Upgrade Scenarios for Non-CDB Oracle Databases

Review these topics to understand the upgrade scenarios and procedures for non-CDB Oracle Databases

Note:

Starting with Oracle Database 12c, release 1 (12.1), non-CDB architecture is deprecated. It can be desupported in a future release. Oracle Database deployed with the multitenant architecture is the default configuration option. All Oracle Database releases earlier than Oracle Database 12c release 1 (12.1.0.1) use non-CDB architecture.

Caution:

You cannot downgrade a database after you have set the compatible initialization parameter to 12.1.0.2. Only if the compatibility is set to 12.1.0.1 will a downgrade be possible for a pluggable database (PDB), and there may still be restrictions on downgrading.

Oracle strongly recommends that you upgrade your source and target databases to the most recent bundle patch or patch set update (BP or PSU) before starting an upgrade, and before starting a downgrade.

About Upgrading Non-CDB Oracle Databases

You can upgrade non-CDB Oracle Databases using either Oracle Database Upgrade Assistant (DBUA), or using a manual upgrade procedure.

A non-CDB architecture Oracle Database cannot use the multitenant architecture, and does not contain pluggable databases (PDBs). You can upgrade the database either by using Oracle Database Upgrade Assistant (DBUA), or by performing a manual upgrade.

Manually Upgrading Non-CDB Architecture Oracle Databases

This procedure provides steps for upgrading non-CDB architecture Oracle Databases.

Note:

Starting with Oracle Database 12c, release 1 (12.1), non-CDB architecture is deprecated. It can be desupported in a future release.

You must complete the following steps before using this procedure:

  • Install the software for Oracle Database 12c

  • Prepare the new Oracle home

  • Run the Pre-Upgrade Information Tool

  1. If you have not done so, run the Pre-Upgrade Information Tool. Review the Pre-Upgrade Information tool output and correct all issues noted in the output before proceeding.

  2. Ensure that you have a proper backup strategy in place.

  3. If you have not done so, prepare the new Oracle home.

  4. (Conditional) For Oracle RAC environments only, enter the following commands to set the initialization parameter value for CLUSTER_DATABASE to FALSE:

    ALTER SYSTEM SET CLUSTER_DATABASE=FALSE SCOPE=SPFILE;
  5. Shut down the database. For example:
    SQL> SHUTDOWN IMMEDIATE
    
  6. If your operating system is Windows, then complete the following steps:

    1. 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
      
    2. 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
      
    3. 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
      

      Most Oracle Database services log on to the system using the privileges of the Oracle software installation owner. The service runs with the privileges of this user. The ORADIM command prompts you to provide the password to this user account. You can specify other options using ORADIM.

      In the following example, if your SID is ORCL, your password (SYSPWD) is TWxy5791, the maximum number of users (MAXUSERS) is 10, and the Oracle home path is C:\ORACLE\PRODUCT\12.2.0\DB, then enter the following command:

      C:\> ORADIM -NEW -SID ORCL -SYSPWD TWxy5791 -MAXUSERS 10
      -STARTMODE AUTO -PFILE C:\ORACLE\PRODUCT\12.2.0\DB\DATABASE\INITORCL.ORA
      

      ORADIM writes a log file to the ORACLE_HOME\database directory. The log file contains the name of the PDB in the multitenant container database.

      Note:

      If you use an Oracle Home User account to own the Oracle home, then the ORADIM command prompts you for that user name and password.
  7. If your operating system is Linux or UNIX, then perform the following checks:

    1. Your ORACLE_SID is set correctly

    2. The oratab file points to the new Oracle home

    3. The following environment variables point to the new Oracle Database directories:

      • ORACLE_HOME

      • PATH

    4. Any scripts that clients use to set the $ORACLE_HOME environment variable must point to the new Oracle home.

    Note:

    If you are upgrading an Oracle Real Application Clusters database, then perform these checks on all Oracle Grid Infrastructure nodes where the Oracle Real Application Clusters database has instances configured.

