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Performing an offline upgrade from ESX 3.x to ESX 4.0

Details

The esxupgrade.sh script is an experimental way to upgrade an ESX 3.x host without network access to ESX 4.x. This knowledge base article provides information about the esxupgrade.sh script and instructions on how to use the script to upgrade from ESX 3.x to ESX 4.0 and from ESX 3.x to ESX 4.0 Update 1. See http://www.vmware.com/support/policies/experimental.html for more information on experimental features.

If the ESX 3.x host has network access, you can use the VMware vCenter Update Manager or the vSphere Host Update Utility to perform the upgrade. The vCenter Update Manager is available with vCenter Server 4.0 and vCenter Server 4.0 Update 1, and the vSphere Host Update Utility is installed with the vSphere Client. Both applications are available on the vSphere download site: www.vmware.com/download/vsphere .

For background information about the upgrade process, see the vSphere Upgrade Guide.

NOTICE: BY DOWNLOADING AND INSTALLING, COPYING OR OTHERWISE USING THESE MODULES, INCLUDING DRIVERS, PLUG-INS, SCRIPTS OR UPDATES, YOU UNDERSTAND AND AGREE THESE MODULES ARE TO BE CONSIDERED RELATED COMPONENT(S) OF THE SOFTWARE UNDER THE TERMS OF YOUR VMWARE ESX END USER LICENSE AGREEMENT ("EULA") AND YOUR USE OF THESE MODULES IS GOVERNED BY THE TERMS OF YOUR EULA. IF YOU DO NOT AGREE TO THESE TERMS, YOU MAY NOT DOWNLOAD, INSTALL, COPY OR USE THESE MODULES. "YOU" MEANS THE NATURAL PERSON OR THE ENTITY THAT IS AGREEING TO BE BOUND BY THESE TERMS, THEIR EMPLOYEES AND THIRD PARTY CONTRACTORS THAT PROVIDE SERVICES TO YOU. YOU SHALL BE LIABLE FOR ANY FAILURE BY SUCH EMPLOYEES AND THIRD PARTY CONTRACTORS TO COMPLY WITH THE TERMS OF THIS AGREEMENT.

Solution

Use the esxupgrade.sh script in conjunction with the ESX 4.x installation DVD or ISO file to upgrade an ESX 3.x host to ESX 4.x. The script is a self-contained upgrade application that is packaged in a zip file.

For vSphere 4.0, the script is packaged in the esxupgrade-4.0.0-164009.zip file.
For vSphere 4.0 Update 1, the script is packaged in the esxupgrade-4.0.0-208167.zip file.

esxupgrade.sh Syntax

esxupgrade.sh -h -V -v -i -r -p

Argument Description Type

-h Prints help information. Optional

-V Prints version information. Optional

-v
(-vmdk-extra-space)
Specifies the amount of extra space, in megabytes, to allocate for the ESX service console VMDK. The value must be greater than zero. Optional

-i
The full path to the installation ISO file or DVD.
If you are upgrading ESX by using an ISO image, the ISO file must be located on a VMFS volume. If you are upgrading from a CD-ROM, the default drive location is /dev/cdrom.

Important: The upgrade script does not verify the file path is a VMFS volume and not an NFS datastore, and does not verify that the device is supported by VMware. For example, software-iSCSI is not a supported device but no check is performed to detect such devices.
Required

-r
Prevents the immediate reboot of the ESX host after the esxupgrade.sh script performs pre-upgrade tasks. By default, the esxupgrade.sh script reboots the host five seconds after the pre-upgrade tasks are completed. You can use this argument if you need to perform other operations before rebooting the ESX host and starting the actual upgrade process.
Note: If you run the esxupgrade.sh script with the -r argument, you can cancel the reboot by typing \Ctrl-C at the command prompt after the script completes. A message appears and indicates that the host must be manually rebooted to start the upgrade.
Optional

-p
Runs the specified script at the end of the upgrade process. For example, the following command runs the myconfig.sh script after upgrading to ESX 4.0:

esxupgrade.sh -i /vmfs/volumes/storage1/esx4.iso /vmfs/volumes/storage1
-p /root/myconfig.sh

Note: The contents of the script code must begin with %post. If the post script fails, the upgrade process also fails unless you specify the following command with the post command:
--ignorefailure=true.

