqlplus, etc.

$ emctl stop dbconsole
$ isqlplusctl stop

Step 24
Shutdown the database.

$ sqlplus "/as sysdba"
SQL> shutdown immediate;

Back up the Database
1. Perform Cold Backup
(or)
2. Take a backup using RMAN

Connect to RMAN:
rman "target / nocatalog"

RUN
{
ALLOCATE CHANNEL chan_name TYPE DISK;
BACKUP DATABASE FORMAT '<db_backup_directory>%U' TAG before_upgrade;
BACKUP CURRENT CONTROLFILE TO '<controlfile_backup_directory>';
}

--> backup_directory >> Location of the Database backup.
--> controlfile_backup_directory >> Location of the Controlfile backup.

Step 25
Make a backup of the init<SID>.ora file.
Comment out obsoleted parameters (Appendix A) and change all deprecated parameters (Appendix B).

* The DIAGNOSTIC_DEST initialization parameter replaces the USER_DUMP_DEST, BACKGROUND_DUMP_DEST.

According to Bug 8937877, CORE_DUMP_DEST is not deprecated.

Refer to the below article for understanding directory structure in 11g and DIAGNOSTIC_DEST.

Note 454442.1 11g Install : Understanding about Oracle Base, Oracle Home and Oracle Inventory locations

* If you are upgrading from 9.2.0.x, the COMPATIBLE initialization parameter must be set to at least 10.0.0, which is the lowest possible setting for Oracle Database11g Release 2 (11.2) prior to the upgrade. This value must remain throughout the upgrade and can be changed to the higher value after the upgrade has been completed successfully. (Please note, once you set the COMPATIBLE to 10.1 there is no way to downgrade to 9iR2 because of symptoms described in Note 388604.1 : ORA-00201 while downgrading from 10gR2 to 10gR1 or 9iR2 ).

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

If you are upgrading from 10.1.0.x or 10.2.0.x then you can leave the COMPATIBLE parameter set to it's current value until the upgrade has been completed successfully. This will avoid any unnecessary ORA-942 errors from being reported in SMON trace files during the upgrade (because the upgrade is looking for 10.2 objects that have not yet been created).

* Adjust the values of the initialization parameters to at least the minimum value indicated by the Pre-Upgrade Information Tool. Make sure all path names in the parameter file are fully specified. You should not have relative path names in the parameter file.

* If you are using a cluster database, set the parameter CLUSTER_DATABASE=FALSE during the upgrade and set it back to true after the upgrade. If you are upgrading a cluster database, then modify the init<SID>.ora file in the same way that you modified the parameter file.

Note: Once the parameter file is modified as per your requirement, copy the file to $ORACLE_HOME/dbs (database directory on Windows) of 11gR2 Oracle Home.

Step 26
Check for adequate freespace on archive log destination file systems. Note that if your database is in archivelog mode, then it is always desirable and advisable to upgrade the database in noarchivelog mode as that will reduce the time taken to upgrade the database. After the upgrade you can again put the database in the archivelog mode.

Step 27
If your operating system is Windows then complete the actions in this step, else skip to the next step.

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:

Set the environment to Source/Previous version (9.2 / 10.1 / 10.2 /11.1)
1. Stop the Oracle database service.
C:\> NET STOP OracleServiceORCL
2. Delete Oracle service using ORADIM binary from which the database is upgraded to 11.2.
C:\> ORADIM -DELETE -SID ORCL
3. Create the Oracle Database 11g Release 2 (112) service at a command prompt using the ORADIM command of the new Oracle Database release:
C:\> ORADIM -NEW -SID SID -INTPWD PASSWORD  -STARTMODE AUTO -PFILE %ORACLE_HOME%\DATABASE\INIT<SID>.ORA

For Instance,
C:\> ORADIM -NEW -SID ORCL -INTPWD <PASSWORD> -STARTMODE AUTO -PFILE %ORACLE_HOME%\DATABASE\INIT<SID>.ORA

Step 28
If your operating system is UNIX then complete this step, else skip to the next step.

