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Multitenant : Upgrade to Oracle Database 21c (AutoUpgrade)

Oracle 21c is an innovation release, so it may not be suitable for most production systems. Please read this before using Oracle 21c for anything real.

This article provides an overview of upgrading an existing multitenant database to Oracle 21c on the same server using AutoUpgrade. Upgrades can be very complicated, so you must always read the upgrade manual, and test thoroughly before considering an upgrade of a production environment.

Related articles.

Assumptions

This article is focused on upgrading a multitenant database. If your starting point is a non-CDB database, you should be reading the following article.

This article assumes your source database is of a version supported for direct upgrade to 21c.

19c, 18c, 12.2

In this example we are doing an upgrade from 19c multitenant to 21c. The process is very similar for all supported versions.

It's important to have backups of everything before you start! Some of these steps are destructive, and if something goes wrong you have no alternative but to restore from backups and start again.

Remember, this article is not a replacement for reading the upgrade documentation. Each upgrade has the potential to be different, depending on what options are installed.

Prerequisities

Make sure you have all the OS prerequisites in place by running the 21c preinstall package. On Oracle Linux you can do this by installing the preinstall package. It probably makes sense to update the remaining packages also.

yum install -y oracle-database-preinstall-21c
yum update -y

Install 21c Software

You can read about the installation process in more detail here (OL7, OL8), but for this example we'll keep it brief. The following commands will perform a silent installation of the 21c software.

export ORACLE_HOME=$ORACLE_BASE/product/21.0.0/dbhome_1
export SOFTWARE_DIR=/vagrant/software
export ORA_INVENTORY=/u01/app/oraInventory

mkdir -p ${ORACLE_HOME}
cd $ORACLE_HOME

/bin/unzip -oq ${SOFTWARE_DIR}/LINUX.X64_213000_db_home.zip

./runInstaller -ignorePrereq -waitforcompletion -silent                        \
    -responseFile ${ORACLE_HOME}/install/response/db_install.rsp               \
    oracle.install.option=INSTALL_DB_SWONLY                                    \
    ORACLE_HOSTNAME=${ORACLE_HOSTNAME}                                         \
    UNIX_GROUP_NAME=oinstall                                                   \
    INVENTORY_LOCATION=${ORA_INVENTORY}                                        \
    SELECTED_LANGUAGES=en,en_GB                                                \
    ORACLE_HOME=${ORACLE_HOME}                                                 \
    ORACLE_BASE=${ORACLE_BASE}                                                 \
    oracle.install.db.InstallEdition=EE                                        \
    oracle.install.db.OSDBA_GROUP=dba                                          \
    oracle.install.db.OSBACKUPDBA_GROUP=dba                                    \
    oracle.install.db.OSDGDBA_GROUP=dba                                        \
    oracle.install.db.OSKMDBA_GROUP=dba                                        \
    oracle.install.db.OSRACDBA_GROUP=dba                                       \
    SECURITY_UPDATES_VIA_MYORACLESUPPORT=false                                 \
    DECLINE_SECURITY_UPDATES=true

Run the root scripts when prompted.

As a root user, execute the following script(s):
        1. /u01/app/oracle/product/21.0.0/dbhome_1/root.sh

At this point you should also patch the new Oracle home, but in this case we will forgo that step to keep things simple.

Run AutoUpgrade Analyze

Download the latest "autoupgrade.jar" file from MOS 2485457.1. If you don't have MOS access you can miss out the next step.

cd $ORACLE_BASE/product/21.0.0/dbhome_1/rdbms/admin
mv autoupgrade.jar autoupgrade.jar.`date +"%Y"-"%m"-"%d"`
cp /tmp/autoupgrade.jar .

Make sure you are using the original Oracle home before running the "autoupgrade.jar" commands.

export ORACLE_SID=cdb1
export ORAENV_ASK=NO
. oraenv
export ORAENV_ASK=YES

export ORACLE_HOME=$ORACLE_BASE/product/19.0.0/dbhome_1

Generate a sample file for a full database upgrade.

