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Copyright (c) 2019, Oracle. All rights reserved. Oracle Confidential.

Oracle DB 18c - Complete Checklist for Manual Upgrades to Non-CDB O

In this Document

Purpose
Scope
Details
Step 1: Upgrade Path for 18.1 Oracle database
Minimum version of the database that can be directly upgraded to Oracle 18.1
Intermediate upgrades needs to be carried for following releases
Step 2: Requirements and recommendations for source database
Step3: Requirements and recommendations for target ORACLE_HOME
Step 4: Pre-upgrade checks
Clean up database
Check materialized views
Copying Transparent Encryption Oracle Wallets
Understanding Password Case Sensitivity
Running Upgrades with Read-Only Tablespaces
Preparing the New Oracle Home for Upgrading
Prerequisites for Preparing Oracle Home on Windows
Databases That Use Oracle Label Security and Oracle Database Vault
Backing Up Oracle Database for Upgrading
Manually remove DB control with emremove.sql
Ensure no files are in Back up mode before starting the upgrade
Purge Recycle bin
Performance
Checking Time zone settings
About Upgrading Oracle OLAP Data Security Policies
 Step 5: Preupgrade step
Preupgrade fixup script
Dependencies on Network Utility Packages
Check Time zone version
Step 6: Upgrade Database to 18c
Step 7: Post-upgrade
Setting Environment variables on Linux and Unix
Update oratab entries
Post-upgrade fixup script
Recovery Catalog Upgrade
Upgrade the Time Zone File Version After Upgrading Oracle Database
Upgrading Statistics Tables
References

APPLIES TO:

Oracle Database Cloud Schema Service - Version N/A and later

Oracle Database Exadata Cloud Machine - Version N/A and later
Oracle Cloud Infrastructure - Database Service - Version N/A and later
Oracle Database Cloud Exadata Service - Version N/A and later
Oracle Database Backup Service - Version N/A and later
Information in this document applies to any platform.

PURPOSE

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

SCOPE

Database Administrators, Support

DETAILS

Step 1: Upgrade Path for 18.1 Oracle database

Minimum version of the database that can be directly upgraded to Oracle 18.1
 Upgrade Matrix
Source Target
11.2.0.3/11.2.0.4 18.1
12.1.0.1/12.1.0.2 18.1
12.2.0.1 18.1

Intermediate upgrades needs to be carried for following releases

Indirect Upgrade Matrix

Source Database Intermediate upgrade path Target da
11.2.0.1/11.2.0.2 --> 11.2.0.3/11.2.0.4 --> 18.1
11.1.0.6/11.1.0.7 --> 11.2.0.3/11.2.0.4 --> 18.1
10.2.0.2, 10.2.0.3, 10.2.0.4, 10.2.0.5 --> 11.2.0.3/11.2.0.4/12.1.0.1/12.1.0.2 --> 18.1
10.1.0.5 --> 11.2.0.3/11.2.0.4/12.1.0.1/12.1.0.2 --> 18.1
9.2.0.8 or earlier --> 11.2.0.3/11.2.0.4 --> 18.1

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

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

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

This restriction does not apply if you use Oracle Data Pump export/import to migrate data to t

For example:

If you are upgrading from release 11.2.0.2 or 11.1.0.7, then you must first upgrade to
(11.2.0.3).
If you are upgrading from release 10.2.0.2, 10.2.0.3, 10.2.0.4,10.2.0.5 or 10.1.0.5, the
release 11.2. or 12.1
If you are upgrading from release 9.2.0.8, then you must first upgrade to a sequence o
releases:
Upgrade from release 9.2.0.8 to release 11.2.0.3 or 11.2.0.4. Then upgrade from relea
Step 2: Requirements and recommendations for source database