    See Also:

    Oracle Database and Oracle Clusterware installation guides for your platform to obtain operating system-specific information about setting environment variables.

  8. Log in to the system as the Oracle installation owner for the new Oracle Database release.

  9. Start SQL*Plus in the new Oracle home from the path Oracle_home/rdbms/admin directory.

    For example:

    $ cd $ORACLE_HOME/rdbms/admin
    $ pwd
    /u01/app/oracle/product/12.2.0/dbhome_1/rdbms/admin
    $ SQLPLUS
  10. Copy the SPFILE.ORA or INIT.ORA file from the old Oracle home to the new Oracle home.

  11. Connect to the database that you want to upgrade using an account with SYSDBA privileges:
    SQL> CONNECT / AS SYSDBA
    
  12. Start the non-CDB Oracle Database in upgrade mode:

    SQL> startup upgrade

    If errors appear listing desupported initialization parameters, then make a note of the desupported initialization parameters and continue with the upgrade. Remove the desupported initialization parameters the next time you shut down the database.

    Note:

    Starting up the database in UPGRADE mode enables you to open a database based on an earlier Oracle Database release. It also restricts log-ins to AS SYSDBA sessions, disables system triggers, and performs additional operations that prepare the environment for the upgrade.

  13. Exit SQL*Plus.

    For example:

    SQL> EXIT
  14. Run the Parallel Upgrade Utility (catctl.pl) script, using the upgrade options that you require for your upgrade.

    Starting with Oracle Database 12c release 2 (12.2), you can run the Parallel Upgrade Utility as a command-line shell command by using the dbupgrade shell command. For example:

    $ ./dbupgrade -oracleHome /u01/app/oracle/12.1.0/dbhome_1

    Note:

    • When you run the Parallel Upgrade Utility command, use the -d option to specify the directory that contains the files you want to process, and use the -l option to specify the directory you want to use for spool log files.

  15. The upgraded database is shut down after running the Parallel Upgrade Utility command. Restart the instance to reinitialize the system parameters for normal operation. For example:

    SQL> STARTUP
    

    This restart, following the database shutdown performed as part of the Parallel Upgrade Utility script, flushes all caches, clears buffers, and performs other housekeeping activities. These measures are an important final step to ensure the integrity and consistency of the upgraded Oracle Database software.

    Note:

    If you encountered a message listing desupported initialization parameters when you started the database, then remove the desupported initialization parameters from the parameter file before restarting. If necessary, convert the SPFILE to a PFILE, so that you can edit the file to delete parameters.

  16. Run catcon.pl to start utlrp.sql, and to recompile any remaining stored PL/SQL and Java code.

    For example:

    $ORACLE_HOME/perl/bin/perl catcon.pl -n 1 -e -b utlrp -d '''.''' utlrp.sql
    

    Because you run the command using -b utlrp, the log file utlrp0.log is generated as the script is run. The log file provides results of the recompile.

  17. Run postupgrade_fixups.sql. For example:

    SQL> @postupgrade_fixups.sql
  18. Run utlu122s.sql to verify that all issues have been fixed.

    For example:

    SQL> @$ORACLE_HOME/rdbms/admin/utllu122s.sql
    

    The log file utlu122s0.log is generated as the script is run, which provides the upgrade results. You can also review the upgrade report in upg_summary.log.

    To see information about the state of the database, run utlu122s.sql as many times as you want, at any time after the upgrade is completed. If the utlu122s.sql script returns errors, or shows components that do not have the status VALID, or if the version listed for the component is not the most recent release, then refer to the troubleshooting section in this guide.

  19. Ensure that the time zone data files are current by using the DBMS_DST PL/SQL package to upgrade the time zone file. You can also make this adjustment after the upgrade. If you update the time zone, then you must update the time zone in both CDB$ROOT and the PDBs. You can also make this adjustment after the upgrade.