$ORACLE_BASE/product/21.0.0/dbhome_1/jdk/bin/java \
  -jar $ORACLE_BASE/product/21.0.0/dbhome_1/rdbms/admin/autoupgrade.jar \
  -create_sample_file config /tmp/config.txt full

Edit the resulting "/tmp/config.txt" file, setting the details for your required upgrade. In this case we used the following parameters.

upg1.log_dir=/u01/app/oracle/cfgtoollogs/autoupgrade/cdb1  # Path of the log directory for the upgrade job
upg1.sid=cdb1                                              # ORACLE_SID of the source DB/CDB
upg1.source_home=/u01/app/oracle/product/19.0.0/dbhome_1   # Path of the source ORACLE_HOME
upg1.target_home=/u01/app/oracle/product/21.0.0/dbhome_1   # Path of the target ORACLE_HOME
upg1.start_time=NOW                                        # Optional. [NOW | +XhYm (X hours, Y minutes after launch) | dd/mm/yyyy hh:mm:ss]
upg1.upgrade_node=localhost.localdomain                    # Optional. To find out the name of your node, run the hostname utility. Default is 'localhost'
upg1.run_utlrp=yes                                         # Optional. Whether or not to run utlrp after upgrade
upg1.timezone_upg=yes                                      # Optional. Whether or not to run the timezone upgrade
upg1.target_version=21                                     # Oracle version of the target ORACLE_HOME.  Only required when the target Oracle database version is 12.2

Run the upgrade in analyze mode to see if there are any expected issues with the upgrade.

$ORACLE_BASE/product/21.0.0/dbhome_1/jdk/bin/java \
  -jar $ORACLE_BASE/product/21.0.0/dbhome_1/rdbms/admin/autoupgrade.jar \
  -config /tmp/config.txt -mode analyze

AutoUpgrade tool launched with default options
Processing config file ...
+--------------------------------+
| Starting AutoUpgrade execution |
+--------------------------------+
1 databases will be analyzed
Type 'help' to list console commands
upg> Job 100 completed
------------------- Final Summary --------------------
Number of databases            [ 1 ]

Jobs finished                  [1]
Jobs failed                    [0]
Jobs pending                   [0]

Please check the summary report at:
/u01/app/oracle/cfgtoollogs/autoupgrade/cfgtoollogs/upgrade/auto/status/status.html
/u01/app/oracle/cfgtoollogs/autoupgrade/cfgtoollogs/upgrade/auto/status/status.log

The output files list the status of the analysis, and any manual intervention that is needed before an upgrade can take place. The output of the "status.log" file is shown below. The detail section gives a file containing the details of the steps in the upgrade process. If you've seen the output from the "preupgrade.jar", it will look familiar. If there are any required manual actions in the main log file, the detail file should give more information.

==========================================
          Autoupgrade Summary Report
==========================================
[Date]           Sun Aug 22 11:36:28 UTC 2021
[Number of Jobs] 1
==========================================
[Job ID] 100
==========================================
[DB Name]                cdb1
[Version Before Upgrade] 19.12.0.0.0
[Version After Upgrade]  21.3.0.0.0
------------------------------------------
[Stage Name]    PRECHECKS
[Status]        SUCCESS
[Start Time]    2021-08-22 11:36:01
[Duration]      0:00:27
[Log Directory] /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/100/prechecks
[Detail]        /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/100/prechecks/cdb1_preupgrade.log
                Precheck passed and no manual intervention needed
------------------------------------------

The log directory contains a number of files, including a HTML format of the detailed report. It's the same information as the log file, but some people my prefer reading this format.

Once any required manual fixups are complete, run the analysis again and you should see a clean analysis report.

Run AutoUpgrade Fixups (Optional)

The analysis phase identifies fixups that are needed before the upgrade. For an upgrade on the same server it is best to use deploy mode to apply the fixups and upgrade the database in a single action, so this step is not necessary.

Here is an example of running the fixups separately.

$ORACLE_BASE/product/21.0.0/dbhome_1/jdk/bin/java \
  -jar $ORACLE_BASE/product/21.0.0/dbhome_1/rdbms/admin/autoupgrade.jar \
  -config /tmp/config.txt -mode fixups

AutoUpgrade tool launched with default options
Processing config file ...
+--------------------------------+
| Starting AutoUpgrade execution |
+--------------------------------+
1 databases will be processed
Type 'help' to list console commands
upg> Job 101 completed
------------------- Final Summary --------------------
Number of databases            [ 1 ]

Jobs finished                  [1]
Jobs failed                    [0]
Jobs pending                   [0]

Please check the summary report at:
/u01/app/oracle/cfgtoollogs/autoupgrade/cfgtoollogs/upgrade/auto/status/status.html
/u01/app/oracle/cfgtoollogs/autoupgrade/cfgtoollogs/upgrade/auto/status/status.log

The output of the "status.log" file is show below.

