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Oracle 18c – Complete Checklist for Manual Upgrades to Non-CDB Oracle Database 18c

PURPOSE

This document is created for use as a guideline and checklist when manually upgrading from Oracle 11gR2 (11.2) or Oracle 12c Release 1 (12.1) or Oracle 12c Release 2 (12.2) to Oracle 18c Release

SCOPE

Database Administrators, Support

DETAILS

Step 1: Upgrade Path for 18.1 Oracle database

Minimum version of the database that can be directly upgraded to Oracle 18.1

Upgrade Matrix
Source Target
11.2.0.3/11.2.0.4 18.1
12.1.0.1/12.1.0.2 18.1
12.2.0.1 18.1

Intermediate upgrades needs to be carried for following releases

Indirect Upgrade Matrix
Source Database Intermediate upgrade path Target database
11.2.0.1/11.2.0.2 –> 11.2.0.3/11.2.0.4 –> 18.1
11.1.0.6/11.1.0.7 –> 11.2.0.3/11.2.0.4 –> 18.1
10.2.0.2, 10.2.0.3, 10.2.0.4, 10.2.0.5 –> 11.2.0.3/11.2.0.4/12.1.0.1/12.1.0.2 –> 18.1
10.1.0.5 –> 11.2.0.3/11.2.0.4/12.1.0.1/12.1.0.2 –> 18.1
9.2.0.8 or earlier –> 11.2.0.3/11.2.0.4 –> 18.1

For any multi-step upgrade, if you must carry out two upgrades to upgrade to the current release, then you must run the preupgrade script twice: First, for the intermediate upgrade release, and second, for the target upgrade target release.  For example, if the database from which you are upgrading is running Oracle Database 10g, then follow these steps:

  • Upgrade release 10.2.0.5 to release 12.1.0.2 using the instructions in Oracle Database Upgrade Guide 12c Release 1 (12.1), including running the pre-upgrade script for 12.1.0.2.
  • Upgrade Oracle Database 12c release 1 (12.1.0.2) directly to Oracle Database 18c. Use the instructions in this book, Oracle Database Upgrade Guide, including running the preupgrade script for 18.1.

Upgrade to an intermediate Oracle Database release that can be directly upgraded to the current release. Upgrade Oracle Database releases that are not supported for direct upgrade in this release to an intermediate Oracle Database release that is supported for direct upgrade.

This restriction does not apply if you use Oracle Data Pump export/import to migrate data to the new release.

For example:

  • If you are upgrading from release 11.2.0.2 or 11.1.0.7, then you must first upgrade to Oracle Database 11g release 2 (11.2.0.3).
  • If you are upgrading from release 10.2.0.2, 10.2.0.3, 10.2.0.4,10.2.0.5 or 10.1.0.5, then you must first upgrade to release 11.2. or 12.1
  • If you are upgrading from release 9.2.0.8, then you must first upgrade to a sequence of intermediate Oracle Database releases:
  • Upgrade from release 9.2.0.8 to release 11.2.0.3 or 11.2.0.4. Then upgrade from release 11.2 to 18c

Step 2: Requirements and recommendations for source database

  • Take a cold or hot back up of the source database.
  • Disable any custom triggers that would get executed before / after DDL. You can enable it once upgrade is completed.
  • Data security roles defined in a release 11g Oracle Database instance are not automatically converted to ORAS. Before you upgrade an 11g database to Oracle Database 12c, you must delete any data security roles that are defined in the 11g database. After the upgrade, you may use Analytic Workspace Manager 12c to define the data security roles again.
  • If you upgrade an 11g database to Oracle Database 12c without deleting the 11g data security roles, then any data security policies that include a data security role are invalid in the Oracle Database 12c database.
  • Timezone should less than or equal to target database timezone version.
  • IF APEX is installed then it is recommended to upgrade APEX in the source DB first before upgrading DB
  • No INVALID object / Components in Source
  • If you are installing 64-bit Oracle Database software, and your existing Oracle Database is a 32-bit Oracle Database installation, then your existing Oracle Database is automatically converted to 64-bit during the upgrade to the new Oracle Database release.
  • Execute Preupgrade scripts before upgrade and review the preupgrade log for any issues.
  • Execute dbupgdiag.sql (refer Note 556610.1 to download this script) and verify whether there are any INVALID components or objects owned by SYS/SYSTEM. If any, fix them before proceeding to upgrade the database. You can execute utlrp.sql multiple times to VALIDate them, if still objects are INVALID, create a service request with Oracle support.
  • Execute utlrp.sql multiple times and verify there are no INVALID objects.

