Upgrade Oracle Database from 11gR2 to 12cR2 Using DBUA

This article provides an overview of upgrading an existing non-CDB database from Oracle 11.2.0.4 to Oracle 12.2.0.1. Upgrades can be very complicated, so this is highly recommended to read the oracle provided manual and test thoroughly before considering an upgrade of a production environment.

1. Upgrade Path for 12.2 Oracle database:

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

2.1. Take a cold or hot back up of the source database:

During database upgradation cutover window, we can take backup. Details on session 5.6.

2.2. Disable any custom triggers that would get executed before / after DDL:

No Custom Trigger.

2.3. Timezone should less than or equal to target database timezone version:

SQL> select TZ_VERSION from registry$database;

TZ_VERSION
----------
        14

SQL> COL VALUE FOR A20
SQL> COL PROPERTY_NAME FOR A50
SQL> SET LINESIZE 150
SQL>
SQL> SELECT PROPERTY_NAME, SUBSTR(property_value, 1, 30) value
 FROM DATABASE_PROPERTIES
 WHERE PROPERTY_NAME LIKE 'DST_%'; 

PROPERTY_NAME                                      VALUE
-------------------------------------------------- --------------------
DST_UPGRADE_STATE                                  NONE
DST_PRIMARY_TT_VERSION                             14
DST_SECONDARY_TT_VERSION                           0

2.4. Upgrade APEX in the source DB first before upgrading DB:

If APEX is installed on your database then it is recommended to upgrade APEX in the source DB first before upgrading DB.

3. Requirements and recommendations for target database:

  • Install Oracle Database 12.2.0.1 (Software Only)
  • Install 12.2.0.1, verify there are no installation related issues.
  • Download and install latest PSU if any
  • Copy spfile or pfile from source ORACLE_HOME (under $ORACLE_HOME/dbs) to target home
  • Remove any _parameter, obsolete and deprecated parameters in pfile
  • Note min value of COMPATIBLE parameter to upgrade 12.2 is “11.2.0”, make sure you have COMPATIBLE parameter is set to 11.2.0 or greater

3.1. Perform Oracle Installation Prerequisites:

[root@dbupgrade ~]# yum install oracle-database-server-12cR2-preinstall -y
Loaded plugins: langpacks
ol7_UEKR3                                                                                           | 2.5 kB  00:00:00
ol7_latest                                                                                          | 2.7 kB  00:00:00
Resolving Dependencies
--> Running transaction check
---> Package oracle-database-server-12cR2-preinstall.x86_64 0:1.0-5.el7 will be installed
--> Finished Dependency Resolution

Dependencies Resolved

===========================================================================================================================
 Package                                             Arch               Version               Repository              Size
===========================================================================================================================
Installing:
 oracle-database-server-12cR2-preinstall             x86_64             1.0-5.el7             ol7_latest              19 k

Transaction Summary
===========================================================================================================================
Install  1 Package

Total download size: 19 k
Installed size: 55 k
Downloading packages:
oracle-database-server-12cR2-preinstall-1.0-5.el7.x86_64.rpm                                        |  19 kB  00:00:01
Running transaction check
Running transaction test
Transaction test succeeded
Running transaction
  Installing : oracle-database-server-12cR2-preinstall-1.0-5.el7.x86_64                                                1/1
  Verifying  : oracle-database-server-12cR2-preinstall-1.0-5.el7.x86_64                                                1/1

Installed:
  oracle-database-server-12cR2-preinstall.x86_64 0:1.0-5.el7

Complete!

3.2. Install Oracle Database 12.2.0.1 (Software Only):

./runInstaller -ignorePrereq -waitforcompletion -silent  \
    -responseFile /u01/software/database/response/db_install.rsp               \
    oracle.install.option=INSTALL_DB_SWONLY                                    \
    ORACLE_HOSTNAME=dbupgrade.localdomain                                         \
    UNIX_GROUP_NAME=oinstall                                                   \
    INVENTORY_LOCATION=/u01/app/oraInventory                                  \
    SELECTED_LANGUAGES=en                             		                   \
    ORACLE_HOME=/u01/app/oracle/product/12.2.0.1/dbhome_1                      \
    ORACLE_BASE=/u01/app/oracle                                                 \
    oracle.install.db.InstallEdition=EE                                        \
    oracle.install.db.OSDBA_GROUP=dba                                          \
    oracle.install.db.OSBACKUPDBA_GROUP=dba                                    \
    oracle.install.db.OSDGDBA_GROUP=dba                                        \
    oracle.install.db.OSKMDBA_GROUP=dba                                        \
    oracle.install.db.OSRACDBA_GROUP=dba                                       \
    SECURITY_UPDATES_VIA_MYORACLESUPPORT=false                                 \
    DECLINE_SECURITY_UPDATES=true

Starting Oracle Universal Installer...

Checking Temp space: must be greater than 500 MB.   Actual 16889 MB    Passed
Checking swap space: must be greater than 150 MB.   Actual 6143 MB    Passed
Preparing to launch Oracle Universal Installer from /tmp/OraInstall2020-10-05_02-42-58PM. Please wait ...[WARNING] [INS-32016] The selected Oracle home contains directories or files.
   ACTION: To start with an empty Oracle home, either remove its contents or choose another location.
You can find the log of this install session at:
 /u01/app/oraInventory/logs/installActions2020-10-05_02-42-58PM.log

The installation of Oracle Database 12c was successful.
Please check '/u01/app/oraInventory/logs/silentInstall2020-10-05_02-42-58PM.log' for more details.

As a root user, execute the following script(s):
        1. /u01/app/oraInventory/orainstRoot.sh
        2. /u01/app/oracle/product/12.2.0.1/dbhome_1/root.sh



Successfully Setup Software.

3.3. Run root script:

[oracle@dbupgrade database]$ su - root
Password:
Last login: Sun Oct  4 23:23:22 EDT 2020 from 192.168.56.1 on pts/0
[root@dbupgrade ~]# /u01/app/oraInventory/orainstRoot.sh
Changing permissions of /u01/app/oraInventory.
Adding read,write permissions for group.
Removing read,write,execute permissions for world.

Changing groupname of /u01/app/oraInventory to oinstall.
The execution of the script is complete.
[root@dbupgrade ~]# /u01/app/oracle/product/12.2.0.1/dbhome_1/root.sh
Check /u01/app/oracle/product/12.2.0.1/dbhome_1/install/root_dbupgrade.localdomain_2020-10-05_14-49-20-407901660.log for the output of root script

3.4. Install 12.2.0.1, verify there are no installation related issues:

Verified and No error.

3.5. Copy spfile or pfile from source database 11.2.0.4 to target database 12.2.0.1:

SQL> show parameter spfile

NAME                                 TYPE        VALUE
------------------------------------ ----------- ------------------------------
spfile                               string      /u01/app/oracle/product/11.2.0/dbhome_1/dbs/spfileorcl.ora

[oracle@dbupgrade dbs]$ pwd
/u01/app/oracle/product/11.2.0/dbhome_1/dbs
[oracle@dbupgrade dbs]$ ls -lrt
total 24
-rw-r--r--. 1 oracle oinstall 2851 May 15  2009 init.ora
-rw-r-----. 1 oracle oinstall   24 Oct  4 15:56 lkORCL
-rw-r-----. 1 oracle oinstall 1536 Oct  4 15:56 orapworcl
-rw-r-----. 1 oracle oinstall  931 Oct  5 15:05 pfile_orcl.ora
-rw-rw----. 1 oracle oinstall 1544 Oct  5 15:10 hc_orcl.dat
-rw-r-----. 1 oracle oinstall 2560 Oct  5 15:10 spfileorcl.ora

[oracle@dbupgrade dbs]$ cp *ora /u01/app/oracle/product/12.2.0.1/dbhome_1/dbs
[oracle@dbupgrade dbs]$ cp orapworcl /u01/app/oracle/product/12.2.0.1/dbhome_1/dbs

3.6. COMPATIBLE Values (should be minimum 11.2 on source DB):

SQL> show parameter COMPATIBLE

NAME                                 TYPE        VALUE
------------------------------------ ----------- ------------------------------
compatible                           string      11.2.0.4.0

4. Pre-upgrade Checks:

  • 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.