==========================================
          Autoupgrade Summary Report
==========================================
[Date]           Sun Aug 22 11:38:28 UTC 2021
[Number of Jobs] 1
==========================================
[Job ID] 101
==========================================
[DB Name]                cdb1
[Version Before Upgrade] 19.12.0.0.0
[Version After Upgrade]  21.3.0.0.0
------------------------------------------
[Stage Name]    PRECHECKS
[Status]        SUCCESS
[Start Time]    2021-08-22 11:37:31
[Duration]      0:00:29
[Log Directory] /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/101/prechecks
[Detail]        /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/101/prechecks/cdb1_preupgrade.log
                Precheck passed and no manual intervention needed
------------------------------------------
[Stage Name]    PREFIXUPS
[Status]        SUCCESS
[Start Time]    2021-08-22 11:38:00
[Duration]      0:00:28
[Log Directory] /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/101/prefixups
------------------------------------------

Run AutoUpgrade Deploy

We are now ready to run the database upgrade with the following command. The upgrade takes some time, so you will be left at the "upg" prompt until it's complete.

$ORACLE_BASE/product/21.0.0/dbhome_1/jdk/bin/java \
  -jar $ORACLE_BASE/product/21.0.0/dbhome_1/rdbms/admin/autoupgrade.jar \
  -config /tmp/config.txt -mode deploy

AutoUpgrade tool launched with default options
Processing config file ...
+--------------------------------+
| Starting AutoUpgrade execution |
+--------------------------------+
1 databases will be processed
Type 'help' to list console commands
upg>

Use the "help" command to see the command line options. We can list the current jobs and check on the job status using the following commands.

upg> lsj
+----+-------+---------+---------+-------+--------------+--------+--------------------+
|Job#|DB_NAME|    STAGE|OPERATION| STATUS|    START_TIME| UPDATED|             MESSAGE|
+----+-------+---------+---------+-------+--------------+--------+--------------------+
| 102|   cdb1|DBUPGRADE|EXECUTING|RUNNING|21/08/22 11:40|11:45:22|10%Upgraded CDB$ROOT|
+----+-------+---------+---------+-------+--------------+--------+--------------------+
Total jobs 1

upg> status -job 102
Progress
-----------------------------------
Start time:      21/08/22 11:40
Elapsed (min):   6
End time:        N/A
Last update:     2021-08-22T11:45:22.805
Stage:           DBUPGRADE
Operation:       EXECUTING
Status:          RUNNING
Pending stages:  7
Stage summary:
    SETUP             <1 min
    GRP               <1 min
    PREUPGRADE        <1 min
    PRECHECKS         <1 min
    PREFIXUPS         <1 min
    DRAIN             <1 min
    DBUPGRADE         3 min (IN PROGRESS)

Job Logs Locations
-----------------------------------
Logs Base:    /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1
Job logs:     /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/102
Stage logs:   /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/102/dbupgrade
TimeZone:     /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/temp

Additional information
-----------------------------------
Details:
[Upgrading] is [10%] completed for [cdb1-cdb$root]
                 +---------+---------------+
                 |CONTAINER|     PERCENTAGE|
                 +---------+---------------+
                 | CDB$ROOT|  UPGRADE [10%]|
                 | PDB$SEED|UPGRADE PENDING|
                 |     PDB1|UPGRADE PENDING|
                 +---------+---------------+

Error Details:
None

upg>

Once the job completes a summary message is displayed.

upg> Job 102 completed
------------------- Final Summary --------------------
Number of databases            [ 1 ]

Jobs finished                  [1]
Jobs failed                    [0]
Jobs pending                   [0]

---- Drop GRP at your convenience once you consider it is no longer needed ----
Drop GRP from cdb1: drop restore point AUTOUPGRADE_9212_CDB11912000


Please check the summary report at:
/u01/app/oracle/cfgtoollogs/autoupgrade/cfgtoollogs/upgrade/auto/status/status.html
/u01/app/oracle/cfgtoollogs/autoupgrade/cfgtoollogs/upgrade/auto/status/status.log

The "status.log" contains the top-level information about the upgrade process.

