Ensure that you have completed these database preparation tasks before starting an Oracle Database upgrade.
Patch Set Updates and Requirements for Upgrading Oracle Database
Before starting upgrades, update your new release Oracle Database to the latest Oracle bundle patch, patch set update (BP or PSU), or Release Update (Update), or Release Update Revision (Revision).
The software for new Oracle Database releases contains a full release that includes all the latest patches and updates for Oracle Database at the time of the release.
Before you start an upgrade or downgrade process, Oracle strongly recommends that you update both your earlier release and your new release Oracle Database. For Oracle Database 12c or earlier releases, update to the latest Oracle bundle patch, or patch set update (BP or PSU). For Oracle Database 12c release 2 (12.2), Oracle Database 18c, or later releases, update to the latest quarterly Release Update (Update) or Release Update Revision (Revision).
My Oracle Support note 854428.1 contains information about patch sets and updates.
My Oracle Support note 730365.1 contains an upgrade reference list for most available Oracle Database releases, including download information, patch numbers, and links to other notes.
My Oracle Support note 2180188.1 contains lists of one-off patches for upgrades, downgrades, and coexistence with previous releases.
My Oracle Support note 1227443.1 contains a list of Oracle Database PSU/BP/Update/Revision known issues. This note provides information about all known issues notes for Oracle Database, Oracle Grid Infrastructure, and the Oracle JavaVM Component (OJVM).
My Oracle Support note 2118136.2 contains a download assistant to help you select the updates, revisions, Patch Set Updates (PSU), SPU (CPU), Bundle Patches, Patchsets, and Base Releases that you need for your environment. Oracle highly recommends that you start here.
Copying Transparent Encryption Oracle Wallets
If you use Oracle wallet 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 to the
new Oracle home before starting the upgrade. For auto-login wallets, you must also
copy the cwallet.sso file manually to the new Oracle home.
- Log in as an authorized user.
- Manually copy the
sqlnet.orafile, and the wallet file,
ewallet.p12, to the new release Oracle home.
- If you have enabled an auto-login wallet, then also copy the
cwallet.ssofile to the new release Oracle home. There is no need to complete the next step. If you have not enabled an auto-login wallet, then proceed to the next step.
- If you have not enabled an auto-login wallet, then open the Oracle wallet in
SQL> STARTUP MOUNT; SQL> ALTER SYSTEM SET ENCRYPTION WALLET OPEN
Recommendations for Oracle Net Services When Upgrading Oracle Database
Review these procedures and parameter changes for Oracle Net Services before you upgrade.
In Oracle Database 12c, new underlying net services parameters enable data compression, which reduces the size of the session data unit that is transmitted over a SQL TCP connection.
The following new parameters for the
sqlnet.ora file specify compression, and the preferred compression scheme:
These parameters introduced with Oracle Database 12c are not supported in earlier releases. They are only available in Oracle Database 12c, and later releases For more information about these
sqlnet.ora compression parameters, refer to Oracle Net Services Reference.
If the Oracle Database that you are upgrading does not have a listener configured, then before you run DBUA, you must run Oracle Net Configuration Assistant (NETCA) to configure the listening protocol address and service information for the new release of Oracle Database, including a
listener.ora file. You must create a new version of the listener for releases of Oracle Database earlier than release 11.2. The current listener is backward-compatible with earlier Oracle Database releases.
When you upgrade an Oracle RAC database with DBUA, it automatically migrates the listener from your old Oracle home to the new Oracle Grid Infrastructure home. You must administer the listener by using the
lsnrctl command in the Oracle Grid Infrastructure home. Do not attempt to use the
lsnrctl commands from Oracle home locations for earlier releases.
Understanding Password Case Sensitivity and Upgrades
By default, Oracle Database 12c Release 2 (12.2) and later releases are upgraded to an Exclusive Mode. Exclusive Modes do not support case-insensitive password-based authentication.
Accounts that have only the
10G password version become inaccessible when the server runs in an Exclusive Mode.
