Pre-upgrade checklist for NetBackup Appliance 5.3

Article: 100060908
Last Published: 2023-11-27
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Product(s): Appliances


Supported direct upgrade paths for version 5.3:

Models:   5240, 5250, 5340(Standalone &HA), and 5350

NetBackup Appliance versions:   4.1, 5.0, and 5.1.1, including all associated maintenance releases (MRs) for each version.


Upgrade duration:

Based on lab test results conducted on all supported direct paths, Upgrade may take about 2 hours to complete, depending on the appliance model configuration and the version you are upgrading from.

NOTE:  The actual upgrade time is dependent on the complexity of the configured environment and may vary.


Pre-requisites for the 5.3 upgrade:

  1. Verify the Latest AURA tool used:

The analyzer tool performs a comprehensive check to determine if the appliance has met all the pre-upgrade requirements and can be upgraded. The analyzer tool must be completed successfully before you begin the upgrade to 5.3 version

         -    Latest available Appliance Upgrade Readiness Analyzer:  NetBackup Appliance Upgrade Readiness Analyzer (

 NOTE:  Verify the latest version by running the # Manage > Software> List Downloaded command as described in the above-mentioned article.


  1. Specific configurations:

The AutoSupport CallHome feature requires device certificates for validation purposes, in addition to potential networking communications.

To avoid a scenario where the device certificates are not retained after the upgrade has been completed, you must export the device certificates before upgrading the appliances.

Perform the following tasks as needed, based on your current configuration:

•    Export and re-import device certificates


.        A.   # Network > Security > Export  (command to perform this task).

                 The Export command copies two .pfx files (serialnumber.pfx and serialnumber.pfx) to a location that you specify when you run the command.

         B.  After the upgrade has been completed, re-import the saved device certificates with the command:

                 # Network > Security > Import command.


  1. Shares Merger and caution with NBA version 4.1:

Starting with version 4.1, the /inst/plugin/incoming and /inst/logforwarding shares have been merged into /inst/share.

If these shares are open before the upgrade, they will be unavailable after completing the upgrade. You can reopen the shares using the following commands if needed:

       # Manage > OpenStorage > Share Open 


      # Settings > LogForwarding > Share Open


  1. Pre-upgrade steps:

        Before you begin an appliance upgrade, perform the following tasks. If you encounter any problems, contact Veritas support.

  1. Be sure to use account “admin” for all upgrade activities, including running Appliance Upgrade Readiness Analyzer and actual upgrade.
  2. Reboot the appliance with the following command and make sure that no issues occur while reboot: Support > Reboot
     Plan to include this task in your upgrade window since rebooting can take substantial time, depending on your configuration.
  3. After the appliance has rebooted, run the following commands to check the appliance status:

# Support > Test Hardware

# Support > Test Software

If any issues appear in the command output, contact Veritas Technical Support for assistance.

  1. After reboot, verify you have the latest Appliance Upgrade Analyzer as specified in point number 1 of the Pre-requisites for 5.3 upgrade:

Appliance with primary server configured when upgrade from NetBackup Appliance OS 4.1 & 4.1 maintenance release,5.0 & 5.0 maintenance release to NetBackup Appliance OS 5.3 requires NBDB unload EEB to be installed before running the Appliance Upgrade Readiness Analyzer.

Ensure to run the latest Appliance Upgrade Readiness Analyzer and verify

                         - If passed all the upgrade checks. If the AURA tool passes without any errors, start the upgrade process.

        - If any errors are reported, you must first address all the issues and then run the analyzer tool again. Keep repeating this sequence until the analyzer tool completes successfully without any errors. 

NOTE: -- DO NOT START the actual upgrade until the analyzer tool runs successfully without errors.
            -- It is strongly recommended to run the analyzer tool a few days before the actual upgrade window so that any errors can be addressed in advance.
            -- It is strongly recommended to run the analyzer tool again just before the upgrade to make sure that all pre-upgrade requirements are still met. The analyzer tool must be run at least once within 1 day of the actual upgrade and should succeed, otherwise do not start the actual upgrade.


  1.   Starting with version 4.1 HA, you must first run the Appliance Upgrade Readiness Analyzer on both HA nodes before you upgrade them.
     -- Start by running the analyzer tool on the compute node where the MSDP and the virtual IP services are online (ACTIVE).

 --  Then, run the analyzer tool on the partner node where the MSDP and the virtual IP services are offline. After both nodes have passed the pre-flight checks, begin the upgrade. 

 -- First, upgrade the partner node, and then upgrade the compute node.


  1.  Proceed with the upgrade: 
    You can now upgrade your appliance. Go to the Veritas Support Downloads site, locate the NetBackup Appliance OS 5.3 release, then click Learn more for information about the following:

    •    Release overview

    •    Download instructions

    •    Base and upgrade installers

    •    Updates



 Checklist to be performed post successful upgrade to NBA 5.3:

Post-upgrade checklist for NetBackup Appliance 5.3 (

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