oracle 12 upgrade companion

8/10/2019 Oracle 12 Upgrade Companion

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racle Database 12cR1 Upgrade Companion (Version 3.00)7/2013

lcome to Oracle Database 12cR1 Upgrade Companion. This Upgrade Companion helps you to upgrade from eitheracle9i Release 2 (9.2) or Oracle Database 10g or Oracle Database 11g to Oracle Database 12c Release 1, andludes pre-upgrade, upgrade, and post-upgrade guidance. Oracle continually updates this document as new

ormation becomes available. Check this document prior to performing any upgrade.OTE: The Oracle Database 12cR1 Upgrade Companion is an instructional document that serves as a companion to

Oracle Database documentation set. This document:

Does not supply automation tools Does not replace Oracle Database Upgrade Guide Describes upgrade requirements for Oracle Databases only. Review your product documentation to plan for

upgrade requirements for Oracle applications or other vendor applications running on Oracle Database.

r advice or onsite assistance during a database upgrade, see the 'Accelerate Technology Adoption' web page or th

acle Consulting Upgrade Services' web page. Oracle Advanced Customer Services helps you make better ITcisions by providing you with the option to develop a personalized technology strategy and long-term operational plana successful transition to new Oracle capabilities. Oracle Consulting Services is a low-risk, cost-effective choice to

mplete Oracle upgrades successfully. Oracle Consulting Services can be provided in partnership with your in-houseff, in close coordination with your chosen service provider, or as a remote service.

r application upgrades, see your application documentation and My Oracle Support.

odificationsrsion 3.00 September 17, 2013

Version 3.00 is a beta release of the Oracle Database 12cR1 Upgrade Companion.

ontents

st Practices > IntroductionIntroductionUsagest Practices > Upgrade Planning

Documentation Roadmap and PlanningTechnical PlanningQuality AssuranceKnown Issuesst Practices > Prepare and PreservePreparePreservest Practices > UpgradePre-Upgrade ChecklistFollow the Oracle Database Upgrade Guide

racle Database 12cR1 Upgrade Companion (Version 3.00) 09/17/2013 Page 1 of 92
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st Practices > Post UpgradeOverviewPost Upgrade TasksDatabase StabilityDatabase PerformanceWhen All Else Fails...Going Back to the Earlier ReleaseObtaining Supporthavior Changes

ArchitectureOptimizer Initialization ParametersPerformance and MonitoringAdministrationStreamsSecurityOracle RAC and Oracle ASMches RecommendedOperating System PatchesCurrent Database Patch Sets SchedulecumentationDocumentationRelated DocumentationDatabase Features Documentation

edback

help us improve this guide or to notify us of any issues that you have encountered with the guide,nd your comments and suggestions to [email protected], Technical Advisor, Center of Expertise (CoE).

look forward to your feedback.



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Best Practices > Introduction

Introduction

The best practices presented in this section are derived from the knowledge of Oracletechnical staff and offer an accumulation of real-world knowledge and experience

obtained while working with our customers.

Usage

The Best Practices tab is organized by the following major steps in the UpgradeMethodology:

Upgrade Planning : Important information related to planning the databaseconfiguration, and testing

Prepare and Preserve : Information related to preserving and preparingthe source environment for the Oracle Database 11g upgrade

Upgrade : Final reminders and information required for the actual upgrade Post Upgrade : Testing and analysis which should be performed after

upgrading your test and production databases to Oracle Database 12c

NOTE: Ensure that you validate and adjust the upgrade steps repeatedly in your testenvironment. Your final upgrade plan and execution steps should run smoothly duringtesting before you perform the upgrade in your production environment.

The following sample workflow illustrates a test-and-validate approach:

1. Upgrade Planning - Evaluate and document the plan for configuring andtesting the upgrade procedure in your test environment.

The documented plan resulting for this step will be relevant for Test,Stage, and Production environments.

2. Prepare and Preserve - Evaluate, document, and perform the steps to prepareyour test environment.

Decisions and steps outlined here will be relevant for both Test andProduction environments.

3. Upgrade - Upgrade your test environment. Document any lessons learned from this step to ensure smooth

execution when upgrading your production database.4. Post-upgrade - Use the tips and techniques documented here to ensure your

test environment is performing up to a standard required for production.5. Verification: Check your upgrade test environment to ensure your procedure is

validated. Consider the following factors: Have you adjusted your plan to include everything you learned from

the test upgrade? During your production upgrade, an accurate plan is important

to avoid problems that were encountered during the testupgrade.

Are you comfortable that you have a repeatable plan to upgradeproduction?



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If not, test the upgrade procedure again. Are you comfortable that the system was tested adequately for

functionality and stability and will adhere to all of your performance andavailability requirements?

Sufficient and proper testing is critical to avoid problems afterupgrading to Oracle Database 12c.

Have you tested your fallback plans and procedures?6. When you are certain that you can upgrade your Stage or Production

environment, complete steps 2 through 4 on that environment.



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Best Practices > Upgrade Planning

ecuting a well-defined plan helps to mitigate risk and provides clear backup and recovery procedures in the event of ablem. The majority of the time spent during an upgrade project should be in the planning, preparation, and testing

ases. The more time you spend planning and testing before starting the upgrade, the more successful the upgrade will

acle Database 12c patches are full installations of the Oracle Database software. Oracle Database patch set upgradesalways out-of-place upgrades. In an out-of-place patch set upgrade, you install the patch set into a new, separate

acle home location. With out-of-place patch set upgrades, you install patches into a new, separate Oracle homeation. See My Oracle Support Document 1189783.1: Important Changes to Oracle Database Patch Sets Starting With2.0.2 for more details.

Documentation Roadmap and Planning

The information provided below is intended to supplement the Oracle DatabaseUpgrade Guide . This section provides a roadmap to Oracle documentation that youshould review when defining your upgrade plan.

Review the detailed instructions provided in the Oracle Database Upgrade Guide .

Carefully review the Oracle Database Installation Guide for your specific Operating System ; this guide describes how to install and configure OracleDatabase 12c.

Review the new features for Oracle Database 12c Release 1 described inOracle Database New Features Guide

Review the Oracle Database Administrator's Guide . Review the Oracle Database Administrator Reference for Linux and UNIX

Based Operating Systems if you're upgrading in a UNIX/Linux environment. If upgrading RAC/Oracle Clusterware databases, review My Oracle Support

Document 810394.1: RAC Assurance Support Team: RAC and Oracle Clusterware Starter Kit and Best Practices

As you perform each phase, ensure the steps are well defined, carefullydocumented, and note the amount of time required to complete each phase.

Technical Planning

https://support.oracle.com/rs?type=doc&id=1189783.1https://support.oracle.com/rs?type=doc&id=1189783.1http://www.oracle.com/pls/db121/lookup?id=UPGRDhttp://www.oracle.com/pls/db121/lookup?id=UPGRDhttp://www.oracle.com/pls/db121/portal.portal_db?selected=11http://www.oracle.com/pls/db121/portal.portal_db?selected=11http://www.oracle.com/pls/db121/lookup?id=NEWFThttp://www.oracle.com/pls/db121/lookup?id=ADMINhttp://www.oracle.com/pls/db121/lookup?id=UNXARhttp://www.oracle.com/pls/db121/lookup?id=UNXARhttps://support.oracle.com/rs?type=doc&id=810394.1https://support.oracle.com/rs?type=doc&id=810394.1https://support.oracle.com/rs?type=doc&id=810394.1https://support.oracle.com/rs?type=doc&id=810394.1http://www.oracle.com/pls/db121/lookup?id=UNXARhttp://www.oracle.com/pls/db121/lookup?id=UNXARhttp://www.oracle.com/pls/db121/lookup?id=ADMINhttp://www.oracle.com/pls/db121/lookup?id=NEWFThttp://www.oracle.com/pls/db121/portal.portal_db?selected=11http://www.oracle.com/pls/db121/portal.portal_db?selected=11http://www.oracle.com/pls/db121/lookup?id=UPGRDhttp://www.oracle.com/pls/db121/lookup?id=UPGRDhttps://support.oracle.com/rs?type=doc&id=1189783.1https://support.oracle.com/rs?type=doc&id=1189783.1


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NOTE: For best results, only make database changes that are related to thedatabase upgrade.