4.1 Download dbupgdiag.sql and execute on source database:

SQL> @dbupgdiag.sql

Enter location for Spooled output:

Enter value for 1: /home/oracle

06_Oct_2020_0113 .log

orcl_



                          *** Start of LogFile ***

  Oracle Database Upgrade Diagnostic Utility       10-06-2020 13:13:59

===============
Hostname
===============

dbupgrade.localdomain

===============
Database Name
===============

ORCL

===============
Database Uptime
===============

12:58 06-OCT-20

=================
Database Wordsize
=================

This is a 64-bit database

================
Software Version
================

Oracle Database 11g Enterprise Edition Release 11.2.0.4.0 - 64bit Production
PL/SQL Release 11.2.0.4.0 - Production
CORE    11.2.0.4.0      Production
TNS for Linux: Version 11.2.0.4.0 - Production
NLSRTL Version 11.2.0.4.0 - Production

=============
Compatibility
=============

Compatibility is set as 11.2.0.4.0

================
Archive Log Mode
================

Database log mode              Archive Mode
Automatic archival             Enabled
Archive destination            USE_DB_RECOVERY_FILE_DEST
Oldest online log sequence     1
Next log sequence to archive   3
Current log sequence           3

================
Auditing Check
================
NAME                                 TYPE        VALUE
------------------------------------ ----------- ------------------------------
audit_file_dest                      string      /u01/app/oracle/admin/orcl/adu
                                                 mp
audit_sys_operations                 boolean     FALSE
audit_syslog_level                   string
audit_trail                          string      DB

================
Cluster Check
================

NAME                                 TYPE        VALUE
------------------------------------ ----------- ------------------------------
cluster_database                     boolean     FALSE
cluster_database_instances           integer     1

DOC>################################################################
DOC>
DOC> If CLUSTER_DATABASE is set to TRUE, change it to FALSE before
DOC> upgrading the database
DOC>
DOC>################################################################
DOC>#

===========================================
Tablespace and the owner of the aud$ table  ( IF Oracle Label Security and Oracle Database Vault are installed then aud$ will be in SYSTEM.AUD$)
===========================================

OWNER        TABLESPACE_NAME
------------ ------------------------------
SYS          SYSTEM

============================================================================
count of records in the sys.aud$ table where dbid is null- Standard Auditing
============================================================================

         0

============================================================================================
count of records in the system.aud$ when dbid is null, Std Auditing with OLS or DV installed
============================================================================================
select count(*) from system.aud$ where dbid is null
                            *
ERROR at line 1:
ORA-00942: table or view does not exist

=============================================================================
count of records in the sys.fga_log$ when dbid is null, Fine Grained Auditing
=============================================================================

         0

==========================================
Oracle Label Security is installed or not
==========================================

Oracle Label Security is NOT installed at database level

================
Number of AQ Records in Message Queue Tables
================

SYS - ALERT_QT - 0
SYS - AQ$_MEM_MC - 0
SYS - AQ_EVENT_TABLE - 0
SYS - AQ_PROP_TABLE - 0
SYS - KUPC$DATAPUMP_QUETAB - 0
SYS - SCHEDULER$_EVENT_QTAB - 0
SYS - SCHEDULER$_REMDB_JOBQTAB - 0
SYS - SCHEDULER_FILEWATCHER_QT - 0
SYS - SYS$SERVICE_METRICS_TAB - 0
SYSMAN - MGMT_LOADER_QTABLE - 0
SYSMAN - MGMT_NOTIFY_INPUT_QTABLE - 0
SYSMAN - MGMT_NOTIFY_QTABLE - 0
SYSMAN - MGMT_PAF_MSG_QTABLE_1 - 0
SYSMAN - MGMT_PAF_MSG_QTABLE_2 - 0
SYSMAN - MGMT_TASK_QTABLE - 27
SYSTEM - DEF$_AQCALL - 0
SYSTEM - DEF$_AQERROR - 0
WMSYS - WM$EVENT_QUEUE_TABLE - 0

================
Time Zone version
================


        14

================
Local Listener
================

================
Default and Temporary Tablespaces By User
================
USERNAME                     TEMPORARY_TABLESPACE   DEFAULT_TABLESPACE
---------------------------- ---------------------- ----------------------
SYS                          TEMP                   SYSTEM
SYSTEM                       TEMP                   SYSTEM
OUTLN                        TEMP                   SYSTEM
MGMT_VIEW                    TEMP                   SYSTEM
FLOWS_FILES                  TEMP                   SYSAUX
MDSYS                        TEMP                   SYSAUX
ORDSYS                       TEMP                   SYSAUX
EXFSYS                       TEMP                   SYSAUX
DBSNMP                       TEMP                   SYSAUX
WMSYS                        TEMP                   SYSAUX
APPQOSSYS                    TEMP                   SYSAUX
APEX_030200                  TEMP                   SYSAUX
OWBSYS_AUDIT                 TEMP                   SYSAUX
ORDDATA                      TEMP                   SYSAUX
CTXSYS                       TEMP                   SYSAUX
ANONYMOUS                    TEMP                   SYSAUX
SYSMAN                       TEMP                   SYSAUX
XDB                          TEMP                   SYSAUX
ORDPLUGINS                   TEMP                   SYSAUX
OWBSYS                       TEMP                   SYSAUX
SI_INFORMTN_SCHEMA           TEMP                   SYSAUX
OLAPSYS                      TEMP                   SYSAUX
SCOTT                        TEMP                   USERS
ORACLE_OCM                   TEMP                   USERS
XS$NULL                      TEMP                   USERS
MDDATA                       TEMP                   USERS
DIP                          TEMP                   USERS
APEX_PUBLIC_USER             TEMP                   USERS
SPATIAL_CSW_ADMIN_USR        TEMP                   USERS
SPATIAL_WFS_ADMIN_USR        TEMP                   USERS


================
Component Status
================

Comp ID Component                          Status    Version        Org_Version    Prv_Version
------- ---------------------------------- --------- -------------- -------------- --------------
AMD     OLAP Catalog                       VALID     11.2.0.4.0
APEX    Oracle Application Express         VALID     3.2.1.00.12
APS     OLAP Analytic Workspace            VALID     11.2.0.4.0
CATALOG Oracle Database Catalog Views      VALID     11.2.0.4.0
CATJAVA Oracle Database Java Packages      VALID     11.2.0.4.0
CATPROC Oracle Database Packages and Types VALID     11.2.0.4.0
CONTEXT Oracle Text                        VALID     11.2.0.4.0
EM      Oracle Enterprise Manager          VALID     11.2.0.4.0
EXF     Oracle Expression Filter           VALID     11.2.0.4.0
JAVAVM  JServer JAVA Virtual Machine       VALID     11.2.0.4.0
ORDIM   Oracle Multimedia                  VALID     11.2.0.4.0
OWB     OWB                                VALID     11.2.0.4.0
OWM     Oracle Workspace Manager           VALID     11.2.0.4.0
RUL     Oracle Rules Manager               VALID     11.2.0.4.0
SDO     Spatial                            VALID     11.2.0.4.0
XDB     Oracle XML Database                VALID     11.2.0.4.0
XML     Oracle XDK                         VALID     11.2.0.4.0
XOQ     Oracle OLAP API                    VALID     11.2.0.4.0



