OpenVMS VAX Version 7.3
Upgrade and Installation
5.8 Preupgrade Checklist
Before you begin the upgrade procedure, use the following checklist to
make sure you have completed all the necessary preupgrade tasks.
- Read the OpenVMS Version 7.3 New Features and Documentation Overview, the OpenVMS Version 7.3 Release Notes, and any cover letters
that came with your kit.
- Read the cautions and restrictions described at the beginning of
this chapter and in Chapter 1.
- Make sure you have enough free blocks for the upgrade. You need at
least 48,950 free blocks for the required files to start the upgrade
(described in Section 5.5). The entire upgrade requires about 163,000
- Set up your system to record the upgrade procedure on either a
hardcopy terminal or a printer attached to the console terminal. If you
do not do this, the screen messages will be lost. You need a transcript
in case there is a problem during the upgrade. For information on how
to connect a hardcopy device to your console to record the procedure,
refer to the upgrade and installation supplement for your VAX computer.
- Check your AUTOGEN feedback information to be sure it is valid
before rebooting the system. (Described in Section 5.3)
- Make a backup copy of the system disk and, if applicable, of the
console media. (Described in the upgrade and installation supplement
for your computer)
- If, in previous versions, your distribution kit provided standalone
BACKUP on one of the following media types, make sure you have created
a standalone BACKUP kit on one of the following media types:
(Described in Section 5.4)
- Make sure SYSUAF.DAT is in the SYS$COMMON:[SYSEXE] and
VMS$AUDIT_SERVER.DAT is in the SYS$COMMON:[SYSMGR] directory.
(Described in Section 5.5)
- Make sure SWAPFILE.SYS (if it is located on the system disk) and
PAGEFILE.SYS are in the SYS$SPECIFIC:[SYSEXE] directory. (Described in
- Make sure the page file is at least 4600 blocks. (Described in
- If you have a shared system dump file in SYS$COMMON:[SYSEXE], make
sure the shared file is not named SYSDUMP.DMP. (Described in
- If your system disk is part of a shadow set, create a nonshadowed
system disk to upgrade. (Described in Volume Shadowing for OpenVMS)
- Make sure the SYSTEM account has sufficient quotas and limits.
(Described in Section 5.5)
- Set the appropriate system parameters and make sure that STARTUP_P1
is set to MIN. (Described in Section 5.5)
- Define the system parameters SCSNODE and SCSSYSTEMID. (Described in
- If your system has a KFQSA controller, make sure the VMS5 parameter
is set to 0. (Described in Section 5.5)
- Check the location of your AGEN$INCLUDE files. (Described in
- Set up the system to restart automatically. (Described in the
upgrade and installation supplement for your VAX computer)
- Shut down and reboot the system from which you will perform the
upgrade. If you are upgrading a cluster, shut down all computers that
boot from the system disk you are upgrading.
- Set interactive logins to 0.
- Shut down DECnet for OpenVMS software. (Described in Section 5.6)
- Migrate to phase II volume shadowing if you are currently using
phase I. (Described in Section 5.6)
- Stop all batch and print queues on the node you are upgrading.
(Described in Section 5.6)
- Make sure you have the following information (described in
Section 5.7) available:
- The device names of the drives that will hold the system disk and
the distribution media
- Passwords of at least 8 characters for the SYSTEM, SYSTEST, and
- A list of optional OpenVMS VAX components you want to install
- A list of optional DECwindows components you want to install
- The information listed on Product Authorization Keys (PAKs) for any
new product licenses you will register
- Create a command procedure to be used when booting from [SYSF]. See
To upgrade a standalone system, refer to Chapter 7.
To upgrade a cluster environment, refer to Chapter 6.
Preparing to Upgrade in an OpenVMS Cluster Environment
This chapter describes how to upgrade an OpenVMS Cluster environment.
Refer to OpenVMS Cluster Systems for more detailed information about OpenVMS
6.1 Mixed-Version Support
OpenVMS Alpha Version 7.3 and OpenVMS VAX Version
7.3 provide two levels of support for mixed-version and
mixed-architecture OpenVMS Cluster systems. These two support types are
warranted and migration.
Warranted support means that Compaq has fully qualified the two
versions coexisting in an OpenVMS Cluster and will answer all problems
identified by customers using these configurations.