1. Make sure the following environment variables point to the Oracle 11g Release 2 (11.2) directories:

- ORACLE_BASE
- ORACLE_HOME
- PATH

$ export ORACLE_HOME=<location of Oracle 11.2>
$ export PATH=$ORACLE_HOME/bin:$PATH
$ export ORACLE_BASE=<Oracle_Base set during installation>

Note : If ORACLE_BASE is not known, after setting PATH to 11gR2 Oracle Home, execute 'orabase', which will point the location of the base.

$ orabase
/uo1/app/oracle

2. Update the oratab entry to set the new ORACLE_HOME pointing to ORCL and disable automatic startup.

Sample /etc/oratab

#orcl:/opt/oracle/product/10.2/db_1:N
orcl:/opt/oracle/product/11.2/db_1:N

Note: After /etc/oratab is updated to have SID and Oracle Home (11.2), you can execute oraenv (/usr/local/bin/oraenv) and set the environment. The input has to be the SID which is entered in /etc/oratab against the 11gR2 home.

For example:

[oracle@localhost ~]$ . oraenv
ORACLE_SID = [orcl] ? orcl
The Oracle base for ORACLE_HOME=/opt/oracle/product/11.2/db_1 is /u01/app/oracle
[oracle@localhost ~]$

Upgrading Database to 11gR2

Step 29
At the operating system prompt, change to the $ORACLE_HOME/rdbms/admin directory of 11gR2 Oracle Home.

$ cd $ORACLE_HOME/rdbms/admin
$ sqlplus "/ as sysdba"
SQL> startup UPGRADE

Note: If you are upgrading from 9.2 and the SYSAUX table already exists then drop the existing SYSAUX tablespace.
Create the SYSAUX tablespace only if you are upgrading from Oracle Database9i Release 2 (9.2) with the following mandatory attributes:

ONLINE
PERMANENT
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. Refer to the output generated by the utlu112i.sql script in Step 1. The following SQL statement would create a 500 MB SYSAUX tablespace for the database:

SQL> CREATE TABLESPACE SYSAUX
     DATAFILE '<location>/sysaux01.dbf'
     SIZE 500M REUSE
     EXTENT MANAGEMENT LOCAL
     SEGMENT SPACE MANAGEMENT AUTO
     ONLINE;

Set the system to spool results to a log file for later verification after the upgrade is completed and start the upgrade script.

SQL> set echo on
SQL> SPOOL upgrade.log
SQL> @catupgrd.sql
SQL> spool off

These measures are an important final step to ensure the integrity and consistency of the newly upgraded Oracle Database software. Also, if you encountered a message listing obsolete initialization parameters when you started the database for upgrade, 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.

Run the Post-Upgrade Status Tool $ORACLE_HOME/rdbms/admin/utlu112s.sql which provides a summary of the upgrade at the end of the spool log. It displays the status of the database components in the upgraded database and the time required to complete each component upgrade. Any errors that occur during the upgrade are listed with each component and must be addressed.

$ sqlplus "/as sysdba"
SQL> STARTUP
SQL> @utlu112s.sql

Run catuppst.sql, located in the $ORACLE_HOME/rdbms/admin directory, to perform upgrade actions that do not require the database to be in UPGRADE mode.

SQL> @catuppst.sql

This script can be run concurrently with utlrp.sql. Run utlrp.sql to recompile any remaining stored PL/SQL and Java code in another session.

SQL> @utlrp.sql

Check for the integrity of the upgraded database by running dbupgdiag.sql script from the below article:

Note 556610.1  Script to Collect DB Upgrade/Migrate Diagnostic Information (dbupgdiag.sql)

If the dbupgdiag.sql script reports any invalid objects, run $ORACLE_HOME/rdbms/admin/utlrp.sql (multiple times) to validate the invalid objects in the database, until there is no change in the number of invalid objects.

After validating the invalid objects, re-run dbupgdiag.sql in the upgraded database once again and make sure that everything is fine.