======================================================
List of Invalid Database Objects Owned by SYS / SYSTEM
======================================================


Number of Invalid Objects
------------------------------------------------------------------
There are no Invalid Objects

DOC>################################################################
DOC>
DOC> If there are no Invalid objects below will result in zero rows.
DOC>
DOC>################################################################
DOC>#


no rows selected


================================
List of Invalid Database Objects
================================


Number of Invalid Objects
------------------------------------------------------------------
There are no Invalid Objects

DOC>################################################################
DOC>
DOC> If there are no Invalid objects below will result in zero rows.
DOC>
DOC>################################################################
DOC>#


no rows selected


======================================================
Count of Invalids by Schema
======================================================

==============================================================
Identifying whether a database was created as 32-bit or 64-bit
==============================================================

DOC>###########################################################################
DOC>
DOC> Result referencing the string 'B023' ==> Database was created as 32-bit
DOC> Result referencing the string 'B047' ==> Database was created as 64-bit
DOC> When String results in 'B023' and when upgrading database to 10.2.0.3.0
DOC> (64-bit) , For known issue refer below articles
DOC>
DOC> Note 412271.1 ORA-600 [22635] and ORA-600 [KOKEIIX1] Reported While
DOC>               Upgrading Or Patching Databases To 10.2.0.3
DOC> Note 579523.1 ORA-600 [22635], ORA-600 [KOKEIIX1], ORA-7445 [KOPESIZ] and
DOC>              OCI-21500 [KOXSIHREAD1] Reported While Upgrading To 11.1.0.6
DOC>
DOC>###########################################################################
DOC>#


Metadata Initial DB Creation Info
-------- -----------------------------------
B047     Database was created as 64-bit

===================================================
Number of Duplicate Objects Owned by SYS and SYSTEM
===================================================

Counting duplicate objects ....


  COUNT(1)
----------
         0

=========================================
Duplicate Objects Owned by SYS and SYSTEM
=========================================

Querying duplicate objects ....


DOC>
DOC>################################################################################
DOC>Below are expected and required duplicates objects and OMITTED in the report .
DOC>
DOC>Without replication installed:
DOC>INDEX           AQ$_SCHEDULES_PRIMARY
DOC>TABLE           AQ$_SCHEDULES
DOC>
DOC>If replication is installed by running catrep.sql:
DOC>INDEX           AQ$_SCHEDULES_PRIMARY
DOC>PACKAGE         DBMS_REPCAT_AUTH
DOC>PACKAGE BODY        DBMS_REPCAT_AUTH
DOC>TABLE           AQ$_SCHEDULES
DOC>
DOC>If any objects found please follow below article.
DOC>Note 1030426.6 How to Clean Up Duplicate Objects Owned by SYS and SYSTEM schema
DOC>Read the Exceptions carefully before taking actions.
DOC>
DOC>################################################################################
DOC>#

========================
Password protected roles
========================

DOC>
DOC>################################################################################
DOC>
DOC> In version 11.2 password protected roles are no longer enabled by default so if
DOC> an application relies on such roles being enabled by default and no action is
DOC> performed to allow the user to enter the password with the set role command, it
DOC> is recommended to remove the password from those roles (to allow for existing
DOC> privileges to remain available). For more information see:
DOC>
DOC> Note 745407.1 : What Roles Can Be Set as Default for a User?
DOC>
DOC>################################################################################
DOC>#

Querying for password protected roles ....


Password protected Role        Assigned by default to user
------------------------------ ------------------------------
OWB$CLIENT                     OWBSYS

================
JVM Verification
================


================================================
Checking Existence of Java-Based Users and Roles
================================================

DOC>
DOC>################################################################################
DOC>
DOC> There should not be any Java Based users for database version 9.0.1 and above.
DOC> If any users found, it is faulty JVM.
DOC>
DOC>################################################################################
DOC>#


User Existence
---------------------------
No Java Based Users

DOC>
DOC>###############################################################
DOC>
DOC> Healthy JVM Should contain Six Roles. For 12.2 Seven Roles
DOC> If there are more or less than six role, JVM is inconsistent.
DOC>
DOC>###############################################################
DOC>#


Role
------------------------------
There are 6 JAVA related roles

Roles


ROLE
------------------------------
JAVA_DEPLOY
JAVAUSERPRIV
JAVAIDPRIV
JAVASYSPRIV
JAVADEBUGPRIV
JAVA_ADMIN

=========================================
List of Invalid Java Objects owned by SYS
=========================================

There are no SYS owned invalid JAVA objects

DOC>
DOC>#################################################################
DOC>
DOC> Check the status of the main JVM interface packages DBMS_JAVA
DOC> and INITJVMAUX and make sure it is VALID.
DOC>
DOC> If there are no Invalid objects below will result in zero rows.
DOC>
DOC>#################################################################
DOC>#


no rows selected


DOC>
DOC>#################################################################
DOC>
DOC> If the JAVAVM component is not installed in the database (for
DOC> example, after creating the database with custom scripts), the
DOC> next query will report the following error:
DOC>
DOC>   select dbms_java.longname('foo') "JAVAVM TESTING" from dual
DOC>   *
DOC>   ERROR at line 1:
DOC>   ORA-00904: "DBMS_JAVA"."LONGNAME": invalid identifier
DOC>
DOC> If the JAVAVM component is installed, the query should succeed
DOC> with 'foo' as result.
DOC>
DOC>#################################################################
DOC>#


JAVAVM TESTING
---------------
foo

===================================
Oracle Multimedia/InterMedia status
===================================

.
Oracle Multimedia/interMedia is installed and listed with the following version: 11.2.0.4.0 and status: VALID
.
Checking for installed Database Schemas...
ORDSYS user exists.
ORDPLUGINS user exists.
MDSYS user exists.
SI_INFORMTN_SCHEMA user exists.
ORDDATA user exists.
.
Checking for Prerequisite Components...
JAVAVM installed and listed as valid
XDK installed and listed as valid
XDB installed and listed as valid
Validating Oracle Multimedia/interMedia...(no output if component status is valid)

PL/SQL procedure successfully completed.