Migration support is a superset of the Rolling Upgrade support provided
in earlier releases of OpenVMS and is available for mixes that are not
warranted. Migration support means that Compaq has qualified the
versions for use together in configurations that are migrating in
phases to a newer version of OpenVMS VAX or to OpenVMS Alpha. Problem
reports submitted against these configurations will be answered by
Compaq. However, in exceptional cases Compaq may request that you move
to a warranted configuration as part of answering the problem.
Compaq supports only two versions of OpenVMS running in a cluster at
the same time, regardless of architecture. Migration support helps
customers move to warranted OpenVMS Cluster pairs. Table 6-1 shows
the level of support provided for all possible version pairings.
6.2 Adding a New System to the Cluster
If you need to add a new computer supported by OpenVMS VAX Version
7.3 to an existing OpenVMS Cluster configuration, Compaq
supports two options, listed in the following preferred order:
- Upgrade the entire cluster to OpenVMS VAX Version 7.3
and add the new computer as a member.
- If you need to keep some systems in the cluster running an older
version of OpenVMS VAX, you must upgrade a system disk in the cluster
to OpenVMS VAX Version 7.3 using the rolling upgrade
procedure. Then boot the new computer into the cluster using the
upgraded system disk.
6.3 Types of Upgrades
There are two types of cluster upgrades: concurrent
and rolling. The type of upgrade you use depends on
whether you want to maintain the availability of the cluster during the
upgrade and whether you have more than one system disk. Review this
chapter and then perform the preliminary tasks for the upgrade
procedure (concurrent or rolling) that best suits your configuration.
6.3.1 Concurrent Upgrades
During a concurrent upgrade, you must shut down the entire cluster and
upgrade each system disk. No one can use the cluster until you upgrade
each system disk and reboot each VAX computer. If all systems in the
cluster environment are booted from one system disk, you must perform a
For OpenVMS VAX Version 7.3 concurrent upgrades, all nodes
in the cluster must be running at least OpenVMS VAX Version 7.1.
To perform a concurrent upgrade, go to Section 6.4.
6.3.2 Rolling Upgrades
During a rolling upgrade, you can keep some of the VAX computers in the
cluster running while you upgrade others (you must have more than one
system disk). The cluster runs temporarily with different versions of
the operating system.
For OpenVMS VAX Version 7.3 rolling upgrades, all nodes in
the cluster must be running at least OpenVMS VAX Version 7.1.
To perform a rolling upgrade, go to Section 6.5.
6.4 Concurrent Upgrade
This section describes the following:
- How a concurrent upgrade works
- Tasks you need to perform to prepare your system for a concurrent
6.4.1 How a Concurrent Upgrade Works
During a concurrent upgrade, you must shut down the entire cluster and
upgrade each system disk and reboot each VAX computer in the cluster.
When the cluster reboots, each VAX computer will be running the
upgraded version of the OpenVMS VAX operating system.
6.4.2 Preparing for a Concurrent Upgrade
To prepare for a concurrent upgrade, use the following procedure:
- Shut down the entire cluster by logging in to the SYSTEM account on
each node locally, entering the following command, and
choosing the CLUSTER_SHUTDOWN option:
- If you have only one system disk for your cluster, go to step 3.
If you have more than one system disk, select one to upgrade.
You cannot use the system disk that you usually use as the quorum disk
to hold the save sets from the distribution kit.
- Perform a conversational boot of a single VAX computer from the
system disk you will be upgrading. For more information about the
conversational boot procedure, refer to the upgrade and installation
supplement for your VAX computer.
At the SYSBOOT> prompt, use
the SHOW VOTES and SHOW EXPECTED_VOTES command to display the current
values of the parameters. Write these values down because you will need
to restore them later. Set the VOTES and EXPECTED_VOTES values to 1 by
entering the following commands:
SYSBOOT> USE CURRENT
SYSBOOT> SET VOTES 1
SYSBOOT> SET EXPECTED_VOTES 1
- Upgrade the system disk, using the procedure in Chapter 7.
- If you have only one system disk, go to step 6.
If you have
more than one system disk, shut down the system that you just upgraded.
