Upgrade Oracle Database 11gR2 11.2.0.1 to 11.2.0.2 using dbua in silent mode on AIX

Enviroment

Old Oracle Home: /u01/app/oracle/product/11.2.0/dbhome_1
Old Inventory: /u01/app/oraInventory

New Oracle Home: /u01/app/oracle/product/11.2.0.2/dbhome_1
New Inventory: /u01/app/oraInventory11202

Step 1. Download and UNZIP Oracle Patch

$ unzip p10098816_112020_AIX64-5L_1of7.zip
$ unzip p10098816_112020_AIX64-5L_2of7.zip

Step 2. edit response file db_install.rsp

$ cd database
$ vi response/db_install.rsp

oracle.install.option=INSTALL_DB_SWONLY
ORACLE_HOSTNAME=pp3a
UNIX_GROUP_NAME=oinstall
INVENTORY_LOCATION=/u01/app/oraInventory11202
SELECTED_LANGUAGES=en
ORACLE_HOME=/u01/app/oracle/product/11.2.0.2/dbhome_1
ORACLE_BASE=/u01/app/oracle
oracle.install.db.InstallEdition=EE
oracle.install.db.EEOptionsSelection=true
oracle.install.db.DBA_GROUP=odba
oracle.install.db.OPER_GROUP=oper
DECLINE_SECURITY_UPDATES=true

Step 3. execute runInstaller

$ ./runInstaller -ignoreSysPrereqs -silent -responseFile /u01/src/database/response/db_install.rsp

********************************************************************************

Your platform requires the root user to perform certain pre-installation
OS preparation.  The root user should run the shell script 'rootpre.sh' before
you proceed with Oracle installation.  rootpre.sh can be found at the top level 
of the CD or the stage area.

Answer 'y' if root has run 'rootpre.sh' so you can proceed with Oracle 
installation.
Answer 'n' to abort installation and then ask root to run 'rootpre.sh'.

********************************************************************************

Has 'rootpre.sh' been run by root? [y/n] (n)
y

Starting Oracle Universal Installer...

Checking Temp space: must be greater than 190 MB.   Actual 4892 MB    Passed
Checking swap space: must be greater than 150 MB.   Actual 16384 MB    Passed
Preparing to launch Oracle Universal Installer from /tmp/OraInstall2022-03-16_11-49-01AM. Please wait ...oracle@pp3a/u01/src/database>[WARNING] [INS-13001] Environment does not meet minimum requirements.
   CAUSE: Minimum requirements were not met for this environment
   ACTION: Either check the logs for more information or check the supported configurations for this product.
You can find the log of this install session at:
 /u01/app/oraInventory11202/logs/installActions2022-03-16_11-49-01AM.log

Step 4. execute root.sh by root

$ su - 
# cd <New Oracle Home>
# sh root.sh
Check /u01/app/oracle/product/11.2.0.2/dbhome_1/install/root_pp3a_2022-03-16_12-49-17.log for the output of root script

# cat /u01/app/oracle/product/11.2.0.2/dbhome_1/install/root_pp3a_2022-03-16_12-49-17.log
Running Oracle 11g root script...

The following environment variables are set as:
    ORACLE_OWNER= oracle
    ORACLE_HOME=  /u01/app/oracle/product/11.2.0.2/dbhome_1
Entries will be added to the /etc/oratab file as needed by
Database Configuration Assistant when a database is created
Finished running generic part of root script.
Now product-specific root actions will be performed.
Finished product-specific root actions.

