Front cover
i5/OS V5R3
A Guide to Getting There from
Previous OS/400 Releases
Getting current from an unsupported
release of the operating system
Exploring considerations of this
sometimes complex situation
Methods and services to
assist with this upgrade
Nick Harris
Ian Mills
ibm.com/redbooks
Redpaper
International Technical Support Organization
i5/OS V5R3: A Guide to Getting There from Previous
OS/400 Releases
September 2005
Note: Before using this information and the product it supports, read the information in “Notices” on page v.
First Edition (September 2005)
This edition applies to Version 5, Release 3 of i5/OS.
© Copyright International Business Machines Corporation 2005. All rights reserved.
Note to U.S. Government Users Restricted Rights -- Use, duplication or disclosure restricted by GSA ADP Schedule
Contract with IBM Corp.
Contents
Notices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .v
Trademarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vi
Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii
The team that wrote this Redpaper . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii
Become a published author . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii
Comments welcome. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . viii
Chapter 1. Keeping your operating system current. . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.2 Reasons why you want to upgrade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.3 Reasons why systems remain backlevel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.4 AS/400 and iSeries life cycle. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.5 Reasons to upgrade . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.5.1 Keeping a supported version of the OS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.5.2 New functionality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.5.3 Easier migration to new hardware. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.5.4 Suppliers and customers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.5.5 Audit requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.5.6 Asset management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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Chapter 2. Basic OS upgrade methodology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
2.1 General upgrade considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
2.1.1 Information Center . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
2.1.2 Upgrade planning Web site. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
2.1.3 Preventive service planning (PSP) documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
2.1.4 Memorandum to users . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
2.1.5 Software installation guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
2.2 General planning tasks and considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
2.2.1 Ordering the software and a refresh . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
2.3 Multi-step upgrades. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
2.3.1 Software subscription . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
2.3.2 Backing up your system and disaster recovery. . . . . . . . . . . . . . . . . . . . . . . . . . . 12
2.3.3 Program temporary fixes (PTFs). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
2.3.4 OEM application and hardware compliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
2.3.5 Licensed program menu, option 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
2.3.6 Application testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
2.3.7 Logical partitioning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
2.4 Additional details about upgrade methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
2.4.1 RISC-to-RISC migration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
2.4.2 Multi-step upgrades . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Chapter 3. OS/400 and i5/OS structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.1 Functionality delivered with Version 5 Release 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.2 Version 5 Release 3 new functionality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.3 Summary of changes to the installation process at V4R5. . . . . . . . . . . . . . . . . . . . . . .
3.3.1 Mixed releases across logical partitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.4 Installation process at Version 5 Release 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.4.1 Preparing for software installation information . . . . . . . . . . . . . . . . . . . . . . . . . . .
© Copyright IBM Corp. 2005. All rights reserved.
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3.4.2 Estimating your installation time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.5 Installation process at Version 5 Release 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.5.1 Install the OS/400 release and related software . . . . . . . . . . . . . . . . . . . . . . . . . .
3.5.2 Image catalog installation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.5.3 Online software agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.6 Installation process, Version 5 Release 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3.6.1 Additional requirements before you install Licensed Internal Code . . . . . . . . . . .
3.6.2 Server firmware. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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Related publications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
IBM Redbooks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Other publications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Online resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
How to get IBM Redbooks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Help from IBM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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i5/OS V5R3: A Guide to Getting There from Previous OS/400 Releases
Notices
This information was developed for products and services offered in the U.S.A.
IBM may not offer the products, services, or features discussed in this document in other countries. Consult
your local IBM representative for information on the products and services currently available in your area.
Any reference to an IBM product, program, or service is not intended to state or imply that only that IBM
product, program, or service may be used. Any functionally equivalent product, program, or service that does
not infringe any IBM intellectual property right may be used instead. However, it is the user's responsibility to
evaluate and verify the operation of any non-IBM product, program, or service.
IBM may have patents or pending patent applications covering subject matter described in this document. The
furnishing of this document does not give you any license to these patents. You can send license inquiries, in
writing, to:
IBM Director of Licensing, IBM Corporation, North Castle Drive Armonk, NY 10504-1785 U.S.A.
The following paragraph does not apply to the United Kingdom or any other country where such provisions
are inconsistent with local law: INTERNATIONAL BUSINESS MACHINES CORPORATION PROVIDES THIS
PUBLICATION "AS IS" WITHOUT WARRANTY OF ANY KIND, EITHER EXPRESS OR IMPLIED,
INCLUDING, BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF NON-INFRINGEMENT,
MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. Some states do not allow disclaimer of
express or implied warranties in certain transactions, therefore, this statement may not apply to you.
This information could include technical inaccuracies or typographical errors. Changes are periodically made
to the information herein; these changes will be incorporated in new editions of the publication. IBM may make
improvements and/or changes in the product(s) and/or the program(s) described in this publication at any time
without notice.
Any references in this information to non-IBM Web sites are provided for convenience only and do not in any
manner serve as an endorsement of those Web sites. The materials at those Web sites are not part of the
materials for this IBM product and use of those Web sites is at your own risk.
IBM may use or distribute any of the information you supply in any way it believes appropriate without
incurring any obligation to you.
Information concerning non-IBM products was obtained from the suppliers of those products, their published
announcements or other publicly available sources. IBM has not tested those products and cannot confirm the
accuracy of performance, compatibility or any other claims related to non-IBM products. Questions on the
capabilities of non-IBM products should be addressed to the suppliers of those products.
This information contains examples of data and reports used in daily business operations. To illustrate them
as completely as possible, the examples include the names of individuals, companies, brands, and products.
All of these names are fictitious and any similarity to the names and addresses used by an actual business
enterprise is entirely coincidental.
COPYRIGHT LICENSE:
This information contains sample application programs in source language, which illustrates programming
techniques on various operating platforms. You may copy, modify, and distribute these sample programs in
any form without payment to IBM, for the purposes of developing, using, marketing or distributing application
programs conforming to the application programming interface for the operating platform for which the sample
programs are written. These examples have not been thoroughly tested under all conditions. IBM, therefore,
cannot guarantee or imply reliability, serviceability, or function of these programs. You may copy, modify, and
distribute these sample programs in any form without payment to IBM for the purposes of developing, using,
marketing, or distributing application programs conforming to IBM's application programming interfaces.
© Copyright IBM Corp. 2005. All rights reserved.
v
Trademarks
The following terms are trademarks of the International Business Machines Corporation in the United States,
other countries, or both:
AIX®
AS/400®
AS/400e™
DB2®
Electronic Service Agent™
Eserver®
eServer™
i5/OS™
IBM®
ibm.com®
iSeries™
Operating System/400®
OS/400®
POWER5™
Redbooks™
Redbooks (logo)
WebSphere®
xSeries®
™
The following terms are trademarks of other companies:
Java and all Java-based trademarks and logos are trademarks or registered trademarks of Sun Microsystems,
Inc. in the United States, other countries, or both.
Microsoft, Windows, Windows Server and the Windows logo are trademarks of Microsoft Corporation in the
United States, other countries, or both.
UNIX is a registered trademark of The Open Group in the United States and other countries.
Linux is a trademark of Linus Torvalds in the United States, other countries, or both.
Other company, product, and service names may be trademarks or service marks of others.
vi
i5/OS V5R3: A Guide to Getting There from Previous OS/400 Releases
Preface
This IBM® Redpaper will help you understand your options when considering an upgrade to a
recent version of OS/400® or i5/OS™. Many customers find it very challenging to keep pace
with operating system releases for a variety of reasons including lack of resources and skills
application issues.
This paper was created to help you understand these reasons and provide some insight into
how to move forward. We also discuss methodologies for achieving the upgrade.
The team that wrote this Redpaper
This Redpaper was produced by a team of specialists from around the world working at the
International Technical Support Organization, Rochester Center.