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

Disable any custom triggers that would get executed before / after DDL. You can enab
Data security roles defined in a release 11g Oracle Database instance are not automati
you upgrade an 11g database to Oracle Database 12c, you must delete any data secur
database. After the upgrade, you may use Analytic Workspace Manager 12c to define t
If you upgrade an 11g database to Oracle Database 12c without deleting the 11g data
security policies that include a data security role are invalid in the Oracle Database 12c
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 firs
No INVALID object / Components in Source
If you are installing 64-bit Oracle Database software, and your existing Oracle Databas
installation, then your existing Oracle Database is automatically converted to 64-bit dur
Database release.
Execute Preupgrade scripts before upgrade and review the preupgrade log for any issu
Execute dbupgdiag.sql (refer Note 556610.1 to download this script) and verify whethe
components or objects owned by SYS/SYSTEM. If any, fix them before proceeding to u
execute utlrp.sql multiple times to VALIDate them, if still objects are INVALID, create a
support.
Execute utlrp.sql multiple times and verify there are no INVALID objects.

Step3: Requirements and recommendations for target ORACLE_HOME

Verify the whether your operating system is certified for 18.1. Click here to launch cer
Install 18.1.0.0, verify there are no installation related issues.
Download and install latest RU / RUR if any
Copy spfile or pfile from source ORACLE_HOME (under $ORACLE_HOME/dbs) to target
Remove any _ (underscore) parameter, obsolete and deprecated parameters in
Note min value of COMPATIBLE parameter to upgrade 18.1 is “11.2.0”, make su
parameter is set to 11.2.0 or greater
Review patch recommendations as given in the article "Patches to apply before upgrad
ID 2414935.1)"

Step 4: Pre-upgrade checks

Clean up database

Empty the recycle bin

Check for INVALID objects in SYS and SYSTEM
Check for duplicate objects in SYS and SYSTEM
Check for INVALID, mandatory, obsolete components

Check materialized views

 Check the status of all materialized views (MV), and refresh any materialized views
Check the size of your materialized view logs. If any materialized view logs have no
table materialized views.
Check the size of direct loader logs and PMOP logs (partition maintenance operation
PMOP logs have non-zero rows, then refresh the MVs indicated by the logs
Before upgrading Oracle Database, you must wait until all materialized views have c

Run the following SQL query:

SQL> SELECT o.name FROM sys.obj$ o, sys.user$ u, sys.sum$ s WHERE

bitand(s.mflags, 8) =8;

Copying Transparent Encryption Oracle Wallets

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

1. Log in as an authorized user.

2. Manually copy the sqlnet.ora file, and the wallet file, ewallet.p12, to the new release O

Open the Oracle wallet in mount.

For example:

SQL> STARTUP MOUNT;

SQL> ALTER SYSTEM SET ENCRYPTION WALLET OPEN

Understanding Password Case Sensitivity

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

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

Before upgrading, Oracle recommends that you determine if this change to the default passw
configuration affects you. Perform the following checks:

Identify if you have accounts that use only 10G case-insensitive password authenticatio
Identify if you have Oracle Database 11g release 2 (11.2.0.3) database or earlier client
patch update CPUOct2012, or a later patch update, and have any account that does no
 password version.
Ensure that you do not have the deprecated parameter SEC_CASE_SENSITIVE_LOGON
parameter to FALSE prevents the use of the case-sensitive password versions (the 11G
authentication.

For more information refer 18.1 Oracle database documentation

Running Upgrades with Read-Only Tablespaces

Use the Parallel Upgrade Utility with the -T option to take schema-based tablespaces offline d
can read file headers created in earlier releases, so you are not required to do anything to the
headers of READ ONLY tablespaces are updated when they are changed to READ WRITE. If t
error, so that the upgrade is unable to bring the tablespaces back online, then review the upg
the actual SQL statements required to make the tablespaces available. To bring the tablespac
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_ba
commands in the log files manually to bring up tablespaces. You can view tablespace comman

Non-CDB Upgrades: catupgrd0.log

PDB databases: catupgrdpdbname0.log, where pdbname is the name of the PDB that yo

At the beginning of each log file, you find SQL statements such as the following, which sets ta

SQL> ALTER TABLESPACE <Tablespace Name> READ ONLY;

Tablespace altered.

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

SQL> ALTER TABLESPACE <Tablespace Name> READ WRITE;

Tablespace altered.

