GC NA _A0. IBM System Storage N series Data ONTAP 7.2 Upgrade Guide

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1 GC NA _A0 IBM System Storage N series Data ONTAP 7.2 Upgrade Guide

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3 Table of Contents 3 Contents Copyright information...7 Trademark information...11 About this guide...13 Audience...13 Supported features...14 Getting information, help, and service...14 Before you call...14 Using the documentation...15 Web sites...15 Accessing online technical support...15 Hardware service and support...15 Supported servers and operating systems...15 Drive firmware updates...16 Accessing Data ONTAP man pages...16 Terminology...17 FilerView as an alternative to the command-line interface...18 Command, keyboard, and typographic conventions...18 Special messages...19 How to send your comments...20 Overview of the upgrade process...21 Decisions to make before you upgrade...23 System requirements...23 Making sure your system supports the current Data ONTAP release...23 Making sure there is adequate free space in every volume containing LUNs...24 Checking for the latest versions of system firmware for your system...24 Determining the required firmware for your disks...24 Determining the required firmware for your disk shelves...24 Upgrade host requirements...25

4 4 Data ONTAP 7.2 Upgrade Guide Requirements when upgrading from a Windows or UNIX client using the CIFS or NFS protocols...25 Requirements when upgrading from an HTTP server...26 Decisions to make about release family upgrades...26 Differentiating among types of upgrades...26 Upgrading within a release family...27 Decisions to make about the upgrade method for active/active configurations...27 Overview of standard active/active upgrades...27 Overview of nondisruptive active/active upgrades...28 Upgrade requirements for SnapMirror...32 Why you must plan for SnapMirror upgrades...32 Identifying SnapMirror destination volumes...33 Upgrading SnapMirror for volume replication...33 SnapMirror synchronous and asynchronous mode during upgrade...34 Upgrade requirements for systems mirroring each other...34 Decisions to make to upgrade to the current release...34 Recommendations for all systems upgrading to the current release...34 Issues to resolve before upgrading to the current release...35 Changes to behavior in the current release...36 Firmware updates...39 Firmware upgrade requirements...39 How to obtain system firmware updates...39 Determining whether you need a system firmware update...39 Firmware updates on single systems...40 Firmware updates on systems in an active/active configuration...41 Updating disk firmware...44 About disk firmware updates...44 Service availability during disk firmware updates...45 When to update disk firmware manually...47 Command for updating disk firmware...47 Updating disk shelf firmware...48 About disk shelf firmware updates...48 Service availability during disk shelf firmware updates...49 Detecting outdated disk shelf firmware...50 Updating disk shelf firmware manually...50

5 Table of Contents 5 About RLM firmware updates...52 Using the Data ONTAP CLI to update the RLM firmware...52 Using the RLM CLI to update the RLM firmware...53 About BMC firmware updates...54 Obtaining and installing the BMC service image...54 Updating BMC firmware nondisruptively...56 Updating BMC firmware using the standard method...59 How to upgrade Data ONTAP software...61 Prerequisites to software upgrade...61 What you need for the upgrade...61 Preparing for the upgrade...62 How to install Data ONTAP system files...63 Special instructions if you are upgrading from a release in the 7.2 release family...63 UNIX client steps...65 Windows client steps...68 HTTP server steps...69 How to download Data ONTAP to single systems...73 Upgrading single systems...73 How to download Data ONTAP to systems in an active/active configuration...75 Decisions to make about your active/active configuration upgrade procedure...75 Upgrading your active/active configuration from an earlier release family nondisruptively...76 Upgrading your active/active configuration within a release family nondisruptively...82 Upgrading your active/active configuration using the standard method...86 Updating IBM customer contact information...88 Entering customer contact information with the setup command...89 Guidelines for reverting to a previous release...91 Why there might be issues...91 General guidelines for reverting from the Data ONTAP 7.2 release family...91 Optimizing service availability during upgrades...93

6 6 Data ONTAP 7.2 Upgrade Guide How upgrades impact service availability...93 Service and protocol considerations...94 Considerations for stateless protocols...94 Considerations for session-oriented protocols...95 Index...97