  20. Exit from SQL*Plus

    For example:

    SQL> EXIT
    
  21. (Conditional) If you are upgrading an Oracle Real Application Clusters database, then use the following command syntax to upgrade the database configuration in Oracle Clusterware:

    srvctl upgrade database -db db-unique-name -oraclehome oraclehome

    where db-unique-name is the database name assigned to it (not the instance name), and oraclehome is the Oracle home location in which the database is being upgraded. The SRVCTL utility supports long GNU-style options, in addition to short CLI options used in earlier releases.

  22. (Conditional) For Oracle RAC environments only, after you have upgraded all nodes, enter the following commands to set the initialization parameter value for CLUSTER_DATABASE to TRUE, and start the database, where db_unique_name is the name of the Oracle RAC database:

    ALTER SYSTEM SET CLUSTER_DATABASE=TRUE SCOPE=SPFILE;
    srvctl start database -db db_unique_name

Your database is now upgraded. You are ready to complete post-upgrade procedures.

Note:

Oracle Warehouse Builder (OWB) components are not upgraded as part of the Oracle Database upgrade process. Oracle Warehouse Builder is not installed as part of Oracle Database 12c.

Caution:

If you retain the old Oracle software, then never start the upgraded database with the old software. Only start Oracle Database using the start command in the new Oracle Database home.

Before you remove the old Oracle environment, relocate any data files in that environment to the new Oracle Database environment.

See Also:

Oracle Database Administrator’s Guide for information about relocating data files

Upgrading a Non-CDB Oracle Database To a PDB on a CDB

Use this procedure to upgrade an earlier release non-CDB architecture Oracle Database, making it a Pluggable Database (PDB) and plugging the PDB into a container database (CDB).

You can upgrade earlier releases of Oracle Database using either DBUA or the Parallel Upgrade Utility, and then make the upgraded database a Pluggable Database (PDB). You can then plug the upgraded database into a multitenant container database (CDB).

The following procedure assumes the following conditions:

  • You have completed all pre-upgrade procedures described in Oracle Database documentation for your operating system.

  • The earlier database and the upgraded database are located on the same system.

  • The data files remain in the same location before and after upgrade.

    If the data files have been copied to a different location (for example, stored with Oracle ASM), then you must specify the parameter SOURCE_FILE_NAME_CONVERT in step 8.

  1. Install the new Oracle Database 12c software.

  2. Upgrade the database as described in this guide.

  3. Set the COMPATIBLE parameter to 12.0.0, if you have not already done so as part of the upgrade process.

  4. Use the following SQL command to ensure that the database is in read-only mode:

    SQL> startup mount
    SQL> alter database open read only;
    
  5. Ensure that the prerequisites for plugging an unplugged PDB are met.

  6. Create the XML file for the PDB. The root name for the XML file matches the name of the PDB. In the following syntax example, the value for path is the location where the XML is saved, and myPDB.xml is the name of the pluggable database file. You can choose where you want to place the file.

    SQL> exec DBMS_PDB.DESCRIBE('path/myPDB.xml');

    For example, where path is /home/oracle, and myPDB is salespdb:

    SQL> exec DBMS_PDB.DESCRIBE('/home/oracle/salespdb.xml');
    
  7. Use the following command to shut down the database in the old (source) Oracle home:

    SQL> SHUTDOWN IMMEDIATE
    
  8. Change directory to the new Oracle home, and run the DBMS_PDB.CHECK_PLUG_COMPATIBILITY function.

    When you run the function, set the following parameters:

    • pdb_descr_file Set this parameter to the full path to the XML file.

    • pdb_name Specify the name of the new PDB. If this parameter is omitted, then the PDB name in the XML file is used.

    For example, to determine if a PDB described by the file /disk1/usr/salespdb.xml is compatible with the current CDB, run the following PL/SQL block from the new Oracle home:

    sqlplus / as sysdba
    SQL> set serveroutput on
    SQL> r
      1  DECLARE
      2    compatible CONSTANT VARCHAR2(3) :=
      3 CASE DBMS_PDB.CHECK_PLUG_COMPATIBILITY(
      4  pdb_descr_file => '/home/oracle/ORAOP2.xml',
      5 pdb_name       => 'SALESPDB')
      6 WHEN TRUE THEN 'YES'
      7 ELSE 'NO'
      8  END;
      9  BEGIN
     10    DBMS_OUTPUT.PUT_LINE(compatible);
     11* END;
    YES
    
    PL/SQL procedure successfully completed.