Preparing the New Oracle Home for Upgrading

Copy configuration files from the Oracle home of the database being upgraded to the n
home.
If you have a password file that resides within the old environment Oracle home, then
the new Oracle home.
Remove desupported initialization parameters and adjust deprecated initialization param
parameters are desupported, and other parameters are deprecated. Remove all desupp
 parameter file that starts the new Oracle Database instance. Desupported parameters
Database releases. Also, alter any parameter whose syntax has changed in the new rel
If you are upgrading a cluster database, then you need to change CLUSTER_DATABAS

Prerequisites for Preparing Oracle Home on Windows

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

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

Database upgrade is supported when the same Windows user account is used as the O
and destination Oracle homes.
Database upgrade is supported when the Oracle home from which the database is bein
Built-in Account. Releases earlier than Oracle Database 12c (release 11.2 and earlier) o
option for the Oracle home user on Windows.
The Oracle home user may not have access to files outside its own Oracle Base and Or
if you choose a different Oracle Base during upgrade, it is possible that Oracle Databas
the older Oracle Base. Using DBUA for database upgrade ensures that the Oracle home
its own Oracle Base and its own Oracle home.
Before upgrading manually, or before using the custom files from the older Oracle Base
configuration files and other custom files ), you must grant access to the Oracle home
these files to the new Oracle Base.

Databases That Use Oracle Label Security and Oracle Database Vault

Audit Table Preupgrade and Archive Requirements

For Oracle Database releases earlier than 12.1 using Oracle Label Security and Oracle Databas
preprocess script before you upgrade.

If you are upgrading from a database earlier than Oracle Database release 12.1 that uses Ora
Database Vault, then you must first run the OLS preprocess script, olspreupgrade.sql, to proce
OLS upgrade moves the aud$ table from the SYSTEM schema to the SYS schema. The olspreu
preprocessing script required for this move.

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

Oracle Database Vault and Upgrades of Oracle Database Release 11.2

If Oracle Label Security is installed in the earlier release that you are upgrading, then grant th

To run the OLS preprocess script on a release 11.2 database before upgrading:
1. Copy the following scripts script from the newly installed Oracle home (18.1) to the Oracl
to be upgraded (11.2):

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

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

3. Run the following statement:

SQL> GRANT DV_PATCH_ADMIN to SYS;

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

CONNECT SYS AS SYSDBA

5. Run the preprocess scripts for Data Vault

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

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

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

7. Run the following SQL statement:

SQL> REVOKE DV_PATCH_ADMIN from SYS;

Granting the DV_PATCH_ADMIN Role to SYS for Oracle Database Vault

If Oracle Database Vault is enabled, then to perform checks for Oracle Data Vault, the upgrad
SQL scripts - olspreupgrade.sql, emremove.sql, catnoamd.sql

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

Run the following statement:

 SQL> GRANT DV_PATCH_ADMIN to SYS;

Backing Up Oracle Database for Upgrading

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

rman "target / nocatalog"

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

Manually remove DB control with emremove.sql

Stop/shutdown DB control

emctl stop dbconsole

Login as sysdba

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

Manually remove ORACLE_HOME/HOSTNAME_SID/ and ORACLE_HOME/oc4j/j2ee/OC4J_

directory from the system
OracleDBConsoleSID
On windows delete DB Console service

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

Run the following statement:

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

Purge Recycle bin

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

SQL> PURGE DBA_RECYCLEBIN

Note: The database recycle bin must be empty during the upgrade process to avoid pos
minimize the upgrade time.

Performance

Preserve performance statistics

Check network performance
Gather Optimizer statistics

To decrease the amount of downtime, gather statistics. Oracle recommends that yo

DBMS_STATS.GATHER_DICTIONARY_STATS procedure to gather these statis
following SQL statement:

SQL> EXEC DBMS_STATS.GATHER_DICTIONARY_STATS;

Checking Time zone settings

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

About Upgrading Oracle OLAP Data Security Policies

Data security roles defined in a release 11g Oracle Database instance are not automatically co
upgrading Oracle Database Release 11g to a current Oracle Database release, delete any data
the 11g database. After the upgrade, you can use the new release Oracle Database Analytic W
data security roles again.