Step3: Requirements and recommendations for target ORACLE_HOME

  • Verify the whether your operating system is certified for 18.1.  Click here to launch certification portal
  • Install 18.1.0.0, verify there are no installation related issues.
  • Download and install latest RU / RUR if any
  • Copy spfile or pfile from source ORACLE_HOME (under $ORACLE_HOME/dbs) to target home
    • Remove any _ (underscore) parameter, obsolete and deprecated parameters in pfile
    • Note min value of COMPATIBLE parameter to upgrade 18.1 is “11.2.0”, make sure you have COMPATIBLE parameter is set to 11.2.0 or greater
  • Review patch recommendations as given in the article “Patches to apply before upgrading Oracle GI and DB to 18c (Doc ID 2414935.1)”
  • Apply patch 29213893 on target ORACLE_HOME to avoid ORA-01422 error – refer: Database Upgrade to 12.2, 18c, 19c fails with ORA-01422, ORA-06512 for SYS.DBMS_STATS (Doc ID 2525596.1)

Step 4: Pre-upgrade checks

Clean up database

Empty the recycle bin
Check for INVALID objects in SYS and SYSTEM
Check for duplicate objects in SYS and SYSTEM
Check for INVALID, mandatory, obsolete components

Check materialized views

Check the status of all materialized views (MV), and refresh any materialized views that are not fresh.
Check the size of your materialized view logs. If any materialized view logs have non-zero rows, then refresh the base table materialized views.
Check the size of direct loader logs and PMOP logs (partition maintenance operation logs). If any direct loader logs or PMOP logs have non-zero rows, then refresh the MVs indicated by the logs
Before upgrading Oracle Database, you must wait until all materialized views have completed refreshing.

Run the following SQL query:

SQL> SELECT o.name FROM sys.obj$ o, sys.user$ u, sys.sum$ s WHERE o.type# = 42 AND bitand(s.mflags, 8) =8;

Copying Transparent Encryption Oracle Wallets

If Oracle wallet used with Transparent Data Encryption (TDE), then copy the sqlnet.ora and wallet file to the new Oracle home.  You must copy the sqlnet.ora and the wallet file manually before starting the upgrade.

  1. Log in as an authorized user.
  2. Manually copy the sqlnet.ora file, and the wallet file, ewallet.p12, to the new release Oracle home.

Open the Oracle wallet in mount.

For example:

      SQL> STARTUP MOUNT;
SQL> ALTER SYSTEM SET ENCRYPTION WALLET OPEN

Understanding Password Case Sensitivity

Starting with Oracle Database 12c release 2 (12.2), the default password-based authentication protocol configuration excludes the use of the case-insensitive 10G password version. By default, the SQLNET.ORA parameter SQLNET.ALLOWED_LOGON_VERSION_SERVER is set to 12, which is an Exclusive Mode.

For greater security, Oracle recommends that you leave case-sensitive password-based authentication enabled. This setting is the default. However, you can temporarily disable case-sensitive authentication during the upgrade to new Oracle Database releases. After the upgrade, you can then decide if you want to enable the case-sensitive password-based authentication feature as part of your implementation plan to manage your password versions.

Before upgrading, Oracle recommends that you determine if this change to the default password-based authentication protocol configuration affects you. Perform the following checks:

  • Identify if you have accounts that use only 10G case-insensitive password authentication versions.
  • Identify if you have Oracle Database 11g release 2 (11.2.0.3) database or earlier clients that have not applied critical patch update CPUOct2012, or a later patch update, and have any account that does not have the case-insensitive 10G password version.
  • Ensure that you do not have the deprecated parameter SEC_CASE_SENSITIVE_LOGON set to FALSE. Setting this parameter to FALSE prevents the use of the case-sensitive password versions (the 11G and 12C password versions) for authentication.

For more information refer 18.1 Oracle database documentation

Running Upgrades with Read-Only Tablespaces

Use the Parallel Upgrade Utility with the -T option to take schema-based tablespaces offline during upgrade.  Oracle Database can read file headers created in earlier releases, so you are not required to do anything to them during the upgrade. The file headers of READ ONLY tablespaces are updated when they are changed to READ WRITE.  If the upgrade suffers a catastrophic error, so that the upgrade is unable to bring the tablespaces back online, then review the upgrade log files. The log files contain the actual SQL statements required to make the tablespaces available. To bring the tablespaces back online, you must run the SQL statements in the log files for the database, or run the log files for each PDB.

Viewing Tablespace Commands In Upgrade Log Files

If a catastrophic upgrade failure occurs, then you can navigate to the log directory (Oracle_base/cfgtoologs/dbua), and run commands in the log files manually to bring up tablespaces. You can view tablespace commands in the following log files:

Non-CDB Upgrades: catupgrd0.log
PDB databases: catupgrdpdbname0.log, where pdbname is the name of the PDB that you are upgrading.