Nick Harris is a Consulting IT Specialist for the iSeries™ and has spent the past eight years
in the International Technical Support Organization, Rochester Center. He specializes in
LPAR, High Availability, iSeries hardware and software, external disk, Integrated xSeries®
Server for iSeries, and Linux®. He writes and teaches IBM classes worldwide in the areas of
i5, iSeries, and AS/400® system design and server consolidation. He spent 13 years in the
United Kingdom AS/400 Business, and has experience in S/36, S/38, AS/400, and iSeries
servers. You can contact him by sending e-mail to: mailto:niharris@us.ibm.com
Ian Mills is a Software Support Specialist working for IBM Global Services, Integrated
Technology Services in the IBM UK Support Center. Ian specializes in hardware and software
upgrade planning and implementation. He has worked on many operating systems upgrade
projects for customers throughout the UK. Ian also worked on the ITS Upgrade Perform
Guide, which is used throughout IBM as a roadmap for IBM Services in the iSeries
environment.
Thanks to the following people for their contributions to this project:
Ian Jarman
Kathy Tri
IBM Rochester
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© Copyright IBM Corp. 2005. All rights reserved.
vii
Comments welcome
Your comments are important to us!
We want our papers to be as helpful as possible. Send us your comments about this
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viii
i5/OS V5R3: A Guide to Getting There from Previous OS/400 Releases
1
Chapter 1.
Keeping your operating system
current
Upgrading your operating system in a production environment can be very challenging.
However, not keeping current can potentially have disastrous effects and consequences. This
chapter describes why people do not upgrade, why they should upgrade, and the
consequences of not upgrading in a timely manner. The old adage “If it is not broken, do not
fix it” is regularly used in IT shops, but although this may apply over the very short term, it
does not apply over any protracted length of time to line of business IT environments.
© Copyright IBM Corp. 2005. All rights reserved.
1
1.1 Introduction
If you are reading this, a midrange server is probably at the heart of your business, and is
probably expected to consistently deliver outstanding performance and reliability. And that is
why you chose to install one, perhaps many years ago. A majority of our customers have had
AS/400 servers and iSeries since the inception of the range back in the 1980s. All of the
attractions and benefits of the best-selling IBM midrange server have helped to maintain high
levels of customer loyalty and ensure that the development of the platform is pursued.
Since the advent of RISC-based processors in the mid-1990s, the iSeries server has gone
from strength to strength and incorporated many new leading edge technologies. Today’s
POWER5™-based machines have massive processing power compared to the original 64-bit
chips, and the software that these new machines run has a capability far in advance of
anything seen before. Developments in the iSeries platform have kept it as the number one
business machine, and the latest operating system and hardware are intended to maintain
that momentum.
For more about the latest iSeries developments, visit the iSeries Information Center at:
http://www.ibm.com/servers/eserver/iseries
In 2004, IBM announced the IBM ^ i5 range of iSeries servers. Initially the 520 and
570 range were made available, but in 2005 new machines came to the market to further
enhance the midrange offering. The 550 and 595 models are now firmly established in the
range, again using the POWER5 chip.
The new i5 hardware requires the latest version of OS/400, now called i5/OS. This code level
can also be installed on many of the previous generations of iSeries hardware, and there are
many good reasons for a business to do this. This Redpaper is presented as a discussion of
the processes that are required to get to the later levels of code and the reasons why you
should consider upgrading to the later levels. We also present some guidance on how this
can be achieved.
1.2 Reasons why you want to upgrade
Access to new functions is the top reason that businesses upgrade their IT systems. Often
the business or IT shop simply does not know that the function exists and therefore believes
there is no reason to upgrade their OS. Here a brief list of reasons why to upgrade:
򐂰 New iSeries or OS/400 functions, logical partitions, backup/recovery (Save-while-active),
high availability (clusters, HA resources, switchable hardware, and independent ASPs),
hardware (better price performance, more hardware options, concurrent maintenance),
tape (faster backups, new media, library support, multi-system support), disk (price
performance, external disk and SAN support, mirroring, and availability), licensed program
products (similar to applications, new functions).
򐂰 Service level agreements, required uptime by the business, insurers require system to be
supported by manufacturer,
򐂰 External pressure, competitors with improved their system availability are offering better
service, customers and suppliers demand higher level for interconnect or availability.
򐂰 Asset management, the worth of the system is defined by its current state of repair. Many
enterprises have planned preventive maintenance (PPM) for their plant and equipment,
but fail to apply the same methodologies to their IT systems. How many organizations
would be without their telephones for a day or make their employees walk the stairs
because their elevators were down from lack of maintenance?
2
i5/OS V5R3: A Guide to Getting There from Previous OS/400 Releases
1.3 Reasons why systems remain backlevel
There are many reasons why your system may not be at Version 5 of the operating system.
Some of these reasons are discussed in this section and later in this document.
For many customers, the prospect of upgrading is quite daunting.
򐂰 Cost to upgrade: Moving forward several releases or versions may incur costs that are
outside the IT budget. Software maintenance is a key element of any IT budget. This
element of the budget is often reduced or removed if there is some doubt over the
longevity or the application or server. This is a common mistake and funding should
continue all the time the application is line of business.
򐂰 Staffing: The time and skill levels of the IT staff may have been enough to have moved an
OS/400 upgrade off the IT planning agenda. This lack of skill can be offset by hiring out
the work.
򐂰 Downtime: There is little or no time to do a upgrade as businesses move more and more to
24x7 uptime. In a 24x7 environment it is even more critical that the OS is maintained at a
current level and supported.
򐂰 Testing: A system or LPAR is not available to perform the function and volume testing of a
server or application. Many customers now use the IBM Benchmark Centers in Rochester
or Montpelier, France, to test new OS versions and new hardware.
򐂰 Application maintenance: The constraints and requirements of major business
applications can be a hindrance, especially if a new version of this application would be
required to complement a higher level of OS/400 or i5/OS.
򐂰 Awareness: Commonly, simply being unaware of later versions of IBM code could be the
reason your server is not at V5. Some customers, similarly, do not realize that their current
version of code is now out of support. Those who rely on OEM suppliers for support might
find that non-defect support has continued, so an upgrade has been unnecessary.
򐂰 No fault, no fix: Some customers may have taken the approach that since their iSeries is
running fault-free, why would an upgrade be required?
򐂰 Other common reasons: Compatibility with other platforms, suppliers, or customers; or
maybe the current hardware, such as the server unit, DASD, tape, communications, and
so on are not compatible with the higher levels of code.
Many of these constraints can be overcome—skill level, for example—and IBM and its
business partners offer software services in many locations throughout the world on a
contractual basis. Very often a contract can be raised to buy in skill on a temporary basis. A
qualified and experienced professional will then assist you with the planning and installation
of the OS/400 upgrade.
Where application compatibility issues arise, communication with your supplier may well yield
a positive and helpful response. An updated version of the application may be available, or
the supplier may be able to recommend further sources of help.
But perhaps the most important consideration is that of OS/400 support. IBM currently offers
full defect and non-defect support to customers who have systems at Version 5 Release 3
and Version 5 Release 2. With Version 5 Release 1 there is in a period of free extended
support until 30 September 2005. This means that customers who hold any valid support
contract can contact IBM to request help with potential or actual code defects, and can
request help with “how-to” type questions. These support contracts also include an escalation
route to the IBM Rochester Development Laboratories, where the code is actually written,
updated, and modified. Contact your IBM reseller or Account Manager for more information
about IBM Support in your geography, or visit the iSeries Web site.
Chapter 1. Keeping your operating system current
3
For customers currently at Version 5 Release 1 who are concerned about the end-of-support
date for V5R1 because an upgrade to a later version will not be possible before the end of
September, a Service Extension contract may be available in your geography. This would
enable you to continue to receive IBM Support for a limited time beyond the actual
end-of-service date. Contact your IBM reseller or account manager for more information.
1.4 AS/400 and iSeries life cycle
At this point, it might be useful to examine the hardware life cycle of the AS/400 and iSeries
hardware. Figure 1-1 shows a table (from the iSeries upgrade planning Web site) that gives
the time frames during which the various hardware platforms were marketed and when direct
hardware upgrade routes were available.