Determine the Upgrade Path Choose an Upgrade Method - Oracle Database 12c supports the following

methods: Database Upgrade Assistant

Graphic User Interface (GUI) Oracle's preferred method of upgrading Advantages

Guides you through the process Automates all tasks Performs both Release and Patch set upgrades Supports Single Instance databases and Oracle RAC Informs user and fixes upgrade prerequisites Automatically reports errors found in spool logs Provides complete HTML report of the upgrade process Command-line interface allows ISVs to automate

Disadvantage Offers less control over individual upgrade steps

Manual Upgrade Command-line upgrade using Oracle supplied SQL scripts and

utilities (My Oracle Support Document 1503653.1: Complete Checklist for Manual Upgrades to Oracle Database 12c Release 1 (12.1) provides a checklist for manual upgrades.)

Advantage You control every step of the upgrade process

Disadvantages More work Manual checks required of spool logs for errors More error-prone More difficult to automate

Export/Import (see also Chapter 7 of the Oracle Database UpgradeGuide )

Full or Partial Export followed by full or partial import into OracleDatabase 12c

Advantages Defragments the data Restructures the database Enables the copying of specified database objects or

users Serves as a backup archive

Disadvantage Can take a long time Introduces other factors that need to be considered

when trying to understand performance profiledifferences detected after the upgrade (e.g. the changein physical location of data relative to other data,forgetting to recreate an index after import, etc.)

Document the steps to reproduce the environment and make sure to note anychanges in the configuration.

Ensure that all elements of your environment are certified to work together If Oracle Enterprise Manager Cloud Control (EMCC) is installed, use

the certification tool under the My Oracle Support Certification tab to

Notes Document 369644.1:

Answers To FAQ For RestorinOr Duplicating Between Different Versions And Platfo

Document 1503653.1: Complete Checklist for ManuUpgrades to Oracle Database12c Release 1 (12.1)

Document 161818.1: OraclServer (RDBMS) ReleasesSupport Status Summary

Document 169706.1: OraclDatabase on AIX, HP-UX,LinMac OS X, Solaris,Tru64 UniOperating Systems Installatioand Configuration Requirements Quick Referenc(8.0.5 to 11.1)

Document 1565065.1:

ALERT: Oracle 12c Release 2(12.1) Support Status and Ale

Document 1272288.1: 11.2.0.2.X Grid InfrastructureBundle/PSU Known Issues

Document 1152016.1: Master Note For Oracle Database Upgrades and Migrations

Document 1392633.1: Thinto Consider Before Upgrading

to 11.2.0.3 to Avoid Poor Performance or Wrong Result HA Documentation

Oracle Database High Availability Overview Scripts and Tools

Document 847410.5: MyOracle Support Help - Patcheand Updates: Patch and

Upgrade Plans Document 1295603.1: Loc

Database Server CertificationInformation on My Oracle Support

http://www.oracle.com/pls/db121/lookup?id=UPGRD12358http://www.oracle.com/pls/db121/lookup?id=UPGRD12360http://www.oracle.com/pls/db121/lookup?id=UPGRD12363https://support.oracle.com/rs?type=doc&id=1503653.1https://support.oracle.com/rs?type=doc&id=1503653.1https://support.oracle.com/rs?type=doc&id=1503653.1http://www.oracle.com/pls/db121/lookup?id=UPGRD12366http://www.oracle.com/pls/db121/lookup?id=UPGRD008https://support.oracle.com/rs?type=doc&id=369644.1https://support.oracle.com/rs?type=doc&id=369644.1https://support.oracle.com/rs?type=doc&id=369644.1https://support.oracle.com/rs?type=doc&id=369644.1https://support.oracle.com/rs?type=doc&id=1503653.1https://support.oracle.com/rs?type=doc&id=1503653.1https://support.oracle.com/rs?type=doc&id=1503653.1https://support.oracle.com/rs?type=doc&id=1503653.1https://support.oracle.com/rs?type=doc&id=161818.1https://support.oracle.com/rs?type=doc&id=161818.1https://support.oracle.com/rs?type=doc&id=161818.1https://support.oracle.com/rs?type=doc&id=169706.1https://support.oracle.com/rs?type=doc&id=169706.1https://support.oracle.com/rs?type=doc&id=169706.1https://support.oracle.com/rs?type=doc&id=169706.1https://support.oracle.com/rs?type=doc&id=169706.1https://support.oracle.com/rs?type=doc&id=169706.1https://support.oracle.com/rs?type=doc&id=169706.1https://support.oracle.com/rs?type=doc&id=1565065.1https://support.oracle.com/rs?type=doc&id=1565065.1https://support.oracle.com/rs?type=doc&id=1565065.1https://support.oracle.com/rs?type=doc&id=1272288.1https://support.oracle.com/rs?type=doc&id=1272288.1https://support.oracle.com/rs?type=doc&id=1272288.1https://support.oracle.com/rs?type=doc&id=1152016.1https://support.oracle.com/rs?type=doc&id=1152016.1https://support.oracle.com/rs?type=doc&id=1152016.1https://support.oracle.com/rs?type=doc&id=1152016.1https://support.oracle.com/rs?type=doc&id=1392633.1https://support.oracle.com/rs?type=doc&id=1392633.1https://support.oracle.com/rs?type=doc&id=1392633.1https://support.oracle.com/rs?type=doc&id=1392633.1http://www.oracle.com/pls/db121/lookup?id=HAOVWhttp://www.oracle.com/pls/db121/lookup?id=HAOVWhttps://support.oracle.com/rs?type=doc&id=847410.5https://support.oracle.com/rs?type=doc&id=847410.5https://support.oracle.com/rs?type=doc&id=847410.5https://support.oracle.com/rs?type=doc&id=847410.5https://support.oracle.com/rs?type=doc&id=1295603.1https://support.oracle.com/rs?type=doc&id=1295603.1https://support.oracle.com/rs?type=doc&id=1295603.1https://support.oracle.com/rs?type=doc&id=1295603.1https://support.oracle.com/rs?type=doc&id=1295603.1https://support.oracle.com/rs?type=doc&id=1295603.1https://support.oracle.com/rs?type=doc&id=1295603.1https://support.oracle.com/rs?type=doc&id=1295603.1https://support.oracle.com/rs?type=doc&id=847410.5https://support.oracle.com/rs?type=doc&id=847410.5https://support.oracle.com/rs?type=doc&id=847410.5https://support.oracle.com/rs?type=doc&id=847410.5http://www.oracle.com/pls/db121/lookup?id=HAOVWhttp://www.oracle.com/pls/db121/lookup?id=HAOVWhttps://support.oracle.com/rs?type=doc&id=1392633.1https://support.oracle.com/rs?type=doc&id=1392633.1https://support.oracle.com/rs?type=doc&id=1392633.1https://support.oracle.com/rs?type=doc&id=1392633.1https://support.oracle.com/rs?type=doc&id=1152016.1https://support.oracle.com/rs?type=doc&id=1152016.1https://support.oracle.com/rs?type=doc&id=1152016.1https://support.oracle.com/rs?type=doc&id=1152016.1https://support.oracle.com/rs?type=doc&id=1272288.1https://support.oracle.com/rs?type=doc&id=1272288.1https://support.oracle.com/rs?type=doc&id=1272288.1https://support.oracle.com/rs?type=doc&id=1565065.1https://support.oracle.com/rs?type=doc&id=1565065.1https://support.oracle.com/rs?type=doc&id=1565065.1https://support.oracle.com/rs?type=doc&id=169706.1https://support.oracle.com/rs?type=doc&id=169706.1https://support.oracle.com/rs?type=doc&id=169706.1https://support.oracle.com/rs?type=doc&id=169706.1https://support.oracle.com/rs?type=doc&id=169706.1https://support.oracle.com/rs?type=doc&id=169706.1https://support.oracle.com/rs?type=doc&id=169706.1https://support.oracle.com/rs?type=doc&id=161818.1https://support.oracle.com/rs?type=doc&id=161818.1https://support.oracle.com/rs?type=doc&id=161818.1https://support.oracle.com/rs?type=doc&id=1503653.1https://support.oracle.com/rs?type=doc&id=1503653.1https://support.oracle.com/rs?type=doc&id=1503653.1https://support.oracle.com/rs?type=doc&id=1503653.1https://support.oracle.com/rs?type=doc&id=369644.1https://support.oracle.com/rs?type=doc&id=369644.1https://support.oracle.com/rs?type=doc&id=369644.1https://support.oracle.com/rs?type=doc&id=369644.1http://www.oracle.com/pls/db121/lookup?id=UPGRD008http://www.oracle.com/pls/db121/lookup?id=UPGRD12366https://support.oracle.com/rs?type=doc&id=1503653.1https://support.oracle.com/rs?type=doc&id=1503653.1https://support.oracle.com/rs?type=doc&id=1503653.1http://www.oracle.com/pls/db121/lookup?id=UPGRD12363http://www.oracle.com/pls/db121/lookup?id=UPGRD123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ensure that EMCC is certified with all Oracle and non-Oracle targetsprior to the upgrade.