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

Step 5: Preupgrade step

Execute Preupgrade script from source home

$Earlier_release_Oracle_home/jdk/bin/java -jar
$New_release_Oracle_home/rdbms/admin/preupgrade.jar FILE TEXT DIR ou
FILE - Use this option to direct output to a file
TEXT - Use this option to specify log should be in Text format (other option is to have XML ou
DIR - Logs will be created under <output_dir>

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

Preupgrade fixup script

Execute Preupgrade fixup scripts preupgrade_fixups.sql

Dependencies on Network Utility Packages

Execute the following query

SQL> SELECT * FROM DBA_DEPENDENCIES WHERE referenced_name IN

('UTL_TCP','UTL_SMTP','UTL_MAIL','UTL_HTTP','UTL_INADDR','DBMS_LDAP'
('SYS','PUBLIC','ORDPLUGINS');

To ensure that the new access controls are part of your upgrade testing, prepare a post-upgra
available in your database environment. After the upgrade, grant specific required privileges.
the original database.

Check Time zone version

Check if target database's time zone version is lower than the source database time zone vers
upgrade time zone should be upgrade without fail. RDBMS DST patches are available in Note

Step 6: Upgrade Database to 18c

Shut down the database.

SQL> SHUTDOWN IMMEDIATE

Steps specific to Windows :

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

a. Stop the OracleServiceSID Oracle service of the database you are upgrading,where SID is
example, if your SID is ORCL, then enter the following at a command prompt:
 C:\> NET STOP OracleServiceORCL

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

C:\> ORADIM -DELETE -SID ORCL

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

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

For Unix/Linux

Set the environment variables to point to target ORACLE_HOME

export ORACLE_HOME=<path to Oracle 18c>

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

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

Start DB in upgrade mode from target ORACLE_HOME

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

On Linux/Unix

cd $ORACLE_HOME/bin
./dbupgrade
On Windows

cd %ORACLE_HOME%\bin
dbupgrade

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

$ sqlplus "/as sysdba"

SQL> STARTUP
SQL> @utlu122s.sql

Verify the upgrade log whether catuppst.sql has been executed or not. If not, execute it man
located at $ORACLE_HOME/rdbms/admin directory

SQL> @catuppst.sql

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

SQL> @utlrp.sql

Check the state of the Oracle Data Dictionary for diagnosing upgrades and migrations. The d
upgrade and migration diagnostic information about the current state of the data dictionary.
on the upgraded database as the SYS user. Refer Note 556610.1 Script to Collect DB Upgrade
(dbupgdiag.sql)

If the dbupgdiag.sql script reports any invalid objects, run $ORACLE_HOME/rdbms/admin/utlr

the invalid objects in the database, until there is no change in the number of invalid objects.
re-run dbupgdiag.sql in the upgraded database once again and make sure that everything is f

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

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

Step 7: Post-upgrade
Setting Environment variables on Linux and Unix

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

ORACLE_HOME
PATH

Update oratab entries

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

Post-upgrade fixup script

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

SQL> @postupgrade_fixups.sql

Recovery Catalog Upgrade

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

Please refer to Oracle documentation under "Upgrading the Recovery Catalog" for complete in

Upgrade the Time Zone File Version After Upgrading Oracle Database

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

Follow the procedure in Oracle documentation under "Steps to Upgrade Time Zone File and T
and Note 1509653.1 "Updating the RDBMS DST version in 12c Release 1 (12.1.0.1 and up) us

Upgrading Statistics Tables

If you created statistics tables using the DBMS_STATS.CREATE_STAT_TABLE procedure, then

DBMS_STATS.UPGRADE_STAT_TABLE. In the following example, SYS is the owner of the sta
name of the statistics table.

EXECUTE DBMS_STATS.UPGRADE_STAT_TABLE('SYS', 'dictstattab');

Perform this procedure for each statistics table.

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