    If the output is YES, then the PDB is compatible, and you can continue with the next step.

    If the output is NO, then the PDB is not compatible, and you can check the PDB_PLUG_IN_VIOLATIONS view to see why it is not compatible.

  9. Use the following command syntax to create the pluggable database, and to plug the database into the CDB:

    SQL> CREATE PLUGGABLE DATABASE SALESPDB USING 'pathmyPDB.xml' NOCOPY TEMPFILE REUSE; 

    The following example shows the command to create the pluggable database salespdb:

    SQL> CREATE PLUGGABLE DATABASE salespdb USING '/home/oracle/salespdb.xml' NOCOPY TEMPFILE REUSE;
    

    You can use any name for your PDB, but the name you use must be unique within this CDB. TEMPFILE REUSE specifies that the existing TEMP tablespaces can be reused.

    When this SQL command completes, the following message should appear:

    Pluggable database created.

    The upgraded database is now a PDB, and it is ready for you to place in a CDB.

    Caution:

    Oracle strongly recommends that you have a valid backup in place before you use the NOCOPY option. If this command fails, for whatever reason, then your database can become damaged and unrecoverable.

  10. Connect to the PDB using the following command:

    SQL> ALTER SESSION set container=salespdb;
  11. Convert the dictionary to the PDB type. From the admin directory, run the noncdb_to_pdb.sql script. You must run this script before you can open the PDB for the first time.

    For example:

    @$ORACLE_HOME/rdbms/admin/noncdb_to_pdb.sql
    

    Note:

    Be aware that the runtime of this script can vary from several minutes to over an hour, depending on the number and type of objects in the new PDB dictionary that must be converted.

  12. Start up and open the new PDB in read/write mode. You must open the new PDB in read/write mode for Oracle Database to complete the integration of the new PDB into the CDB.

    For example, because you have already set the PDB container to salespdb, enter the following command to start the PDB:

    SQL> STARTUP
  13. Back up the PDB with RMAN (Recovery Manager).

    Oracle strongly recommends that you perform a backup of the PDB using RMAN, because you can no longer use the ARCHIVELOG and backups that you took from the database before converting it to a PDB.

    Caution:

    You must perform an immediate backup to ensure recoverability.

Upgrading a Non-CDB Oracle Database Using Rapid Home Provisioning

Starting with Oracle Database 12c release 2 (12.2), you can use Rapid Home Provisioning (RHP) to upgrade an earlier release Non-CDB Oracle Database.

You upgrade a database with Rapid Home Provisioning by creating a working copy of Oracle Database 12.2.0.1, and using the command rhpctl upgrade database to upgrade the earlier release Oracle Database. The upgrade is an out-of-place upgrade. After the upgrade is complete, listeners and other initialization variables are set to point to the new Oracle home.

Note:

To use Rapid Home Provisioning, you must upgrade an Oracle Database that is Oracle Database 11g release 2 (11.2.0.3), or a later release. Install the new release of Oracle Database, and then create a gold image from that new release.

Use this overview of the steps to understand how to upgrade a non-CDB Oracle Database 11g release 2 (11.2.0.3) by using Rapid Home Provisioning:

  1. Install an Oracle Database 12c release 2 (12.2) Oracle Database.

  2. Patch, test, and configure the database to your specifications for a standard operating environment (SOE).

  3. Create an RHP Gold Image from the SOE release 12.2 Oracle Database home.

  4. Complete an Oracle Grid Infrastructure 12c release 2 (12.2) upgrade on the servers where the databases you want to upgrade are located. You can complete this upgrade by using Rapid Home Provisioning.

  5. Deploy a working copy of the release 12.2 Oracle Database RHP gold image to the servers with release 11.2.0.3 Oracle Databases that you want to upgrade.