                            *** End of LogFile ***



Upload db_upg_diag_orcl_06_Oct_2020_0113.log from "/home/oracle" directory

5. Preupgrade Step:

5.1 Run Preupgrade Script:

[oracle@dbupgrade dbs]$ export ORACLE_11G_HOME=/u01/app/oracle/product/11.2.0/dbhome_1
[oracle@dbupgrade dbs]$ export ORACLE_12C_HOME=/u01/app/oracle/product/12.2.0.1/dbhome_1
[oracle@dbupgrade dbs]$
[oracle@dbupgrade dbs]$ $ORACLE_11G_HOME/jdk/bin/java -jar $ORACLE_12C_HOME/rdbms/admin/preupgrade.jar FILE TERMINAL TEXT

Report generated by Oracle Database Pre-Upgrade Information Tool Version
12.2.0.1.0

Upgrade-To version: 12.2.0.1.0

=======================================
Status of the database prior to upgrade
=======================================

      Database Name:  ORCL
     Container Name:  Not Applicable in Pre-12.1 database
       Container ID:  Not Applicable in Pre-12.1 database
            Version:  11.2.0.4.0
         Compatible:  11.2.0.4.0
          Blocksize:  8192
           Platform:  Linux x86 64-bit
      Timezone File:  14
  Database log mode:  NOARCHIVELOG
           Readonly:  FALSE
            Edition:  EE

  Oracle Component                       Upgrade Action    Current Status
  ----------------                       --------------    --------------
  Oracle Server                          [to be upgraded]  VALID
  JServer JAVA Virtual Machine           [to be upgraded]  VALID
  Oracle XDK for Java                    [to be upgraded]  VALID
  Oracle Workspace Manager               [to be upgraded]  VALID
  OLAP Analytic Workspace                [to be upgraded]  VALID
  Oracle Enterprise Manager Repository   [to be upgraded]  VALID
  Oracle Text                            [to be upgraded]  VALID
  Oracle XML Database                    [to be upgraded]  VALID
  Oracle Java Packages                   [to be upgraded]  VALID
  Oracle Multimedia                      [to be upgraded]  VALID
  Oracle Spatial                         [to be upgraded]  VALID
  Expression Filter                      [to be upgraded]  VALID
  Rule Manager                           [to be upgraded]  VALID
  Oracle Application Express             [to be upgraded]  VALID
  Oracle OLAP API                        [to be upgraded]  VALID


==============
BEFORE UPGRADE
==============

  Run <preupgradeLogDirPath>/preupgrade_fixups.sql to complete all
  of the BEFORE UPGRADE action items below marked with '(AUTOFIXUP)'.

  REQUIRED ACTIONS
  ================
   + Adjust TABLESPACE SIZES as needed.
                                                Auto      12.2.0.1.0
     Tablespace                        Size     Extend    Min Size    Action
     ----------                     ----------  --------  ----------  ------

     SYSAUX                             490 MB  ENABLED      1404 MB  None
     SYSTEM                             740 MB  ENABLED      1245 MB  None
     TEMP                                20 MB  ENABLED       150 MB  None
     UNDOTBS1                            30 MB  ENABLED       400 MB  None

     Note that 12.2.0.1.0 minimum sizes are estimates.
     If you plan to upgrade multiple pluggable databases concurrently,
     then you must ensure that the UNDO tablespace size is equal to at least
     the number of pluggable databases that you upgrade concurrently,
     multiplied by that minimum.  Failing to allocate sufficient space can
     cause the upgrade to fail.




   + Update NUMERIC INITIALIZATION PARAMETERS to meet estimated minimums.

     Parameter                         12.2.0.1.0 minimum
     ---------                         ------------------
     processes                                        300

  RECOMMENDED ACTIONS
  ===================
   + Remove the EM repository.

     - Copy the $ORACLE_HOME/rdbms/admin/emremove.sql script from the target
     12.2.0.1.0 ORACLE_HOME into the source 11.2.0.4.0 ORACLE_HOME.

     Step 1: If database control is configured, stop EM Database Control,
     using the following command

       $> emctl stop dbconsole

     Step 2: Connect to the database using the SYS account AS SYSDBA

       SET ECHO ON;
       SET SERVEROUTPUT ON;
      @emremove.sql

     Without the set echo and serveroutput commands, you will not be able to
     follow the progress of the script.

     The database has an Enterprise Manager Database Control repository.

     Starting with Oracle Database 12c, the local Enterprise Manager Database
     Control does not exist anymore. The repository will be removed from your
     database during the upgrade.  This step can be manually performed before
     the upgrade to reduce downtime.

   + Remove OLAP Catalog by running the 11.2.0.4.0 SQL script
     $ORACLE_HOME/olap/admin/catnoamd.sql script.

     The OLAP Catalog component, AMD, exists in the database.

     Starting with Oracle Database 12c, the OLAP Catalog (OLAP AMD) is
     desupported and will be automatically marked as OPTION OFF during the
     database upgrade if present. Oracle recommends removing OLAP Catalog
     (OLAP AMD) before database upgrade.

   + (AUTOFIXUP) Gather stale data dictionary statistics prior to database
     upgrade in off-peak time using:

      EXECUTE DBMS_STATS.GATHER_DICTIONARY_STATS;

     Dictionary statistics do not exist or are stale (not up-to-date).

     Dictionary statistics help the Oracle optimizer find efficient SQL
     execution plans and are essential for proper upgrade timing. Oracle
     recommends gathering dictionary statistics in the last 24 hours before
     database upgrade.

     For information on managing optimizer statistics, refer to the 11.2.0.4
     Oracle Database Performance Tuning Guide.

   + Directly grant ADMINISTER DATABASE TRIGGER privilege to the owner of the
     trigger or drop and re-create the trigger with a user that was granted
     directly with such. You can list those triggers using "SELECT OWNER,
     TRIGGER_NAME FROM DBA_TRIGGERS WHERE BASE_OBJECT_TYPE=''DATABASE'' AND
     OWNER NOT IN (SELECT GRANTEE FROM DBA_SYS_PRIVS WHERE
     PRIVILEGE=''ADMINISTER DATABASE TRIGGER'')"

     There is one or more database triggers whose owner does not have the
     right privilege on the database.

     The creation of database triggers must be done by users granted with
     ADMINISTER DATABASE TRIGGER privilege. Privilege must have been granted
     directly.

  INFORMATION ONLY
  ================
   + Consider upgrading APEX manually, before the database upgrade.

     The database contains APEX version 3.2.1.00.12 and will need to be
     upgraded to at least version 5.0.4.00.12.

     To reduce database upgrade time, you can upgrade APEX manually before
     the database upgrade.  Refer to My Oracle Support Note 1088970.1 for
     information on APEX installation upgrades.

=============
AFTER UPGRADE
=============

  Run <preupgradeLogDirPath>/postupgrade_fixups.sql to complete all
  of the AFTER UPGRADE action items below marked with '(AUTOFIXUP)'.

  REQUIRED ACTIONS
  ================
  None

  RECOMMENDED ACTIONS
  ===================
   + Upgrade the database time zone version using the DBMS_DST package.

     The database is using timezone datafile version 14 and the target
     12.2.0.1.0 database ships with timezone datafile version 26.

     Oracle recommends using the most recent timezone data.  For further
     information, refer to My Oracle Support Note 1585343.1.

   + (AUTOFIXUP) Gather dictionary statistics after the upgrade using the
     command:

       EXECUTE DBMS_STATS.GATHER_DICTIONARY_STATS;

     Oracle recommends gathering dictionary statistics after upgrade.

     Dictionary statistics provide essential information to the Oracle
     optimizer to help it find efficient SQL execution plans. After a
     database upgrade, statistics need to be re-gathered as there can now be
     tables that have significantly changed during the upgrade or new tables
     that do not have statistics gathered yet.

   + Gather statistics on fixed objects two weeks after the upgrade using the
     command:

       EXECUTE DBMS_STATS.GATHER_FIXED_OBJECTS_STATS;

     This recommendation is given for all preupgrade runs.