Post Upgrade Steps

Step 30
Modify the listener.ora file.

For the upgraded instance(s) modify the ORACLE_HOME parameter to point to the new ORACLE_HOME. Start the listener.

lsnrctl start

Step 31
Environment Variables

1. Make sure the following environment variables point to the Oracle 11g Release 2 (11.2) directories:

- ORACLE_BASE
- ORACLE_HOME
- PATH

Also check that your oratab file and any client scripts that set the value of ORACLE_HOME point to the Oracle Database 11g Release 2 (11.2) Home.

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

2. Modify /etc/oratab entry to use automatic startup.

SID:ORACLE_HOME:Y

For Instance,
orcl:/opt/oracle/product/11.2/db_1:Y

Step 32
After the upgrade

note : this simply repeats the same actions as given in the "DST" notes referenced in step 6 of this note.

Check the current version of the Oracle time zone definitions in the upgraded database:


SQL> conn / as sysdba
Connected.
SQL>SELECT version FROM v$timezone_file;

VERSION
----------
4

This should be the same as the value found before the upgrade.

if this is HIGHER than 11 (for 11.2.0.1 ) or 14 (for 11.2.0.2 and 11.2.0.3) then goto step 33
if this is 11 (for 11.2.0.1 ) or 14 (for 11.2.0.2 and 11.2.0.3) then goto step 33
if this is LOWER than 11 (for 11.2.0.1 ) or 14 (for 11.2.0.2 and 11.2.0.3) then it is *recommended* to
*For 11.2.0.1 update to DSTv11 (standard DST version of 11.2.0.1) by following
Note 977512.1 :  Updating the RDBMS DST version in 11gR2 (11.2.0.1 and up) using DBMS_DST
from step 3a) using "11" as (<the new DST version number>) in that note.
When going to DSTv11 there is no need to apply any DST patch to the 11.2.0.1 home.
*For 11.2.0.2 and 11.2.0.3 update to DSTv14 (standard DST version of 11.2.0.2 and 11.2.0.3) by following
Note 977512.1 :  Updating the RDBMS DST version in 11gR2 (11.2.0.1 and up) using DBMS_DST
from step 3a) using "14" as (<the new DST version number>) in that note.
When going to DSTv14 there is no need to apply any DST patch to the 11.2.0.2 or 11.2.0.3 home.

note that :
* it is supported to use a lower DST version in 11gR2, but there is no technical reason to use a lower DST version, hence we *strongly* recommend to update to the highest DST version included in the 11gR2 version you upgraded
* Optionally you can update to the lastest dst version available.
The latest available DST patch is found in
Note 412160.1 :  Updated DST transitions and new Time Zones in Oracle Time Zone File patches

Step 33
Upgrade Statistics Tables Created by the DBMS_STATS Package.

If you created statistics tables using the DBMS_STATS.CREATE_STAT_TABLE procedure, then upgrade these tables by executing the following procedure:

EXECUTE DBMS_STATS.UPGRADE_STAT_TABLE('SYS','dictstattab');

In the example, 'SYS' is the owner of the statistics table and 'dictstattab' is the name of the statistics table. Execute this procedure for each statistics table.

Step 34
Upgrade Externally Authenticated SSL Users.

If you have upgraded from Oracle 9.2.0.x or 10.1.0.x, and you are using externally authenticated SSL users, then you must run the following command to upgrade those users:

ORACLE_HOME/rdbms/bin/extusrupgrade --dbconnectstring
<hostname:port_no:sid> --dbuser <db admin> --dbuserpassword
<password> -a

If you are upgrading from 10.2.0.x (or higher), then you are not required to run this command.

Step 35
Enable Database Vault
Refer to the following documents for enabling Oracle Database Vault:
Note 453903.1 - Enabling and Disabling Oracle Database Vault in UNIX
Note 453902.1 - Enabling and Disabling Oracle Database Vault in WINDOWS

Step 36
Configure Fine-Grained Access to External Network Services.