Figure 1-1 AS/400 hardware model life
Hardware life cycle:
http://www.ibm.com/servers/eserver/iseries/hardware/life.html
OS/400 and i5/OS release support:
http://www.ibm.com/servers/eserver/support/iseries/planning/software/i5osschedule.html
It may be necessary to update or replace your existing hardware to allow an upgrade to V5 of
the OS/400 operating system, but if you have concerns about whether your own server can
be upgraded to V5, refer to your IBM Business Partner or IBM Account Manager.
For customers with 6xx model hardware (for example M600, M620, M640), it is not possible to
upgrade to i5/OS V5R3M0. The highest level of OS/400 that can be installed on these models
is Version 5 Release 2, but this is a valid and fully supported level of OS/400 when an
appropriate software support contract is in place. The iSeries planning Web site contains
further information and help about supported hardware and makes recommendations for
changes where appropriate:
http://www.ibm.com/servers/eserver/support/iseries/planning/index.html
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i5/OS V5R3: A Guide to Getting There from Previous OS/400 Releases
The iSeries handbook, which is available from the Redbooks Web site, has additional
information about platform support.
1.5 Reasons to upgrade
Some of the reasons that customers have not upgraded their servers have already been
mentioned and discussed in previous sections. We now look at why an OS upgrade should be
carried out. The following reasons are not discussed in any particular order, as each upgrade
scenario is likely to be unique to a particular customer, environment, or server.
1.5.1 Keeping a supported version of the OS
The desire to get to or remain in a supported version, release, and modification of the
operating system should be the reason to upgrade. Systems at Version 4 Release 5 or earlier
are unlikely to be covered by any kind of support contract with IBM; an Extended Support
contract may be in place, but it is likely to have limited life. Renewal of such contracts,
although sometimes possible, is usually an expensive option. Contact your IBM reseller or
client manager if an extended support contract is required.
Having a system at a supported version.release.modification level means that customers
have the option to purchase an IBM support contract. These come in various forms and
provide various different levels of support, depending on the customer’s requirements and
budgets. For many, the standard software maintenance contract will be sufficient. This allows
a customer to place support calls via the telephone or Internet to IBM support, for both defect
and non-defect types of problems or questions. Service Level Objectives are usually attached
to such contracts, and IBM Support personnel are committed to delivering world-class
support. Where required, escalation to second-level support and the Rochester development
labs can be facilitated under all support contracts.
In some geographies, an extended technical support (ETS) contract is available. This contract
provides more preventive support than the standard software maintenance contract.
Additionally, customers who buy an ETS will be appointed an advocate in the relevant support
center. This advocate will be available to the customer, usually during core local business
hours, to ensure that high-priority calls receive high levels of focus and more rapid escalation
when required. Additionally, the advocate can be tasked to arrange and host regular
conference calls with the customer. The aim of the conference call is to build a stronger
customer-IBM relationship, and to ensure that satisfaction levels at the customer site are
maintained and enhanced. ETS customers are also encouraged to make use of Electronic
Service Agent™ to place and monitor support calls; this facility can also be used by
customers to update call records on the IBM databases.
For some customers, an Advanced Support contract may be appropriate. This is the highest
level of standard support contract offered by IBM, but the terms and conditions of an
Advanced Support contract are specifically tailored to the customer’s requirements. Proactive
advocacy is a primary facet of the Advanced Support contract, delivered by the Advanced
Support team in Rochester through an appointed local advocate. Additionally, commonly a
backup advocate is appointed to support the primary advocate. Customers with Advanced
Support contracts can expect a high level of support, focus, and commitment from IBM
Support, and in particular from their appointed advocate. Regular conference calls and
possibly on-site meetings to review progress are normal. The advocate becomes an
integrated part of the customer’s support team and process, and develops a good
understanding of the customer’s business environment and IT setup. Commonly, escalation of
critical situation calls, both inside and out of core local business hours, are a priority.
Chapter 1. Keeping your operating system current
5
1.5.2 New functionality
An upgrade may be required to make the most of the latest functionality offered on a
particular platform. With AS/400, for example, systems had to be at a minimum level of
V4R4M0 to be able to use logical partitioning (LPAR). Sometimes a new version of the
operating system is released to support new hardware and it is sometimes the case that both
hardware and software upgrades are required to access new functionality. LPAR is an
example of this, because customers had to have 6xx hardware and Version 4 Release 4
installed. Refer to the iSeries Web site for more information about available functions and any
associated hardware or software requirements.
1.5.3 Easier migration to new hardware
Customers who are experiencing business growth might contemplate migrating to a new
iSeries system. It is often a requirement to have the existing machine (or source system) at
the same operating system level as the new or target system. Having both systems at the
same OS level enables much easier data migration, although as will be discussed later, there
is an unsupported migration process for systems that are at different levels. However, the
supported and officially documented route is for both systems to start at the same level.
If new hardware is being purchased, then an attractive side-by-side upgrade route becomes
available. Assuming that the new system comes preloaded with Version 5 Release 2 or
Version 5 Release 3, then it may be possible to take only user data in the form of libraries and
objects directly from the down-level source machine using standard save and restore
commands. After the system build is complete, both machines can be run in parallel, giving
the customer time to perform benchmarking for performance and data accuracy. Other testing
is possible without disturbing standard business operation, as the original source machine
can be left in production until such times as the new machine is proven. For more about this,
refer to the relevant section later in this document.
1.5.4 Suppliers and customers
An important reason that may lead you to upgrade is that your suppliers and customers have
upgraded already. Both suppliers and customers may be exerting pressure on your business
to upgrade, as it may add to their costs to continue supplying or supporting your system when
it is at a down-level version of the operating system.
1.5.5 Audit requirements
For some organizations, auditors may stipulate that server systems be installed with and run
supported and well-maintained code. If you are unsure of the installed code and patch levels
on your AS/400 or iSeries, consult with your IBM reseller or IBM Account Manager.
1.5.6 Asset management
As with any business asset, such as a vehicle or manufacturing machine, your iSeries or
AS/400 server needs maintenance. Hardware is maintained and serviced by qualified service
engineers. The installed software also needs attending to. It is important to frequently install
code patches, enable the consistent and appropriate supply levels of these patches, and
maintain your server at a supported level of code. AS/400 and iSeries servers are complex
computer systems, so it is important that an appropriate level of maintenance is applied.
6
i5/OS V5R3: A Guide to Getting There from Previous OS/400 Releases
2
Chapter 2.
Basic OS upgrade methodology
In this chapter we introduce possible upgrade methods and how they may be applied to
customer situations. We describe the whole process from start to finish, but this is not a
step-by-step, detailed technical discussion.
When contemplating an OS/400 software upgrade, it is vital that adequate planning is
completed, and for some customers, IBM Global Services or IBM Business Partner services
should be contracted. This is especially true for the multi-step and scratch reload upgrade
methods. Additionally, testing facilities may be available in your geography. Contact your IBM
account manager to discuss these items.
© Copyright IBM Corp. 2005. All rights reserved.
7
2.1 General upgrade considerations
For all upgrade scenarios, the following points should be considered, and action taken where
appropriate. Refer to Chapter 6 of the Version 5 Release 3 Software Installation Guide for
more detailed and specific planning information.
2.1.1 Information Center
This ibm.com® site is the online source of vital information and knowledge, and should be
referenced extensively during any planning stages. Information Center is updated regularly,
and is specific to release and geography. Find the Information Center at:
http://publib.boulder.ibm.com/infocenter/iseries/v5r3/ic2924/index.htm
2.1.2 Upgrade planning Web site
The upgrade planning Web site should be considered vital reading:
http://www-1.ibm.com/servers/eserver/iseries/support/planning/nav.html
Sections in this site provide guidance and support for customers upgrading to Version 5
Release 1, Version 5 Release 2, and Version 5 Release 3, and within these sections are
subsections for software, hardware, statement of direction, product previews, and planning
statements. Additionally, there is a link to documentation that helps you get to the next release
(through Version 5 Release 3).