     Fixed object statistics provide essential information to the Oracle
     optimizer to help it find efficient SQL execution plans.  Those
     statistics are specific to the Oracle Database release that generates
     them, and can be stale upon database upgrade.

  INFORMATION ONLY
  ================
   + Check the Oracle documentation for the identified components for their
     specific upgrade procedure.

     The database upgrade script will not upgrade the following Oracle
     components:  OLAP Catalog,OWB

     The Oracle database upgrade script upgrades most, but not all Oracle
     Database components that may be installed.  Some components that are not
     upgraded may have their own upgrade scripts, or they may be deprecated
     or obsolete.

Preupgrade generated files:
    /u01/app/oracle/cfgtoollogs/orcl/preupgrade/preupgrade_fixups.sql
    /u01/app/oracle/cfgtoollogs/orcl/preupgrade/postupgrade_fixups.sql

5.2 Gather Dictionary Statistics:

SQL> EXECUTE DBMS_STATS.GATHER_DICTIONARY_STATS;

PL/SQL procedure successfully completed.

5.3. Compile Objects:

SQL> @?/rdbms/admin/utlrp.sql

TIMESTAMP
--------------------------------------------------------------------------------
COMP_TIMESTAMP UTLRP_BGN  2020-10-05 17:24:10

DOC>   The following PL/SQL block invokes UTL_RECOMP to recompile invalid
DOC>   objects in the database. Recompilation time is proportional to the
DOC>   number of invalid objects in the database, so this command may take
DOC>   a long time to execute on a database with a large number of invalid
DOC>   objects.
DOC>
DOC>   Use the following queries to track recompilation progress:
DOC>
DOC>   1. Query returning the number of invalid objects remaining. This
DOC>      number should decrease with time.
DOC>         SELECT COUNT(*) FROM obj$ WHERE status IN (4, 5, 6);
DOC>
DOC>   2. Query returning the number of objects compiled so far. This number
DOC>      should increase with time.
DOC>         SELECT COUNT(*) FROM UTL_RECOMP_COMPILED;
DOC>
DOC>   This script automatically chooses serial or parallel recompilation
DOC>   based on the number of CPUs available (parameter cpu_count) multiplied
DOC>   by the number of threads per CPU (parameter parallel_threads_per_cpu).
DOC>   On RAC, this number is added across all RAC nodes.
DOC>
DOC>   UTL_RECOMP uses DBMS_SCHEDULER to create jobs for parallel
DOC>   recompilation. Jobs are created without instance affinity so that they
DOC>   can migrate across RAC nodes. Use the following queries to verify
DOC>   whether UTL_RECOMP jobs are being created and run correctly:
DOC>
DOC>   1. Query showing jobs created by UTL_RECOMP
DOC>         SELECT job_name FROM dba_scheduler_jobs
DOC>            WHERE job_name like 'UTL_RECOMP_SLAVE_%';
DOC>
DOC>   2. Query showing UTL_RECOMP jobs that are running
DOC>         SELECT job_name FROM dba_scheduler_running_jobs
DOC>            WHERE job_name like 'UTL_RECOMP_SLAVE_%';
DOC>#

PL/SQL procedure successfully completed.

TIMESTAMP
--------------------------------------------------------------------------------
COMP_TIMESTAMP UTLRP_END  2020-10-05 17:24:10

DOC> The following query reports the number of objects that have compiled
DOC> with errors.
DOC>
DOC> If the number is higher than expected, please examine the error
DOC> messages reported with each object (using SHOW ERRORS) to see if they
DOC> point to system misconfiguration or resource constraints that must be
DOC> fixed before attempting to recompile these objects.
DOC>#

OBJECTS WITH ERRORS
-------------------
                  0

DOC> The following query reports the number of errors caught during
DOC> recompilation. If this number is non-zero, please query the error
DOC> messages in the table UTL_RECOMP_ERRORS to see if any of these errors
DOC> are due to misconfiguration or resource constraints that must be
DOC> fixed before objects can compile successfully.
DOC>#

ERRORS DURING RECOMPILATION
---------------------------
                          0

Function created.

PL/SQL procedure successfully completed.

Function dropped.

PL/SQL procedure successfully completed.

SQL>
SQL> select count(*) from dba_objects where status='INVALID';

  COUNT(*)
----------
         0

5.4. List of Invalid Objects:

SQL> select count(*) from dba_objects where status='INVALID';

  COUNT(*)
----------
         0

5.5. Purge Recyclebin:

SQL> PURGE DBA_RECYCLEBIN;

DBA Recyclebin purged.
SQL> @/u01/app/oracle/cfgtoollogs/orcl/preupgrade/preupgrade_fixups.sql
Executing Oracle PRE-Upgrade Fixup Script

Auto-Generated by:       Oracle Preupgrade Script
                         Version: 12.2.0.1.0 Build: 1
Generated on:            2020-10-05 15:42:49

For Source Database:     ORCL
Source Database Version: 11.2.0.4.0
For Upgrade to Version:  12.2.0.1.0

                          Fixup
Check Name                Status  Further DBA Action
----------                ------  ------------------
em_present                Failed  Manual fixup recommended.
amd_exists                Failed  Manual fixup recommended.
dictionary_stats          Passed  None
trgowner_no_admndbtrg     Failed  Manual fixup recommended.
apex_upgrade_msg          Failed  Manual fixup recommended.

PL/SQL procedure successfully completed.

5.6. Database Backup:

Highly recommended to take cold backup. If not possible due to database size and downtime, then take online database full backup using RMAN before starting actual upgradation, stop all application connection then take incremental or archive log backup.

RMAN> run
{
allocate channel ch01 type disk format '/u01/software/ch01_orcl%U.rman' ;
BACKUP AS COMPRESSED BACKUPSET DATABASE PLUS ARCHIVELOG;
release channel ch01;
}2> 3> 4> 5> 6>

allocated channel: ch01
channel ch01: SID=35 device type=DISK


Starting backup at 05-OCT-20
current log archived
channel ch01: starting compressed archived log backup set
channel ch01: specifying archived log(s) in backup set
input archived log thread=1 sequence=5 RECID=1 STAMP=1053027873
channel ch01: starting piece 1 at 05-OCT-20
channel ch01: finished piece 1 at 05-OCT-20
piece handle=/u01/software/ch01_orcl01vc7rh1_1_1.rman tag=TAG20201005T194433 comment=NONE
channel ch01: backup set complete, elapsed time: 00:00:01
Finished backup at 05-OCT-20

Starting backup at 05-OCT-20
channel ch01: starting compressed full datafile backup set
channel ch01: specifying datafile(s) in backup set
input datafile file number=00001 name=/u02/oradata/orcl/orcl/system01.dbf
input datafile file number=00002 name=/u02/oradata/orcl/orcl/sysaux01.dbf
input datafile file number=00003 name=/u02/oradata/orcl/orcl/undotbs01.dbf
input datafile file number=00004 name=/u02/oradata/orcl/orcl/users01.dbf
channel ch01: starting piece 1 at 05-OCT-20
channel ch01: finished piece 1 at 05-OCT-20
piece handle=/u01/software/ch01_orcl02vc7rh2_1_1.rman tag=TAG20201005T194434 comment=NONE
channel ch01: backup set complete, elapsed time: 00:00:25
Finished backup at 05-OCT-20

Starting backup at 05-OCT-20
current log archived
channel ch01: starting compressed archived log backup set
channel ch01: specifying archived log(s) in backup set
input archived log thread=1 sequence=6 RECID=2 STAMP=1053027899
channel ch01: starting piece 1 at 05-OCT-20
channel ch01: finished piece 1 at 05-OCT-20
piece handle=/u01/software/ch01_orcl03vc7rhr_1_1.rman tag=TAG20201005T194459 comment=NONE
channel ch01: backup set complete, elapsed time: 00:00:01
Finished backup at 05-OCT-20

Starting Control File and SPFILE Autobackup at 05-OCT-20
piece handle=/u01/app/oracle/fast_recovery_area/ORCL/autobackup/2020_10_05/o1_mf_s_1053027900_hqqczx1g_.bkp comment=NONE
Finished Control File and SPFILE Autobackup at 05-OCT-20

released channel: ch01

5.7. Create a Flashback Guaranteed Restore Point:

Flashback Guaranteed Restoration option will help you to restore your database from any point (if failed or need to roll backup the upgradation processes) to earlier point and it will simple to restore and will save time.