To avoid "ORA-24247: network access denied by access control list (ACL)" when executing UTL packages (Network related packages), access has to be granted to user using these packages.

The following example first looks for any ACL currently assigned to host_name. If one is found, then the example grants user_name the CONNECT privilege in the ACL only if that user does not already have it. If no ACL exists for host_name, then the example creates a new ACL called ACL_name, grants the CONNECT privilege to user_name, and assigns the ACL to host_name.

DECLARE
acl_path VARCHAR2(4000);
BEGIN
SELECT acl INTO acl_path FROM dba_network_acls
WHERE host = 'host_name' AND lower_port IS NULL AND upper_port IS NULL;
IF DBMS_NETWORK_ACL_ADMIN.CHECK_PRIVILEGE(acl_path,'principal','privilege') IS NULL THEN
DBMS_NETWORK_ACL_ADMIN.ADD_PRIVILEGE(acl_path,'principal', is_grant, 'privilege');
END IF;
EXCEPTION
WHEN no_data_found THEN
DBMS_NETWORK_ACL_ADMIN.CREATE_ACL('ACL_name.xml','ACL description', 'principal', is_grant, 'privilege');
DBMS_NETWORK_ACL_ADMIN.ASSIGN_ACL('ACL_name.xml','host_name');
END;

COMMIT;


acl_name.xml => Enter a name for the access control list XML file.
ACL description => 'file description',
principal => 'user_or_role',
is_grant => TRUE|FALSE,
privilege => 'connect|resolve',
host_name => host name

Refer to the below note on how to use DBMS_NETWORK_ACL_ADMIN package and also to avoid ORA-24247 : network access denied by access control list (ACL).

Note 453786.1 ORA-24247 When Executing UTL_HTTP UTL_INADDR Packages

Step 37
Edit init.ora
    If you changed the CLUSTER_DATABASE parameter prior the upgrade set it back to TRUE
    Migrate your initialization parameter file to a server parameter file.
Create a server parameter file with an initialization parameter file.
SQL> create spfile from pfile;
This will create an spfile as a copy of the init.ora file located in $ORACLE_HOME/dbs (UNIX) & %ORACLE_HOME%\database (Windows).

Step 38
Change passwords for Oracle-Supplied Accounts.

Depending on the release from which you upgraded, there might be new Oracle-supplied accounts. Oracle recommends that you lock all Oracle supplied accounts except for SYS and SYSTEM, and expire their passwords, thus requiring new passwords to be specified when the accounts are unlocked.

You can view the status of all accounts by issuing the following SQL statement:
SQL> SELECT username, account_status FROM dba_users ORDER BY username;

To lock and expire passwords, issue the following SQL statement:
SQL> ALTER USER username PASSWORD EXPIRE ACCOUNT LOCK;

Step 39
Upgrading Oracle Text
This is only needed if Oracle Text is in use.

NOTE : These steps are NOT required if you are upgrading the database within a same release  ( patchset upgrade ) Example : 11.2.0.1 to 11.2.0.2.

Copy the following files from the previous Oracle Home to the new Oracle Home:

* Stemming user-dictionary files
* User-modified KOREAN_MORPH_LEXER dictionary files
* USER_FILTER executables

To obtain a list of the above files, use:

$ORACLE_HOME/ctx/admin/ctxf<version>.txt
$ORACLE_HOME/ctx/admin/ctxf<version>.sql

where version is 920, 101, 102

For instance, if upgrading from 10.2.0:

1. For User Extended Knowledge Base files check
$ORACLE_HOME/ctx/admin/ctxf102.txt
2. Execute the script as database user SYS,SYSTEM, or CTXSYS
$ORACLE_HOME/ctx/admin/ctxf102.sql


If your Oracle Text index uses KOREAN_LEXER which was deprecated in Oracle 9i and desupported in Oracle 10g Release 2, see below note for further information on manual migration from KOREAN_LEXER to KOREAN_MORPH_LEXER:

Note 300172.1  Obsolescence of KOREAN_LEXER Lexer Type

If you are upgrading to the 11.2.0.3 then please refer the following article for Support Note for Lexer Feature Updates

Note 1354793.1 Oracle Text 11.2.0.3 Support Note for Lexer Feature Updates

Please refer to the following article for more information on step 39.