This page also has links to pages about software and hardware for future releases, the
OS/400 release support schedule, software end-of-life plans, and hardware model life.
2.1.3 Preventive service planning (PSP) documents
You will need to refer to these documents often during planning and installation of the new
release. Find links to these documents at:
http://www-912.ibm.com/s_dir/sline003.nsf/ALLPSPBYREL
򐂰 The Current Cumulative PTF Package PSP for each release is numbered SF98xxx (where
xxx is the numeric VRM). For example, SF98530 is the Current PTF PSP for Version 5
Release 3 software.
򐂰 There is a PSP for each release that specifically covers installation topics (SF98080 for
Version 5 Release 3) and includes the latest information relating to licensed programs.
򐂰 There is also a primary PSP for hardware, also in the standard numbering format such as
MF98530 for Version 5 Release 3.
򐂰 Other PSP documents are available for defective PTFs, cumulative pack instructions,
summary listings, and group PTFs.
All PSP documents are updated on a regular basis, so should be referred to as planning
progresses and immediately prior to installation. In a multi-step upgrade, it is important to
refer to relevant PSP documents for each and every release being installed or bypassed.
Important: The key aspect of PSP is that updates can occur at any point, and this is the
document that should be referenced for the latest information and news relating to
installations and PTF work.
8
i5/OS V5R3: A Guide to Getting There from Previous OS/400 Releases
2.1.4 Memorandum to users
This is an extract from the iSeries Memorandum to users, Version 5 Release 3:
This information describes the changes in Version 5 Release 3 Modification 0 (V5R3M0 or
V5R3) that could affect your programs or system operations. Use the information in this
memorandum to prepare for changes on your current release and to use the new release.
The Memorandum to Users contains information that is critical for several audiences. This
memorandum has four chapters:
– Read this first: Provides information that should be considered before you install V5R3.
This chapter is intended for system and application programmers and for the person
responsible for system management.
– Operating system: Contains new release changes to basic operating system functions.
This chapter includes changes to systems management functions, such as
configuration and tailoring the system, as well as changes that could affect the way
things operate or appear in the new release. This chapter is intended for all users of
iSeries servers.
– Options: Provides information about new release changes that affect specific program
options of the operating system. This chapter is intended for all users of iSeries
servers.
– Licensed programs: Contains new release changes that might affect existing
applications. These changes might also affect applications saved on a V5R3 server to
be restored on a previous-release server. This chapter is intended for application
programmers and system programmers who use the iSeries server and its licensed
programs, as well as for businesses with complex networks and application
development businesses that have systems at different releases.
As with the PSP, it is important to refer to the Memorandum to Users for each release being
installed, and all releases that are being bypassed in the case of a multistep upgrade. There
may have a been a major change in an intermediary release that should be considered.
You can download the Memorandum to users from:
http://publib.boulder.ibm.com/infocenter/iseries/v5r3/ic2924/info/rzaq9.pdf
2.1.5 Software installation guide
For the purposes of installing a new release, this is the reference that should be used as the
key reference text. Each new release of code has its own version of the software installation
guide, and it is important that you obtain the relevant book for the release being installed. That
may mean, as for PSP, that several different versions are required for a multi-step upgrade.
The installation guide helps with the planning of the upgrade as well as the actual installation
process. Particular care and attention are required to complete the planning sections,
especially at Version 5 Release 3 as there are some new and mandatory prerequisite steps
relating to license acceptance.
Chapter 2. Basic OS upgrade methodology
9
2.2 General planning tasks and considerations
When starting the planning of a single or multiple-step upgrade, the following points should be
considered and performed where appropriate.
2.2.1 Ordering the software and a refresh
Lead times for software orders may vary by supplier and geography. General guidance is to
order the software from your IBM reseller or IBM account manager at least several weeks
before you intend to use it. In the event that you order the software, and then do not use it for
several months or longer, it is advisable to contact your supplier near to the installation date to
check for code updates or respins.
The previously mentioned installation PSP often includes an update when a new version or
release (often called a resave) is produced, especially if particular hardware models require a
minimum level of code. Figure 2-1 shows the current levels of Microcode (system-licensed
internal code) at time of writing for Version 5 Release 1, Version 5 Release 2, and Version 5
Release 3. The SLIC CD in the set supplied for each release has an appropriate level
designator code on it, generally toward the top of the labeling, in the format RSx (respin,
where x is a letter). Before upgrading, check that you have an appropriate respin for the
hardware in use, and if not, request a refresh from your supplier.
Figure 2-1 Resave information
Resaves and respins are performed for the following basic reasons:
򐂰 To reduce the time it takes to install cumulative PTFs
򐂰 To ensure that users have the correct base level of installation media for new functions
(new hardware functions)
10
i5/OS V5R3: A Guide to Getting There from Previous OS/400 Releases
Other respin information to note:
򐂰 All PTFs in a respin will be included on the latest cumulative media.
򐂰 If a user had RSA media when the system was first installed at Version 5 Release 2 and
continued to stay at the latest cumulative level (C4244520), they would essentially be at
the RSF respin level. RSA + C4244520 = RSF.
2.3 Multi-step upgrades
In the case of multi-step upgrades in which the middle step of software is no longer available
or marketed by IBM, it may be necessary to contract IBM Service professionals to facilitate
the upgrade. If the middle-step software release requires license keys, this could present a
problem as these keys will not be available. This potential issue can usually be overcome with
the 70-day grace period, where the product can be installed without the need to enter and
license keys. This may enable a multi-step upgrade to be completed over several weekends,
thus shortening the outage time on any one day. However, completing the double-step
upgrade in one day may be preferable for both customer and service representative as it
reduces cost considerably.
For multi-step upgrades, it is not necessary to install a cumulative PTF package after the first
upgrade if you intend to upgrade immediately to either the next or final level. However, PSP
information should be consulted in conjunction with the software installation guide in case any
prerequisite PTFs are required for that next release. For example, to go to Version 5 Release
3, it is necessary to install PTFs for license management prior to compiling the installation list.
Refer to Table 2-1 on page 10 to see how many steps will be required to reach your required
version.
Table 2-1 Number of steps to reach your required version
From release
Target release
Number of steps
Version 4 Release 3
Version 4 Release 4
1
Version 4 Release 3
Version 4 Release 5
1
Version 4 Release 3
Version 5 Release 1
2 (Version 4 Release 3>Version 4
Release 5>Version 5 Release 2)
Version 4 Release 3
Version 5 Release 2
2 (Version 4 Release 3>Version 4
Release 5>Version 5 Release 2)
Version 4 Release 3
i5/OS Version 5 Release 3
3 (Version 4 Release 3>Version 4
Release 5>Version 5 Release
1/Version 5 Release 2>Version 5
Release 3)
Version 4 Release 4
Version 4 Release 5
1
Version 4 Release 4
Version 5 Release 1
1
Version 4 Release 4
Version 5 Release 2
2 (Version 4 Release 4>Version 4
Release 5/Version 5 Release
1>Version 5 Release 2)
Version 4 Release 4
i5/OS Version 5 Release 3
2 (Version 4 Release 4>Version 5
Release 1>Version 5 Release 3)
Version 4 Release 5
Version 5 Release 1
1
Version 4 Release 5
Version 5 Release 2
1
Chapter 2. Basic OS upgrade methodology
11
From release
Target release
Number of steps
Version 4 Release 5
i5/OS Version 5 Release 3
2 (Version 4 Release 5>Version 5
Release 1/Version 5 Release
2>Version 5 Release 3)
Version 5 Release 1
Version 5 Release 2
1
Version 5 Release 1
i5/OS Version 5 Release 3
1
Version 5 Release 2
i5/OS Version 5 Release 3
1
2.3.1 Software subscription
To be able to obtain OS/400 upgrade code, you usually need to have a software subscription
in place with IBM. This requirement may vary by geography, so consult with your IBM reseller
or IBM client manager for confirmation.
