An Oracle White Paper

September 2010

Upgrade Methods for Upgrading to Oracle

Database 11g Release 2
 Upgrade Methods for Upgrading to Oracle Database 11g Release 2

Introduction ....................................................................................... 1
Database Upgrade Methods .............................................................. 2
Database Upgrade Assistant (DBUA) ............................................ 2
Manual Upgrade ............................................................................ 3
Oracle Data Pump Export and Import / Original Export and Import 4
Oracle Transportable Tablespaces ................................................ 6
Oracle Data Guard SQL Apply (Logical Standby) .......................... 7
Online Database Upgrade with Oracle Streams ............................ 8
Conclusion ........................................................................................ 9
References ........................................................................................ 9
 Upgrade Methods for Upgrading to Oracle Database 11g Release 2

Introduction
The recommended method to upgrade an Oracle database to Oracle Database 11g
Release 2 is by using the Database Upgrade Assistant. However, there are
circumstances when using the DBUA is not possible and it is more appropriate to use
another method.

This white paper looks at the various upgrade methods that can be used. Choosing a
particular method is dependent on several factors. Some of the factors that help
determine which upgrade method to use include:

 Version from which you are upgrading

 Amount of downtime that is acceptable

 Preference for GUI versus SQL scripts

 Complexity and amount of manual intervention required

 Additional disk space or hardware resources required

 Different operating system architecture or migration to a new hardware platform

This paper discusses these upgrade methods and guidelines for their use. It does not
discuss the pre upgrade, upgrade, or post upgrade steps that a user should follow to
ensure a successful upgrade. For information on all these steps, see the following:

 Oracle Database Upgrade Guide 11g Release 2 (Part Number E10819-02)

 Oracle Database Upgrade Companion 11g Release 2 (My Oracle Support Note
785351.1)

 Oracle Database 11g Upgrade page on OTN

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 Upgrade Methods for Upgrading to Oracle Database 11g Release 2

Database Upgrade Methods

Depending on the environment, there are several alternatives available when upgrading a
database. This section discusses why a particular method would be chosen, lists considerations
when using each method, and gives pointers to additional useful information.

Database Upgrade Assistant (DBUA)

The DBUA provides a graphical user interface (GUI) that guides a user through the in-place
upgrade of a database. It is the recommended method for performing either a major release
upgrade or patch release upgrade.
The DBUA automates the upgrade process by performing all of the tasks that would otherwise
need to be performed manually. It can be launched during installation of Oracle Database 11g
Release 2 with the Oracle Universal Installer or it can be launched as a standalone tool at any
time after installation is complete.
The DBUA is a very useful tool, because it evaluates the current database and makes appropriate
recommendations for configuration options such as tablespace sizes, cluster checks, initialization
parameters, and Automatic Storage Management upgrades.

DBUA is a good choice if the upgrade environment has the following characteristics:

 Operating system remains the same (including upgrades in the same OS family, such as
Windows XP to Windows Vista or Solaris 2.8 to Solaris 2.10)
 Graphical user interface is preferred over manual interface
 Real Application Clusters or Automatic Storage Management is installed
o Much easier and less error prone than manual method – HIGHLY
recommended!
 Existing database is at least 9.2.0.4 for Oracle Database 11g Release 1 and 9.2.0.8 for
Oracle Database 11g Release 2

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 Upgrade Methods for Upgrading to Oracle Database 11g Release 2

Considerations for using DBUA:

 Databases must be on the same system (in-place upgrade where the new version of
Oracle is installed on the same server as the existing version). The DBUA cannot
upgrade a database remotely.

For more information:

 Oracle Database Upgrade Guide 11g Release 2

 Oracle Database Upgrade Companion 11g Release 2
 Oracle Database 11g Upgrade page on OTN
 Complete Checklist to Upgrade to 11g Release 2 using DBUA (My Oracle Support
Note 870814.1))

Manual Upgrade
A manual upgrade consists of running SQL scripts and utilities from a command line to do an in-
place upgrade of a database to the new Oracle Database 11g release. Although a manual upgrade
gives finer control over the upgrade process, it is more susceptible to error if any of the upgrade
steps are not followed or are performed out of order.
Unlike the DBUA, the Pre-Upgrade information Tool (utlu111i.sql) that is shipped with the
Oracle Database 11 software must be run manually to see what changes must be made to the

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 Upgrade Methods for Upgrading to Oracle Database 11g Release 2

target database. It performs checks on configuration options such as components, init

parameters, and tablespace sizes.