In previous Oracle Database releases, you can configure the authentication protocol so that it allows case-insensitive password-based authentication by setting
SEC_CASE_SENSITIVE_LOGON=FALSE. 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.ALLOWED_LOGON_VERSION_SERVER is set to
12, which is an Exclusive Mode. When the database is configured in Exclusive Mode, the password-based authentication protocol requires that one of the case-sensitive password versions (
12C) is present for the account being authenticated. This mode excludes the use of the
10G password version used in earlier releases. After upgrading to Oracle Database 12c release 2 and later releases, accounts that have only the case-insensitive
10G password version become inaccessible. This change occurs because the server runs in an Exclusive Mode by default. When Oracle Database is configured in Exclusive Mode, it cannot use the old
10G password version to authenticate the client. The server is left with no password version with which to authenticate the client.
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
10Gcase-insensitive password authentication versions.
Identify if you have Oracle Database 11g release 2 (188.8.131.52) 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
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
12Cpassword versions) for authentication.
Options for Accounts Using Case-Insensitive Versions
If you have user accounts that have only the case-insensitive
10G password version, then you must choose one of the following alternatives:
Before upgrade, update the password versions for each account that has only the
10Gpassword version. You can update the password versions by expiring user passwords using the
10Gpassword version, and requesting that these users log in to their account. When they attempt to log in, the server automatically updates the list of password versions, which includes the case-sensitive password versions.
Change the setting of the SQLNET.ORA parameter
SQLNET.ALLOWED_LOGON_VERSION_SERVERto any of the settings that are not Exclusive Mode. For example:
Checking for Accounts Using Case-Insensitive Password Version
Use these procedures to identify if the Oracle Database that you want to upgrade has accounts or configuration parameters that are using a case-insensitive password version.
By default, in Oracle Database 12c release 2 (12.2) and later releases, the
10G password version is not generated or allowed.
If you do not set
SQLNET.ALLOWED_LOGON_VERSION_SERVER to a permissive authentication protocol that permits case-insensitive versions, and you do not want user accounts authenticated with case-insensitive password versions to be locked out of the database, then you must identify affected accounts, and ensure that they are using case-sensitive password versions.
Example 2-1 Finding User Accounts That Use Case-Insensitive (10G) Version
Log in to SQL*Plus as an administrative user, and enter the following SQL query:
SELECT USERNAME,PASSWORD_VERSIONS FROM DBA_USERS;
The following result shows password versions for the accounts:
USERNAME PASSWORD_VERSIONS ------------------------------ ----------------- JONES 10G 11G 12C ADAMS 10G 11G CLARK 10G 11G PRESTON 11G BLAKE 10G
In this example, the backgrounds for each user account password verification version in use are different:
JONESwas created in Oracle Database
10G, and the password for
JONESwas reset in Oracle Database
12Cwhen the setting for the
SQLNET.ALLOWED_LOGON_VERSION_SERVERparameter was set to
8. As a result, this password reset created all three versions.
12Cuse case-sensitive passwords.
CLARKwere originally created with the
10Gversion, and then
11G, after they were imported from an earlier release. These account passwords were then reset in
11G, with the deprecated parameter SEC_CASE_SENSITIVE_LOGON set to TRUE.
The password for
BLAKEwas created with the
10Gversion, and the password has not been reset. As a result, user BLAKE continues to use the
10Gpassword version, which uses a case-insensitive password.
BLAKE has only the
10G password version before upgrade:
SQL> SELECT USERNAME,PASSWORD_VERSIONS FROM DBA_USERS; USERNAME PASSWORD_VERSIONS ------------------------------ ----------------- BLAKE 10G
If you upgrade to a new Oracle Database release without taking any further action, then this account becomes inaccessible. Ensure that the system is not configured in Exclusive Mode (by setting the
SQLNET.ALLOWED_LOGON_VERSION_SERVER to a more permissive authentication mode) before the upgrade.
Example 2-2 Fixing Accounts with Case-Insensitive Passwords
Complete the following procedure:
Use the following SQL query to find the accounts that only have the
select USERNAME from DBA_USERS where ( PASSWORD_VERSIONS = '10G ' or PASSWORD_VERSIONS = '10G HTTP ') and USERNAME <> 'ANONYMOUS';
Configure the system so that it is not running in Exclusive Mode by editing the setting of the
SQLNET.ALLOWED_LOGON_VERSION_SERVERto a level appropriate for affected accounts. For example:
After you make this change, proceed with the upgrade.