2.3.2 Backing up your system and disaster recovery
Before embarking on any upgrade functions, it is vital that you adequately back up (save) your
system to media. In the event that problems are encountered during the upgrade process,
and the customer elects to return to the original version, then a complete scratch install will be
required, and the ASP data will be deleted. It is also critical that you review your disaster
recovery plan and ensure that it is up to date.
Especially important is the ability to retrieve your data recovery tapes during or after the
upgrade. Ensure that your storage facility will be accessible at the time you intend to upgrade.
Additionally, where possible, we suggest that you alert your disaster recovery supplier to the
intended outage and the potential need to invoke that supplier in the event of a problem with
the upgrade.
One test option is to load up the disaster recovery system and perform the upgrade. As a
preemptive task you might also want to load your DR system with the latest save data,
enabling a fast recovery should any part of the upgrade process fail. If you had a failure during
the upgrade, usually IBM Support will want to work with you to resolve a problem with the
upgrade process, as it is more likely that your system will be at a supported release at that
time. If you elect to scratch back to the previous release, then it is possible that the cause of
the problem will not be found. At some point in the future, you may attempt an upgrade again
and encounter the same problem. It may take some time for IBM Support to resolve the
problem, and ultimately they may recommend a scratch back, so it is vital that at least one
good backup is secured before starting any upgrade process.
Use of OS/400 standard backup commands or menu options is recommended to ensure a
total system save. From the GO SAVE menu, use option 21 to save the entire system.
Figure 2-2 on page 13 shows graphically which menu options and commands can be used to
save all or selected parts of the system. The recommendation is that you back up the system
to a device that is configured as an alternate IPL device or to one that can be used as an
alternate installation device. Refer to the Backup and Recovery Guide for more details about
configuring devices to be either of these types and information on backing up your systems.
12
i5/OS V5R3: A Guide to Getting There from Previous OS/400 Releases
Figure 2-2 System Save
2.3.3 Program temporary fixes (PTFs)
Immediately after upgrading to the final release in your plan, it is very important that you load
and apply PTFs. These are the corrective and preventive code patches that correct code
defects and update code functionality.
PTFs are supplied in cumulative packages (cume packs), group packs, and individually. The
software installation guide directs customers to install a cume pack after the software
upgrade. Additionally, you should apply the Database Performance / Hiper group fix.
Instructions for PTF loading and applying are supplied with the PTFs.
Note: Until recently it was standard practice at IBM to supply a cume pack with the system
upgrade software. This is no longer the case in most geographies. If a cume pack has not
been supplied with your upgrade package, then you should order one or arrange for your
IBM Business Partner to order one on your behalf. Cume packs are periodically updated,
so check the Cume pack PSP (SF98xxx) for details about currency and future availability.
PTFs can be ordered and received several ways:
򐂰 Electronic order
– The Fix Central Web site offers the choice to receive PTFs from an FTP site or on CD:
http://www.ibm.com/eserver/support/fixes/
Chapter 2. Basic OS upgrade methodology
13
– By using the SNDPTFORD command
If the order is sent from the server using the SNDPTFORD command and the fix or fix
package is within size limitations, then the PTF server will attempt to send the package
electronically in a save file directly back to the server.
Before using SNDPTFORD, check, update, and correct where appropriate the contact
information in your system. This can be performed with the WRKCNTINF command.
򐂰 Telephone order
Where electronic methods are unavailable or inappropriate, you may be able to place a
PTF order with your local Software Support organization, or through your IBM reseller or
Business Partner.
2.3.4 OEM application and hardware compliance
It is vital to check with non-IBM hardware and software suppliers before embarking on the
actual code upgrade to confirm that their product will still work as expected when the upgrade
is complete. Sometimes a code upgrade to third-party applications is required, so you should
seek guidance on this matter. Also, where non-IBM hardware is in use, compliance checking
for all devices should be completed.
2.3.5 Licensed program menu, option 5
The Prepare for install option was added in a previous release. The functions available in
Option 5 are well described in the Software Installation guide. Use of this menu option for
certain features, to create an installation list, and to allocate additional space for LIC, for
example, are mandatory for customers planning an upgrade to V5R3.
The V5R3 Prepare for Install screen resembles Figure 2-3.
Prepare for Install
System:
NHBRAS71
Type option, press Enter.
1=Select
Opt
Description
Work with user profiles
Work with licensed programs for target release
Display licensed programs for target release
Work with licensed programs to delete
List licensed programs not found on media
Verify system Objects
Estimated storage requirements for system ASP
Allocate additional space for LIC
Bottom
F3=Exit
F9=Command line
F10=Display job log
F12=Cancel
Figure 2-3 Prepare for Install
For customers planning upgrades to releases before V5R3, there are no mandatory tasks on
this menu; however, there are many very useful features, and we strongly recommend that
this option be included in your planning. Particularly useful is Work with licensed programs
for target release. This feature has the user scan the upgrade media; one benefit is that
14
i5/OS V5R3: A Guide to Getting There from Previous OS/400 Releases
software that has not been provided with the upgrade set will be highlighted as missing. It is
better to know about missing products in advance of an upgrade, rather than just after you
finish!
2.3.6 Application testing
In an ideal world, all customers would perform a test upgrade on a non-live system prior to
implementing a code upgrade on the live or production system. Many customers have logical
partitions set up just for this purpose. Some use time on a separate machine that they use for
development or is borrowed from IBM, their IBM Business Partner, or DR facility provider. You
might contact your IBM account manager to discuss this, as it may be possible for IBM to offer
services to assist customers who are not able to test as thoroughly as they would like.
The purpose of application testing is to ensure that following a software upgrade, all required
functionality is still available and working as expected. When testing, you should consider at
least performance, data accuracy, compatibility, and save/restore speeds. Other factors may
also be important to your business, and it is worth spending time considering all factors here.
If you have a mix of applications that do not all port to your intended target release, you may
consider replacing the non-upgradable application and continuing with the upgrade planning
on that basis.
Prior to starting the upgrade process, agree on a plan of action for testing all applications after
the upgrade. You may need to involve others to do this, but it is always better to find problems
during the testing stage, than after the system is put back into production.
2.3.7 Logical partitioning
If your server is logically partitioned and you intend to upgrade only one partition, remember
that there are rules regarding LPAR compatibility. Refer to the iSeries handbook for guidance
about this; the general rule is that secondaries must be within one release of the primary. So
if the primary is Version 4 Release 5, you could install Version 4 Release 4 and Version 5
Release 1 on separate partitions. Version 5 Release 2 and Version 5 Release 3 would not be
installable on any partition in this scenario.
For complex installations, contact IBM Support to verify your upgrade plan, or use IBM
Service professionals.
2.4 Additional details about upgrade methods
Before embarking on any of the following upgrade processes, adequate planning must have
been completed. This document has given some guidance about where to start with the
planning, and in some sections more detail has been provided. However, we have not
rewritten the software installation guide, and this document is not intended to replace that
manual or any other upgrade-associated documentation.
2.4.1 RISC-to-RISC migration
Figure 2-4 on page 16 is extracted from IBM Software Knowledge Base item 15771716. This
procedure is for use in migrations where the source release is at least Version 4 Release 5,
and it does involve scratch installing the later release, either on existing hardware, or this
process facilitates data migration from one physical system to another. Obviously the latter
scenario requires a tape unit that can be shared or swapped. IBM Services may be available
Chapter 2. Basic OS upgrade methodology
15
to assist you with the planning and the migration in accordance with this process, so contact
your IBM Account Manager for further information.
The following procedure should be used when migrating from a previous release RISC-based
system to a later release RISC-based system. For additional information, refer to the
following Web site: http://www.as400.ibm.com/tstudio/tech_ref/rrmap/index.htm
On the RISC system that is at a previous release that must be migrated (source system) ,
do the following:
1 Run the RTVSYSINF command to retrieve the system information. You will be asked what
library to use -- typically it is good to use the library QUPGRADE.
2 Save the Entire System using Save Menu Option 21.
On the RISC system that is at a higher release that the data will be migrated to (target
system) , do the following: 1 Scratch install only LIC and the Operating System from
the CDs. Do not install any of the Base options or LPPs .
