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Upgrade to 12c using RMAN Duplicate with Noopen clause and Backup To
Location (Doc ID 2022820.1) Bottom

In this Document

Purpose
Scope
Details
References

APPLIES TO:

Oracle Database - Enterprise Edition - Version 12.1.0.1 to 12.2.0.1 [Release 12.1 to 12.2]
Information in this document applies to any platform.

PURPOSE

Method for Duplicating a 12c database using RMAN Backup created by a lower release (i.e
10gR2, 11gR1, 11gR2)

SCOPE

In 12c, the RMAN duplicate command has new "NOOPEN" option which clones the database
but does not open the auxiliary. This feature can be used to duplicate a database to higher
version.

Note: This note provides the example for upgrading the database using "RMAN DUPLICATE
using BACKUP LOCATION with NOOPEN clause" and applicable ONLY for said method
Note: This note covers the RMAN duplicate with noopen clause procedure. If you choose to
upgrade the database after the RMAN procedure completes, please insure the Pre Upgrade
Checks are completed PRIOR to starting the upgrade.
DETAILS

When cloning (duplicating) a database to a higher version, traditionally (prior to 12c), you must
use restore/recover of an RMAN backup. This is because the database in the destination must be
opened with UPGRADE option. Therefore, the RMAN duplicate could not be used because
RMAN automatically opens the auxiliary database with resetlogs. This would fail with error
'ORA-39700: database must be opened with UPGRADE option'.

In RMAN 12c, a new option is available "NOOPEN" requesting RMAN to complete the
duplicate activity but NOT open the auxiliary database. This would allow for the 'open
upgrade' option to be manually executed when going between versions.

"NOOPEN": It specifies that the duplicate database must not be opened after duplicate is
completed.

Steps to duplicate a database to 12c:

1) Execute Preupgrade script (preupgrd.sql) at 11g database. This script will validate 11g
database for upgrade and provide recommendations. This script is available in the 12c
$ORACLE_HOME/rdbms/admin directory. Note, both preupgrd.sql and utluppkg.sql (called by
preupgrd.sql) must be copied from 12c.

Note: This method performs duplicate using backup. The database backup should be taken after
performing pre-upgrade steps of target database version.
Suppose we are going to upgrade to 12.2, then database should be taken after performing
pre-upgrade tasks of 12.2 version.

Note: Database upgrade compatible matrix will be applicable for this upgrade.

To upgrade to 12.1 the minimum required version in each release are

Minimum require version

Release
10g 10.2.0.5.0
11gR1 11.1.0.7.0
11gR2 11.2.0.2.0
12cR1 12.1.0.1.0

To upgrade to 12.2 the minimum required version in each release are

Release Minimum require version

11gR2 11.2.0.3 / 11.2.0.4
12c 12.1.0.1 / 12.1.0.2

2) Once Preupgrade checks are complete, take complete backup of 11g database

RMAN> connect target / catalog <catalog_schema>/<password>@<catalog database>

RMAN> backup database format '/u01/source_backup/db_%U' plus archivelog format
'/u01/source_backup/arch_%U';
RMAN> backup current controlfile format '/u01/source_backup/cf_%U';

This will generate a set of backupsets in /u01/source_backup directory.

3) Move these backup and pfile to 12c host:

Using OS command like scp , we can copy the backup pieces to Destination server
Example: scp -p <backup-piece> user@<host>:/u01/dest_backup/

4) Create password file for 12c database. We can choose new name for 12c database using
duplicate method

$ORACLE_HOME/bin/orapwd file=orapw<sid> password=<password>

5) Edit copied pfile and make necessary changes. Set necessary values like:

db_name =
controfile_name =
db_file_name_convert and log_file_name_convert ( if source and destination locations
are different )

6) startup the Auxiliary instance in NOMOUNT

Sql> connect / as sysdba

Sql> startup nomount

7) From RMAN connect this instance as AUXILIARY

Example:

$ export ORACLE_SID=<12cdbxxx>
rman > connect auxiliary /

8) Using RMAN 12c, execute the duplicate command. In this example, '/u01/backup' denotes
RMAN backup location on destination. Note, “NOOPEN” option is specified.

RMAN> DUPLICATE DATABASE TO <new DB > NOOPEN BACKUP LOCATION '/u01/dest_backup/' ;

Once it completes exit from Rman.

Rman> exit
9) Once RMAN completes, the auxiliary database remains in MOUNT mode. Within sqlplus,
you can open the database with UPGRADE option:

SQL> alter database open resetlogs upgrade;

Ensure the tempfiles have got created.

Select * from v$tempfile ;

Check the files exist physically on disk.

10)Execute Manual upgrade scripts.

In 12c manual upgrade can be done parallel using perl utility catctl.pl

$ cd $ORACLE_HOME/rdbms/admin
$ ORACLE_HOME/perl/bin/perl catctl.pl –n 4 –l /u01/upgrade/logs catupgrd.sql

n – number of parallel process to execute catupgrd.sql

l – log location for catupgrd.sql. Based on number of process log files gets created (catupgrd<n-
1>.log to catupgrd0.log)

11) Execute post upgrade scripts (please refer Document reference given for 12.1 and 12.2
accordingly)

$ORACLE_HOME/perl/bin/perl catctl.pl –n 4 –l /u01/upgrade/logs catuppst.sql

References:

For 12.1

Complete Checklist for Manual Upgrades to Oracle Database 12c Release 1 (12.1) (Doc ID
1503653.1)
http://docs.oracle.com/database/121/RCMRF/rcmsynta020.htm#RCMRF126

For 12.2 please refer

Complete Checklist for Manual Upgrades to Non-CDB Oracle Database 12c Release 2
(12.2) Document 2173141.1

12) Check the database component status to confirm upgrade completion

Connect as SYS user to the database

col comp_id format a10
col comp_name format a30
col version format a10
col status format a8
select substr(comp_id,1,15) comp_id,substr(comp_name,1,30)
comp_name,substr(version,1,10) version,status from dba_registry

NOTE: If using this method to upgrade an existing database, be aware that once the auxiliary
database is created and opened, no further recovery is allowed from the source.