Manual upgrade is a good choice if the upgrade environment has the following
characteristics:

 Manual interface is preferred over graphical user interface

 Existing database is at least 9.2.0.4 for Oracle Database 11g Release 1 and 9.2.0.8 for
Oracle Database 11g Release 2 (1 step upgrade). Manual upgrades can be done for
databases before 9.2.0.x, but 2 steps are required versus 1. For example, if upgrading
from 8.1.7.4, it is necessary to first upgrade to 10.2.0.x and then to 11.1 or 11.2.

Considerations for manual upgrade:

 Cannot change operating system architecture

For more information:

 Oracle Database Upgrade Guide 11g Release 2

 Oracle Database Upgrade Companion 11g Release 2
 Oracle Database 11g Upgrade page on OTN
 Complete Checklist for Manual Upgrades to 11g Release 2 (My Oracle Support Note
837570.1))

Oracle Data Pump Export and Import / Original Export and Import
In this method, the Export and Import utilities physically copy data from the current database to
a new database. When upgrading from Oracle Database 10g or higher, Data Pump Export and
Import are strongly recommended for improved performance and better manageability.
Oracle Data Pump Export/Import and original Export/Import perform a full or partial export
from the current database, followed by a full or partial import into a new Oracle Database 11g.
In order to have two physical copies of the database, along with the dump file set, a significant
amount of disk space may be required. However, the user has the flexibility (especially with Data
Pump) to choose subsets of the database to export such as tablespaces, schemas, tables, and
rows, leaving the original database unchanged. In addition, Data Pump Export/Import has two
features that can help with this issue. First, Data Pump Import can be used in Network Mode,
which allows the new Oracle database to be directly loaded across the network from the old
database being upgraded. Thus, no intervening dump files are required. Second, when using
Data Pump Export and Import in Oracle Database 11g, the imported data can be compressed
with the Oracle Advanced Compression Option to improve performance (only when going from
11g Release 1 to Release 2 or for patch set upgrades from Oracle Database 11g onward).

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 Upgrade Methods for Upgrading to Oracle Database 11g Release 2

Data Pump Export/Import and original Export/Import do not change the existing database,
which enables the database to remain available throughout the upgrade process. Data Pump
Export and Import use Flashback technology to get a consistent view of the data. However,
neither Data Pump Export/Import nor original Export/Import provide consistent snapshots by
default.
Because the current database can remain available, the existing production database can be kept
available for read-only transactions while the new Oracle Database 11g database is being built at
the same time by Data Pump Export/Import or original Export/Import. The current database
can then be deleted once the upgraded system is determined to be fully functional.
Note that Data Pump Export/Import is supported starting in Oracle Database 10g. When
upgrading an Oracle database that is older than 10g, original Export and Import must be used.

Data Pump Export/Import or Export/Import is a good choice if the upgrade environment has
the following characteristics:

 Migration to different operating system architecture or hardware platform

 Source database is running on a version such as 8.0.3 or 8.1.6 that is not directly
upgradable to the target version
 Side-by-side testing of the old and new versions of Oracle Database is needed (because
an entirely new database is created)
 New database will be restructured (i.e. new tablespaces will be created and populated by
imported data, or a new partitioning scheme will be implemented)

Considerations for using Data Pump Export/Import or Export/Import:

 Downtime will be much longer than other methods, depending on size of the database
(i.e. 10+ hours for large databases). This can be tested by running a test export into the
file system and then doubling or tripling the amount of time that would be required for
the subsequent import.
 Additional disk space will be necessary to store both the export dump files and the new
copy of the database

For more information:

 Oracle Database Upgrade Guide 11g Release 2

 Oracle Database Utilities 11g Release 2 (Part Number E10701-02)
 Oracle Database Upgrade Companion 11g Release 2
 Oracle Database 11g Upgrade web page on OTN
 Oracle Database Utilities web page on OTN

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 Upgrade Methods for Upgrading to Oracle Database 11g Release 2

Oracle Transportable Tablespaces

Oracle Transportable Tablespaces (TTS) is an option for performing database upgrades in less
than one hour for databases that have simple schemas and where the data files do not need to be
transferred as part of the transport process (such as when the data files will be used in place, or
when shared storage is available in a system migration).
With this method, an empty 11g Release 2 database is created and data is moved from the
existing database to the 11g Release 2 database. Metadata for tables and indices and the objects
needed to support the tables and indices in the tablespaces is exported from the existing database
and then imported into the new database using Data Pump Export/Import or original
Export/Import. The majority of time taken for the upgrade is for the metadata export and
import, and this is where there may be less than optimal performance.
Transportable Tablespaces has been used effectively to reduce database upgrade time. However,
because it was not originally designed as a database upgrade solution, it does not have the same
level of automation as the DBUA. Consider whether the added testing time and complexity of
using a TTS upgrade are worth the potential to reduce downtime during the upgrade.
Starting with Oracle Database 10g, tablespaces can be moved across platforms. Many, but not all
platforms are supported for cross platform tablespace transport. A cross-endian move involves
an RMAN convert, but is a simple operation across platforms within the same endian group.
Note that the time needed for the RMAN convert is essentially equivalent to the time needed for
an RMAN backup of the database.

Transportable Tablespaces is a good choice if the upgrade environment has the following
characteristics:

 Downtime must be less than one hour

 Data files do not need to be transferred as part of the transport process
 Existing database’s object structure is not complex

Considerations when using Transportable Tablespaces:

 Metadata gets transported from the existing database to the new database and may
increase upgrade time. If desired, a time estimate can be obtained by performing a
metadata-only export on the source database.
 Higher level of skill is required for the database administrator

For more information:

 Oracle Database Administrator’s Guide 11g Release 2 (Part Number E10595-04)

 Database Upgrade Using Transportable Tablespaces: Oracle Database 11g Release 1
white paper

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 Upgrade Methods for Upgrading to Oracle Database 11g Release 2

 Platform Migration Using Transportable Tablespaces: Oracle Database 11g Release 1

white paper
 Platform Migration Using Transportable Database: Oracle Database 11g and 10g
Release 2 white paper

Oracle Data Guard SQL Apply (Logical Standby)

Starting with Oracle Database 10 (10.1.0.3), Data Guard SQL Apply (logical standby) can be used
to perform a database rolling upgrade with minimal downtime. The upgrade can be to a higher
Oracle Database release or a later patch set. The overall downtime can be as little as the time it
takes to perform a switchover.
What is Oracle Data Guard? Oracle Data Guard provides the management, monitoring, and
automation software infrastructure to create and maintain one or more standby databases to
protect Oracle data from failures, disasters, errors, and data corruptions. There are two types of
standby databases. A physical standby uses Redo Apply to maintain a block for block, exact
replica of the primary database. A logical standby uses SQL Apply and contains the same logical
information as the primary database, although the physical organization and structure of the data
can be different. SQL Apply also enables rolling upgrades by allowing the synchronization of a
standby database with a primary database that is using an earlier release of the Oracle Database.
A database rolling upgrade entails first upgrading a logical standby database to a later Oracle
release or patch set, and then allowing SQL Apply to re-synchronize the primary and standby
databases. When the administrator is satisfied that the upgrade has been successful, the process
is completed by using a Data Guard switchover operation to transition the standby to the
primary role. The only downtime experienced by applications is the time needed to complete the
switchover process and reconnect clients to the new primary database. The actual database
upgrade is performed while applications continue to access the original production database.
Beginning with Oracle Database 11g, Data Guard physical standby users can also benefit from
rolling database upgrades by temporarily converting a physical standby to a transient logical
standby database, enabling SQL Apply to synchronize the primary and standby databases while
they operate at different Oracle releases or patch sets. The transient logical process is attractive
because it can use existing physical standby databases and it only requires a single catalog upgrade
to migrate both primary and standby databases to the new Oracle release. When the upgrade to
process is complete, the configuration reverts to its original state of having a primary with a
physical standby database.