At the beginning of each log file, you find SQL statements such as the following, which sets tables to READ ONLY:

SQL> ALTER TABLESPACE <Tablespace Name> READ ONLY;
Tablespace altered.

Near the end of each log file, you find SQL statements to reset tables to READ WRITE:

SQL> ALTER TABLESPACE <Tablespace Name> READ WRITE;
Tablespace altered.

Preparing the New Oracle Home for Upgrading

  • Copy configuration files from the Oracle home of the database being upgraded to the new release Oracle Database Oracle home.
  • If you have a password file that resides within the old environment Oracle home, then move or copy the password file to the new Oracle home.
  • Remove desupported initialization parameters and adjust deprecated initialization parameters. In new releases, some parameters are desupported, and other parameters are deprecated. Remove all desupported parameters from any parameter file that starts the new Oracle Database instance. Desupported parameters can cause errors in new Oracle Database releases. Also, alter any parameter whose syntax has changed in the new release.
  • If you are upgrading a cluster database, then you need to change CLUSTER_DATABASE=FALSE before starting upgrade

Prerequisites for Preparing Oracle Home on Windows

System must meet these requirements before starting Oracle Database upgrade on Microsoft Windows platforms.

For security reasons, different Microsoft Windows user accounts configured as Oracle home users for different Oracle homes are not allowed to share the same Oracle Base.

  • Database upgrade is supported when the same Windows user account is used as the Oracle home user in both the source and destination Oracle homes.
  • Database upgrade is supported when the Oracle home from which the database is being upgraded uses the Windows Built-in Account. Releases earlier than Oracle Database 12c (release 11.2 and earlier) only supported the built-in account option for the Oracle home user on Windows.
  • The Oracle home user may not have access to files outside its own Oracle Base and Oracle home. If that is the case, then if you choose a different Oracle Base during upgrade, it is possible that Oracle Database services cannot access files in the older Oracle Base. Using DBUA for database upgrade ensures that the Oracle home user has access to files outside of its own Oracle Base and its own Oracle home.
  • Before upgrading manually, or before using the custom files from the older Oracle Base (for example, wallets, configuration files and other custom files ), you must grant access to the Oracle home user for these outside files, or copy these files to the new Oracle Base.

Databases That Use Oracle Label Security and Oracle Database Vault

Audit Table Preupgrade and Archive Requirements

For Oracle Database releases earlier than 12.1 using Oracle Label Security and Oracle Database Vault, you must run the OLS preprocess script before you upgrade.

If you are upgrading from a database earlier than Oracle Database release 12.1 that uses Oracle Label Security (OLS) and Oracle Database Vault, then you must first run the OLS preprocess script, olspreupgrade.sql, to process the aud$ table contents. The OLS upgrade moves the aud$ table from the SYSTEM schema to the SYS schema. The olspreupgrade.sql script is a preprocessing script required for this move.

Running the olspreupgrade.sql script before upgrading is mandatory for upgrading databases earlier than Oracle Database release 12.1 that use Oracle Label Security and Oracle Database Vault. Once you have upgraded to Oracle Database release 12.1, you do not have to perform the OLS preprocessing procedure going forward to patch or upgrade the database.

Oracle Database Vault and Upgrades of Oracle Database Release 11.2

If Oracle Label Security is installed in the earlier release that you are upgrading, then grant the DV_PATCH_ADMIN role to SYS.

To run the OLS preprocess script on a release 11.2 database before upgrading:

1.    Copy the following scripts script from the newly installed Oracle home (18.1) to the Oracle home of the database that needs to be upgraded (11.2):

        ORACLE_HOME/rdbms/admin/olspreupgrade.sql
ORACLE_HOME/rdbms/admin/emremove.sql
ORACLE_HOME/rdbms/admin/catnoamd.sql

2.    Start SQL*Plus and connect as DVOWNER to the database that you want to upgrade.

3.    Run the following statement:

    SQL> GRANT DV_PATCH_ADMIN to SYS;

4.    At the system prompt, connect SYS as SYSDBA:

    CONNECT SYS AS SYSDBA

5.    Run the preprocess scripts for Data Vault

    ORACLE_HOME/rdbms/admin/olspreupgrade.sql
ORACLE_HOME/rdbms/admin/emremove.sql
ORACLE_HOME/rdbms/admin/catnoamd.sql

You may continue to run your applications on the database while the preprocess scripts are running.