7 Copyright and trademark information 7 Copyright and trademark information Copyright information Copyright Network Appliance, Inc. All rights reserved. Printed in the U.S.A. No part of this document covered by copyright may be reproduced in any form or by any means graphic, electronic, or mechanical, including photocopying, recording, taping, or storage in an electronic retrieval system without prior written permission of the copyright owner. Portions copyright 2006, 2010 IBM Corporation. All rights reserved. US Government Users Restricted Rights - Use, duplication or disclosure restricted by GSA ADP Schedule Contract with IBM Corp. No part of this document covered by copyright may be reproduced in any form or by any means graphic,electronic, or mechanical, including photocopying, recording, taping, or storage in an electronic retrievalsystem without prior written permission of the copyright owner. References in this documentation to IBM products, programs, or services do not imply that IBM intendsto make these available in all countries in which IBM operates. Any reference to an IBM product,program, or service is not intended to state or imply that only IBM s product, program, or service maybe used. Any functionally equivalent product, program, or service that does not infringe any of IBM sor NetApp s intellectual property rights may be used instead of the IBM or NetApp product, program,or service. Evaluation and verification of operation in conjunction with other products, except thoseexpressly designated by IBM and NetApp, are the user's responsibility. Portions of this product are derived from the Berkeley Net2 release and the 4.4-Lite-2 release, which are copyrighted and publicly distributed by The Regents of the University of California. Copyright The Regents of the University of California. All rights reserved. Portions of this product are derived from NetBSD, copyright Carnegie Mellon University. Copyright 1994, 1995 Carnegie Mellon University. All rights reserved. Author Chris G. Demetriou. Permission to use, copy, modify, and distribute this software and its documentation is hereby granted, provided that both the copyright notice and its permission notice appear in all copies of the software, derivative works or modified versions, and any portions thereof, and that both notices appear in supporting documentation. CARNEGIE MELLON ALLOWS FREE USE OF THIS SOFTWARE IN ITS AS IS CONDITION. CARNEGIE MELLON DISCLAIMS ANY LIABILITY OF ANY KIND FOR ANY DAMAGES WHATSOEVER RESULTING FROM THE USE OF THIS SOFTWARE. Software derived from copyrighted material of The Regents of the University of California and Carnegie Mellon University is subject to the following license and disclaimer: Redistribution and use in source and binary forms, with or without modification, are permitted provided that the following conditions are met: Redistributions of source code must retain the above copyright notices, this list of conditions, and the following disclaimer. Redistributions in binary form must reproduce the above copyright notices, this list of conditions, and the following disclaimer in the documentation and/or other materials provided with the distribution. All advertising materials mentioning features or use of this software must display this text: This product includes software developed by the University of California, Berkeley and its contributors.