If using Oracle Automatic Storage Management (Oracle ASM) reviewthe Oracle Automatic Storage Management Administrator's Guide:

Administering Oracle ASM Instances for information about operatingwith different releases of Oracle ASM and database instancessimultaneously. Also check My Oracle Support Document 337737.1: Oracle Clusterware - ASM - Database Version Compatibility for Oracle

ASM, Oracle Clusterware and Database Instance certification. My Oracle Support certification: Always ensure that your desired

Operating System (OS) and Oracle combination is certified. Go to MyOracle Support, click on the "Certifications" tab, and follow the steps toverify your OS and Oracle combination in the CERTIFY section.

My Oracle Support certification: Always ensure that your desiredProduct combinations are certified to work together. Go to My OracleSupport, click on the "Certifications" tab, and follow the steps to verifyyour Product combinations in the CERTIFY section.

Determine if there are any known issues, alerts, OS Patches, OracleDatabase patches, Patch Set Updates (PSUs), or Critical Patches Updates(CPUs) available. Ensure that all the critical patchsets, PSUs, and CPUs are

applied. Always apply all necessary patches inside the target Oracle homebefore doing the upgrade. Applying the patch in the Oracle home omitsan additional recompilation process, and saves time.

Check My Oracle Support Document 161818.1: Oracle Database (RDBMS) Releases Support Status Summary - click on your targetrelease (RELEASE column) in the colored table - click on "Availabilityand Known issues" or "Known issues and alerts" for your desiredtarget patchset - check the "Alerts" section as well as the "UpgradeIssues" section for any known problems. Apply the recommendedpatches to your Oracle home.

Review "Behavior Changes" tabs in this document. Review the "Patches Recommended" section in this document for

patches to apply before the upgrade. Check My Oracle Support Document 161818.1: Oracle Database

(RDBMS) Releases Support Status Summary for any PSUs that needto be applied. Click on your target release (RELEASE column) in thecolored table - click on "Availability and Known issues" or "Knownissues and alerts" for your desired target patchset - check the CurrentRecommended Patches section for the list of PSUs.

Check My Oracle Support Document 161818.1: Oracle Database (RDBMS) Releases Support Status Summary for any CPUs that needto be applied. Click on your target release (RELEASE column) in thecolored table - click on "Availability and Known issues" or "Knownissues and alerts" for your desired target patchset - check the LatestCritical Patch Update section for the list of CPUs. (Only use CPUs ifthere is a business requirement which prevents the use of PSUs.)

NOTE: PSU application is preferred over CPU application wheneverboth are available. See My Oracle Support Document 854428.1: Patch Set Updates for Oracle Products for more details on PSUs .

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Quality Assurance

Quality Assurance is a series of carefully designed tests to validate all stages of theupgrade process. When executed rigorously and completed successfully, these testsensure that the process of upgrading the production database is well understood,predictable, and successful. Perform as much testing as possible before upgradingthe production database. Do not underestimate the importance of a testprogram .

Preserve configuration information, object / system statistics,and performance baselines (see Prepare and Preserve step, PreservingConfigurations and Statistics for the Source Database )

Create a test database for the test upgrade. The test databaseshould be a complete reproduction of the production database using real dataand not a small subset of production data. Make sure the environment isconfigured exactly the same as production. There are a number of ways tocreate a duplicate database:

Use Oracle Recovery Manager (RMAN) to duplicate the database. Fordetails see Oracle Database Backup and Recovery User's Guide > Chapter 25:Duplicating a Database > Overview of RMAN Database Duplication .

Use third-party vendor options and any backup and recovery scriptsyou may have as alternatives to RMAN.

Re-create the database Export/Import (if upgrading from Oracle Database 9.2.0.8) Data Pump Export/Import (if upgrading from Oracle Database 10g)

NOTE: Use Oracle Data Masking to replace sensitive information,such as credit card or Social Security numbers, with realistic valuesthat you can use safely during testing.

Perform a test upgrade using the test database you justcreated. The test upgrade should be conducted in an environment createdfor testing and should not interfere with the actual production database.

Document, define, and test your back-out plan in case youmust start over. Include checkpoints and success criteria at each phase.Determine clear ways to measure the success and failures of the upgrade.Define indicators that will trigger a rollback. Never skip this step! Yourdata is important and fully testing your recovery scenarios is a priority. Do not

just simulate your recovery plan. You should perform all the necessary stepsand document the results and timeframe needed to recover. This step alsoensures that your test upgrade can be repeated if necesssary. This isdiscussed in more details under the Prepare and Preserve step, Preservingthe Database .

Ensure you budget enough time to test all applications. This notonly includes your primary application but also secondary applications, suchas PL/SQL code, Shell Script, any APIs, Pro*C, all interfaces, and any third-party administrative tools.

Perform load testing to determine if the database canhandlethe production load. The database performance must be equal toor exceed the performance of the peak production workload. Record the steps

How-To Document 228257.1: RMA

'Duplicate Database' Feature iOracle9i/Oracle Database 10g

Document 388431.1: Creating a Duplicate Databaseon a New Host

Document 388424.1: How Create A Production (Full or Partial) Duplicate On The SamHost

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to reproduce or automate the load testing; log and record your results. Forload testing use Consolidated Database Replay .

Review your plan during the testing process to ensure all theupgrade steps, including variations and changes, are beingdocumented. Failing to document a change in the plan may lead to anundesirable result. Capture all changes in a "Change Log" and the entireupgrade process should be evaluated and improved by the change controlcommittee.

Execute the testing process as many times as needed until the

final result is a successful upgrade. After you have successfullyupgraded the database and tested the test database you are will be ready toperform another upgrade.

Known Issues

This section includes known issues which commonly occur during the upgradeprocess. These issues may prevent a successful upgrade. This is not a complete listof known issues. For additional known issues, search My Oracle Support. Forbehavior changes and recommended patches, click on the Behavior Changes orPatches Recommended tabs.

DBUA is not setting "dispatchers" parameters needed for EM DatabaseExpress and XDB during the upgrade. Refer to Document 1572589.1: Oracle 12c R1 Upgrade Using DBUA: Newly Installed XDB Component During the Upgrade Is NOT Registered With The Listener and Document 1572623.1: DBUA Not Configures EM Database Express Correctly - Due To Missing Dispatchers Parameter For XDB for steps to workaround the issue.

The pre-upgrade tool, preupgrd.sql, is not able to create a directory to storethe output files if the JAVAVM component either does not exist in thedatabase registry or is set to INVALID or OPTION OFF. The workaround is tomanually create the output directory before running preupgrd.sql. Refer toOracle Database Readme: Chapter 1.1.2: Pre-Upgrade Tool Does Not Generate Output Logs for details.

