After backing up the database that you want to upgrade, prepare the new Oracle home in a new location. Install the software for the new Oracle Database release into the new location.

1. (Manual upgrades only) Copy configuration files from the Oracle home of the database being upgraded to the new release Oracle Database Oracle home. If you are using DBUA, then you can ignore this step, because the configuration files are copied for you automatically.

   Use the following procedure to copy configuration files to the new Oracle home:

   1. If your parameter file resides within the old environment Oracle home, then copy it to the new Oracle home. By default, Oracle looks for the parameter file in the ORACLE_HOME/dbs directory on Linux or UNIX platforms and in the ORACLE_HOME\database directory on Windows operating systems. After upgrade, the parameter file can reside anywhere else, but it cannot reside in the Oracle home of the old environment.

      Note:

      If necessary, create a text initialization parameter file (PFILE) from the server parameter file (SPFILE) so that you can edit the initialization parameters.

   2. If your parameter file resides within an Oracle ASM instance, then back up the parameter file using the following command:

      CREATE pfile FROM spfile;
      

      If you must downgrade the database and your SPFILE resided within Oracle ASM, then you must restore the parameter file before the downgrade.

   3. If your parameter file is a text-based initialization parameter file with either an IFILE (include file) or a SPFILE (server parameter file) entry, and the file specified in the IFILE or SPFILE entry resides within the old environment Oracle home, then copy the file specified by the IFILE or SPFILE entry to the new Oracle home. The file specified in the IFILE or SPFILE entry contains additional initialization parameters.

   4. If you have a password file that resides within the old environment Oracle home, then move or copy the password file to the new Oracle home.

      The name and location of the password file are operating system-specific. Where SID is your Oracle instance ID, you can find the password file in the following locations:

      • Linux or UNIX platforms: The default password file is orapw SID. It is located in the directory ORACLE_HOME/dbs.

      • Windows operating systems: The default password file is pwdSID.ora. It is located in the directory ORACLE_HOME\database.

2. Adjust your parameter file in the new Oracle Database release by completing the following steps:

   1. Remove desupported initialization parameters and adjust deprecated initialization parameters. In new releases, some parameters are desupported, and other parameters are deprecated. Remove all desupported parameters from any parameter file that starts the new Oracle Database instance. Desupported parameters can cause errors in new Oracle Database releases. Also, alter any parameter whose syntax has changed in the new release.

      The Pre-Upgrade Information Tool displays any deprecated parameters and desupported parameters it finds in the Deprecated Parameters and Desupported Parameters sections, respectively.

      Adjust the values of the initialization parameters to at least the minimum values indicated by the Pre-Upgrade Information Tool.

      Make sure that all path names in the parameter file are fully specified. You should not have relative path names in the parameter file.

   2. If the parameter file contains an IFILE entry, then change the IFILE entry in the parameter file. The IFILE entry should point to the new location text initialization parameter file that you specified in step 1. Also edit the file specified in the IFILE entry in the same way that you edited the parameter file in step 1.

   3. If you are upgrading a cluster database, then if necessary, you can modify the SPFILE or initORACLE_SID.ora files.

   After making these parameter file adjustments, make sure that you save all of the files that you modified.

3. (Manual upgrades only) If you are upgrading a cluster database, and you are not using Database Upgrade Assistant (DBUA) then you must manually separate the database instance from the cluster. Set the CLUSTER_DATABASE initialization parameter to false. After the upgrade, you must set this initialization parameter back to true. If you are using DBUA, then the assistant takes care of this task for you.