6.    After the olspreupgrade.sql completes its run successfully, start SQL*Plus and connect to the database as DVOWNER.

7.    Run the following SQL statement:

    SQL> REVOKE DV_PATCH_ADMIN from SYS;

Granting the DV_PATCH_ADMIN Role to SYS for Oracle Database Vault

If Oracle Database Vault is enabled, then to perform checks for Oracle Data Vault, the upgrade process requires running three SQL scripts – olspreupgrade.sql, emremove.sql, catnoamd.sql

Start SQL*Plus and connect as DVOWNER to the database that you want to upgrade.

Run the following statement:

    SQL> GRANT DV_PATCH_ADMIN to SYS;

Backing Up Oracle Database for Upgrading

Suggested to backup Oracle database after you run the Pre-Upgrade Information Tool.  Take backup or create a guaranteed restore point or both.  Test your backup.  Ensure there is a proper fallback plan in case of any issues.

    rman “target / nocatalog”

RUN
{
ALLOCATE CHANNEL chan_name TYPE DISK;
BACKUP DATABASE FORMAT ‘some_backup_directory%U’ TAG before_upgrade;
BACKUP CURRENT CONTROLFILE FORMAT ‘controlfile location and name’;
}

Manually remove DB control with emremove.sql

Warning :
The below step should not be executed during the upgrade of Enterprise Manager Cloud Control Repository database. Doing so your EM Cloud Control Repository DB will become unusable.

 

Stop/shutdown DB control

emctl stop dbconsole

 
Login as sysdba

SQL>SET ECHO ON
SQL>SET SERVEROUTPUT ON
SQL>@emremove.sql >> Script located in new 12c ORACLE_HOME/rdbms/admin

Manually remove ORACLE_HOME/HOSTNAME_SID/ and ORACLE_HOME/oc4j/j2ee/OC4J_DBConsole_HOSTNAME_SID directory from the system
On windows delete DB Console service OracleDBConsoleSID

Ensure no files are in Back up mode before starting the upgrade

Run the following statement:

SQL> SELECT * FROM v$backup WHERE status != ‘NOT ACTIVE’; 

Purge Recycle bin

To empty the database recycle bin, run the following command:

SQL> PURGE DBA_RECYCLEBIN

Note: The database recycle bin must be empty during the upgrade process to avoid possible ORA-00600 errors, and to minimize the upgrade time.

Performance

Preserve performance statistics
Check network performance
Gather Optimizer statistics

To decrease the amount of downtime, gather statistics. Oracle recommends that you use the DBMS_STATS.GATHER_DICTIONARY_STATS procedure to gather these statistics. For example, enter the following SQL statement:

SQL> EXEC DBMS_STATS.GATHER_DICTIONARY_STATS;

Checking Time zone settings

Time zone should less than or equal to target database time zone version. If source is having higher time zone, then apply time zone patch on target ORACLE_HOME to match the source.

About Upgrading Oracle OLAP Data Security Policies

Data security roles defined in a release 11g Oracle Database instance are not automatically converted to ORAS. Before upgrading Oracle Database Release 11g to a current Oracle Database release, delete any data security roles that are defined in the 11g database. After the upgrade, you can use the new release Oracle Database Analytic Workspace Manager to define the data security roles again.

If DB us upgraded from an 11g database without deleting the 11g data security roles, then any data security policies that include a data security role are invalid in the later Oracle Database releases.

Step 5: Preupgrade step

Execute Preupgrade script from source home

$Earlier_release_Oracle_home/jdk/bin/java -jar $New_release_Oracle_home/rdbms/admin/preupgrade.jar FILE TEXT DIR output_dir

FILE – Use this option to direct output to a file
TEXT – Use this option to specify log should be in Text format (other option is to have XML output)
DIR – Logs will be created under <output_dir>

It is recommended to execute pre-upgrade fixup script, if any, which are AUTO FIXABLE

Preupgrade fixup script

Execute Preupgrade fixup scripts preupgrade_fixups.sql

Dependencies on Network Utility Packages

Execute the following query

SQL> SELECT * FROM DBA_DEPENDENCIES WHERE referenced_name IN (‘UTL_TCP’,’UTL_SMTP’,’UTL_MAIL’,’UTL_HTTP’,’UTL_INADDR’,’DBMS_LDAP’) AND owner NOT IN (‘SYS’,’PUBLIC’,’ORDPLUGINS’);

To ensure that the new access controls are part of your upgrade testing, prepare a post-upgrade script to make the scripts available in your database environment.  After the upgrade, grant specific required privileges. Access is based on the usage in the original database.