SQL> select flashback_on from v$database;

FLASHBACK_ON
------------------
NO

SQL> select name,open_mode,log_mode from v$database;

NAME      OPEN_MODE            LOG_MODE
--------- -------------------- ------------
ORCL      READ WRITE           ARCHIVELOG

SQL> show parameter compatible

NAME                                 TYPE        VALUE
------------------------------------ ----------- ------------------------------
compatible                           string      11.2.0.4.0
SQL> show parameter recovery

NAME                                 TYPE        VALUE
------------------------------------ ----------- ------------------------------
db_recovery_file_dest                string      /u01/app/oracle/fast_recovery_area                                            db_recovery_file_dest_size           big integer 4182M
recovery_parallelism                 integer     0

SQL> alter system set db_recovery_file_dest_size=10G scope=both;

System altered.

SQL> show parameter recovery

NAME                                 TYPE        VALUE
------------------------------------ ----------- ------------------------------
db_recovery_file_dest                string      /u01/app/oracle/fast_recovery_area
db_recovery_file_dest_size           big integer 10G
recovery_parallelism                 integer     0

SQL> select * from V$restore_point;

no rows selected

SQL> create restore point pre_upgrade guarantee flashback database;

Restore point created.

SQL> col name for a20
col GUARANTEE_FLASHBACK_DATABASE for a10
col TIME for a60
set lines 190

SQL>
SQL> select NAME,GUARANTEE_FLASHBACK_DATABASE,TIME from V$restore_point;

NAME                 GUARANTEE_ TIME
-------------------- ---------- ------------------------------------------------------------
PRE_UPGRADE          YES        05-OCT-20 07.56.01.000000000 PM

6. Upgrade Database to 12.2 using DBUA:

6.1. Set Environment Variable (Target Oracle Home -> 12.2.0.1) and run DBUA:

[oracle@dbupgrade ~]$ export ORACLE_HOME=/u01/app/oracle/product/12.2.0.1/dbhome_1
[oracle@dbupgrade ~]$ export PATH=$PATH:$ORACLE_HOME/bin
[oracle@dbupgrade ~]$ dbua

6.2. DBUA:

6.2.1. Select Database which you want to upgrade to 12.2.0.1. Click Next…

6.2.2. Prerequisite Check: Don’t avoid any error and must fix it before upgradation. Avoid Warning carefully. Click Next if you are ok with Prerequisite Checks. Click Next…

6.2.3. Click Yes to confirmation as you are avoiding warning. Click Next…

6.2.4. Choose options carefully. Click Next…

6.2.5. As you have taken backup, so select Flashback option, it will save your time to rollback if incase upgradation fail any reason. Click Next…

6.2.6. Choose Listener. If you have multiple database on source database and you not upgrading all, then Create new listener for target version. (make sure application use correct port if incase create new one). Click Next..

6.2.7. Click Next… (EM agent can be configured after upgradation)

6.2.8. Summary of upgradation: If happy with settings then Click on Finish otherwise Click back and change.

6.2.9. Upgradation is progressing.

Note::: Make sure no connection disturbance during upgradation.

6.2.10. Upgradation completed successfully. Click Close.

6.3. Upgrade Details:

[oracle@dbupgrade orcl]$ pwd
/u01/app/oracle/cfgtoollogs/dbua/upgrade2020-10-05_08-14-14-PM/orcl
[oracle@dbupgrade orcl]$ ls -lrt
total 223716
drwxr-x---. 3 oracle oinstall        20 Oct  5 20:15 oracle
drwxr-x---. 3 oracle oinstall        23 Oct  5 20:15 upgrade
-rw-r-----. 1 oracle oinstall      5373 Oct  5 20:18 dbms_registry_basic.sql
-rw-r-----. 1 oracle oinstall     12693 Oct  5 20:18 dbms_registry_extended.sql
-rw-r-----. 1 oracle oinstall      7027 Oct  5 20:18 preupgrade_driver.sql
-rw-r-----. 1 oracle oinstall    390244 Oct  5 20:18 preupgrade_package.sql
-rw-r-----. 1 oracle oinstall     60144 Oct  5 20:18 preupgrade_messages.properties
-rw-r-----. 1 oracle oinstall      6511 Oct  5 20:18 preupgrade_fixups.sql
-rw-r-----. 1 oracle oinstall      6877 Oct  5 20:18 postupgrade_fixups.sql
-rw-r-----. 1 oracle oinstall      8497 Oct  5 20:18 upgrade.xml
-rw-r-----. 1 oracle oinstall      2882 Oct  5 20:27 PreUpgradeResults.html
-rw-r-----. 1 oracle oinstall        33 Oct  5 20:28 GatherDOStat.log
-rw-r-----. 1 oracle oinstall         0 Oct  5 20:28 Backup.log
-rw-r-----. 1 oracle oinstall       932 Oct  5 20:28 init.ora
-rwxr-xr-x. 1 oracle oinstall       314 Oct  5 20:28 createSPFile_orcl.sql
-rwxr-xr-x. 1 oracle oinstall       121 Oct  5 20:28 grpOpen_orcl.sql
-rwxr-xr-x. 1 oracle oinstall      1768 Oct  5 20:28 orcl_restore.sh
-rwxr-xr-x. 1 oracle oinstall        42 Oct  5 20:28 shutdown_orcl.sql
-rwxr-xr-x. 1 oracle oinstall        35 Oct  5 20:28 startup_orcl.sql
-rw-r-----. 1 oracle oinstall       398 Oct  5 20:28 PreUpgrade.log
-rw-r-----. 1 oracle oinstall        69 Oct  5 20:28 Migrate_Sid.log
-rw-r-----. 1 oracle oinstall       493 Oct  5 20:28 catupgrd_catcon_4556.lst
-rw-r-----. 1 oracle oinstall         0 Oct  5 20:53 catupgrd_datapatch_upgrade.err
-rw-r-----. 1 oracle oinstall       626 Oct  5 20:54 catupgrd_datapatch_upgrade.log
-rw-r-----. 1 oracle oinstall         0 Oct  5 20:57 catupgrd_datapatch_normal.err
-rw-r-----. 1 oracle oinstall       626 Oct  5 20:57 catupgrd_datapatch_normal.log
-rw-r-----. 1 oracle oinstall   7726264 Oct  5 20:58 catupgrd1.log
-rw-r-----. 1 oracle oinstall   6844746 Oct  5 20:58 catupgrd2.log
-rw-r-----. 1 oracle oinstall   7012481 Oct  5 20:58 catupgrd3.log
-rw-r-----. 1 oracle oinstall      1563 Oct  5 20:59 upg_summary.log
-rw-r-----. 1 oracle oinstall 206756476 Oct  5 20:59 catupgrd0.log
-rw-r-----. 1 oracle oinstall     10455 Oct  5 20:59 Oracle_Server.log
-rw-r-----. 1 oracle oinstall       716 Oct  5 21:04 Utlprp.log
-rw-r-----. 1 oracle oinstall      1537 Oct  5 21:06 UpgradeTimezone.log
-rw-r-----. 1 oracle oinstall       301 Oct  5 21:07 PostUpgrade.log
-rw-r-----. 1 oracle oinstall      6627 Oct  5 21:07 UpgradeResults.html
-rw-r-----. 1 oracle oinstall    108571 Oct  5 21:07 sqls.log
[oracle@dbupgrade orcl]$ pwd
/u01/app/oracle/cfgtoollogs/dbua/upgrade2020-10-05_08-14-14-PM/orcl
[oracle@dbupgrade orcl]$ cat upg_summary.log