8 8 Copyright and trademark information Neither the name of the University nor the names of its contributors may be used to endorse or promote products derived from this software without specific prior written permission. THIS SOFTWARE IS PROVIDED BY THE REGENTS AND CONTRIBUTORS AS IS AND ANY EXPRESS OR IMPLIED WARRANTIES, INCLUDING, BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE ARE DISCLAIMED. IN NO EVENT SHALL THE REGENTS OR CONTRIBUTORS BE LIABLE FOR ANY DIRECT, INDIRECT, INCIDENTAL, SPECIAL, EXEMPLARY, OR CONSEQUENTIAL DAMAGES (INCLUDING, BUT NOT LIMITED TO, PROCUREMENT OF SUBSTITUTE GOODS OR SERVICES; LOSS OF USE, DATA, OR PROFITS; OR BUSINESS INTERRUPTION) HOWEVER CAUSED AND ON ANY THEORY OF LIABILITY, WHETHER IN CONTRACT, STRICT LIABILITY, OR TORT (INCLUDING NEGLIGENCE OR OTHERWISE) ARISING IN ANY WAY OUT OF THE USE OF THIS SOFTWARE, EVEN IF ADVISED OF THE POSSIBILITY OF SUCH DAMAGE. This software contains materials from third parties licensed to NetApp Inc. which is sublicensed, and not sold, and title to such material is not passed to the end user. All rights reserved by the licensors. You shall not sublicense or permit timesharing, rental, facility management or service bureau usage of the Software. Portions developed by the Apache Software Foundation ( Copyright 1999 The Apache Software Foundation. Portions Copyright , Jean-loup Gailly and Mark Adler Portions Copyright 2001, Sitraka Inc. Portions Copyright 2001, ianywhere Solutions Portions Copyright 2001, i-net software GmbH Portions Copyright 1995 University of Southern California. All rights reserved. Redistribution and use in source and binary forms are permitted provided that the above copyright notice and this paragraph are duplicated in all such forms and that any documentation, advertising materials, and other materials related to such distribution and use acknowledge that the software was developed by the University of Southern California, Information Sciences Institute. The name of the University may not be used to endorse or promote products derived from this software without specific prior written permission. Portions of this product are derived from version of the libxml2 library, which is copyrighted by the World Wide Web Consortium. NetApp modified the libxml2 software on December 6, 2001, to enable it to compile cleanly on Windows, Solaris, and Linux. The changes have been sent to the maintainers of libxml2. The unmodified libxml2 software can be downloaded from Copyright World Wide Web Consortium, (Massachusetts Institute of Technology, Institut National de Recherche en Informatique et en Automatique, Keio University). All Rights Reserved. Software derived from copyrighted material of the World Wide Web Consortium is subject to the following license and disclaimer: Permission to use, copy, modify, and distribute this software and its documentation, with or without modification, for any purpose and without fee or royalty is hereby granted, provided that you include the following on ALL copies of the software and documentation or portions thereof, including modifications, that you make: The full text of this NOTICE in a location viewable to users of the redistributed or derivative work.

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13 About this guide 13 About this guide Here you can learn what this document describes and who it is intended for, what special terminology is used in the document, what command, keyboard, and typographic conventions this document uses to convey information, and other details about finding and using information. This document describes how to upgrade storage systems that run Data ONTAP to the latest release of firmware and software. To determine whether your system is supported for the latest version of Data ONTAP, see the latest Release Notes and system requirements. Next topics Audience on page 13 Supported features on page 14 Getting information, help, and service on page 14 Accessing Data ONTAP man pages on page 16 Terminology on page 17 FilerView as an alternative to the command-line interface on page 18 Command, keyboard, and typographic conventions on page 18 Special messages on page 19 How to send your comments on page 20 Audience Here you can learn who this document is written for and the assumptions that were made about the preexisting knowledge and experience you have. This document is for system administrators who are familiar with operating systems such as UNIX and Windows, that run on the storage system's clients. This guide assumes that you are familiar with how to configure the storage system and how Network File System (NFS), Common Internet File System (CIFS), Hypertext Transport Protocol (HTTP), File Transport Protocol (FTP), and Web-based Distributed Authoring and Versioning (WebDAV) are used for file sharing or transfers. This guide does not cover basic system or network administration topics, such as IP addressing, routing, and network topology; it emphasizes the characteristics of the storage system.

14 14 Data ONTAP 7.2 Upgrade Guide Supported features IBM System Storage N series storage systems are driven by NetApp Data ONTAP software. Some features described in the product software documentation are neither offered nor supported by IBM. Please contact your local IBM representative or reseller for further details. Information about supported features can also be found at the following Web site: A listing of currently available N series products and features can be found at the following Web site: Getting information, help, and service If you need help, service, or technical assistance or just want more information about IBM products, you will find a wide variety of sources available from IBM to assist you. This section contains information about where to go for additional information about IBM and IBM products, what to do if you experience a problem with your IBM N series product, and whom to call for service, if it is necessary. Next topics Before you call on page 14 Using the documentation on page 15 Web sites on page 15 Accessing online technical support on page 15 Hardware service and support on page 15 Supported servers and operating systems on page 15 Drive firmware updates on page 16 Before you call Before you call, make sure that you have taken these steps to try to solve the problem yourself: Check all cables to make sure that they are connected properly. Check the power switches to make sure that the system is turned on. Use the troubleshooting information in your system documentation and use the diagnostic tools that come with your system.