  6. Run the Rapid Home Provisioning command rhpctl upgrade database. This command use the 12.2 RHP gold image to upgrade the earlier release databases. You can upgrade one, many or all the Oracle Database 11.2.0.3 instances on the servers provisioned with Oracle Database 12c release 2 (12.2) gold images.

Example 3-5 Upgrading Non-CDB 11.2.0.3 to 12.2.0.1 PDB on a CDB

This example shows the command and the screen output for an upgrade from Oracle Database 11g release 2 (11.2.0.3) to Oracle Database 12c releases 2 (12.2.0.1):

[Wed Jun 01 02:19:43][gridusr@example.com:/u01/app/grid/bin]$ date;./rhpctl add workingcopy -workingcopy db12c -image db12c -oraclebase /u01/app/oraInventory -user dbusr -node node3 -root -path /u01/app/rachome/122/dbhome_1 -storagetype LOCAL
Wed Jun  1 03:15:03 PDT 2016
Enter user "root" password:
server17.example.com: Storing metadata in repository for working copy "db12c" ...
server17.example.com: Connecting to node node3 ...
server17.example.com: Starting transfer for remote copy ...
server17.example.com: Starting clone operation...
server17.example.com: Using inventory file /etc/oraInst.loc to clone ...
server13: Starting Oracle Universal Installer...
server13: 
server13: Checking Temp space: must be greater than 500 MB.   Actual 13485 MB    Passed
server13: Checking swap space: must be greater than 500 MB.   Actual 13653 MB    Passed
server13: Preparing to launch Oracle Universal Installer from /tmp/OraInstall2016-06-01_10-20-22AM. Please wait ...You can find the log of this install session at:
server13:  /u01/app/rachome/oraInventory/logs/cloneActions2016-06-01_10-20-22AM.log
server13: ..................................................   5% Done.
server13: ..................................................   10% Done.
server13: ..................................................   15% Done.
server13: ..................................................   20% Done.
server13: ..................................................   25% Done.
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server13: ..................................................   60% Done.
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server13: ..................................................   70% Done.
server13: ..................................................   75% Done.
server13: ..................................................   80% Done.
server13: ..................................................   85% Done.
server13: ..........
server13: Copy files in progress.
server13: 
server13: Copy files successful.
server13: 
server13: Link binaries in progress.
server13: 
server13: Link binaries successful.
server13: 
server13: Setup files in progress.
server13: 
server13: Setup files successful.
server13: 
server13: Setup Inventory in progress.
server13: 
server13: Setup Inventory successful.
server13: 
server13: Finish Setup successful.
server13: The cloning of db12c was successful.
server13: Please check '/u01/app/rachome/oraInventory/logs/cloneActions2016-06-01_10-20-22AM.log' for more details.
server13: 
server13: Setup Oracle Base in progress.
server13: 
server13: Setup Oracle Base successful.
server13: ..................................................   95% Done.
server13: 
server13: As a root user, execute the following script(s):
server13:      1. /u01/app/rachome/122/dbhome_1/root.sh
server13: 
server13: 
server13: 
server13: ..................................................   100% Done.
server17.example.com: Successfully executed clone operation.
server17.example.com: Executing root script on nodes server13.
server13: Check /u01/app/rachome/122/dbhome_1/install/root_node3_2016-06-01_10-22-13-284882809.log for the output of root script
server17.example.com: Successfully executed root script on nodes server13.
server17.example.com: Working copy creation completed.