<< Note 1319592.1>> Upgrading Oracle Text Post 10.2.0.4 To 11.2.0.2 Upgrade

Step 40
Upgrade the Oracle Clusterware Configuration

If you are upgrading a cluster database from releases 10.2, 11.1, or 11.2.0.1, then upgrade the database configuration in Oracle Clusterware using the following command:

$ srvctl upgrade database -d db-unique-name -o oraclehome

where db-unique-name is the database name assigned to it (not the instance name), and oraclehome is the Oracle home location in which the database is being upgraded.

Step 41
Configure Enterprise Manager

If your database is being managed by Oracle Enterprise Manager Database Control or Oracle Enterprise Manager Grid Control, then use the following command to update the configuration:

emca -upgrade (db | asm | db_asm) [-cluster] [-silent] [parameters]

You need to run this from the new Oracle Database 11gR2 Oracle Home. When prompted, provide the Oracle Home from which the configuration is being upgraded.

Appendix A: Initialization parameters deprecated in Oracle Database 11g release 2 (11.2)

PARALLEL_IO_CAP_ENABLED
To get a list of all deprecated initialization parameters, issue the following SQL statement:

SQL> SELECT name FROM v$parameter WHERE isdeprecated = 'TRUE';

A warning message is displayed at instance startup if a deprecated parameter is specified in the parameter file. In addition, all deprecated parameters are logged to the alert log at instance startup.

Appendix B: Initialization Parameters Obsolete in Oracle Database 11g Release 2 (11.2)

DRS_START
SQL_VERSION

Known Issues

Community Discussions
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Revision History
03-Sep-2009    Article Created

27-Oct-2009  Changed Indirect upgrade table value  from 9.2.0.3(or lower) to 9.2.0.7(or lower)

27-Oct-2009  Check the certification of the 11g R2 with you platform before installing the software

29-OCt-2009  Note in step 32
References
NOTE:276914.1 - The National Character Set ( NLS_NCHAR_CHARACTERSET ) in Oracle 9i, 10g and 11g
NOTE:300172.1 - Obsolescence of KOREAN_LEXER Lexer Type
NOTE:359145.1 - Impact of 2007 USA daylight saving changes on the Oracle database
NOTE:412160.1 - Updated DST transitions and new Time Zones in Oracle Time Zone File patches
NOTE:414590.1 - Time Zone IDs for 7 Time Zones Changed in Time Zone Files Version 3 and Higher, Possible ORA-1882 After Upgrade
NOTE:453786.1 - ORA-24247 When Executing UTL_HTTP UTL_INADDR Packages
NOTE:453902.1 - How To Enable And/Or Disable Oracle Database Vault
NOTE:453903.1 - Enabling and Disabling Oracle Database Vault in UNIX
NOTE:454442.1 - 11g Install : Understanding about Oracle Base, Oracle Home and Oracle Central/Global Inventory locations
NOTE:556610.1 - Script to Collect DB Upgrade/Migrate Diagnostic Information (dbupgdiag.sql)
NOTE:560336.1 - Script to Check Schemas with Stale Statistics
NOTE:560980.1 - Unable to Display Ultra Search Administration Page on 11gR1
NOTE:870877.1 - How To Save Oracle Enterprise Manager Database Control Data Before Upgrading The Single Instance Database To Other Release ?
NOTE:884522.1 - How to Download and Run Oracle's Database Pre-Upgrade Utility
NOTE:944122.1 - How To Upgrade The Timezone File Older Than Version 11 Using DBMS_DST Package
NOTE:1358166.1 - Actions For DST Updates When Upgrading To Or Applying The 11.2.0.3 Patchset

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Keywords
11G; CHECKLIST; DBUA; INSTALL; TARGET DATABASE; UPGRADE DATABASE