15 About this guide 15 Using the documentation Information about N series hardware products is available in printed documents and a documentation CD that comes with your system. The same documentation is available as PDF files on the IBM NAS support Web site: Data ONTAP software publications are available as PDF files on the IBM NAS support Web site: Web sites IBM maintains pages on the World Wide Web where you can get the latest technical information and download device drivers and updates. For NAS product information, go to the following Web site: For NAS support information, go to the following Web site: For AutoSupport information, go to the following Web site: For the latest version of publications, go to the following Web site: Accessing online technical support For online Technical Support for your IBM N series product, visit the following Web site: Hardware service and support You can receive hardware service through IBM Integrated Technology Services. Visit the following Web site for support telephone numbers: Supported servers and operating systems IBM N series products attach to many servers and many operating systems. To determine the latest supported attachments, follow the link to the Interoperability Matrices from the following Web site:

16 16 Data ONTAP 7.2 Upgrade Guide Drive firmware updates As with all devices, it is recommended that you run the latest level of firmware, which can be downloaded by visiting the following Web site: Verify that the latest level of firmware is installed on your machine before contacting IBM for technical support. See the Data ONTAP Upgrade Guide for your version of Data ONTAP for more information on updating firmware. Accessing Data ONTAP man pages You can use the Data ONTAP manual (man) pages to access technical information. Considerations Data ONTAP man pages are available for the following types of information. They are grouped into sections according to standard UNIX naming conventions. Types of information Man page section Commands 1 Special files 4 File formats and conventions 5 System management and services 8 Step 1. View man pages in the following ways: By entering the following command at the storage system command line: man command_or_file_name By clicking the manual pages button on the main Data ONTAP navigational page in the FilerView user interface By using the Commands: Manual Page Reference, Volumes 1 and 2

17 About this guide 17 Note: All Data ONTAP man pages are stored in the storage system in files whose names are prefixed with the string "na_" to distinguish them from client man pages. The prefixed names are used to distinguish storage system man pages from other man pages and sometimes appear in the NAME field of the man page, but the prefixes are not part of the command, file, or services. Terminology To understand the concepts in this document, you might need to know the terms defined here. General storage system terminology Storage systems that run Data ONTAP are sometimes referred to as filers, appliances, storage appliances, or systems. The name of the FilerView graphical user interface for Data ONTAP reflects one of these common usages. Controller or storage controller refers to the component of a storage system that runs the Data ONTAP operating system and controls its disk subsystem. Controllers or storage controllers are also sometimes called storage appliances, appliances, storage engines, heads, CPU modules, or controller modules. Active/active configuration terminology An active/active configuration is a pair of storage systems configured to serve data for each other if one of the two systems becomes impaired. In Data ONTAP documentation and other information resources, active/active configurations are sometimes also referred to as clusters or active/active pairs. When in an active/active configuration, systems are often called nodes. One node is sometimes called the local node, and the other node is called the partner node or remote node. Standard active/active configuration refers to a configuration set up so that one node automatically takes over for its partner when the partner node becomes impaired. Mirrored active/active configuration is similar to the standard active/active configuration, except that there are two copies, or plexes, of the data. This is also called data mirroring. Fabric-attached MetroCluster refers to an active/active configuration running the syncmirror_local and cluster_remote licenses, where the nodes are attached to two pairs of Fibre Channel switches, and they are separated by more than 500 meters. Stretch MetroCluster refers to an active/active configuration running the syncmirror_local and cluster_remote licenses, where the nodes are separated by up to 500 meters, and no switches are used between the nodes. This configuration is also sometimes called a nonswitched MetroCluster. Controller failover, also referred to as cluster failover or CFO, refers to the technology that enables two storage systems to take over each other's data, thus improving data availability. Remote storage refers to the storage that is accessible to the local node, but is at the location of the remote node.