Step 5. check /etc/oratab, the database home at old oracle home

$ cat /etc/oratab

ORCL:/u01/app/oracle/product/11.2.0/dbhome_1:N

Step 6. check dbua is in new oracle home

$ which dbua

/u01/app/oracle/product/11.2.0.2/dbhome_1/bin/dbua

Step 7. execute dbua from new oracle home

$ dbua -silent -sid ORCL
Log files for the upgrade operation are located at: /u01/app/oracle/cfgtoollogs/dbua/ORCL/upgrade3 
Performing Pre Upgrade
1% complete 
7% complete 
Upgrading Oracle Server
8% complete 
...
24% complete 
Upgrading JServer JAVA Virtual Machine
26% complete 
Upgrading Oracle XDK for Java
27% complete 
Upgrading OLAP Analytic Workspace
29% complete 
Upgrading OLAP Catalog
30% complete 
...
34% complete 
Upgrading EM Repository
36% complete 
...
50% complete 
Upgrading Oracle Text
51% complete 
Upgrading Oracle XML Database
53% complete 
...
60% complete 
Upgrading Oracle Java Packages
62% complete 
Upgrading Oracle interMedia
63% complete 
64% complete 
Upgrading Spatial
66% complete 
Upgrading Oracle Workspace Manager
68% complete 
Upgrading Expression Filter
70% complete 
Upgrading Rule Manager
71% complete 
Upgrading Oracle Application Express
73% complete 
Upgrading Oracle OLAP API
74% complete 
Performing Post Upgrade
76% complete 
...
92% complete 
Generating Summary
Database upgrade has been completed successfully, and the database is ready to use.
100% complete 
Check the log file "/u01/app/oracle/cfgtoollogs/dbua/logs/silent1.log" for upgrade details.

If the log file have Database Vault option error

Database Vault option is enabled in Oracle Home: "/u01/app/oracle/product/11.2.0.2/dbhome_1".  This option needs to be disabled prior to upgrade.
The Upgrade Assistant failed in executing any query on the database ORCL. Oracle Home /u01/app/oracle/product/11.2.0/dbhome_1 obtained from file /etc/oratab was used to connect to the database. Either the database is not running from Oracle Home /u01/app/oracle/product/11.2.0/dbhome_1 or its not in OPEN status. Correct the error and run the Upgrade Assistant again.
Could not proceed with Upgrade due to errors.
Fix the errors and restart again!

step a. Disable Oracle Database Vault (Compile New Home)

$ cd $ORACLE_HOME/rdbms/lib
$ make -f ins_rdbms.mk dv_off ioracle

step b. Disable Oracle Database Vault (Compile Old Home & Shutdown Database)

$ sqlplus / as sysdba
SQL> shutdown immediate;
$ lsnrctl stop

$ cd $ORACLE_HOME/rdbms/lib
$ make -f ins_rdbms.mk dv_off ioracle

step c. Startup Old Database

SQL> startup;
$ lsnrctl start

Step 8. If dbua will successful, the /etc/oratab auto change to new oracle home

$ cat /etc/oratab

ORCL:/u01/app/oracle/product/11.2.0.2/dbhome_1:N

Step 9. check oracle database is run on new version

SQL> select * from v$version;

BANNER
--------------------------------------------------------------------------------
Oracle Database 11g Enterprise Edition Release 11.2.0.2.0 - 64bit Production
PL/SQL Release 11.2.0.2.0 - Production
CORE    11.2.0.2.0      Production
TNS for IBM/AIX RISC System/6000: Version 11.2.0.2.0 - Production
NLSRTL Version 11.2.0.2.0 - Production

Step 10. shutdown database then copy some file from old oracle home

SQL> shutdown immediate;
Database closed.
Database dismounted.
ORACLE instance shut down.

Step 11. copy & check spfile pwfile listener.ora sqlnet.ora tnsnames.ora in new oracle home & copy from old oracle home

$ ls -l $ORACLE_HOME/dbs

total 56
-rw-rw----    1 oracle   oinstall       1544 Mar 16 13:32 hc_DBUA0.dat
-rw-rw----    1 oracle   oinstall       1544 Mar 16 14:16 hc_ORCL.dat
-rw-r--r--    1 oracle   oinstall       2851 May 15 2009  init.ora
-rw-r-----    1 oracle   oinstall        547 Mar 16 13:34 initORCL.ora
-rw-r-----    1 oracle   oinstall         24 Mar 16 13:35 lkORCL
-rwSr-----    1 oracle   oinstall       1536 Mar 16 13:34 orapwORCL
-rw-r-----    1 oracle   oinstall       2560 Mar 16 13:58 spfileORCL.ora