[crsusr@rwsdcvm17 bin]$ date;./rhpctl upgrade database -sourcehome /u01/app/rachome/dbusr/product/11.2.0/dbhome_1 -destwc wc1db12c -dbname t2db -root -targetnode node33Wed Jun  1 05:38:52 PDT 2016
Enter user "root" password:
server17.example.com: Connecting to node node3 ...
server17.example.com: Starting to upgrade database from path "/u01/app/rachome/dbusr/product/11.2.0/dbhome_1" to path "/u01/app/rachome/122/dbhome_2" on node "node3"
server13: Logs directory:  /u01/app/oraInventory/cfgtoollogs/dbua/upgrade2016-06-01_12-38-46-PM
server13: Preupgrade generated files:
server13:     /u01/app/oraInventory/cfgtoollogs/dbua/upgrade2016-06-01_12-38-46-PM/t2db/preupgrade.log   
server13:     /u01/app/oraInventory/cfgtoollogs/dbua/upgrade2016-06-01_12-38-46-PM/t2db/preupgrade_fixups.sql
server13:     /u01/app/oraInventory/cfgtoollogs/dbua/upgrade2016-06-01_12-38-46-PM/t2db/postupgrade_fixups.sql
server13: Gathering Dictionary Statistics
server13: 12% complete 
server13: Pre Upgrade Step
server13: 15% complete 
server13: 25% complete 
server13: Configure Database in 12.2.0.1.0 Oracle Home
server13: 37% complete 
server13: Database Components Upgrade
server13: 37% complete 
server13: 38% complete 
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server13: 50% complete 
server13: Recompile Invalid Objects
server13: 62% complete 
server13: Timezone Upgrade
server13: 75% complete 
server13: Executing Post Upgrade Tasks
server13: 76% complete 
server13: 77% complete 
server13: 87% complete 
server13: Generate Summary
server13: Database upgrade has been completed successfully, and the database is ready to use.
server13: 100% complete 
server17.example.com: Completed the upgrade database operation


[Wed Jun 01 07:51:58][dbusr@server13:/u01/app/rachome/122/dbhome_2/bin][1]$ export ORACLE_HOME=/u01/app/rachome/122/dbhome_2
[Wed Jun 01 07:52:38][dbusr@node3:/u01/app/rachome/122/dbhome_2/bin][0]$ export ORACLE_SID=t2db  
[Wed Jun 01 07:52:59][dbusr@node3:/u01/app/rachome/122/dbhome_2/bin][0]$ ./sqlplus / as sysdba   

SQL*Plus: Release 12.2.0.1.0 Production on Wed Jun 1 07:53:19 2016

Copyright (c) 1982, 2016, Oracle.  All rights reserved.


Connected to:
Oracle Database 12c Enterprise Edition Release 12.2.0.1.0 - 64bit Production

SQL> 

Variables for Using ORADIM When Upgrading Oracle Database on Windows

Review these variables if you want to use the ORADIM utility for upgrading Oracle Database on Windows systems.

On Windows platforms, ORADIM provides a command-line interface to manually perform administrative tasks for Windows databases and services. Database Configuration Assistant (DBCA) provides a graphical user interface to perform the same tasks. The variables for ORADIM that you must know about when upgrading Oracle Database include the SID of the database you are upgrading, the new Oracle home location, and the password for the new database instance. Also, ORADIM writes a log file to the ORACLE_HOME\database directory.

The following table describes the variables for using ORADIM when upgrading:

Table 3-3 ORADIM Variables and Functions

ORADIM Variable Description
SID The same SID name as the SID for the database that you are upgrading
PASSWORD

The password for the new Oracle Database 12c database instance. This is the password for the user connected with SYSDBA privileges. The -SYSPWD option is required.

The default Oracle Database 12c security settings require that passwords must be at least eight characters. You are not permitted to use passwords such as welcome and oracle.

USERS

The password for the new Oracle Database 12c database instance. This is the password for the user connected with SYSDBA privileges. The -SYSPWD option is required.

The default Oracle Database 12c security settings require that passwords must be at least eight characters. You are not permitted to use passwords such as welcome and oracle.

ORACLE_HOME

The Oracle home location for Oracle Database 12c. Ensure that you specify the full path name with the -PFILE option, including the drive letter of the Oracle home location.

See Also:

Oracle Database Platform Guide for Microsoft Windows for complete information about using ORADIM to administer a database instance

Oracle Database Security Guide for more information about security settings.

Oracle Database Administrator’s Guide for information about specifying initialization parameters at startup and the initialization parameter file