Check Time zone version

Check if target database’s time zone version is lower than the source database time zone version.  If yes, before starting upgrade time zone should be upgrade without fail.  RDBMS DST patches are available in Note 412160.1

Step 6: Upgrade Database to 18c

Shut down the database.

SQL> SHUTDOWN IMMEDIATE

 

Steps specific to Windows :

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

a. 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:

C:\> NET STOP OracleServiceORCL

b. Delete the Oracle service at a command prompt using ORADIM. Refer to your platform guide for a complete list of the ORADIM syntax and commands.
For example, if your SID is ORCL, then enter the following command.

C:\> ORADIM -DELETE -SID ORCL

c. Create the service for the new release Oracle Database at a command prompt using the ORADIM command of the new Oracle Database release.
For example:

C:\> ORADIM -NEW -SID SID -SYSPWD PASSWORD -MAXUSERS USERS  -STARTMODE AUTO -PFILE ORACLE_HOME\DATABASE\INITSID.ORA

 

For Unix/Linux

Set the environment variables to point to target ORACLE_HOME

export ORACLE_HOME=<path to Oracle 18c>
export PATH=$ORACLE_HOME/bin:$PATH
export ORACLE_BASE=<path to Oracle_Base set during installation>

Copy the SPFILE.ORA or INIT.ORA file from the old Oracle home to the target Oracle home.

Start DB in upgrade mode from target ORACLE_HOME

CONNECT / AS SYSDBA
SQL> startup upgrade;
SQL> exit

On Linux/Unix

cd $ORACLE_HOME/bin
./dbupgrade 

On Windows

cd %ORACLE_HOME%\bin
dbupgrade

Execute Post-Upgrade Status Tool, utlu122s.sql and review the upgrade spool log file.  You run the Post-Upgrade Status Tool in the environment of the new release.

$ sqlplus “/as sysdba”
SQL> STARTUP
SQL> @utlu122s.sql

Verify the upgrade log whether catuppst.sql (under $ORACLE_HOME/cfgtoollogs/<SID>/upgrade<timestamp>/) has been executed or not.  If not, execute it manually from new ORACLE_HOME, located at $ORACLE_HOME/rdbms/admin directory.  If there are no errors during upgrade, then you can skip this step, since upgrade script will execute this by default.

SQL> @catuppst.sql

Run utlrp.sql to recompile any remaining stored PL/SQL and Java code in another session.

SQL> @utlrp.sql

Check the state of the Oracle Data Dictionary for diagnosing upgrades and migrations.  The dbupgdiag.sql script collects upgrade and migration diagnostic information about the current state of the data dictionary.  You can run the script in SQL*Plus on the upgraded database as the SYS user.  Refer 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.

If you are using Oracle Clusterware, then you must upgrade the Oracle Clusterware keys for the database.  Run srvctl for Oracle Database 18c to upgrade the database. For example:

ORACLE_HOME/bin/srvctl upgrade database -db name -o ORACLE_HOME

 

 

Step 7: Post-upgrade

Setting Environment variables on Linux and Unix

Confirm that the following environment variables point to the directories of the new Oracle home:

ORACLE_HOME
PATH

Update oratab entries

Modify the corresponding entry in the /etc/oratab file to point to the new ORACLE_HOME location.

Post-upgrade fixup script

Execute post-upgrade fixup scripts generated by the pre-upgrade script.

 

SQL> @postupgrade_fixups.sql

Recovery Catalog Upgrade

If you use a version of the recovery catalog schema that is older than that required by the RMAN client, then you must upgrade it. You can upgrade the Recovery catalog by executing the UPGRADE CATALOG command

Please refer to Oracle documentation under “Upgrading the Recovery Catalog” for complete information and steps

Upgrade the Time Zone File Version After Upgrading Oracle Database

If the Pre-Upgrade Information Tool instructed you to upgrade the time zone files after completing the database upgrade,
then use the DBMS_DST PL/SQL package to update the RDBMS DST (timezone) version.

Follow the procedure in Oracle documentation under “Steps to Upgrade Time Zone File and Timestamp with Time Zone Data” and Note 1509653.1 “Updating the RDBMS DST version in 12c Release 1 (12.1.0.1 and up) using DBMS_DST”

Upgrading Statistics Tables

If you created statistics tables using the DBMS_STATS.CREATE_STAT_TABLE procedure, then upgrade these tables by running DBMS_STATS.UPGRADE_STAT_TABLE.  In the following example, SYS is the owner of the statistics table and ‘dictstattab’ is the name of the statistics table.

EXECUTE DBMS_STATS.UPGRADE_STAT_TABLE(‘SYS’, ‘dictstattab’);

Perform this procedure for each statistics table.

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