$ cd <OLD_ORACLE_HOME>/network/admin
$ cp listener.ora $ORACLE_HOME/network/admin/
$ cp tnsnames.ora $ORACLE_HOME/network/admin/
$ cp sqlnet.ora $ORACLE_HOME/network/admin/

Step 12. check any application is run on old database home

$ lsof | grep "/u01/app/oracle/product/11.2.0/dbhome_1"

Step 13. startup new listener

$ lsnrctl start

LSNRCTL for IBM/AIX RISC System/6000: Version 11.2.0.2.0 - Production on 16-MAR-2022 14:22:41

Copyright (c) 1991, 2010, Oracle.  All rights reserved.

Starting /u01/app/oracle/product/11.2.0.2/dbhome_1/bin/tnslsnr: please wait...

TNSLSNR for IBM/AIX RISC System/6000: Version 11.2.0.2.0 - Production
System parameter file is /u01/app/oracle/product/11.2.0.2/dbhome_1/network/admin/listener.ora
Log messages written to /u01/app/oracle/diag/tnslsnr/pp3a/listener/alert/log.xml
Listening on: (DESCRIPTION=(ADDRESS=(PROTOCOL=ipc)(KEY=EXTPROC1521)))
Listening on: (DESCRIPTION=(ADDRESS=(PROTOCOL=tcp)(HOST=pp3a)(PORT=1521)))

Connecting to (DESCRIPTION=(ADDRESS=(PROTOCOL=IPC)(KEY=EXTPROC1521)))
STATUS of the LISTENER
------------------------
Alias                     LISTENER
Version                   TNSLSNR for IBM/AIX RISC System/6000: Version 11.2.0.2.0 - Production
Start Date                16-MAR-2022 14:22:41
Uptime                    0 days 0 hr. 0 min. 0 sec
Trace Level               off
Security                  ON: Local OS Authentication
SNMP                      ON
Listener Parameter File   /u01/app/oracle/product/11.2.0.2/dbhome_1/network/admin/listener.ora
Listener Log File         /u01/app/oracle/diag/tnslsnr/pp3a/listener/alert/log.xml
Listening Endpoints Summary...
  (DESCRIPTION=(ADDRESS=(PROTOCOL=ipc)(KEY=EXTPROC1521)))
  (DESCRIPTION=(ADDRESS=(PROTOCOL=tcp)(HOST=pp3a)(PORT=1521)))
The listener supports no services
The command completed successfully

Step 14. startup database from new oracle home

$ sqlplus / as sysdba

SQL*Plus: Release 11.2.0.2.0 Production on Wed Mar 16 14:25:17 2022

Copyright (c) 1982, 2010, Oracle.  All rights reserved.

Connected to an idle instance.

SQL> startup
ORACLE instance started.

Total System Global Area 1.0689E+10 bytes
Fixed Size                  2229040 bytes
Variable Size            5972692176 bytes
Database Buffers         4664066048 bytes
Redo Buffers               50487296 bytes
Database mounted.
Database opened.
SQL> show parameter spfile

NAME                                 TYPE        VALUE
------------------------------------ ----------- ------------------------------
spfile                               string      /u01/app/oracle/product/11.2.0
                                                 .2/dbhome_1/dbs/spfileORCL.ora

If Disable Oracle Database Vault before execute dbua, then need to Enable Oracle Database Vault.

step. Enable Oracle Database Vault

$ sqlplus / as sysdba
SQL> shutdown immediate;
SQL> exit
$ lsnrctl stop

$ cd $ORACLE_HOME/rdbms/lib
$ make -f ins_rdbms.mk dv_on lbac_on ioracle

$ sqlplus / as sysdba
$ lsnrctl start
SQL> startup;
SQL> exit

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