Performance issues on the SYS.V$UNIFIED_AUDIT_TRAIL view may occurrif unified auditing has been turned on after the upgrade. The SYS.V$UNIFIED_AUDIT_TRAIL view was created during the upgrade to OracleDatabase 12c. Refer to Oracle Database Upgrade Guide: Chapter 4.5.13 Migrate Your Upgraded Oracle Databases to Use Unified Auditing for details

on how to remove the unified auditing functionality if it is turned on and youare experiencing performance issues.

Notes Document 1565065.1:

ALERT: Oracle 12c Release 2(12.1) Support Status and Ale

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Best Practices > Prepare and Preserve

fining, implementing and managing a contingency plan is an extremely important step during the upgrade process.ssion-critical enterprises require a return to normal operations more quickly today than ever before. Accordingly,tem availability is dependent on how well you prepare for outages. Planning and practicing for the unexpected issuesps to ensure the upgrade to the new Oracle Database 11g is successful. Planning and practicing for the unexpectedues helps to ensure that the upgrade to the new release of Oracle Database 12c is successful.

Prepare

Preparing the database before the upgrade begins helps reduce any unforeseenerrors or circumstances that prevent the upgrade from completing, such as out ofspace errors. There are a number of things to consider before the upgrade begins,including fallback planning, compatible parameter setting considerations anddatabase configuration settings.

Run the Pre-Upgrade Information ToolPreparing the current database for a successful upgrade entails running the Pre-Upgrade Information Tool. Refer to My Oracle Support Document 884522.1: How to Download and Run Oracle's Database Pre-Upgrade Utility for details ondownloading and running the Pre-Upgrade Utility. This SQL script checks thefollowing:

CAUTION: If you are upgrading the database manually, it isrequired that the pre-upgrade scripts be run. Ensure that the pre-upgrade scripts are run in the original oracle home. If this step is

skipped, the upgrade will terminate early in the process.

1. Database Configuration: Determines if the logfiles and datafiles are sizedadequately for the upgrade

2. Initialization Parameters: Reports which initialization parameters needchanging, replacing or removing before the upgrade

3. Components: Which installed components will be upgraded4. Miscellaneous Warnings: Any other situations requiring attention before

the upgrade5. Timezone File Version: Reports which file version is used and when/how

to upgrade the timezone version.

Implement the recommendations reported by the pre-upgrade script beforeperforming the upgrade.

NOTE: The ORACLE_HOME and ORACLE_BASE environment variables mustbe set to the source database directory.

Beginning with Oracle Database 11g Release 2, running the pre-upgrade toolprior to a manual upgrade is required, otherwise the upgrade script catupgrd.sqlwill terminate with errors.

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If you get a message similar to "Database contains schemas with objectsdependent on network packages", then consult chapter 4 of the Oracle Database Upgrade Guide for further information on Network ACLs (Access Control Lists).

Oracle recommends gathering data dictionary statistics prior to upgrading the datadictionary. Depending on the size of the data dictionary, the computations cantake several hours. Thus, the best practice is to begin the process early enough(such as the night before) to allow plenty of time to collect the statistics beforebeginning the actual upgrade. See the Oracle Database Upgrade Guide,

Appendix B for a detailed script.

NOTE: If the current database is version release 11.2 (or earlier) and if OracleLabel Security (OLS) or Database Vault (DV) are enabled, then olspreupgrade.sqlshould also be run to move audit records from SYSTEM.AUD$ to SYS.PREUPG_AUD$ prior the actual upgrade. This will reduce the number of auditrecords that will be moved during the actual upgrade and thus reduce the overallupgrade time. See My Oracle Support Document 1516557.1: Complete Checklist to Upgrade the Database to 12cR1 using DBUA for more details on the OLSpreprocess script.

COMPATIBLE Initialization Parameter After the upgrade, changing the COMPATIBLE parameter to 12.1 and restartingthe database will cause the datafiles, controlfiles and online logfiles to be updatedto a new version. This will prevent you from being able to downgrade thedatabase in the future. Any attempt to downgrade the database will report an error: SQL> STARTUP DOWNGRADE;ORACLE instance started.

Total System Global Area 436207616 bytesFixed Size 2029528 bytesVariable Size 327157800 bytesDatabase Buffers 104857600 bytesRedo Buffers 2162688 bytesORA-00201: control file version 11.1.0.0.0 incompatiblewith ORACLE version 10.2.0.0.0ORA-00202: control file: '/u01/oradata/B920/control01.ctl' When this error occurs, you must either restore the database from the backuptaken of the database before the upgrade, or restore the database using analternate method, such as Oracle GoldenGate, Oracle Streams, or Export/Import.

For further details on planning a fallback strategy, refer to "When to Fallback."section below. Because of the inability to downgrade the database once it has been opened withthe new COMPATIBLE parameter, it is recommended to leave the parameter setto the setting used before the upgrade until the newly upgraded databaseperformance and functionality is acceptable. When upgrading from Oracle9iRelease 2 directly to Oracle Database 11g the minimum setting for COMPATIBLEis 10.1 - so a downgrade from Oracle Database 11g to Oracle9i Release 2 won'tbe possible. At that time, the COMPATIBLE parameter can be reset to the new,higher version and any new features that require COMPATIBLE to be 10.1 or

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higher can begin to be used. More details on the compatible setting can be found in chapter 4 of the Oracle Database Upgrade Guide .

Review Non-Default Initialization ParametersIt is common to change initialization parameters away from their default values toadapt an instance to a particular workload or sometimes to put a workaround ineffect (such as using an an EVENT or underscore parameter). When upgrading a

database it is important to review these parameters (especially EVENTs) anddetermine if they are no longer needed or can cause adverse effects in the newversion - reduce non-default parameters to the bare minimum possible whenupgrading. Check for parameters that have non-default values on your source database byexecuting this query: col name format a30col value format a60set linesize 130set pagesize 2000

SELECT KSPPINM "Name", KSPFTCTXVL "Value"FROM X$KSPPI A, X$KSPPCV2 BWHERE A.INDX + 1 = KSPFTCTXPNAND KSPFTCTXDF 'TRUE'ORDER BY 2; Oracle recommends removing all underscore parameters and EVENTS unlessthey are required by an application. If you are unsure about how to handle specificparameters then contact Oracle Support Services.

Unified AuditingBefore the upgrade, make sure the AUDSYS Schema and the AUDIT_ADMINand AUDIT_VIEWER roles do not exist. If they exist, the Schema/Roles should bedropped before the upgrade.

Once upgraded, new Unified Audit can be enabled with creation and enablementof Unified Audit Policies. During this time, audit records due to Traditional Auditwill go to the traditional audit trail, and audit records due to Unified Audit Policieswill go to the Unified Audit trail. You can switch to pure Unified Audit by linking theOracle binary with uniaud_on.

Refer to Removing the Unified Auditing Schema and Roles and Migrate Your Upgraded Oracle Databases to Use Unified Auditing for other details.

For Oracle Grid Infrastructure Installation: ReviewEnvironment Variables

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Unset Oracle environment variables. If you have ORA_CRS_HOME set as anenvironment variable, then unset it before starting an installation or upgrade. Youshould never use ORA_CRS_HOME as an environment variable. If you previously had or currently have an installation on your system and you areusing the same user account to install this installation, then unset the followingenvironment variables: ORA_CRS_HOME; ORACLE_HOME; ORA_NLS10;TNS_ADMIN.

Refer to the Oracle Grid Infrastructure Installation Guide specific to your platformfor more details.

When to FallbackBefore the upgrade, prepare a fallback strategy, so that if performance andfunctionality of the upgraded Oracle Database is not acceptable, and you areunable to resolve the issue within your upgrade time frame, you can fall back tothe previous version.

Answer the following questions to understand when to consider using a fallback.

What severe events constitute the need for a fallback? What's the maximum time before fallback is initiated? What's the target Recovery Time Objective (RTO) and Recovery Point

Objective (RPO) to complete the fallback? What fallback options have been tested and do they meet the above

Service Level Agreements (SLAs)?

For information on the fallback plan and fallback options, see the Preserving theDatabase - Fallback Plan topic under the Preserve section below.

Recommendations to Avoid Common Pitfalls1. Set the appropriate kernel parameters for your sys tem as defined

in your operat ing-system specif ic Oracle Database 11g Inst allation Guide .