Oracle Database 12.2 Post-Upgrade Status Tool           10-05-2020 20:58:30

Component                               Current         Version  Elapsed Time
Name                                    Status          Number   HH:MM:SS

Oracle Server                          UPGRADED      12.2.0.1.0  00:07:26
JServer JAVA Virtual Machine           UPGRADED      12.2.0.1.0  00:02:36
Oracle Workspace Manager               UPGRADED      12.2.0.1.0  00:00:37
OLAP Analytic Workspace                UPGRADED      12.2.0.1.0  00:00:09
OLAP Catalog                         OPTION OFF      11.2.0.4.0  00:00:00
Oracle OLAP API                        UPGRADED      12.2.0.1.0  00:00:10
Oracle XDK                             UPGRADED      12.2.0.1.0  00:00:23
Oracle Text                            UPGRADED      12.2.0.1.0  00:00:27
Oracle XML Database                    UPGRADED      12.2.0.1.0  00:01:25
Oracle Database Java Packages          UPGRADED      12.2.0.1.0  00:00:08
Oracle Multimedia                      UPGRADED      12.2.0.1.0  00:01:09
Spatial                                UPGRADED      12.2.0.1.0  00:03:32
Oracle Application Express             UPGRADED     5.0.4.00.12  00:06:50
Final Actions                                                    00:02:43
Post Upgrade                                                     00:01:12

Total Upgrade Time: 00:29:01

Database time zone version is 14. It is older than current release time
zone version 26. Time zone upgrade is needed using the DBMS_DST package.

Grand Total Upgrade Time:    [0d:0h:30m:20s]

6.4. Time Zone:

SQL> select TZ_VERSION from registry$database;

TZ_VERSION
----------
        14

SQL> COL VALUE FOR A20
SQL> COL PROPERTY_NAME FOR A50
SQL> SELECT PROPERTY_NAME, SUBSTR(property_value, 1, 30) value
 FROM DATABASE_PROPERTIES
 WHERE PROPERTY_NAME LIKE 'DST_%';  2    3

PROPERTY_NAME                                      VALUE
-------------------------------------------------- --------------------
DST_SECONDARY_TT_VERSION                           0
DST_PRIMARY_TT_VERSION                             26
DST_UPGRADE_STATE                                  NONE

6.5. Verify Database Registry::

SQL> select name,open_mode,cdb,version,status from v$database,v$instance;

NAME      OPEN_MODE            CDB VERSION           STATUS
--------- -------------------- --- ----------------- ------------
ORCL      READ WRITE           NO  12.2.0.1.0        OPEN

SQL> COL COMP_ID FOR A20
SQL> COL COMP_NAME FOR A45
SQL> COL VERSION FOR A20
SQL> SET LINESIZE 180
SQL> SELECT COMP_ID,COMP_NAME,VERSION,STATUS FROM DBA_REGISTRY;

COMP_ID              COMP_NAME                                     VERSION              STATUS
-------------------- --------------------------------------------- -------------------- -----------
CATALOG              Oracle Database Catalog Views                 12.2.0.1.0           VALID
CATPROC              Oracle Database Packages and Types            12.2.0.1.0           VALID
JAVAVM               JServer JAVA Virtual Machine                  12.2.0.1.0           VALID
XML                  Oracle XDK                                    12.2.0.1.0           VALID
CATJAVA              Oracle Database Java Packages                 12.2.0.1.0           VALID
APS                  OLAP Analytic Workspace                       12.2.0.1.0           VALID
OWM                  Oracle Workspace Manager                      12.2.0.1.0           VALID
CONTEXT              Oracle Text                                   12.2.0.1.0           VALID
XDB                  Oracle XML Database                           12.2.0.1.0           VALID
ORDIM                Oracle Multimedia                             12.2.0.1.0           VALID
SDO                  Spatial                                       12.2.0.1.0           VALID
XOQ                  Oracle OLAP API                               12.2.0.1.0           VALID
AMD                  OLAP Catalog                                  11.2.0.4.0           OPTION OFF
APEX                 Oracle Application Express                    5.0.4.00.12          VALID

14 rows selected.

6.6. Invalid Object List:

SQL>  select count(*) from dba_objects where status='INVALID';

  COUNT(*)
----------
         0

6.7. Database Backup:

[oracle@dbupgrade dbhome_1]$ rman target /

Recovery Manager: Release 12.2.0.1.0 - Production on Mon Oct 5 23:38:22 2020

Copyright (c) 1982, 2017, Oracle and/or its affiliates.  All rights reserved.

connected to target database: ORCL (DBID=1580708519)

RMAN> run
{
allocate channel ch01 type disk format '/u01/software/ch01_orcl_after_update%U.rman' ;
BACKUP AS COMPRESSED BACKUPSET DATABASE PLUS ARCHIVELOG;
release channel ch01;
}

using target database control file instead of recovery catalog
allocated channel: ch01
channel ch01: SID=55 device type=DISK


Starting backup at 05-OCT-20
current log archived
Starting backup at 05-OCT-20
current log archived
channel ch01: starting compressed archived log backup set
channel ch01: specifying archived log(s) in backup set
input archived log thread=1 sequence=5 RECID=1 STAMP=1053027873
... ... ...
input archived log thread=1 sequence=124 RECID=120 STAMP=1053036043
input archived log thread=1 sequence=125 RECID=121 STAMP=1053041661
input archived log thread=1 sequence=126 RECID=122 STAMP=1053041906
channel ch01: starting piece 1 at 05-OCT-20
channel ch01: finished piece 1 at 05-OCT-20
piece handle=/u01/software/ch01_orcl_after_update06vc899t_1_1.rman tag=TAG20201005T233826 comment=NONE
channel ch01: backup set complete, elapsed time: 00:01:05
Finished backup at 05-OCT-20

Starting backup at 05-OCT-20
channel ch01: starting compressed full datafile backup set
channel ch01: specifying datafile(s) in backup set
input datafile file number=00003 name=/u02/oradata/orcl/orcl/undotbs01.dbf
input datafile file number=00001 name=/u02/oradata/orcl/orcl/system01.dbf
input datafile file number=00002 name=/u02/oradata/orcl/orcl/sysaux01.dbf
input datafile file number=00004 name=/u02/oradata/orcl/orcl/users01.dbf
channel ch01: starting piece 1 at 05-OCT-20
channel ch01: finished piece 1 at 05-OCT-20
piece handle=/u01/software/ch01_orcl_after_update07vc89bu_1_1.rman tag=TAG20201005T234046 comment=NONE
channel ch01: backup set complete, elapsed time: 00:01:05
Finished backup at 05-OCT-20