After the upgrade completes, use the following command syntax to expire the accounts you found in step 1, where
usernameis the name of a user returned from the query in step 1:
ALTER USER username PASSWORD EXPIRE;
Ask the users for whom you have expired the passwords to log in.
When these users log in, they are prompted to reset their passwords. The system internally generates the missing
12Cpassword versions for their account, in addition to the
10Gpassword version. The
10Gpassword version is still present, because the system is running in the permissive mode.
Ensure that the client software with which users are connecting has the
All Oracle Database release 184.108.40.206 and later clients, and all Oracle Database release 12.1 and later clients have the
O5L_NPcapability. Other clients require the
CPUOct2012patch to acquire the
O5L_NPcapability flag is documented in Oracle Database Net Services Reference, in the section on the parameter
After all clients have the
O5L_NPcapability, raise the server security back to Exclusive Mode by using the following procedure:
SEC_CASE_SENSITIVE_LOGONsetting from the instance initialization file, or set the
SEC_CASE_SENSITIVE_LOGONinstance initialization parameter to
TRUE. For example:
SEC_CASE_SENSITIVE_LOGON = TRUE
SQLNET.ALLOWED_LOGON_VERSION_SERVERparameter from the server
SQLNET.ORAfile, or set it back to Exclusive Mode by changing the value of
SQLNET.ALLOWED_LOGON_VERSION_SERVERin the server
SQLNET.ORAfile back to
12. For example:
SQLNET.ALLOWED_LOGON_VERSION_SERVER = 12
Use the following SQL query to find the accounts that still have the
select USERNAME from DBA_USERS where PASSWORD_VERSIONS like '%10G%' and USERNAME <> 'ANONYMOUS';
Use the list of accounts returned from the query in step 8 to expire all the accounts that still have the
10Gpassword version. Expire the accounts using the following syntax, where
usernameis a name on the list returned by the query:
ALTER USER username PASSWORD EXPIRE;
Request the users whose accounts you expired to log in to their accounts.
When the users log in, they are prompted to reset their password. The system internally generates only the
12Cpassword versions for their account. Because the system is running in Exclusive Mode, the
10Gpassword version is no longer generated.
Check that the system is running in a secure mode by rerunning the query from step 1. Ensure that no users are found. When the query finds no users, this result means that no
10Gpassword version remains present in the system.
Example 2-3 Checking for the Presence of SEC_CASE_SENSITIVE_LOGON Set to FALSE
Oracle Database does not prevent the use of the
FALSE setting for
SEC_CASE_SENSITIVE_LOGON when the
SQLNET.ALLOWED_LOGON_VERSION_SERVER parameter is set to
12a. This setting can result in all accounts in the upgraded database becoming inaccessible.
SQL> SHOW PARAMETER SEC_CASE_SENSITIVE_LOGON NAME TYPE VALUE ------------------------------------ ----------- ------------------------------ sec_case_sensitive_logon boolean FALSE
SQL> ALTER SYSTEM SET SEC_CASE_SENSITIVE_LOGON = TRUE; System altered.
Unless the value for the parameter
SQLNET.ALLOWED_LOGON_VERSION_SERVER is changed to a version that is more permissive than
12, such as
11, do not set the
SEC_CASE_SENSITIVE_LOGON parameter to FALSE.
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
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:
pdbnameis 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
SQL> ALTER TABLESPACE ARGROTBLSPA6 READ ONLY; Tablespace altered. SQL> ALTER TABLESPACE ARGROTBLSPB6 READ ONLY; Tablespace altered.
Near the end of each log file, you find SQL statements to reset tables to
SQL> ALTER TABLESPACE ARGROTBLSPA6 READ WRITE; Tablespace altered. SQL> ALTER TABLESPACE ARGROTBLSPB6 READ WRITE; Tablespace altered.
Oracle Database Administrator’s Guide for information about transporting tablespaces between databases