MFG - Oracle Performing Database Upgrade 11.2.0.4 To ORACLE 12c

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[PERFORMING DATABASE UPGRADE FROM 11.2.0.4 to 12.1.0.2]

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[ORACLEPerforming Oracle Database Upgrade]
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Version No. Date Created / Modified Reviewed by Changes Made

by
1.0 17 Nov 2017 Sudhakar Kopperla Jasmeet Singh Original Document

Made changes in
steps, added more
points and snaps.

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NOTE: Kindly DO NOT share the document outside MFG as it contains data/password
strictly for internal use only.
Scenario
Target Database SID JASDB (Single Instance DB)
Target Database version 11.2.0.4
Upgrade to version 12.1.0.2
Server Operating System Windows Server 2012
Ensure that the required downtime has been sought and blackout has been applied before starting
off with the activity.
Prerequisites:
Disk space: Enough to cater to storing at least 1 cold backup of the database + Full Database + 1
Level 0 RMAN backup of database taken after finishing the Upgrade + (If needed it is advisable to
take a fresh cold backup just after upgrade so that even if application is tested and changes are
done then too if plant requests for roll back or refresh again than it can be done to latest cold
backup which was taken just after the upgrade).
Software: Oracle Database Software version 12.1.0.2
Preparing for Rollback

In case the upgrade fails due to any reason and we have to roll back the changes, we would
require a complete backup of the target database taken just before starting off with the upgrade
activity. Cold-backup of database can be taken for such unforeseen events, as it is easy to restore
the database from cold-backup and then start the database until we receive a next downtime or
get a go ahead to continue again.
In order to take a cold backup of the database JASDB, do the following:
C:\windows> set oracle_sid=JASDB

C:\windows> sqlplus sys as sysdba (Logon to database using SYS user
credentials)

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SQL> select name from v$datafile;

SQL> select name from v$tempfile;
SQL> select name from v$controlfile;
SQL > select member from v$logfile;
SQL> shutdown immediate;
SQL> exit;
Now manually copy the following database files from the paths queried above to a separate
location on the disk and name it PRODDB_COLD_BACKUP:
Data Files
Control Files
Redo Log Files
Pfile/SPfile of PRODDB database
Pre-upgrade tasks:
Creating separate Oracle Home for upgrade:
In order to upgrade the Oracle database, we need to create a separate Oracle Home for the new
Oracle binaries. It is very similar to installing Oracle Database Software with a Software Only
option but we need to supply a new path name (directory location) when asked for Oracle Home.
Refer to the snap below:
1. Start the setup for Oracle Database Software version 12.1.0.2. Install 12c database
binaries on the server where the database needs to be upgraded.

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Uncheck the option to receive updates and click Next to get below screen. Click Yes to it to
proceed.

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Either use an Existing Windows User or create a new one as per your requirement:

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Provide the path to Oracle_Base and Oracle_Home (this should be the path to your new
Oracle_Home meant to be created for the upgraded version i.e, for 11.2.0.4). Click Next.

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Verify that Oracle_Home (Software Location) is being set to correct directory path before
proceeding on to installation. Once assured, click Install.

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Wait for it to finish successfully and then Close the installer.

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2. Create pfile from spfile on source database and get it shipped to new
%ORACLE_HOME%\database directory (to be copied to Oracle12c_home in this
case):
SQL > create pfile from spfile;
3. Edit the shipped pfile and keep in Oracle12c_home\Network\Admin location

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4. If present, remove parameter sec_case_sensitive_logon

5. Change the value of DIAGNOSTIC_DEST to 12c $ORACLE_BASE
6. Copy the below file from 12c %ORACLE_HOME%\rdbms\admin to 11g
%ORACLE_HOME%\rdbms\admin
preupgrd.sql
utluppkg.sql - No need to run utluppkg.sql script, this will be called internally from
preupgrd.sql script.
IMPORTANT NOTE: So just copy utluppkg.sql file from Oracle12c_Home to
Oracle11g_Home\RDBMS\Admin i.e. to the same location where you are copying the preupgrd,sql script as
utluppkg.sql should be available in the same directory where preupgrd.sql is as this file is required during
the run of preupgrd.
emremove.sql -- to remove EM repository data
If the EM repository is not removed up front, it will be automatically removed during the catuppst.sql post-
upgrade phase.
catnoamd.sql -- located in 12c %ORACLE_HOME%\olap\admin

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olspreupgrade.sql -- If OLS (Lable Security) and/or DV (Database Vault) was already

in the database prior to the upgrade then execute the following steps on Source database
prior to upgrade. Ideally it is not required to be run in MFG environment, but running it for
now is no harm.
- It prepares the move of AUD$ table from SYSTEM to SYS.