Then repeat steps 2 through 4 to upgrade each system disk in the
cluster. When you finish upgrading all of the system disks, go to step
- Reboot each computer in the cluster environment.
- Complete the postupgrade procedures described in Chapter 8.
6.5 Rolling Upgrade
This section describes the following:
- How a rolling upgrade works
- Notes and restrictions
- Tasks you need to perform to prepare your system for a rolling
6.5.1 How a Rolling Upgrade Works
During a rolling upgrade, you upgrade each system disk individually,
allowing old and new versions of the operating system to run together
in the same cluster, creating a mixed-version cluster.
Because rolling upgrades allow mixed-version clusters, the systems that
you are not upgrading remain available.
6.5.2 Notes and Restrictions
The following restrictions apply to rolling upgrades:
- Compaq recommends that all VAX computers in a cluster run the same
version of the operating system. Mixed-version clusters are supported
only for the purpose of upgrading the entire cluster
incrementally. Compaq further recommends that all VAX systems in an
OpenVMS Cluster run the latest version of the OpenVMS VAX operating
- A rolling upgrade does not apply when all systems boot from a
single system disk. When all systems boot from a single system disk,
perform a concurrent upgrade using the procedure described in
- During the rolling upgrade, the queuing system is disabled on the
nodes being upgraded. The queuing system on the other nodes should be
unaffected by the upgrade as long as a START/QUEUE/MANAGER/ON=(upgrade
node . . .) command is not executed. A START/QUEUE/MANAGER command
could attempt to move the queue manager process to the node being
upgraded if the /ON qualifier indicates that it is one of the preferred
nodes. If the queue manager attempts to run on the node being upgraded,
the queuing system will hang on the entire cluster.
If your startup
file contains a START/QUEUE/MANAGER/ON=(upgrade node1, node2 ...
noden) command, do not boot in any nonupgrading nodes until
you have removed that command from the startup file. Booting in a node
causes the queuing system to hang on the cluster if the
START/QUEUE/MANAGER/ON=(upgrade node, ... ) command is executed. When
the upgrade has completed, you can add the command back to the startup
If the cluster queuing system hangs during the upgrade, it is
most likely caused by the queue manager attempting to run on the
upgrading node. To clear the condition, move the queue manager to a
node you are not upgrading by entering the following command:
START/QUEUE/MANAGER/ON=(nonupgrading node1, -
node2 . . . noden)
6.5.3 Preparing for a Rolling Upgrade
To prepare for a rolling upgrade, follow these steps:
- Check the votes and make adjustments to maintain the proper quorum
so the cluster can continue to operate throughout the upgrade.
(OpenVMS Cluster Systems describes this procedure in detail.)
- Select a system disk to upgrade.
- Shut down all VAX computers booting from the system disk that you
are upgrading, except for the computer that you will use to apply the
upgrade. VAX computers that do not boot from the system disk that you
are upgrading remain available to users.
- Log in to the SYSTEM account on the VAX computer you are shutting
- Enter the following command:
- On one of the VAX computers that is still running, enter the
$ SET CLUSTER/EXPECTED_VOTES
- Repeat steps a to c for each VAX computer requiring a shutdown.
This procedure lets one VAX computer continue running from the
system disk (assuming computers running from different system disks
supply enough votes to sustain cluster quorum).
- If proper quorum is not maintained at any time during the upgrade
procedure, the shutdown procedure will hang the cluster. If the cluster
hangs during a shutdown, enter the following commands on the system
console of a CPU that is still a cluster member:
>>> D/I 14 C
- Upgrade the system disk using the procedure in Chapter 7.
The upgrade procedure requires exclusive access to the drive that holds
the distribution media. Do not mount the distribution media on other
- During phase 1 of the upgrade, the procedure asks if you are
performing a rolling upgrade. If you enter Y, the procedure asks you
several questions to determine if all system disks in the cluster
(other than the one you are upgrading) are running at least
OpenVMS VAX Version 7.1. For example:
* Are the other system disks running OpenVMS V7.1 or higher?
All systems in the cluster must be running at least OpenVMS VAX
Version 7.1 to perform the rolling upgrade. Type Y and press Return.
- When the upgrade has completed, reboot each VAX computer that boots
from the system disk you have just upgraded.