2 Set appropriate system values QJOBMSGQFL(*PRTWRAP) and QALWOBJRST(*ALL).
3 Perform necessary DASD configuration.
4 Restore from Option 21, Save Entire System, using the following steps:
Note: Until a tool is developed, the QAUDJRN and QACGJRN objects will not be restored.
Also, Job Scheduler entries will not be restored.
a ENDSBS SBS(*ALL) OPTION(*IMMED)
b RSTUSRPRF ALWOBJDIF(*ALL) ENDOPT(*LEAVE)
c RSTCFG OBJTYPE(*ALL) SRM(*NONE) ALWOBJDIF(*ALL) ENDOPT(*LEAVE)
d RSTLIB SAVLIB(*NONSYS) OPTION(*NEW) ALWOBJDIF(*ALL) MBROPT(*ALL) FRCOBJCVN(*NO)
ENDOPT(*LEAVE)
e RCLDLO DLO(*ALL)
f RSTDLO DLO(*ALL) SAVFLR(*ANY) ALWOBJDIF(*ALL) ENDOPT(*LEAVE)
Note: If you have DLOs in user ASPs, you will need to use the following command to
Restore DLOs to user ASPs:
RSTDLO DLO(*ALL) ALWOBJDIF(*ALL) SAVASP(ASP-number) RSTASP(ASP-number)
g RST DEV('/QSYS.LIB/TAPxx.DEVD') OBJ(('/*') ('/QSYS.LIB' *OMIT) ('/QDLS' *OMIT))
ALWOBJDIF(*ALL)
5 Run the UPDSYSINF command to update the system information.
6 Install Licensed Programs.
7 Run the RSTAUT command.
8 Install PTFs.
Figure 2-4 RISC-to-RISC migration
This document does not support migrations from a source system that is installed at a release
prior to Version 4 Release 5. However, if you have a requirement to perform such a migration,
say Version 4 Release 3 to Version 5 Release 2, and you have a system available to test on,
then you may find that this process works for you. IBM has not tested this process for
releases before Version 4 Release 5 and offers no guarantees or support. You may be able to
secure Software Service assistance, but no guarantees are implied.
2.4.2 Multi-step upgrades
The multi-step upgrade is the supported upgrade path, and it is fully documented and tested.
This is the usual or standard way to upgrade from a release lower than Version 4 Release 5
into V5 of OS/400 or i5/OS.
16
i5/OS V5R3: A Guide to Getting There from Previous OS/400 Releases
Multi-step upgrade refers to an installation that includes installing an intermediary version of
software before the final required version. You must complete the entire installation of the
middle step. Table 2-1 on page 11 shows the possible combinations of upgrade steps.
It is not always necessary to install PTFs after that first upgrade is complete, but you should
refer to the Installation PSP for the final version to confirm this. A cumulative PTF package is
usually not required immediately after the first upgrade. Similarly, a full system save is not
usually required after the first upgrade either, but if problems are encountered when installing
the next version of code, you may want to take a system save after each middle step.
Consider option 22 from the save menu for this, but be aware that this option does not save
IBM libraries that may contain user data, such as QUSRSYS.
The following procedure should be used in a multi-step upgrade of a RISC system from a
previous release to a current release:
1. Complete the planning stages for all versions to be installed and bypassed.
2. Save the entire system using Save Menu option 21.
3. Ensure that there are no active jobs and servers, then end all of the subsystems.
4. Place the appropriate SLIC CD into the alternate IPL source drive.
5. When the system is in restricted mode, start the first upgrade in accordance with the
software installation guide. Use the D-source and ensure that the panel is in NORMAL
mode.
6. Follow the process in the software installation guide to install SLIC, OS/400, and licensed
programs using the media provided in the correct order.
7. When the installation is complete, install PTFs as required by the Installation PSP. Where
there are no PTFs to install, repeat steps 3 through 7 for all other release steps, including
the final step, then go to step 8.
8. When the installation of the final version completes, install (load and apply) the PTF
cumulative package in accordance with the instructions provided.
9. Following successful installation of the cumulative package, install any other PTFs,
including any required group PTFs. This can be done in one go, with one IPL, unless any
specific instruction directs otherwise.
10.When the final PTF installation process is complete, run any required conversion jobs, and
upgrade any third-party software as directed by your suppliers.
11.Conclude the testing process.
12.When all upgrade steps are complete, save the entire system again.
13.Restart the system.
Chapter 2. Basic OS upgrade methodology
17
18
i5/OS V5R3: A Guide to Getting There from Previous OS/400 Releases
3
Chapter 3.
OS/400 and i5/OS structures
This chapter provides descriptions of all major functional areas and objects in the operating
system. We discuss how these have changed from version-release to version-release as well
as the possible impact on the upgrade.
The main information in this chapter has been extracted from three key sources:
򐂰 The Memorandum to users for each release of the code
򐂰 The software installation guides pertaining to each release of the code
򐂰 The iSeries Web site
Note: The term optical media as used in this chapter refers to CD-ROMs and DVD-RAMs.
The term optical device refers to either CD or DVD devices.
You can use DVD rewritable storage technology and devices for many purposes. For
example, if you have a DVD device as an alternate installation device, you can use it for the
following functions:
򐂰
򐂰
򐂰
򐂰
򐂰
Backing up and recovering the system
Installing, saving, and restoring licensed programs
Copying, loading, and installing program temporary fixes (PTFs)
Storing main storage dumps
Performing other save and restore functions
© Copyright IBM Corp. 2005. All rights reserved.
19
3.1 Functionality delivered with Version 5 Release 2
OS/400 V5R2 is an outstanding and functionally rich software release that builds on the
functionality in OS/400 V5R1. OS/400 Version 5 provides integrated and highly flexible
workload management options for rapid deployment of high-performance enterprise
applications. With dynamic logical partitioning and storage virtualization technologies from
IBM, OS/400 Version 5 incorporates flexible support for consolidation of our Linux
implementation, Windows®, ported UNIX® applications through OS/400 PASE, and OS/400
applications.
The iSeries is built on an integrated architecture that incorporates e-business technologies
from a variety of open technology sources and operating environments. In addition,
self-managed storage virtualization technologies, switched disk cluster management, and
extensive Windows server management options including support for Microsoft® Cluster
Services with OS/400 V5R2 help provide mainframe-class high availability. OS/400 V5R2
incorporates IBM DB2® UDB for iSeries with adherence to the latest industry SQL standards
along with support for multiple database images to support business unit consolidation.
Providing flexible, secure management of today’s e-business infrastructure, OS/400 V5R2
delivers further self-managing solutions with the industry’s first implementation of Enterprise
Identity Mapping (EIM). An IBM Autonomic Computing initiative, EIM provides single signon
and simpler security administration for multi-tier application environments in heterogeneous
networks.
iSeries has transformed from its proprietary heritage to be a leader in commitment and
implementation of open standards such as Java™, SQL, XML and Linux. iSeries commitment
to open source standards is exemplified by its Linux implementation. Open source initiatives
such as JTOpen, a collection of Java classes, enable iSeries commitment to open standards
to extend to a wide range of ISV solutions. iSeries was the first server in the industry to adopt
the Apache HTTP server and has demonstrated leadership in scalable Apache-powered Web
serving. iSeries commitment to Web services standards and Java is underlined by its
integration of WebSphere® Application Server for deployment of e-business solutions.
iSeries has the flexibility to adjust dynamically to business priorities. With iSeries On/Off
Capacity on Demand, processors can be turned on when needed and otherwise left turned
off, incurring costs only for what is activated. In addition, iSeries offers Capacity on Demand
for planned growth with processor activation features for i825, i870, and i890, which are
equipped with additional standby processors when shipped.
Read more about OS/400 V5R2 at:
http://www.ibm.com/servers/eserver/iseries/software/v5r2.html
3.2 Version 5 Release 3 new functionality
i5/OS is necessary for the new POWER5 technology-based hardware. Considered an
upgrade from previous versions of OS/400, it takes advantage of new and enhanced
functions such as:
򐂰 Capacity on Demand to include memory, trial processor, and reserve processor.