- It processes the audit records to minimize downtime.
- It moves records to an Interim temporary table.
utlrp.sql -- Before running the preupgrd.sql script it will be advisable to run the utlrp.sq;
script and suppress
To check invalid objects use below statement:

select count(*) from user_objects where status = 'INVALID';
select object_type,count(*) from user_objects where status = 'INVALID' group by object_type;
Run utlrp.sql now:
Run the dbupgdiag.sql (attached here for reference) and see Note <556610.1> Script to
Collect DB Upgrade/Migrate Diagnostic Information (dbupgdiag.sql) for more information.

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dbupgdiag_output.
dbupgdiag.sql txt
utlrp.sql -- Before running the preupgrd.sql script it will be advisable to run the utlrp.sq;
script few times to suppress any remaining invalid objects.
7. Execute preupgrd.sql -- it acts like utlu112i.sql in oracle 11g R2
Three files are created after executing of preupgrd.sql and that are:
preupgrade.log,
preupgrade_fixups.sql and
postupgrade_fixups.sql files
created in $ORACLE_HOME/cfgtoollogs/$ORACLE_SID/preupgrade/, which is under the source database

ORACLE_HOME to be upgraded.
Preupgrade.log
Preupgrade_fixups.sql -- execute it before upgrade and get warnings and
recommendations fixed.

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Postupgrade_fixups.sql -- execute it just after the upgrade.
8. Shut down the database, which is to be upgraded.
9. Open a new command prompt window and Stop the lower version listener (11g in this case):
10. Create a new Listener service in 12c oracle home using NETCA by navigating to
Oracle12c_Home and then issuing NETCA command to route to new Oracle12c_home\Bin.

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Enter password for MFGDBA account:

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Click Finish on the below screen to exit the assistant.

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Upgrade Tasks:
1. Drop the sid with oradim utility by executing it from the old oracle home
(Oracle11g_home\bin in this case) and close the command prompt session.
C:\Users\Administrator>cd E:\oracle11g_home\app\Administrator\product\11.2.0\dbhome_1\BIN
C:\Users\Administrator>E:
E:\oracle11g_home\app\Administrator\product\11.2.0\dbhome_1\BIN>oradim -delete -sid JASDB

Instance deleted.
E:\oracle11g_home\app\Administrator\product\11.2.0\dbhome_1\BIN>
2. Open a new command prompt session and create the same sid with oradim utility by
executing from the new oracle home 12c (Oracle12c_home in this case). You will be
prompted to enter the MFGDBA (Oracle_Home user authenticated password):
C:\Users\Administrator>cd E:\oracle12c_home\app\mfgdba\product\12.1.0\dbhome_1\BIN
C:\Users\Administrator>E:
E:\oracle12c_home\app\mfgdba\product\12.1.0\dbhome_1\BIN>ORADIM -NEW -SID JASDB -

STARTMODE auto
Enter password for Oracle service user:
Instance created.
E:\oracle12c_home\app\mfgdba\product\12.1.0\dbhome_1\BIN>

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3. Now open the database in upgrade mode by issuing Startup upgrade command:
Since you have deleted the 11g service and created a new one. Shutdown the database ones and
start it again with upgrade mode. Please do so in a new command prompt.
4. Now execute catupgrd.sql in combination with perl:
To run this command, first make sure your database is connected in Startup Upgrade mode from
12c Oracle_Home. It should show the screen as:
Before running the perl.exe catctl.pl command please make sure the another command prompt
window you have opened to execute also has ORACLE_HOME and SID set.

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Command which is executed is:

set ORACLE_HOME=E:\oracle12c_home\app\mfgdba\product\12.1.0\dbhome_1
cd E:\oracle12c_home\app\mfgdba\product\12.1.0\dbhome_1\RDBMS\ADMIN
E:\oracle12c_home\app\mfgdba\product\12.1.0\dbhome_1\RDBMS\ADMIN> set
ORACLE_SID=JASDB
E:\oracle12c_home\app\mfgdba\product\12.1.0\dbhome_1\RDBMS\ADMIN>E:\oracle12c_ho
me\app\mfgdba\product\12.1.0\dbhome_1\perl\bi
n\perl.exe catctl.pl -l E:\oracle12c_home\app\mfgdba\product\12.1.0\dbhome_1\diagnostics
catupgrd.sql
(Note: This script will run depending upon the size of the database. In this case the fresh database
took around 1hr 25m 58s to finish).
See below snap for reference:
And it will generate an output like:

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.
.
.

