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.

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

Before using this procedure, complete the following steps:

• Install the Oracle Database software

• Prepare the new Oracle home

• Run the Pre-Upgrade Information Tool

Steps:

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.

   For example, on Linux or Unix systems:

    $ORACLE_HOME/jdk/bin/java -jar /opt/oracle/product/19.0.0/rdbms/admin/preupgrade.jar FILE TEXT

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.

      Use the following syntax, where SID is your database SID, PASSWORD is your system password, USERS is the value you want to set for maximum number of users, and ORACLE_HOME is your Oracle home:

      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\19.0.0\DB, then enter the following command:

      C:\> ORADIM -NEW -SID ORCL -SYSPWD TWxy5791 -MAXUSERS 10
      -STARTMODE AUTO -PFILE C:\ORACLE\PRODUCT\19.0.0\DB\DATABASE\INITORCL.ORA
      

      ORADIM writes a log file to the ORACLE_HOME\database directory.

      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.

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 admin directory in the new Oracle home directory.

   For example:

   $ cd $ORACLE_HOME/rdbms/admin
   $ pwd
   /u01/app/oracle/product/19.0.0/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.

    You can run the Parallel Upgrade Utility as a command-line shell command by using the dbupgrade shell command, which is located in Oracle_home/bin. If you set the PATH environment variable to include Oracle_home/bin, then you can run the command directly from your command line. For example:

    $ dbupgrade -d /u01/app/oracle/19.1.0/dbhome_1

    Note:

    • When you run the Parallel Upgrade Utility command, use the -d option to specify the filepath for the target Oracle home. Use the -l option to specify the directory that you want to use for spool log files.

15. The database is shut down after a successful upgrade. Restart the instance so that you reinitialize the system parameters for normal operation. For example:

    SQL> STARTUP
    

    This restart, following the database shutdown, 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 it. 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 invalid objects.

    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

    Note:

    If you did not specify to place the script in a different location, then it is in the default path Oracle_base/cfgtoollogs/SID/preupgrade, where Oracle_base is your Oracle base home path, and SID is your unique database name.

18. Run utlusts.sql. The script verifies that all issues are fixed.

    For example:

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

    The log file utlrp0.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 utlusts.sql as many times as you want, at any time after the upgrade is completed. If the utlusts.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 adjust the time zone data files 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

    In this syntax example, db-unique-name is the database name (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 command-line interface (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.

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 19c software.

2. Upgrade the database as described in this guide.

3. Set the COMPATIBLE parameter to 19.0.0, 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.

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