Starting backup at 05-OCT-20
current log archived
channel ch01: starting compressed archived log backup set
channel ch01: specifying archived log(s) in backup set
input archived log thread=1 sequence=127 RECID=123 STAMP=1053042111
channel ch01: starting piece 1 at 05-OCT-20
channel ch01: finished piece 1 at 05-OCT-20
piece handle=/u01/software/ch01_orcl_after_update08vc89e0_1_1.rman tag=TAG20201005T234151 comment=NONE
channel ch01: backup set complete, elapsed time: 00:00:01
Finished backup at 05-OCT-20

Starting Control File and SPFILE Autobackup at 05-OCT-20
piece handle=/u01/app/oracle/fast_recovery_area/ORCL/autobackup/2020_10_05/o1_mf_s_1053042113_hqqsw18p_.bkp comment=NONE
Finished Control File and SPFILE Autobackup at 05-OCT-20

released channel: ch01

6.8. Check COMPATIBLE parametr values and change to 12.2:

If there is no chance to rollback, then change COMPATIBLE parameter to 12.2.

SQL> show parameter COMPATIBLE
 
NAME                                 TYPE        VALUE
------------------------------------ ----------- ------------------------------
compatible                           string      11.2.0.4.0

SQL> ALTER SYSTEM SET COMPATIBLE = '12.2.0' SCOPE=SPFILE;
 
System altered.
 
SQL> SHUT IMMEDIATE;
Database closed.
Database dismounted.
ORACLE instance shut down.
SQL> STARTUP
ORACLE instance started.
 
Total System Global Area 1560277408 bytes
Fixed Size                  8896928 bytes
Variable Size            1275068416 bytes
Database Buffers          268435456 bytes
Redo Buffers                7876608 bytes
Database mounted.
Database opened.
 
SQL> show parameter COMPATIBLE
 
NAME                                 TYPE        VALUE
------------------------------------ ----------- ------------------------------
compatible                           string      12.2.0
noncdb_compatible                    boolean     FALSE

7. Rollback to Earlier Version (11.2.0.4):

If you get any major issue after upgradation and need to rollback (Not recommended to rollback but no other option) then follow the following steps.

7.1. Database Status on 12.2.0.1:

SQL> select name,open_mode,cdb,version,status from v$database,v$instance;

NAME      OPEN_MODE            CDB VERSION           STATUS
--------- -------------------- --- ----------------- ------------
ORCL      READ WRITE           NO  12.2.0.1.0        OPEN

7.2. Flashback Status on 12.2.0.1:

SQL> col name for a20
col GUARANTEE_FLASHBACK_DATABASE for a10
col TIME for a60
set lines 190
SQL>
SQL>
SQL> select NAME,GUARANTEE_FLASHBACK_DATABASE,TIME from V$restore_point;

NAME                 GUARANTEE_ TIME
-------------------- ---------- ------------------------------------------------------------
PRE_UPGRADE          YES        05-OCT-20 07.56.01.000000000 PM

7.3. Restore Database using Guarantee Flashback:

It will take couple of minutes to complete.

SQL> shu immediate
Database closed.
Database dismounted.
ORACLE instance shut down.
SQL>
SQL> startup mount;
ORACLE instance started.

Total System Global Area 2415919104 bytes
Fixed Size                  8623544 bytes
Variable Size             654314056 bytes
Database Buffers         1744830464 bytes
Redo Buffers                8151040 bytes
Database mounted.
SQL>
SQL> FLASHBACK DATABASE TO RESTORE POINT PRE_UPGRADE;

Flashback complete.

SQL> shu immediate;
ORA-01109: database not open


Database dismounted.
ORACLE instance shut down.

7.4. Start Database from older version(11g):

[oracle@dbupgrade ~]$ export ORACLE_HOME=/u01/app/oracle/product/11.2.0/dbhome_1
[oracle@dbupgrade ~]$ export ORACLE_SID=orcl
[oracle@dbupgrade ~]$ export PATH=$PATH:$ORACLE_HOME/bin
[oracle@dbupgrade ~]$ echo $PATH
/usr/local/bin:/bin:/usr/bin:/usr/local/sbin:/usr/sbin:/home/oracle/.local/bin:/home/oracle/bin:/u01/app/oracle/product/11.2.0/dbhome_1/bin
[oracle@dbupgrade ~]$ sqlplus / as sysdba

SQL*Plus: Release 11.2.0.4.0 Production on Mon Oct 5 23:47:13 2020

Copyright (c) 1982, 2013, Oracle.  All rights reserved.

Connected to an idle instance.

SQL> startup
ORACLE instance started.

Total System Global Area 2405122048 bytes
Fixed Size                  2255592 bytes
Variable Size             603981080 bytes
Database Buffers         1795162112 bytes
Redo Buffers                3723264 bytes
Database mounted.
ORA-01589: must use RESETLOGS or NORESETLOGS option for database open


SQL> alter database open RESETLOGS;

Database altered.

SQL> select name,open_mode,version,status from v$database,v$instance;

NAME      OPEN_MODE            VERSION           STATUS
--------- -------------------- ----------------- ------------
ORCL      READ WRITE           11.2.0.4.0        OPEN

7.5. Invalid Object List:

SQL> select count(*) from dba_objects where status='INVALID';

  COUNT(*)
----------
         0

7.6. COMPATIBLE Values:

SQL> show parameter COMPATIBLE

NAME                                 TYPE        VALUE
------------------------------------ ----------- ------------------------------
compatible                           string      11.2.0.4.0

7.7. Time Zone Status:

SQL> COL VALUE FOR A20
SQL> COL PROPERTY_NAME FOR A50
SQL> SELECT PROPERTY_NAME, SUBSTR(property_value, 1, 30) value
 FROM DATABASE_PROPERTIES
 WHERE PROPERTY_NAME LIKE 'DST_%';  2    3

PROPERTY_NAME                                      VALUE
-------------------------------------------------- --------------------
DST_UPGRADE_STATE                                  NONE
DST_PRIMARY_TT_VERSION                             14
DST_SECONDARY_TT_VERSION                           0

7.8. Drop Flashback Restore Point:

SQL> select flashback_on from v$database;

FLASHBACK_ON
------------------
RESTORE POINT ONLY

SQL> select NAME,GUARANTEE_FLASHBACK_DATABASE,TIME from V$restore_point;

NAME
--------------------------------------------------------------------------------
GUA TIME
--- ---------------------------------------------------------------------------
PRE_UPGRADE
YES 05-OCT-20 07.56.01.000000000 PM


SQL> col name for a20
SQL> col GUARANTEE_FLASHBACK_DATABASE for a10
SQL> col TIME for a60
SQL> set lines 190
SQL> select NAME,GUARANTEE_FLASHBACK_DATABASE,TIME from V$restore_point;

NAME                 GUARANTEE_ TIME
-------------------- ---------- ------------------------------------------------------------
PRE_UPGRADE          YES        05-OCT-20 07.56.01.000000000 PM

SQL> drop restore point PRE_UPGRADE;

Restore point dropped.

SQL> select NAME,GUARANTEE_FLASHBACK_DATABASE,TIME from V$restore_point;

no rows selected

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

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