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The output of the upg_summary.log file was as below:
Now we need to run utlrp.sql multiple times in an interval of 3 minutes from

$Oracle_Home\RDBMS\Admin as below (execute this script 3 to 4 times in an interval of 3 minutes):
cd $ORACLE_HOME/rdbms/admin>@utlrp.sql
.
.
Run the dbupgdiag.sql (attached here for reference) and see Note <556610.1> Script to Collect DB
Upgrade/Migrate Diagnostic Information (dbupgdiag.sql) for more information.

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dbupgdiag_output.
dbupgdiag.sql txt
.
.
In this output file you may find OLAPSYS owner as Invalid Objects. But there is nothing to worry
about. As per Oracle Metalink Document ID Invalid OLAPSYS Objects after Upgrading TO 12C
(Doc ID 1593666.1) OLAPSYS is not required and can be dropped. And in case you do not want to
drop them then you can leave them as it is since they are not related to SYS or internal schema. They
will not impact your after upgrade work.
IMPORTANT NOTE: Ones we are executing the above catupgrd.sql command with Perl feature then we do
not need to run the catupgrd.sql PARALLEL=NO again. As till 11g catupgrd.sql used to be done alone
but from Oracle 12c, there is a new feature introduced of parallelism where PERL is introduced to run the
upgrade in parallel mode in which it will depend upon the systems CPU count. So below command will not
be run again.
SQL> @%ORACLE_HOME%\rdbms\admin\catupgrd.sql PARALLEL=NO
Note: PARALLEL=NO is not required to be run with 11g upgrade. It is a feature to be used with 12c.

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Post upgrade tasks:
1. Startup the database in normal mode.

SQL > startup
2. Execute utlu121s.sql -- List status of upgraded components.

SQL>@E:\oracle12c_home\app\mfgdba\product\12.1.0\dbhome_1\RDBMS\ADM
IN\utlu121s.sql;
3. If all the above components are in VALID state then there is no need to execute catuppst.sql
script (upgrade those components which dont require db in upgrade mode).
SQL>@E:\oracle12c_home\app\mfgdba\product\12.1.0\dbhome_1\RDBMS\ADMI
N\catuppst.sql;

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4. Execute utlrp.sql -- Recompile the invalid objects.

N\utlrp.sql;
Checking invalid objected before utlrp script execution:

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Run utlrp.sql script now:
Run the check again and now it is 0:

select count(*) from user_objects where status = 'INVALID';
select object_type,count(*) from user_objects where status = 'INVALID' group by object_type;
5. Execute utluiobj.sql -- list invalid objects after upgrade.

N\utluiobj.sql;

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6. Startup the db in upgrade mode to update the Time zone version to 18 as recommended in
preupgrade_fixups.sql.
SQL> STARTUP UPGRADE
SQL> SELECT PROPERTY_NAME, SUBSTR(property_value, 1, 30) value

FROM DATABASE_PROPERTIES WHERE PROPERTY_NAME LIKE 'DST_%' ORDER BY
PROPERTY_NAME;
SQL> alter session set "_with_subquery"=materialize;

SQL> alter session set "_simple_view_merging"=TRUE;
SQL> exec DBMS_DST.BEGIN_PREPARE(18)
SQL> TRUNCATE TABLE SYS.DST$TRIGGER_TABLE;
SQL> TRUNCATE TABLE sys.dst$affected_tables;
SQL> TRUNCATE TABLE sys.dst$error_table;
SQL> set serveroutput on
SQL> BEGIN
DBMS_DST.FIND_AFFECTED_TABLES
(affected_tables => 'sys.dst$affected_tables',
log_errors => TRUE,
log_errors_table => 'sys.dst$error_table');
END;
/

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SQL> SELECT * FROM sys.dst$affected_tables;

SQL> SELECT * FROM sys.dst$error_table;
SQL> EXEC DBMS_DST.END_PREPARE;
Upgrade Timezone Version:
SQL> purge dba_recyclebin;

SQL> EXEC DBMS_DST.BEGIN_UPGRADE(18);
FROM DATABASE_PROPERTIES WHERE PROPERTY_NAME LIKE 'DST_%' ORDER BY PROPERTY_NAME;

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SQL> shutdown immediate

SQL> startup

SQL> set serveroutput on

VAR numfail number
BEGIN
DBMS_DST.UPGRADE_DATABASE(:numfail,
parallel => TRUE,
log_errors => TRUE,
log_errors_table => 'SYS.DST$ERROR_TABLE',
log_triggers_table => 'SYS.DST$TRIGGER_TABLE',
error_on_overlap_time => FALSE,
error_on_nonexisting_time => FALSE);
DBMS_OUTPUT.PUT_LINE('Failures:'|| :numfail);