18 18 Data ONTAP 7.2 Upgrade Guide Storage hardware terminology FC HBA for Disk or FC HBA refers to the Fibre Channel host bus adapter that connects the node to the switch or to the disks. Disk shelf refers to a unit of the disk subsystem component of the storage system. ESH (Embedded Switching Hub) disk shelf module refers to a component that provides a means of managing an FC-AL loop in an intelligent manner, such that a single drive failure does not take down the loop. It also contains the enclosure services processor, which communicates the environmental data of the disk shelf. ESH2 disk shelf module refers to a second-generation ESH module. ESH4 disk shelf module refers to a third-generation ESH module. AT-FCX refers to an enhanced FC-AL to Serial ATA (SATA) bridge used in some disk shelves. General terms The term type means pressing one or more keys on the keyboard. The term enter mean pressing one or more keys on the keyboard and then pressing the Enter key, or clicking in a field in a graphical interface and typing information into it. FilerView as an alternative to the command-line interface Use the FilerView graphical user interface to perform many common tasks, as well as to view and manage a storage system from a Web browser. Your tasks as a Data ONTAP administrator can be performed by entering commands at the storage system console, in configuration files, or through a Telnet session or Remote Shell connection. Another method of performing many common tasks is to use FilerView. FilerView comes with every storage system, is easy to use, and includes Help that explains Data ONTAP features and how to work with them in FilerView. For more information about accessing a storage system with FilerView, and about FilerView Help, see the System Administration Guide. Command, keyboard, and typographic conventions This document uses command, keyboard, and typographic conventions that help you enter commands.

19 About this guide 19 Command conventions In examples that illustrate commands executed on a UNIX workstation, the command syntax and output might differ, depending on your version of UNIX. Keyboard conventions When describing key combinations, this document uses the hyphen (-) to separate individual keys. For example, "Ctrl-D" means pressing the "Control" and "D" keys simultaneously. This document uses the term "Enter" to refer to the key that generates a carriage return, although the key is named "Return" on some keyboards. Typographic conventions The following table describes typographic conventions used in this document. Convention Type of information Italic font Words or characters that require special attention. Placeholders for information you must supply. For example, if the guide says to enter the arp -d hostname command, you enter the characters "arp -d" followed by the actual name of the host. Book titles in cross-references. Monospaced font Command names, option names, keywords, and daemon names. Information displayed on the system console or other computer monitors. The contents of files. Bold monospaced font Words or characters you type. What you type is always shown in lowercase letters, unless you must type it in uppercase letters. Special messages This document might contain the following types of messages to alert you to conditions you need to be aware of. Danger notices and caution notices only appear in hardware documentation, where applicable. Note: A note contains important information that helps you install or operate the system efficiently. Attention: An attention notice contains instructions that you must follow to avoid a system crash, loss of data, or damage to the equipment.

20 20 Data ONTAP 7.2 Upgrade Guide Danger: A danger notice warns you of conditions or procedures that can result in death or severe personal injury. Caution: A caution notice warns you of conditions or procedures that can cause personal injury that is neither lethal nor extremely hazardous. How to send your comments Your feedback is important in helping us provide the most accurate and high-quality information. If you have comments or suggestions for improving this document, send us your comments by to starpubs@us.ibm.com. Be sure to include the following: Exact publication title Form number (for example, GC ) Page numbers to which you are referring If the Readers Comments Form in the back of this manual is missing, you can direct your mail to: International Business Machines Corporation Information Development Dept. GZW 9000 South Rita Road Tucson, AZ U.S.A. When you send information to IBM, you grant IBM a nonexclusive right to use or distribute the information in any way it believes appropriate without incurring any obligation to you.

21 Overview of the upgrade process 21 Overview of the upgrade process The upgrade process for your storage system requires several steps. Steps 1. Plan your upgrade by familiarizing yourself with requirements and issues before you upgrade. Plan to do the following: Review the Release Notes for this Data ONTAP release. Understand any requirements for upgrading to the current release from your existing software. Note any potential changes to your system after the upgrade. If you have storage systems in an active/active configuration, select the appropriate upgrade method. If your storage system is in a SAN environment, verify that all components of your SAN configuration are compatible with the upgraded Data ONTAP release by consulting the compatibility and configuration information about FCP and iscsi products. See the appropriate matrix at the N series Service and Support Web site at If you run the SnapMirror software, identify storage systems with destination and source volumes. 2. If necessary, perform any required preliminary procedures before upgrading to Data ONTAP the current release. Required procedures might include the following: Resolving upgrade issues, including performing an intermediate upgrade Upgrading storage system firmware Updating disk firmware Updating disk shelf firmware 3. Obtain the Data ONTAP system files from the IBM Web site or from the Data ONTAP CD-ROM. 4. Upgrade Data ONTAP system files. Install the Data ONTAP the current release system files and download them to your storage system. 5. If you are upgrading from a release earlier than Data ONTAP 7.2.5, supply IBM customer support information at the storage system command-line interface after completing the upgrade.