2. Verify that all Operat ing System (OS) patches and p ackages areinstal led as defined in your op erat ing-system specif ic Oracle Database 11g Inst allation Gui de .

3. Add it ional disk space is needed during the upgrade. To avoid"u nable to extend" errors , set AUTO EXTEND ON MAXSIZEUNLIMITED for the SYSTEM and SYSAUX tablesp aces. See Oracle Database SQL Lang uage Reference for the com mand to al ter thetablespace. If any datafi le for a tablespace is nearing the l im it of32GB, add a n ew datafi le to that tablespace. Also verify that th ereis enough available disk space in the operat ing sys tem or in A SMfor th e taablespaces to extend.

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4. You may require larger shared memory po ol s izes in som e cases.See Oracle Database Reference for in form at ion about sh aredmem ory ini t ial izat ion parameters . When upgrading from Oracle9iRelease 2, the minim um v alue required for sh ared pool is 448 MBfor 64-bit systems and 224 MB for 32-bit systems . When upgradingfrom Oracle Database 10g and above, the minim um value requiredfor sh ared pool is 590 MB for 64-bit sys tems and 295 MB for 32-bitsystems . Comp uters with large numbers of CPUs may have higherminimum requi rements for SGA m emory.

5. If you are using Database Upgrade Assistance (DBUA) as themethod to upg rade, make sure that there is suff icient Operat ingSystem (OS) temp space.

6. Ensure there are no invalid objects in SYS and SYSTEM userschema.

Check for inval id objec ts by per forming the fo l lowing com mands:

s pool i nv a l i d_pr e . l s ts el ec t s ubs t r ( owner , 1 , 12) owner ,s ubs t r ( ob j ec t _name, 1 , 30) obj ec t ,s ubs t r ( ob j ec t _ t y pe , 1 , 30) t y pe , s t a t us f r omd ba _o bj e ct s wh er e s t a t u s ' VAL I D' ;s pool o f f

If there are invalid objects y ou can recom pile them by lo gging in as aSYSDBA us er and runn ing the utlrp.sql located in the$ORACLE_HOME/rdbms/admin directory. This script wil l a t tempt torecomp ile the invalid objects and any d ependencies. This script can b erun m ult iple t imes unti l a l l objects have been comp iled.

If invalid objects s t i l l exist which do not h ave a name that begins with x _$, check the own er of objects which c an' t be com piled successfu l ly. Inmo st cases these objects belong to d atabase options w hich have beeninstal led in earl ier releases but d o no t exist in the cu rrent instal lat ionanymo re. In this case a support request (SR) with Oracle Supportshou ld be opened to ask for the necessary scripts t o drop th ese objects .

If val id or invalid objects exists that have a name that begins with x_$,then refer to My Oracle Suppor t Docu m ent 361757.1: Inv alid x_$ Objects After Upgrade . These views were created by third party applicat ions andpoint to non-existent or m odified x$ tables. Because these are notOracle created objects , they shou ld be dro pped before the up grade.They cannot be val idated or dropp ed after the upgrade using no rmalmethods .

NOTE: If using DB UA, see Oracle Database Upgrad e Guide 12c > Chapter 3 > Troubleshootin g th e Upgrade for Oracle Database > DBUA Marks Invalid Compon ents with an X on th e Upgrade Result Page .

NOTE: The Pre-Upgrade Inform ation Tool ch ecks for in valid objects .Refer to My Oracle Support Docum ent 884522.1: How to Down load and Run Oracle's Database Pre-Upgr ade Utility for d e tai l s on dow nloading

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an runn ing the Pre-Upgrade Uti l i ty.

NOTE: To avoid affect ing database perform ance, run th e ut lrp.sql scriptdurin g a t ime when the load on th e database is low.

7. Verify that al l dba_registry com ponents are val id.

If inval id comp onents exist in DBA_REGISTRY, then perform the

fo l lowing s teps :

a . Recompile al l of the invalid objects with ut lrp.sql .b. If there are s t i l l inval id com ponents af ter running ut lrp .sql , then

consul t My Orac le Suppor t for o ther so lu t ions such as Document 472937.1: Information On Instal led Database Compo nents and Schemas and Docum ent 753041.1: How to diagno se Compo nents with NON VAL ID status .

Use the fo l lowing query to ident i fy inva l id com pontents tha t mayst i l l exist :

SQL> select substr(comp_id,1,15) comp_id,substr(comp_name,1,30) comp_name,substr(version,1,10) version,statusfrom dba_registryorder by modified;

8 . Disable al l DBMS_JOBS, Batch, AT, and Cron Jobs before s tar t ing

the up grade.

Note that us ing STARTUP UPGRADE automatical ly disables d atabase jobs ; how ev er , an y Oper at ing Sys tem (OS) lev el o r th ird -p ar ty too ls that

spawn jobs at the OS level that then connect to the Oracle Database ordo cleanup tasks m ust be manually disabled.

9. Disable Oracle Database Vault if it is enabled and rest art thedatabase prior t o beginn ing th e upgrade. Refer to Oracle Database Vault Admin istrator 's Guide: Disabling and Enabling Oracle Database Vault .

10. I t is mandatory to run th e pre-upgr ade tool prior to the upgradeprocess oth erwise the upgrade wil l not contin ue. The pre-upg radetool val idates whether the so urce database is ready to beupgr aded. Any area that does not m eet the requirements m ust becorrected. Refer to My Oracle Support Docu men t 884522.1: How to Downlo ad and Run Oracle 's Database Pre-Upgrade Uti l i ty fordetai ls on dow nloading an ru nning the Pre-Upgrade Uti l i ty.

11. Use Oracle Recovery Manag er (RMAN) to take a com plete onlin ebackup o f your d atabase as well as make a backup cop y of thefol low ing f i les: in i t .ora or spfi le , password f i le , and al l SQL*Netfiles (sqln et.ora, listen er.ora, tns nam es.ora, and s o on ...).

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12. Con sult the Upgrading Your A ppl ica t ions chapter of th e UpgradeGuide for specif ic instruc t ions regarding applicat ions.

13. Back up the oraInventory and Oracle home directories .

Preserve

Oracle strongly recommends that you back up your existing Oracle Database before

you start the upgrade, so that a known good state of the Oracle Database can berestored if there is a failure during the upgrade process, or if there is a performanceissue after the upgrade. Having a good fallback plan in place can prevent significantdown time and data loss in the event of a failure. Recording current performance datais critical to diagnosing and the remediation of performance issues that arise once theupgrade is completed. Without pre-upgrade data it will be more difficult to determinewhy performance characteristics have changed.

Preserving the Database - Fallback PlanTaking a backup of the current database before an upgrade is carried out

provides the ability to restore the pre-upgraded database if problems arise duringthe upgrade process that prevent the current database from being opened. The ideal situation is to upgrade a copy of the database leaving the currentdatabase in place so that should any serious problems arise it is possible to revertback to the pre-upgraded database with little down time. This method wouldobviously require twice the amount of disk space than the current databaseoccupies. If the database is too big to copy, then the upgrade must be done in place,necessitating a good backup before the upgrade begins. If no backup is taken andthe upgrade process fails, take into consideration the amount of downtimerequired to restore an older pre-upgrade database and recover. The database can be backed up using a cold backup (the database is shut down)or a hot backup (database remains open) and remember to include theinitialization parameter file. In the event of having to carry out a recovery from afailed upgrade attempt, if the database is running in ARCHIVELOG mode the pre-upgraded database can be recovered up until the database was started with theUPGRADE option. It also does not matter if the database is backed up usingincremental or full RMAN backups, so long as the restoration and recovery timesare acceptable from previous testing.

As a note of caution, the backup strategy used before the upgrade should beproven, well tested and confirmed to recover the database in case of failure. Makesure that your backup tapes or virtual tape drives are accessible in case they areneeded. Further information on taking full database backups can be found in the Oracle Database Backup and Recovery User's Guide .