- Perform the postupgrade tasks described in Chapter 8.
- Repeat steps 2 to 7 for each system disk you are upgrading. Once
you have performed tasks a to d in step 3, you do not
need to perform them again.
Upgrading the OpenVMS VAX Operating System
This chapter explains the procedure for upgrading a single
OpenVMS VAX system disk, including:
- How to prepare for booting from the [SYSF] directory
- How to configure devices
- How to begin the upgrade
- What the procedure does and what you are asked to do during the six
phases of the upgrade
You must complete each phase of the upgrade procedure. On most VAX
computers, the upgrade procedure continues automatically from phase to
phase. Read the screen displays carefully and, if you need to reboot
your VAX computer manually, refer to the upgrade and installation
supplement for your VAX computer and Appendix C of this manual.
The time required to complete an upgrade varies depending on your
hardware configuration and on the distribution media you are using. In
most cases, magnetic tapes and tape cartridges require more time than
Before you begin the upgrade procedure, read the overview of the
upgrade procedure described in Chapter 1 and complete the
preupgrade tasks described in Chapter 5. If you are upgrading an
OpenVMS Cluster system, you must also read Chapter 6.
7.1 Preparing to Boot from [SYSF]
During the upgrade procedure, you are asked to boot the system from the
[SYSF] directory on the system disk. The [SYSF] directory is a root
directory created on the system disk by the upgrade procedure. It
temporarily holds the system files used in the upgrade until the
procedure moves the files to their permanent location. The upgrade
procedure then removes the [SYSF] directory from the system disk.
If you do not know how to boot from [SYSF], read the upgrade and
installation supplement for your VAX computer and Appendix C of this
Ignore any error messages after the first reboot that indicate an
invalid dump header version. These messages are normal and are to be
7.1.1 Modifying Boot Command Procedures
Some VAX computers require a special command procedure to boot from
[SYSF]. If you are performing an upgrade on one of the following VAX
computers, you must modify the boot command procedures, DEFBOO and
dddGEN before beginning the upgrade procedure:
VAX 8530, 8550, 8700, 8810, 8820-N
VAX 8820, 8830, 8840
To modify the boot command procedures, exit from the OpenVMS VAX
operating system (but do not shut it down) and enter the appropriate
console mode. Make copies of DEFBOO and dddGEN before you
modify them. Name the copies DEFBOO.SAV and dddGEN.SAV.
The upgrade and installation supplement for your VAX computer describes
the procedures for copying and modifying DEFBOO and dddGEN.
Use these procedures to modify DEFBOO and dddGEN so that they
specify [SYSF] as the directory from which to boot.
In DEFBOO, change the DEPOSIT command that sets boot flags in register
5 (R5) as follows:
In dddGEN, change the DEPOSIT command as follows:
7.1.2 VAX 8200, 8250, 8300, and 8350 Computers
If you are upgrading a VAX 8200, 8250, 8300, or 8350 computer, you must
create a boot command procedure that allows you to boot from the [SYSF]
directory before beginning the upgrade. The upgrade and installation
supplement for your VAX computer describes how to create this boot
7.1.3 Configuring Devices
Because you rebooted your system with minimum startup, the system did
not automatically configure all devices. However, you might need access
to some of the devices to perform the upgrade.
To make sure you can access the devices that might be needed for the
upgrade, run SYSGEN to reconfigure the devices on the system and run
STARTUP CONFIGURE by entering the following commands:
$ RUN SYS$SYSTEM:SYSGEN
SYSGEN> AUTOCONFIGURE ALL
$ @SYS$SYSTEM:STARTUP CONFIGURE
7.2 Performing the Upgrade
This section describes how to start the upgrade procedure using
VMSINSTAL. You can type a question mark (?) for help at any time while
The instructions refer to the source drive and the target
- The source drive is the drive that holds the distribution kit.
- The target drive is the drive that holds the system disk.
7.2.1 Loading Distribution Media
Place the distribution compact disc or tape in the source drive. If
your OpenVMS VAX distribution kit contains several tapes, put the
first one in the drive. The paper labels on the tapes indicate the
order in which you use them.
If you are not using an InfoServer device, go to Section 7.2.3.
If you are using an InfoServer device, proceed to the next section.