22 22 Data ONTAP 7.2 Upgrade Guide Related concepts Decisions to make before you upgrade on page 23 Firmware updates on page 39 Updating disk firmware on page 44 Updating disk shelf firmware on page 48 How to upgrade Data ONTAP software on page 61 Updating IBM customer contact information on page 88 Guidelines for reverting to a previous release on page 91

23 Decisions to make before you upgrade 23 Decisions to make before you upgrade Because new features are introduced in each release of Data ONTAP, you must understand new features and upgrade requirements, and decide how they might impact your current configuration. You are more likely to encounter issues if you are upgrading from a release earlier than the immediately previous version of Data ONTAP. Next topics System requirements on page 23 Upgrade host requirements on page 25 Decisions to make about release family upgrades on page 26 Decisions to make about the upgrade method for active/active configurations on page 27 Upgrade requirements for SnapMirror on page 32 Decisions to make to upgrade to the current release on page 34 System requirements Before you upgrade, make sure your system meets the minimum requirements. Next topics Making sure your system supports the current Data ONTAP release on page 23 Making sure there is adequate free space in every volume containing LUNs on page 24 Checking for the latest versions of system firmware for your system on page 24 Determining the required firmware for your disks on page 24 Determining the required firmware for your disk shelves on page 24 Making sure your system supports the current Data ONTAP release You can check the Data ONTAP versions available for your system to determine if your storage system supports this Data ONTAP release. Considerations To determine whether your storage system supports this Data ONTAP release, use a Web browser to go to the IBM NAS support site. If this release is listed, you can upgrade to it.

24 24 Data ONTAP 7.2 Upgrade Guide Making sure there is adequate free space in every volume containing LUNs Before upgrading a storage system in a SAN environment, you must ensure that every volume containing LUNs includes at least 1 MB of free space. The space is needed to accommodate changes in the on-disk data structures used by the new version of Data ONTAP. Steps 1. Check free space in a volume containing LUNs by entering the following command at the storage system command line: df 2. If the volume does not have at least 1 MB (1024 KB) of free space, create free space in the full volume either by deleting unnecessary data or by growing the size of the volume. Checking for the latest versions of system firmware for your system You can check the system firmware versions available for your system to determine if a system firmware update is required. Considerations To view system firmware versions available for your storage system, use a Web browser to go to the IBM Support Web site. Related concepts Firmware updates on page 39 Determining the required firmware for your disks If you view the latest required firmware revisions for Fibre Channel and SAS disk drives, you can determine if you need to update the disk firmware for your system. Considerations To view the latest required firmware revisions for Fibre Channel and SAS disk drives, use a Web browser to go to Related concepts Firmware updates on page 39 Determining the required firmware for your disk shelves If you view the latest required firmware revisions for disk shelves, you can determine if you need to update the disk shelf firmware for your system.

25 Decisions to make before you upgrade 25 Considerations To view the latest required firmware revisions for disk shelves, use a Web browser to go to Related concepts Firmware updates on page 39 Upgrade host requirements An upgrade host is the client system or server from which you upgrade Data ONTAP. You can upgrade Data ONTAP from a Windows or UNIX client, or from an HTTP server. The host from which you upgrade your storage system must have access to at least one of the following items. The IBM NAS support site A CD-ROM drive An HTTP server containing Data ONTAP updates You can install Data ONTAP system files after you prepare the upgrade host. Next topics Requirements when upgrading from a Windows or UNIX client using the CIFS or NFS protocols on page 25 Requirements when upgrading from an HTTP server on page 26 Related concepts How to install Data ONTAP system files on page 63 Requirements when upgrading from a Windows or UNIX client using the CIFS or NFS protocols If the CIFS or NFS protocols are licensed on your storage system, you can upgrade from a Windows or UNIX client using those protocols. You must be able to administer the storage system from the UNIX or Windows client. This client is usually the storage system's administration (admin) host. UNIX and Windows clients must meet these requirements. A UNIX client can be running any available version of UNIX. A Windows client can be running any version of Windows unless you are running Windows NT. A Windows NT client requires Windows NT version 3.51 or later. For information about admin hosts, see the Data ONTAP System Administration Guide.