==========================================
          Autoupgrade Summary Report
==========================================
[Date]           Sun Aug 22 12:48:49 UTC 2021
[Number of Jobs] 1
==========================================
[Job ID] 102
==========================================
[DB Name]                cdb1
[Version Before Upgrade] 19.12.0.0.0
[Version After Upgrade]  21.3.0.0.0
------------------------------------------
[Stage Name]    GRP
[Status]        SUCCESS
[Start Time]    2021-08-22 11:40:35
[Duration]      0:00:00
[Detail]        Please drop the following GRPs after Autoupgrade completes:
                 AUTOUPGRADE_9212_CDB11912000
------------------------------------------
[Stage Name]    PREUPGRADE
[Status]        SUCCESS
[Start Time]    2021-08-22 11:40:36
[Duration]      0:00:00
[Log Directory] /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/102/preupgrade
------------------------------------------
[Stage Name]    PRECHECKS
[Status]        SUCCESS
[Start Time]    2021-08-22 11:40:36
[Duration]      0:00:31
[Log Directory] /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/102/prechecks
[Detail]        /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/102/prechecks/cdb1_preupgrade.log
                Precheck passed and no manual intervention needed
------------------------------------------
[Stage Name]    PREFIXUPS
[Status]        SUCCESS
[Start Time]    2021-08-22 11:41:07
[Duration]      0:00:30
[Log Directory] /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/102/prefixups
------------------------------------------
[Stage Name]    DRAIN
[Status]        SUCCESS
[Start Time]    2021-08-22 11:41:37
[Duration]      0:00:34
[Log Directory] /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/102/drain
------------------------------------------
[Stage Name]    DBUPGRADE
[Status]        SUCCESS
[Start Time]    2021-08-22 11:42:12
[Duration]      0:53:11
[Log Directory] /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/102/dbupgrade
------------------------------------------
[Stage Name]    POSTCHECKS
[Status]        SUCCESS
[Start Time]    2021-08-22 12:35:24
[Duration]      0:00:12
[Log Directory] /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/102/postchecks
[Detail]        /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/102/postchecks/cdb1_postupgrade.log
------------------------------------------
[Stage Name]    POSTFIXUPS
[Status]        SUCCESS
[Start Time]    2021-08-22 12:35:36
[Duration]      0:13:03
[Log Directory] /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/102/postfixups
------------------------------------------
[Stage Name]    POSTUPGRADE
[Status]        SUCCESS
[Start Time]    2021-08-22 12:48:39
[Duration]      0:00:09
[Log Directory] /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/102/postupgrade
------------------------------------------
[Stage Name]    SYSUPDATES
[Status]        SUCCESS
[Start Time]    2021-08-22 12:48:49
[Duration]      0:00:00
[Log Directory] /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/102/sysupdates
------------------------------------------
Upgrade Summary: /u01/app/oracle/cfgtoollogs/autoupgrade/cdb1/cdb1/102/dbupgrade/upg_summary.log

Check out the "upg_summary.log" file, and if anything looks wrong, check out the associated log files. At this point I do a shutdown and startup to make sure everything is running in the correct mode.

export ORACLE_HOME=$ORACLE_BASE/product/21.0.0/dbhome_1
export PATH=$ORACLE_HOME/bin:$PATH
export ORACLE_SID=cdb1

sqlplus / as sysdba <<EOF
shutdown immediate;
startup;

show pdbs
exit;
EOF

Final Steps

Edit the "/etc/oratab" file and any environment files as required.

If you are using APEX or ORDS, you probably want to validate them (validate APEX, validate ORDS).

Appendix

The following commands are used to rebuild the databases if you want to rerun the examples.

Remove the 21c CDB1 multitenant database.

export ORACLE_HOME=/u01/app/oracle/product/21.0.0/dbhome_1
export PATH=$ORACLE_HOME/bin:$PATH
export ORACLE_SID=cdb1

dbca -silent -deleteDatabase -sourceDB cdb1 -sysDBAUserName sys -sysDBAPassword SysPassword1

Rebuild the 19c CDB1 multitenant database.

export ORACLE_HOME=/u01/app/oracle/product/19.0.0/dbhome_1
export PATH=$ORACLE_HOME/bin:$PATH
export ORACLE_SID=cdb1

#dbca -silent -deleteDatabase -sourceDB mydb -sysDBAUserName sys -sysDBAPassword SysPassword1

dbca -silent -createDatabase \
 -templateName General_Purpose.dbc \
 -gdbname cdb1 -sid cdb1 -responseFile NO_VALUE \
 -characterSet AL32UTF8 \
 -sysPassword SysPassword1 \
 -systemPassword SysPassword1 \
 -createAsContainerDatabase true \
 -numberOfPDBs 1 \
 -pdbName pdb1 \
 -pdbAdminPassword SysPassword1 \
 -databaseType MULTIPURPOSE \
 -memoryMgmtType auto_sga \
 -totalMemory 1536 \
 -storageType FS \
 -datafileDestination "/u02/oradata/" \
 -redoLogFileSize 50 \
 -emConfiguration NONE \
 -ignorePreReqs


sqlplus / as sysdba <<EOF
alter pluggable database pdb1 save state;
alter system set db_recovery_file_dest_size=40g;
alter system set db_recovery_file_dest='/u01/app/oracle/fast_recovery_area';
alter system set db_create_file_dest = '/u02/oradata';
shutdown immediate;
startup mount;
alter database archivelog;
alter database open;
exit;
EOF

For more information see:

Hope this helps. Regards Tim...

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