As well as taking a backup of the database, you should backup the oraInventoryand the ORACLE_HOME so that they can be restored if needed. To perform abackup, copy the oraInventory directory and the ORACLE_HOME (with or without

Documentation Backup and Recovery User

Guide Oracle Database Real

Application Testing User's Gu Oracle Database SQL Tuni

Guide > Chapter 19: ManaginSQL Tuning Sets Notes

Document 560977.1: Real Application Testing Now

Available for Earlier Releases Document 1268920.1: Rea

Application Testing:Workload Analyzer

Document 1287620.1: Database Replay Diagnosticinformation

Document 562899.1: Document 562899.1: UsingSQL Performance Analyzer toTest SQL Performance Impac

of an Upgrade Document 742644.1: SQL

PERFORMANCE ANALYZE10.2.0.x to 10.2.0.y EXAMPLSCRIPTS

Document 742645.1: Database Replay CommandLine Interface (CLI) usage examples/scripts

Document 787658.1: SCALE_UP_MULTIPLIER:

DATABASE CAPTURE ANDREPLAY How-To

Document 376442.1: Recommended Method for Obtaining 10046 trace for Tuning Scripts and Tools

http://www.oracle.com/pls/db121/lookup?id=UPGRD006http://www.oracle.com/pls/db121/lookup?id=BRADVhttp://www.oracle.com/pls/db121/lookup?id=BRADVhttp://www.oracle.com/pls/db121/lookup?id=BRADVhttp://www.oracle.com/pls/db121/lookup?id=BRADVhttp://www.oracle.com/pls/db121/lookup?id=RATUGhttp://www.oracle.com/pls/db121/lookup?id=RATUGhttp://www.oracle.com/pls/db121/lookup?id=TGSQL516http://www.oracle.com/pls/db121/lookup?id=TGSQL516http://www.oracle.com/pls/db121/lookup?id=TGSQL516https://support.oracle.com/rs?type=doc&id=560977.1https://support.oracle.com/rs?type=doc&id=560977.1https://support.oracle.com/rs?type=doc&id=560977.1https://support.oracle.com/rs?type=doc&id=1268920.1https://support.oracle.com/rs?type=doc&id=1268920.1https://support.oracle.com/rs?type=doc&id=1268920.1https://support.oracle.com/rs?type=doc&id=1287620.1https://support.oracle.com/rs?type=doc&id=1287620.1https://support.oracle.com/rs?type=doc&id=1287620.1https://support.oracle.com/rs?type=doc&id=562899.1https://support.oracle.com/rs?type=doc&id=562899.1https://support.oracle.com/rs?type=doc&id=562899.1https://support.oracle.com/rs?type=doc&id=562899.1https://support.oracle.com/rs?type=doc&id=562899.1https://support.oracle.com/rs?type=doc&id=742644.1https://support.oracle.com/rs?type=doc&id=742644.1https://support.oracle.com/rs?type=doc&id=742644.1https://support.oracle.com/rs?type=doc&id=742644.1https://support.oracle.com/rs?type=doc&id=742645.1https://support.oracle.com/rs?type=doc&id=742645.1https://support.oracle.com/rs?type=doc&id=742645.1https://support.oracle.com/rs?type=doc&id=742645.1https://support.oracle.com/rs?type=doc&id=787658.1https://support.oracle.com/rs?type=doc&id=787658.1https://support.oracle.com/rs?type=doc&id=787658.1https://support.oracle.com/rs?type=doc&id=787658.1https://support.oracle.com/rs?type=doc&id=376442.1https://support.oracle.com/rs?type=doc&id=376442.1https://support.oracle.com/rs?type=doc&id=376442.1https://support.oracle.com/rs?type=doc&id=376442.1https://support.oracle.com/rs?type=doc&id=376442.1https://support.oracle.com/rs?type=doc&id=376442.1https://support.oracle.com/rs?type=doc&id=376442.1https://support.oracle.com/rs?type=doc&id=376442.1https://support.oracle.com/rs?type=doc&id=787658.1https://support.oracle.com/rs?type=doc&id=787658.1https://support.oracle.com/rs?type=doc&id=787658.1https://support.oracle.com/rs?type=doc&id=787658.1https://support.oracle.com/rs?type=doc&id=742645.1https://support.oracle.com/rs?type=doc&id=742645.1https://support.oracle.com/rs?type=doc&id=742645.1https://support.oracle.com/rs?type=doc&id=742645.1https://support.oracle.com/rs?type=doc&id=742644.1https://support.oracle.com/rs?type=doc&id=742644.1https://support.oracle.com/rs?type=doc&id=742644.1https://support.oracle.com/rs?type=doc&id=742644.1https://support.oracle.com/rs?type=doc&id=562899.1https://support.oracle.com/rs?type=doc&id=562899.1https://support.oracle.com/rs?type=doc&id=562899.1https://support.oracle.com/rs?type=doc&id=562899.1https://support.oracle.com/rs?type=doc&id=562899.1https://support.oracle.com/rs?type=doc&id=1287620.1https://support.oracle.com/rs?type=doc&id=1287620.1https://support.oracle.com/rs?type=doc&id=1287620.1https://support.oracle.com/rs?type=doc&id=1268920.1https://support.oracle.com/rs?type=doc&id=1268920.1https://support.oracle.com/rs?type=doc&id=1268920.1https://support.oracle.com/rs?type=doc&id=560977.1https://support.oracle.com/rs?type=doc&id=560977.1https://support.oracle.com/rs?type=doc&id=560977.1http://www.oracle.com/pls/db121/lookup?id=TGSQL516http://www.oracle.com/pls/db121/lookup?id=TGSQL516http://www.oracle.com/pls/db121/lookup?id=TGSQL516http://www.oracle.com/pls/db121/lookup?id=RATUGhttp://www.oracle.com/pls/db121/lookup?id=RATUGhttp://www.oracle.com/pls/db121/lookup?id=BRADVhttp://www.oracle.com/pls/db121/lookup?id=BRADVhttp://www.oracle.com/pls/db121/lookup?id=BRADVhttp://www.oracle.com/pls/db121/lookup?id=BRADVhttp://www.oracle.com/pls/db121/lookup?id=UPGRD006


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compression). Taking a backup of the current ORACLE_HOME directory alsoprovides a stable installation that can be reinstated should you need to fallback tothe pre-upgraded version.

1. Fallback Options Prior to changing database compatibi l i ty Prior to changing database compatibi l i ty, you have the fol lowingfal lback options. You need to thoroug hly test these procedures. Note

that "data loss" is po ssible for these option s only if the applicat ion hasstarted post-upgrade and began making chang es. OPTIONS STEPS CONSIDERA TIONS

Down grade 1. Shut dow ndatabase

2. Downg rade 3. Restart

Zero Data Loss Database in tegri ty

must b e in p lace Downgrade process

does not restore thedatabase dict ion ary tothe pre-upgrade s tate .

Only al lows thedatabase to beaccessed by theprevious vers ion ofthe software

Refer to Oracle Database Upg rade Guide

Stream s 1. Sw itch back toyour repl ica

Zero Data Loss Streams requirem ent Refer to Oracle

Streams Adm inis t rator ' s Guide

< 1 minu te RTO

OracleGoldenGate

1. Switch back toyour rep l ica


GoldenGate Windo ws and UNIX

Adm inis t rator ' s Guide 11g Release 2 Patch Set 1 (11.2.1.0.1)

< 1 minu te RTO

Document 301137.1: OSWatcher

Document 461053.1: OSW Document 352363.1: LTOM

White Papers

Maximum Availability Architecture (MAA)

Document 466996.1: Determining CPU ResourceUsage for Linux and Unix

Document 467018.1: Measuring Memory ResourceUsage for Linux and Unix

SQL Performance Analyze Database Replay Siebel on Exadata Upgrading from Oracle

Database 10g to 11g: What toexpect from the Optimizer

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Expor t / Impor t(original exp/ imp whenfal l ing back toOracleDatabase9.2.0.8)

1. Export or Unloadall changes

2. Import changes

Zero Data Loss Very t ime consum ing Existence of Read

Only tablespaces canreduce work da ta byskipping those tab les

Refer to Oracle Database Utilities

Export /ImportData Pump(expdp/impdpwhen fal l ingback toOracleDatabase 10g

1. Export or Unloadall changes

2. Import changes

Zero Data Loss Very t ime consum ing Existence of Read

Only tablespaces canreduce work da ta byskipping those tab les


Restore to

backup

Restore, Recover and

Activate

Data Loss Refer to Oracle

Database Backup and Recovery User 's Guide

After changing database compatibi l i ty After changing d atabase comp atibi l i ty, you have fewer options.