򐂰 Automatic processor balancing with uncapped processor partitioning.
򐂰 Hardware Management Console (HMC) used to manage multiple logical partitions
(LPARs) without needing a primary partition.
򐂰 AIX 5L to be run in an LPAR on Models 520, 550, 570, and 595.
20
i5/OS V5R3: A Guide to Getting There from Previous OS/400 Releases
򐂰 POWER5 Linux kernel and distributions in common with pSeries servers.
򐂰 Extended storage area network (SAN) and storage connectivity options for the Linux
environment.
򐂰 Extending Windows integration options with support for Windows 2003 server.
򐂰 Increased storage space size up to 1 TB for Windows and Linux storage spaces.
򐂰 Storage allocation for Linux and AIX 5L in iSeries Navigator.
򐂰 DB2 scalability enhanced with partition tables and materialized query tables.
򐂰 Configuration of Management Central as a highly available application.
򐂰 Independent auxiliary storage pool (IASP) support extended to include output queues.
򐂰 Cross-site mirroring (XSM) extends mirroring support for geographic mirroring, a part of
High Availability Switchable resources.
򐂰 New time zone architecture that includes Simple Network Time Protocol (SNTP) client and
server support and is positioned for future benefits.
򐂰 Enhanced OS/400 Portable Application Solutions Environment (PASE) and now based on
AIX 5.2.
򐂰 New and enhanced functions for single sign-on (SSO) including enhancements and a
Synchronize Functions wizard for Enterprise Identity Mapping (EIM) and network
authentification service.
򐂰 Partial transaction saves (ragged save) of save-while-active when the commit cycle has
not completed.
Support is another reason to upgrade to i5/OS V5R3. The intended policy is that there is a
12-month notice to announce end-of-service for i5/OS V5R3 when release +2 is announced.
The date of support will be extended to the last day of September or March, whichever comes
first.
Find more information about V5R3 in IBM i5 and iSeries System Handbook: IBM i5/OS
Version 5 Release 3, GA19-5486, available at:
http://www.redbooks.ibm.com/redbooks/pdfs/ga195486.pdf
3.3 Summary of changes to the installation process at V4R5
With every new release of the operating system (OS/400) or new line of AS/400 systems
come necessary changes to the software installation process. Here are the changes you
should be aware of for installing the V4R5M0 operating system software.
3.3.1 Mixed releases across logical partitions
You can install mixed releases of software on the logical partitions in these examples (except
for the case in the note below). When you have V4R5M0 installed on your primary partition,
you can install V4R4M0 on your secondary partitions, and when you have V4R4M0 installed
on your primary partition, you can install V4R5M0 on your secondary partitions. Secondary
partitions can be at either V4R5M0 or V4R4M0.
Note: The exception to the examples is that AS/400e™ systems that were introduced
along with V4R5M0 software require V4R5M0 on all logical partitions. This applies to both
the primary partition and all secondary partitions.
Chapter 3. OS/400 and i5/OS structures
21
3.4 Installation process at Version 5 Release 1
The following sections describe changes regarding installation of the V5R1M0 operating
system software.
3.4.1 Preparing for software installation information
The steps for the preinstallation tasks are now in the iSeries Information Center at:
http://www.ibm.com/eserver/iseries/infocenter
It is also on CD-ROMs that ship with Operating System/400® orders (iSeries Information
Center, SK3T-4091-00). The preinstallation tasks are located under System planning and
installation → Hardware and software → Software and licensed programs → Prepare
for software installation.
3.4.2 Estimating your installation time
For this release, several structural changes for future growth of object types have occurred
that require conversions when you replace a previous release. Before you install the operating
system, plan time for these object conversions. The amount of time that is required could be
significant depending on the number of object types that you have on your server.
Review the page in the iSeries Information Center at System planning and installation →
Hardware and software → Software and licensed programs → Prepare for software
installation → Ordering and applying program temporary fixes → Installing the PTFs to
upgrade. Then run the programs included in the installation preparation PTF to estimate the
amount of time needed for these object conversions.
Also consider the product repackaging of iSeries Application Development e-business tools to
IBM WebSphere Development Studio for iSeries (5722-WDS). Because several licensed
programs (57xx-CB1, CL2, CX2, CX4, CX5, PW1, and RG1) are deleted during the
installation process, your installation time could be affected. For more information, refer to
“Estimating Your Total Installation Time” in iSeries Software Installation (Part 2 of 2) Version 5
Release 2, SC41-5120.
3.5 Installation process at Version 5 Release 2
The following sections describe changes regarding installation of the V5R2 operating system
software.
3.5.1 Install the OS/400 release and related software
Conceptual information about software installation, the steps for the preinstallation tasks, and
software reference information are now in the iSeries Information Center. You can access the
Information Center at:
http://www.ibm.com/eserver/iseries/infocenter
The concepts and tasks are located under Installation, upgrades, and migration → Install
the OS/400 release and related software. A CD-ROM version of the Information Center is
shipped with Operating System/400 orders (iSeries Information Center, SK3T-4091-02). In
addition, a printed version of the Information Center installation topic is provided with your
software order in Install the OS/400 release and related software (Software Installation, Part 1
of 2), SC41-5119.
22
i5/OS V5R3: A Guide to Getting There from Previous OS/400 Releases
Estimating installation time and number of structural changes for future growth of object types
may require conversions when you replace a previous release. Before you install the
operating system, plan time for these object conversions. The amount of time that is required
could be significant depending on the number of object types that you have on your server
and the release from which you are upgrading. If you are upgrading from V4R5 to V5R2,
review the page in the iSeries Information Center at Installation, upgrades, and
migration → Install the OS/400 release and related software → Install the OS/400
release → Prepare to install the OS/400 release → Prepare the iSeries server for
software installation → Ensure you have required software fixes (or PTFs) → Install
fixes used to estimate installation time. Then run the programs included in the installation
preparation PTF to estimate the amount of time needed for these object conversions.
In iSeries Software Installation (Part 2 of 2) Version 5 Release 2, SC41-5120, Appendix D,
“Estimating Your Total Installation Time” includes descriptions of the factors that affect
installation time and a checklist to help determine the estimated installation time for your
server. In V5R2, a new integrated file system *TYPE2 directory format is available. Even
though the conversion to the *TYPE2 format will not take place automatically when you
replace a previous release with V5R2, it might take place when you install a future release.
Therefore, you should plan for this when you want to do this conversion. Read more about the
*TYPE2 directory format in “Integrated-File-System Conversions” of the iSeries software
installation guide.
3.5.2 Image catalog installation
In addition to using optical media, tape, or an alternate installation device to install a new
release, in certain situations you now have the option of using image catalogs through virtual
optical devices. Image catalog installation is particularly useful for optical media verification,
unattended installations, and upgrading software within a network. For more information
about image catalogs, see Installation, upgrades, and migration → Install the OS/400
release and related software → Concepts → Types of software installation devices in
the iSeries Information Center.
3.5.3 Online software agreements
IBM is in the process of moving many printed software license agreements to online software
license agreements. For this release, however, the agreements for IBM licensed programs will
continue to be in the same printed documents as in previous releases. Some software
agreements for IBM or non-IBM products can be displayed or printed through the Work with
Software Agreements command (WRKSFWAGR).
If you have non-IBM licensed programs to install on your server, you may be required to
accept the terms of an online software agreement. If you accept the software agreement, you
continue to install the program. This step is included in “Task 2. Using the Restore Licensed
Program Command” of the Software Installation Guide.
3.6 Installation process, Version 5 Release 3
This topic highlights changes in the upgrade, installation, and deletion information for OS/400
and related software. Licensed programs require the acceptance of their software
agreements before you install. For IBM licensed programs that have an online software
agreement for V5R3, you have to accept the agreement through the Prepare for Install menu
before you can upgrade the programs.