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 Upgrade Methods for Upgrading to Oracle Database 11g Release 2

Oracle Data Guard SQL Apply is a good choice if the upgrade environment has the following
characteristics:

 Oracle Data Guard SQL Apply is installed

 Minimal downtime is a requirement
 Current database is at least 10.1.0.3

Considerations when using Oracle Data Guard SQL Apply:

 Operating systems must be the same

 Higher level of skill is required for the database administrator

For more information:

 Oracle Database Administrator’s Guide 11g Release 2

 Oracle Maximum Availability Architecture Best Practices web page on OTN
 Database Rolling Upgrade Using Data Guard SQL Apply – Oracle Database 11g and
10g R2 white paper
 Database Rolling Upgrade Using Physical Standby Databases and the Transient Logical
Rolling Upgrade Process

Online Database Upgrade with Oracle Streams

Oracle Streams can be used to achieve little or no database downtime during database or patchset
upgrades. A database can be migrated to different platform, for example Intel Solaris to Intel
Linux, or to a different character set. A copy of the current database is upgraded using Oracle
Streams to keep changes synchronized during the upgrade process. The only downtime that
occurs is during the switch from the current database to the new database.

Oracle Streams is a good choice if the upgrade environment has the following
characteristics:

 Operating systems are different

 Little or no downtime is a requirement
 Current database is at least 9.2

Considerations when using Oracle Streams:

 Performance restrictions may occur in an OLTP environment if the copy of the

database does not keep up with existing database
 Significant amount of expertise is required by the database administrator

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 Upgrade Methods for Upgrading to Oracle Database 11g Release 2

For more information:

 Oracle Database Administrator’s Guide 11g Release 2

 Oracle Streams Concepts and Administration 11g Release 2, Appendix D (Part Number
E10704-02)

Conclusion
Database Upgrade Assistant is the preferred method for upgrading a database to Oracle
Database 11g Release 2. However, it is not always possible to use the DBUA, and in such
situations there are other options available.
Choosing the appropriate upgrade method depends on the environment, amount of downtime
that is acceptable, and tolerance for complexity of the database administrator doing the upgrade.
It is important for the database administrator to understand the various upgrade methods and
choose the one that best suits business requirements.

References
1. Oracle Database Upgrade Guide 11g Release 2 (Part Number E10819-02)
2. Oracle Database Upgrade Companion 11g Release 2 (My Oracle Support Note
785351.1)
3. Oracle Database 11g Upgrade page on OTN
4. Complete Checklist to Upgrade to 11g Release 2 using DBUA (My Oracle Support
Note 870814.1.1)
5. Complete Checklist for Manual Upgrades to 11g Release 2 (My Oracle Support Note
837570.1)
6. Oracle Database Utilities 11g Release 2 (Part Number E10701-02))
7. Oracle Database Utilities web page on OTN
8. Oracle Database Administrator’s Guide 11g Release 2 (Part Number E10595-04)
9. Database Upgrade Using Transportable Tablespaces: Oracle Database 11g Release 1
white paper
10. Platform Migration Using Transportable Tablespaces: Oracle Database 11g Release 1
white paper
11. Platform Migration Using Transportable Database: Oracle Database 11g and 10g
Release 2 white paper

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 Upgrade Methods for Upgrading to Oracle Database 11g Release 2

12. Oracle Maximum Availability Architecture web page on OTN

13. Database Rolling Upgrade Using Data Guard SQL Apply – Oracle Database 11g and
10g R2 white paper
14. Database Rolling Upgrade Using Physical Standby Databases and the Transient Logical
Rolling Upgrade Process
15. Oracle Streams Concepts and Administration 11g Release 2 (Part Number E10704-02)
See Appendix D for setup procedure

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Upgrade Methods for Upgrading to Oracle
Database11g Release 2
September 2010
Author: Carol Palmer

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