OPTIONS STEPS CONSIDERATIONS

Streams 1. Switch back toyour repl ica

Zero Data Loss Streams requirem ent Refer to Oracle Streams

Adm inis t rator ' s Guide < 1 minu te RTO

OracleGoldenGate

1. Switch back toyour repl ica


GoldenGate Window s and UNIX Adm inis t rator ' s Guide 11g Release 2 Patch Set 1 (11.2.1.0.1)

< 1 minu te RTO

http://www.oracle.com/pls/db121/lookup?id=SUTILhttp://www.oracle.com/pls/db121/lookup?id=SUTILhttp://www.oracle.com/pls/db121/lookup?id=SUTILhttp://www.oracle.com/pls/db121/lookup?id=SUTILhttp://www.oracle.com/pls/db121/lookup?id=BRADVhttp://www.oracle.com/pls/db121/lookup?id=BRADVhttp://www.oracle.com/pls/db121/lookup?id=BRADVhttp://www.oracle.com/pls/db121/lookup?id=STREPhttp://www.oracle.com/pls/db121/lookup?id=STREPhttp://docs.oracle.com/cd/E35209_01/doc.1121/e29397.pdfhttp://docs.oracle.com/cd/E35209_01/doc.1121/e29397.pdfhttp://docs.oracle.com/cd/E35209_01/doc.1121/e29397.pdfhttp://docs.oracle.com/cd/E35209_01/doc.1121/e29397.pdfhttp://docs.oracle.com/cd/E35209_01/doc.1121/e29397.pdfhttp://docs.oracle.com/cd/E35209_01/doc.1121/e29397.pdfhttp://docs.oracle.com/cd/E35209_01/doc.1121/e29397.pdfhttp://docs.oracle.com/cd/E35209_01/doc.1121/e29397.pdfhttp://docs.oracle.com/cd/E35209_01/doc.1121/e29397.pdfhttp://docs.oracle.com/cd/E35209_01/doc.1121/e29397.pdfhttp://docs.oracle.com/cd/E35209_01/doc.1121/e29397.pdfhttp://docs.oracle.com/cd/E35209_01/doc.1121/e29397.pdfhttp://www.oracle.com/pls/db121/lookup?id=STREPhttp://www.oracle.com/pls/db121/lookup?id=STREPhttp://www.oracle.com/pls/db121/lookup?id=BRADVhttp://www.oracle.com/pls/db121/lookup?id=BRADVhttp://www.oracle.com/pls/db121/lookup?id=BRADVhttp://www.oracle.com/pls/db121/lookup?id=SUTILhttp://www.oracle.com/pls/db121/lookup?id=SUTILhttp://www.oracle.com/pls/db121/lookup?id=SUTILhttp://www.oracle.com/pls/db121/lookup?id=SUTIL


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Export /ImportData Pump(expdp/impdpwhen fal l ingback to OracleDatabase 10g)

1. Exp ort orUnload al lchanges

2. Imp ort changes

Zero Data Loss Very t ime consum ing Existence of Read Only

tablespaces can reducework da ta by sk ippingthose tables


Restore tobackup

Restore, Recover andActivate

Data Loss Refer to Oracle

Database Backup and Recovery User 's Guide

Preserving Performance DiagnosticsProper performance testing is the key to a successful upgrade. This section

discusses what needs to be done to properly capture performance data at allstages of the upgrade process, or leverage the performance data that is alreadycaptured automatically in Oracle Database 10g and higher. The pre-upgradeperformance metrics could be considered a baseline against which theperformance data collected after an upgrade can be compared.

1. Preserving Perform ance Basel ines Before Upgrading

It is very impo rtant to captur e performance data before and after theupgr ade process ( in th e current PRODUCTION and TEST versions andin the u pgraded PRODUCTION version). Using th e performanc e data asbasel ines wil l help to d etect a perform ance regression on the TESTsystem and perhaps later in produc tion. These basel ines wil l beestablished in three levels:

1. Unit tests : specif ic queries , t ransact ions, and jobs that areimpo rtant to the business (SQL Level)

2. Load tests : a load simulat ion that runs imp ortant businessact ivi t ies at s imilar user levels and concu rrency rates as are runon the productio n system (System Simu lat ion Level)

3 . Product ion workloads : Actua l product ion workload per formancedata captured pr ior to the upg rade from the cur rent databaserelease and after com plet ing th e upgrade to Oracle Database 12c(Real Workload Level)

SQL Level Perform ance Data Preservat ion

1. Choose imp ortant t ransact ions, batch jobs, or queries (we wil lcal l these " act ivi t ies") that must NOT regress in perform anceafter an up grade.

2 . Also cons ider choos ing " Top N SQL s ta tements" ident i f ied wi th instatspack or AWR reports .

3. If you are ent i t led to u se SQL Tuning Sets ( in 10g and h igher) ,create a SQL Tuning Set compo sed of the SQL statementschos en above, copy the set into a s taging table and expor t i t for

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future reference.4. Otherw ise, enable SQL_TRACE (or event 10046) and execut e the

SQL statements cho sen above and save the resul t ing tr ace f i lesin a safe place.

5. Copy exist ing CBO stat is t ics into a s taging table using thedbm s_stats package and export them.

6. Export any exist ing SQL Profi les and/or s tored outl ines (see MyOracle Suppor t Docum ent 457531.1: How To Mov e SQL Profi les From One Database To Ano ther Database and My Oracle Supp ort

Docum ent 728647.1: How to Transfer Stored Outl ines fro m On e Database to A nother (9i and above) r espect ively).

7. Optionally cons ider using SQLTXPLAIN (XTRACT method) as away to capture mu ch of the diagnost ic d ata around each SQLstatement. The SQLTXPLAIN tool is describ ed and available in MyOracle Suppor t Docu m ent 215187.1:SQLT (SQLTXPLA IN) - Tool that helps to diagnose a SQL statement performin g poo rly .

8. My Oracle Suppor t Docum ent 466350.1: Recordin g A ccess Path Information Prior to an upgrade to 10g or 11g also covers asimilar s trategy outl in ed above.

NOTE: SQL Plan Managem ent (SPM) is a freely available new feature inOracle Database 11g that ensures p lan stabi l i ty and th e same plan as inthe orig inal (pre-upgr ade) database release. With Or acle Database 11gand SPM, the optim izer autom atical ly manages plans and ensures th atonly verif ied or know n plans are used. SPM allows contr ol led planevolut ion by o nly usin g a new plan after i t has been verif ied to performbetter than the current plan. Som e small amoun t of preparat ion isneeded to ensure that execution p lans are preserved for u se af ter theupgr ade, but fo r best resul ts , use SQL Plan Management as part of you rupgr ade strategy.

For mo re detai ls on SQL Plan Management: Oracle Database SQL Tuning Guide - Managing SQL Plan

Basel ines SQL Plan Managem ent in Oracl e Database 11g Docum ent 456518.1: SQL PLAN MANAGEMENT Inside the Oracle Optim izer

In addit ion to usin g SPM, Oracle Real App licat ion Test ing is a l icensableopt ion tha t inc ludes SQL Perform ance An alyzer (SPA) and Database Replay . Use of th i s op t ion i s h ighly recommended for m iss ion cr i t ica ldatabases, and for in stances where i t is impo rtant to verify applicat ionfunctio nali ty and performance. For cr i t ical databases and best resu l ts , use Oracle Real Applic at ionTest ing, SQL perform ance Analyzer (SPA) for unit test ing, and DatabaseReplay for conc urrency test ing.

SPA uses SQL Tuning Sets captured f rom pro duct ion as input for SPAtrials . SPA wil l com pare SQL execution s tat is t ics and execution plans toidentify regression and plan ch anges. Regressed SQL statement canthen be fed in to Tuning Advisor for tun ing recommendat ions .