Chapter 3. OS/400 and i5/OS structures
23
You must install a PTF (steps to do this are included in the topic “Required: Installing software
agreement PTFs” of the Software Installation Guide) to be able to accept the software
agreements for Licensed Internal Code and the OS/400 operating system. You will not be
allowed to continue the OS/400 upgrade if you do not accept these software agreements. If
you do not accept the agreements for any other licensed program, these licensed programs
will not be installed automatically during the upgrade.
You can also accept new licensed programs before an upgrade. The “Accepting software
agreements” section in the Software Installation Guide describes how to accept the
agreements for an upgrade. For information about using, managing, and generating software
agreements, go to OS/400 and related software → Maintain and manage OS/400 and
related software in the iSeries Information Center.
3.6.1 Additional requirements before you install Licensed Internal Code
To be able to install the Licensed Internal Code for V5R3, your server or logical partition
requires an additional .42 GB of storage on the load source than in previous releases. This
means that the load-source disk unit will take approximately 1.42 GB for V5R3 Licensed
Internal Code installation. Your upgrade will stop during the installation of Licensed Internal
Code if you do not use the Prepare for Install option to allocate the additional space.
Cumulative PTF package is not included in software orders.
The cumulative PTF package does not come with your software order. About a week or two
before you upgrade, order the most recent cumulative PTF package and any PTF groups that
pertain to your environment. These tasks are discussed in “Ensuring you have required
software PTFs (fixes)” of the Software Installation Guide. Because the console mode value is
honored for V5R3 installations, be sure that it is set correctly before you upgrade. A value of
zero means that the console mode has not been set and might interfere with the automatic
installation process. Steps for verifying the console mode value are included in the upgrade
and installation tasks.
3.6.2 Server firmware
On IBM ^ 5xx models, the level of the server firmware must be managed. Server
firmware is the code that resides in system flash memory, and it includes a number of
subcomponents, including power control code and the logical partition firmware that is loaded
into AIX® or Linux logical partitions. The server firmware is installed on your system as part of
the Licensed Internal Code.
If your system is defined as the service partition and your server is not managed by a
Hardware Management Console for eServer™, the level of the server firmware on the service
partition is used. A service partition is one partition on a server that must be set up to report
hardware status and software errors to IBM. Installing a new level of the Licensed Internal
Code might change the level of the server firmware and require a server IPL to be performed.
(A server IPL is an initial program load where all logical partitions on a server are shut down
and restarted at the same time.)
If your system is managed by a Hardware Management Console (HMC), the level of the
server firmware that is part of the Licensed Internal Code on the service partition is not used.
The level of the server firmware is managed by the HMC. For more information about using
the HMC, go to the Hardware Management Console topic (Managing your server →
Hardware Management Console) in the IBM eServer Hardware Information Center:
http://publib.boulder.ibm.com/infocenter/iseries/v1r2s/en_US/index.htm
24
i5/OS V5R3: A Guide to Getting There from Previous OS/400 Releases
Software license keys are available online, and you can view, print, and download them. For
instructions on how to access your online software license keys, refer to the Customer Notice
that is included with your software order. For V5R3, you can order multiple primary languages
(feature code 80xx) and receive the standard set and keyed set for each of those languages.
Secondary languages, if ordered, come on separate optical media. For V5R3, the printed
version of this PDF, Install, upgrade, or delete OS/400 and related software, SC41-5120-07, is
available through feature code 8004. When you order OS/400, the default is to receive this
feature code with your order. To find other information about new and changed features this
release, see the Memorandum to users in the Information Center.
Chapter 3. OS/400 and i5/OS structures
25
26
i5/OS V5R3: A Guide to Getting There from Previous OS/400 Releases
Related publications
The publications listed in this section are considered particularly suitable for a more detailed
discussion of the topics covered in this Redpaper.
IBM Redbooks
For information about ordering these publications, see “How to get IBM Redbooks” on
page 28. Note that some of the documents referenced here may be available in softcopy only.
򐂰 i5 and iSeries System Handbook: IBM i5/OS Version 5 Release 3
http://www.redbooks.ibm.com/redbooks/pdfs/ga195486.pdf
򐂰 i5, iSeries, and AS/400e System Builder IBM i5/OS Version 5 Release 3
http://www.redbooks.ibm.com/redbooks/pdfs/sg242155.pdf
򐂰 iSeries Migration - System Migration and Upgrades at V5R1 and V5R2
http://www.redbooks.ibm.com/redbooks/pdfs/sg246055.pdf
Other publications
These publications are also relevant as further information sources:
򐂰 iSeries: Install, upgrade, or delete OS/400 and related software Version 5 Release 3,
SC41-5120-07
http://publib.boulder.ibm.com/infocenter/iseries/v5r3/ic2924/books/sc415120.pdf
򐂰 Install the OS/400 release and related software, Software Installation (Part 1 of 2),
SC41-5119
Included with an OS/400 software order is a printed copy of Install the OS/400 release and
related software, Software Installation (Part 1 of 2), SC41-5119-00. This manual contains
Information about preparing to install a new release of software and certain reference
information. The same information is included in the iSeries Information Center:
http://www.ibm.com/eserver/iseries/infocenter
򐂰 iSeries: Software Installation (Part 2 of 2) contains instructions and a recommended path
for each installation task. If you choose options on any displays other than those that are
recommended in this manual, make a note of which option you choose. You will need this
information later for recovery procedures if a failure occurs.
http://publib.boulder.ibm.com/iseries/v5r2/ic2924/books/sm07/c4151206.pdf
򐂰 iSeries Software Installation Version 5.1, SC41-5120-05
http://publib.boulder.ibm.com/iseries/v5r1/ic2924/books/c4151205.pdf
© Copyright IBM Corp. 2005. All rights reserved.
27
Online resources
These Web sites and URLs are also relevant as further information sources:
򐂰 iSeries Information Center - V5R3
http://publib.boulder.ibm.com/infocenter/iseries/v5r3/ic2924/index.htm?
򐂰 iSeries Upgrade Planning
http://www-1.ibm.com/servers/eserver/iseries/support/planning/nav.html
򐂰 Preventive Service Planning (PSP) documentation
http://www-912.ibm.com/s_dir/sline003.nsf/ALLPSPBYREL
򐂰 iSeries Memorandum to users, Version 5 Release 3
http://publib.boulder.ibm.com/infocenter/iseries/v5r3/ic2924/info/rzaq9.pdf
򐂰 IBM Fix Central home page
http://www.ibm.com/eserver/support/fixes/
򐂰 eServer Hardware Information Center
http://publib.boulder.ibm.com/infocenter/iseries/v1r2s/en_US/index.htm
How to get IBM Redbooks
You can search for, view, or download Redbooks, Redpapers, Hints and Tips, draft
publications and Additional materials, as well as order hardcopy Redbooks or CD-ROMs, at
this Web site:
ibm.com/redbooks
Help from IBM
IBM Support and downloads
ibm.com/support
IBM Global Services
ibm.com/services
28
i5/OS V5R3: A Guide to Getting There from Previous OS/400 Releases
Back cover
®
i5/OS V5R3
A Guide to Getting There from
Previous OS/400 Releases
Getting current from
an unsupported
release of the
operating system
This IBM Redpaper will help you understand your options when
considering an upgrade to a recent version of OS/400 or i5/OS.
Many customers find it challenging to keep pace with operating
system releases for a variety of reasons, including lack of
resources or skills application issues.
Exploring
considerations of this
sometimes complex
situation
This paper was created to help you understand these reasons and
provides some insight into how to move forward. We also discuss
several methodologies for achieving the upgrade.
Methods and services
to assist with this
upgrade
Redpaper
INTERNATIONAL
TECHNICAL
SUPPORT
ORGANIZATION
BUILDING TECHNICAL
INFORMATION BASED ON
PRACTICAL EXPERIENCE
IBM Redbooks are developed
by the IBM International
Technical Support
Organization. Experts from
IBM, Customers and Partners
from around the world create
timely technical information
based on realistic scenarios.
Specific recommendations
are provided to help you
implement IT solutions more
effectively in your
environment.
For more information:
ibm.com/redbooks