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END;
/
SQL> VAR fail number

BEGIN
DBMS_DST.END_UPGRADE(:fail);
DBMS_OUTPUT.PUT_LINE('Failures:'|| :fail);
END;
/

FROM DATABASE_PROPERTIES WHERE PROPERTY_NAME LIKE 'DST_%' ORDER BY PROPERTY_NAME;

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SQL> update registry$database set TZ_VERSION = (select version FROM v$timezone_file);
You would require the Upgraded database 12.1.0.2 to run from spfile so do the following:
Show parameter spfile
Create spfile from pfile;
Shut immediate
Startup
Show parameter spfile
Now, reset the compatible parameter to 12.1.0 and then Startup the db in normal mode.
Alter system set compatible=12.1.0.2 scope=spfile;
Shut immediate
Startup
Show parameter compatible

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Important: Run the postupgrade_fixups script located at

$ORACLE_HOME/cfgtoollogs/$ORACLE_SID/preupgrade/, which is under the source database
ORACLE_HOME.
Lastly check the registry parameters to check all components have been successfully upgraded to
12.1.0.2 version by issuing the below command on an open database:
SQL> select comp_name,version, status from dba_registry;
In the above snap you will notice that OWB component still shows in 11.2.0.4 version. The reason for it is
mentioned below.
Oracle Warehouse Builder (OWB) above 11.2.0.3 or higher is compatible is with 12c version as suggested
by oracle. If one still wants to upgrade this component then please refer to the Metalink Document ID
1516557.1. A piece of it from document is for reference:
Oracle Warehouse Builder: OWB is not installed as part of the software for Oracle Database 12c, and OWB
components that may exist in earlier releases are not upgraded as part of the Oracle Database upgrade
process. However, you can use OWB release 11.2.0.3 with Oracle Database 12c. Note that OWB releases
earlier than release 11.2.0.3 do not work with Oracle Database 12c.
Now, we can say that the database has been successfully upgraded to 12.1.0.2 version.
Select banner from v$version;
select host_name, name, db_unique_name, status, open_mode, database_role, logins from
v$database, v$instance;
**************************************END OF DOCUMENT************************************

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CBS IT Windows Operational Documentation

[PERFORMING DATABASE UPGRADE FROM 11.2.0.4 to 12.1.0.2]

[ORACLEPerforming Oracle Database Upgrade]

CBS IT Global Manufacturing

This document is confidential and should not be reproduced, distributed, electronically

Version No. Date Created / Modified Reviewed by Changes Made

1.0 17 Nov 2017 Sudhakar Kopperla Jasmeet Singh Original Document

CBS IT Windows Operational Documentation

Target Database version 11.2.0.4

Upgrade to version 12.1.0.2

Server Operating System Windows Server 2012

Software: Oracle Database Software version 12.1.0.2

Preparing for Rollback

In order to take a cold backup of the database JASDB, do the following:

C:\windows> set oracle_sid=JASDB

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SQL> select name from v$datafile;

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Wait for it to finish successfully and then Close the installer.

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SQL > create pfile from spfile;

3. Edit the shipped pfile and keep in Oracle12c_home\Network\Admin location

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4. If present, remove parameter sec_case_sensitive_logon

emremove.sql -- to remove EM repository data

catnoamd.sql -- located in 12c %ORACLE_HOME%\olap\admin

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olspreupgrade.sql -- If OLS (Lable Security) and/or DV (Database Vault) was already

- It prepares the move of AUD$ table from SYSTEM to SYS.

To check invalid objects use below statement:

Run utlrp.sql now:

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7. Execute preupgrd.sql -- it acts like utlu112i.sql in oracle 11g R2

created in $ORACLE_HOME/cfgtoollogs/$ORACLE_SID/preupgrade/, which is under the source database

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Postupgrade_fixups.sql -- execute it just after the upgrade.

8. Shut down the database, which is to be upgraded.

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Enter password for MFGDBA account:

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Click Finish on the below screen to exit the assistant.

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E:\oracle11g_home\app\Administrator\product\11.2.0\dbhome_1\BIN>oradim -delete -sid JASDB

E:\oracle12c_home\app\mfgdba\product\12.1.0\dbhome_1\BIN>ORADIM -NEW -SID JASDB -

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4. Now execute catupgrd.sql in combination with perl:

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Command which is executed is:

See below snap for reference:

And it will generate an output like:

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The output of the upg_summary.log file was as below:

Now we need to run utlrp.sql multiple times in an interval of 3 minutes from

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