26 26 Data ONTAP 7.2 Upgrade Guide Requirements when upgrading from an HTTP server Upgrading from an HTTP server is a good choice for configurations that meet certain requirements. To upgrade from an HTTP server, you must be able to serve the upgrade package from the HTTP server and you must know the exact URL (including any necessary host and port information) to enter at the storage system console. Using an HTTP server is a good choice in these circumstances: The storage system does not have a CIFS or NFS license. You want to distribute Data ONTAP upgrade packages to multiple storage systems. You want to use installation scripts. For information about the console, see the Data ONTAP System Administration Guide. Related concepts HTTP server steps on page 69 Decisions to make about release family upgrades Each Data ONTAP release family introduces new features. Most issues are resolved automatically in the Data ONTAP software, but a few issues require manual configuration. When you upgrade and there are one or more intermediate release families between your source and target release, the latest release usually includes any automatic upgrade software included in previous releases (unless otherwise specified). However, you might need to review and resolve upgrade issues associated with intermediate release families before upgrading to the new release. Next topics Differentiating among types of upgrades on page 26 Upgrading within a release family on page 27 Differentiating among types of upgrades Data ONTAP upgrades can be within a release family or between release families. A release family is a set of releases that have the same feature release name denoted by the first two digits of the release number. For example, 7.1, , 7.1.1, and are all releases within the same family An upgrade within a release family is one in which the release number x.y.z does not change in the x or y components, only in the z components, when comparing the original to the target release. The following are examples of upgrades within release families: 7.2 to 7.2.5

27 Decisions to make before you upgrade to to 7.2P1 An upgrade between release families is one in which the release number x.y.z changes in the x or y components from the original to the target release. For example, an upgrade from 7.1 to is an upgrade between release families. Upgrading within a release family Upgrades within a release family are usually simpler and involve less service disruption than upgrades between release families. This is because major changes are not usually introduced within a release family, and updates to the system and disk firmware are not usually required when you upgrade. Rather, these releases usually include bug fixes and minor feature enhancements. Decisions to make about the upgrade method for active/active configurations The nondisruptive active/active configuration upgrade procedure ensures better storage system availability than the standard upgrade procedure but requires more planning. The standard upgrade is generally the best choice if you can schedule downtime. When planning for your upgrade, evaluate the advantages and disadvantages of each method. Next topics Overview of standard active/active upgrades on page 27 Overview of nondisruptive active/active upgrades on page 28 Overview of standard active/active upgrades A standard upgrade can be peformed on any active/active configuration, but downtime is required. In a standard upgrade, downtime is required because the active/active configuration is disabled and each node is updated. When the active/active configuration is disabled, each node behaves as a single-node storage system; in other words, system services associated with the node are interrupted for as long as it takes the system to reboot. When to use standard active/active upgrades In general, standard upgrades are best when you can schedule downtime for your storage system. You can also complete other maintenance upgrades, such as system firmware and hardware, as part of the standard upgrade. These can also take place when the active/active configuration is disabled.