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Database Replay captures the actual produ ction w orkload w ith t imin gand co ncu rrenc y in Orac le 9.2.0.8, 10.2.0.2 and abo ve and replays it inhigher r eleases such as 12.1. The replay result w il l use Oracle AW Rstat is t ic for performanc e report ing and co mp arison and report on datadivergence and error divergence as well .

Oracle Real Applic at ion Test ing, Database Diagnost ics , and Tunin gManagement Packs are l icensable option s(or packs) that make the taskof test ing upgr ades signif icantly easier. Therefore, these options are

highly recom mended for test ing and tuning th e systems after databaseupgrades or o ther changes . NOTE: SPA can also b e used for Oracle Database version 10g or 11gupgr ades to 12c. Please review My Oracle Suppo rt Docu m ent 562899.1: Using SQL Perform ance Analyzer to Test SQL Perform ance Imp act of an Upgrade for d etails . System L evel Perform ance Data Preservat ion In Oracle 8i and higher, s tatspack can be con figured to capturedatabase instance level act ivi ty metr ics at regular intervals . With Oracle10g and higher Oracle introd uced the Autom atic Workload Reposi toryhas addit ional function ali ty beyond wh at s tatspack pro vides. Use ofAWR do es require a Diagnost ics Pack l icense. Statspack snapshots are usually maintained within a s ingle schem a(usually PERFSTAT), so a sch ema level expor t can be p erformed to savethat data before an up grade is perform ed against that database. AWR data is automatical ly purg ed when snaps hots reach a certain agewhic h is configu rable by the DBA. AWR snapshots can be marked asbasel ines so that they are not p urged. Exist ing AWR data is notimp acted when a database is upgraded. However one may st i l l want to

cons ider export in g A WR data just in c ase. See Doc ID 872733.1 fordetai ls on how to extract AWR snapsh ots into a f i le . You may also wantto preserve ADDM reports from before an upgrade remain available forfuture reference as well . Having operat ing system perform ance stat is t ics info from before af teran upgrade can be cri t ical to diagnos ing any perform ance issues thatarise short ly af ter an upgrade. Most op erat ing systems inclu de toolsthat can record al l types Operat ing System (OS) level perform ancemetrics . However they may also require much OS know ledge to interpretand f i l ter through . OS Watcher t r ies to col lect the main OS metrics thatcom mo nly imp act Database Performance. In som e cases s tarvat ion ofCPU and/or phy sical memo ry can even impact the database 's abi l i ty tomeasure perform ance of i tself . So this info can be just as cr i t ical tocollect as instance level perform ance stats . The format of the stats fromOS Watcher is also preferred when w orking with Oracle DatabaseSuppor t . OS Watcher also includ es graphing and ways to p oint tointerest ing periods of potential performance issues. RAC and Exadata systems includ e OS Watcher l ike ut i l ies su ch asCHM.Run RDA or OCM to preserve config urat ion inform ation about thedatabase, OS, etc before the database upgraded or to co mp are against

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the new system that an upgraded database wil l be runnin g upo n.

Perform ance Data Captur e, Step-by-step

1. Constru ct unit tests for the act ivi t ies by ei ther: Using Oracle Real App licat ion Test ing fun ctionali ty ( i f

l icensed) to capture actual prod uction w orkloads direct ly.This wil l prov ide the best resul ts for upg rades

Script ing th e unit tests 2. Constru ct accurate load tests by choo sing the mix of act ivi t ies ,

num ber of users , and act ivi ty rate that s imu lates prod uctionworkloads . Do th is us ing one of the fo l lowing:

Use the Oracle Real App licat ion Test ing op tion to captureactual prod uction w orkloads direct ly for best resul ts . Youwil l be able to replay these wor kloads on the TEST systemto simu late the produc tion load before and after upgr ading.

Use a 3rd party load test ing tool or scrip t ing to s im ulatethe produc tion wo rkload on the TEST system .

On the TEST system , perform the fol lowing BEFORE upgr ading:

1. Capture perform ance basel ines for the unit tests . This includes: Execution t im ing for each act ivi ty. We wil l use this later to

see if a job is taking lon ger af ter the upgrade. Statspack snapshots: My Oracle Suppor t Document

394937.1 taken just before and jus t af ter the cr i t ical job oract ivi ty. Take snapsh ots at level 7 to captur e executionplans and segment s tat is t ics . The thresholds for capturin gSQL statements m ust be set low to ensure capturing al lSQL related to this act ivi ty. Addit ional snapsho ts may betaken during the act ivi ty at 1/2 hour intervals .

NOTE: If you are l icensed for the Diagnost icManagement Pack, you c an capture AWRsnapsho ts before and after the upgr ade andthen compare them us ing the AWRComp arison Report ($ORACLE_HOME/rdbm s/ admin/awrddrpt .sq l ) or yo u c an use awrgdrpt .sql fo r Oracle Database 11g Release 2 andOracle Database 12c Release 1 with Oracle

RAC. This is an easier way to co mp areper formance met r ics . CAUTION: Confirm y our AW R (or Statspack)retention interval is long enough to ensu reyour test data is avai lable well af ter theupgrade.

2. Use SPA to capture perform ance basel ine on the test system . Toget accurate execution plans imp ort s tat is t ics from pro ductio n.Refer to My Oracle Supp ort Docu m ent 562899.1: Using SQL

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Performance An alyzer to Test SQL Performance Impact of an Upgrade for a methodolo gy example.

For Oracle 9i /10gR1 databases us e the tr ial method "B uildfrom SQL Tuning Set"

3. Run the load tests and capture the fol low ing data: If using Oracle Real Ap plicat ion Test ing, us e Database

Replay to play back the produc tion load on the TESTsys tem

Operat ing system metrics ( OS Watcher: My Oracle Support

Docu men t 301137.1 i s recomm ended) Statspack snapshots: My Oracle Suppor t Document

394937.1 taken just before and jus t af ter the workload (atlevel 7, with low SQL captu re thresholds) . Addit ion alsnapsho ts m ay be taken at 1/2 hour in tervals .

NOTE: If you are l icensed for the Diagnost icManagement Pack, you c an capture AWRsnapsho ts before and after the upgr ade andthen compare them us ing the AWRComp arison Report . This is an easier way tocompare per formance met r ics . CAUTION: Confirm y our AW R (or Statspack)retention interval is long enough to ensu reyour test data is avai lable well af ter theupgrade.

4. Capture applicat ion level respon se t imes during the test (som eload test ing tools w il l capture this for you).

On the PRODUCTION system, perform th e fol lowing BEFORE upgrading:

1. Capture performance basel ines for each cri t ical act ivi tyseparately. This inc ludes:

For best resul ts use Database Replay to capture peak/ in te res t ing workload per iods .

Gathering execution t im ing and act ivi ty applicat ion m etrics(e.g, orders s hipped p er minu te) for each act ivi ty. You canuse this later to see if a job is taking longer af ter theupgrade.

Capture the SQL from th e cursor cache into SQL Tuning Set (available startin g with Orac le Database 10g Release

2) whic h can be used by SP A to comp are execution plansand perform ance of the SQLs after the upgrade.

With Oracle Real App licat ion Test ing (RAT) i t isposs ib le to use SPA for further performanceanalysis on each cri t ical act ivi ty.

View My Oracle Suppor t Docu men t 560977.1: Real App licat ion Test ing Now A vailable for Earl ier Releases for backpor t detai ls .

A license is needed for Oracle Real A pplicat ion Test ing (RAT) in order to u se SPA.

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For Oracle 9i/10gR1 databases us e Extended SQL tracing: My Oracle Support Do cum ent 376442.1 .Note that SQL tracing is expensive and affects theperform ance of the session being traced. View MyOracle Suppor t Docu men t 562899.1: Usin g SQL Performance An alyzer to Test SQL Performance Impact of an Upgrade .

2. Use the Tuning Pack option to capture the SQL Tuning Set (Available startin g

oracle 12 upgrade companion

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