28 28 Data ONTAP 7.2 Upgrade Guide Overview of nondisruptive active/active upgrades Nondisruptive upgrades do not require downtime, and are available on some active/active configurations. In a nondisruptive upgrade (also called a rolling upgrade), active/active technology is used to enable a takeover storage system to assume the functions of the failed partner while it is being upgraded. There is a takeover and giveback operation for each active/active node (storage system that is part of an active/active relationship). Because the partner node fulfills service requests during the "failed" storage system's upgrade, no disruption in service is experienced by the clients. In addition, because the takeover storage system assures continuous availability of the "failed" system's disks, more extensive upgrades requiring a system halt such as system firmware updates and hardware adapter replacements can be performed without disrupting services based on stateless protocols. Next topics When to use nondisruptive active/active upgrades on page 28 When not to use nondisruptive upgrades on page 28 Requirements for nondisruptive upgrades on all systems on page 29 Preparing for nondisruptive upgrades on page 30 When to use nondisruptive active/active upgrades You can use the nondisruptive upgrade method on active/active configurations that meet certain Data ONTAP requirements. You can use the nondisruptive method when one or more of the following is being performed: Upgrades to the Data ONTAP 7.2 release family from a previous release family (for example, from to or later); also known as "major" nondisruptive upgrade Data ONTAP upgrades within a release family (for example, from to 7.2.5); also known as "minor" nondisruptive upgrade System firmware updates Certain hardware upgrades Note: See the Active/Active Installation and Administration Guide for more information about changing system hardware nondisruptively. When not to use nondisruptive upgrades You cannot use the nondisruptive upgrade method in all circumstances. Upgrades might be disruptive if any of the following conditions are true: You have storage systems actively serving CIFS to clients.

29 Decisions to make before you upgrade 29 Because CIFS is session-oriented, sessions must be terminated before upgrade procedures to prevent data loss. You have storage systems actively serving File Transfer Protocol (FTP) or Network Data Management Protocol (NDMP) clients that cannot be postponed. Because these protocols are session-oriented, outstanding sessions must complete, and these services must be disabled in order to use nondisruptive upgrades. You have storage systems configured for fabric-attached MetroClusters and you are upgrading to a new release family. For fabric-attached MetroClusters, nondisruptive upgrades are supported within release families but not between release families. For stretch MetroClusters, nondisruptive upgrades are supported both within and between release families. You need to update firmware for SAS-based or AT-FCX-based disk shelves on your system. Client services might encounter delays accessing data when disk shelf firmware is updated to SAS or AT-FCX modules. To prevent data loss, all session-oriented services must be terminated before you begin an update procedure. You need to update disk firmware and you have RAID4 aggregates on your system. Standard disk firmware updates automatically take disks in RAID4 aggregates offline until the update is complete. Services and data are unavailable until they are back online. Note: If you upgrade RAID protection to RAID-DP, disk firmware updates take place in the background and are nondisruptive. For these conditions, standard upgrades are recommended. Related concepts Updating disk shelf firmware on page 48 Updating disk firmware on page 44 Service availability during disk firmware updates on page 45 Requirements for nondisruptive upgrades on all systems You must ensure that your systems meet configuration and utilization requirements before beginning a nondisruptive upgrade process. To use the nondisruptive upgrade procedure, you must have an active/active storage system configuration in which a partner controller takes over I/O during the upgrade process. Major nondisruptive upgrades (nondisruptive upgrades between release families) are supported from Data ONTAP (or later). Note: If you want to upgrade to Data ONTAP or later from earlier releases in the 7.1 release family, you must first perform a nondisruptive upgrade procedure within the release family to Data ONTAP (or later). Minor nondisruptive upgrades (nondisruptive upgrades within release families) are supported from all previous Data ONTAP 7.2 releases.

30 30 Data ONTAP 7.2 Upgrade Guide You should not exceed the following maximum values for FlexVol volumes (the values listed are specific to this Data ONTAP release): Platform N7000 series N6070 N6040 N5600 N5500 N5300 N5200 N3300 and N3600 N3700 Value (major) N/A N/A N/A N/A 150 N/A 75 N/A 50 Value (minor) You should avoid exceeding maximum values for the following system elements on all platforms: Element Snapshot copies CPU utilization Disk utilization Value No more than 10 times the number of FlexVol volumes No greater than 50% per storage controller No greater than 50% per storage controller Assessing CPU and disk usage before a nondisruptive upgrade Before performing a nondisruptive upgrade, you should monitor CPU and disk utilization for at least 30 seconds. Step 1. Enter the following command at the console of each storage system controller: sysstat -c 10 -x 3 You should ensure that values in the CPU and Disk Util columns do not exceed 50 percent for all ten measurements reported. You should also ensure that no additional load is added to the storage system until the upgrade is finished. Preparing for nondisruptive upgrades You must complete certain steps to ensure a successful nondisruptive upgrade procedure.