For example:
%post --ignorefailure=true
Optional

Syntax Example 1: Upgrading to ESX 4.x by using the DVD

The following command upgrades an ESX 3.x host by using the ESX 4.x installation DVD.

$ /root/esxupgrade.sh storage1

Syntax Example 2 : Upgrading to ESX 4.x by using the ISO file

The following command upgrades an ESX 3.x host to ESX 4.0 by using the ESX 4.0 ISO image.

$ esxupgrade.sh -i /vmfs/volumes/storage1/esx4.iso /vmfs/volumes/storage1

The following command upgrades an ESX 3.x host to ESX 4.0 Update 1 by using the ESX 4.0 Update 1 ISO image.

$ esxupgrade.sh -i /vmfs/volumes/storage1/esx-DVD-4.0.0-208167.iso /vmfs/volumes/storage1

Running the Upgrade Script

Prepare for the Upgrade

Obtain the ESX 4.x installation DVD or ISO image.
From a machine that has access to the Internet, download the necessary esxupgrade ZIP file from this knowledge base article.

ESX 4.0
esxupgrade-4.0.0-164009.zip
Note: When you use Microsoft Internet Explorer, the file might be saved with filename esxupgrade-4[1].0.0-164009.zip. If this happens, change the filename to esxupgrade-4.0.0-164009.zip.

ESX 4.0 Update 1
esxupgrade-4.0.0-208167.zip
Note: When you use Microsoft Internet Explorer, the file might be saved with filename esxupgrade-4[1]-4.0.0-208167.zip. If this happens, change the filename to esxupgrade-4.0.0-208167.zip.
Verify the integrity of the downloaded zip file by using the following MD5SUM or SHA1SUM.

ESX 4.0
* MD5SUM: 4e83ae7795d4790cbd6d9cd07795b558
* SHA1SUM: 771810ade82f9e8096d46dbf617e83e72ede7677

ESX 4.0 Update 1
* MD5SUM: 3f0c689c4adb2ba091002a383ea0293b
* SHA1SUM: b060314aa4d1a34b8b7ed60592edb6fc388938d9
Copy the zip file to the ESX 3.x host to be upgraded.
Extract the contents of the ZIP file onto the ESX 3.x host.

Important: Save the ZIP file to the ESX host before you extract the contents or errors can occur.

Upgrade Procedure

Place the ESX 3.x host into maintenance mode.
From the service console, log in to the ESX 3.x host as user root.
If you are performing a remote upgrade, log in to the host through a secure shell (SSH).
Copy the ZIP file onto the ESX 3.x host and extract.
Note: The ZIP file contains the esxupgrade.sh script.
Run the esxupgrade.sh script in the service console on the ESX 3.x host.

To upgrade the host by using the ESX 4.x DVD

Type the following command:

$ /root/esxupgrade.sh <VMFS_datastore1>

where:

/root/esxupgrade.sh is the full path to the esxupgrade.sh script.

<VMFS_datastore1> is t he VMFS datastore for the ESX 4.x service console VMDK.

Select a datastore that is local to the ESX 3.x host. The service console VMDK requires at least 8.4GB of available space. NFS and software iSCSI datastores are not supported as the destination for the ESX 4.x service console VMDK.

The script takes approximately 3-5 minutes to check the integrity of the CD-ROM.

Important: Only IDE CD-ROMs are supported with the scripted upgrade. For more information, see The ESX 4.x upgrade script requires an IDE CD-ROM device (1009509) .

To upgrade the host by using the ESX 4.x ISO file

Type the following command:

$ esxupgrade.sh -i </vmfs/volumes/VMFS_datastore1/esx4x.iso> </vmfs/volumes/VMFS_datastore1>

where:

</vmfs/volumes/VMFS_datastore1/esx4.iso> is the full path to the ISO file. Keep the ISO file in the same datastore as the one where you create the ESX 4.x service console VMDK.
</vmfs/volumes/VMFS_datastore1> is the VMFS datastore for the ESX 4.x service console VMDK. Select a datastore that is local to the ESX host.

If you are upgrading the ESX host from a remote machine, the ISO image must be on a VMFS volume that is accessible to the ESX host.

Upgrade Results

If the upgrade is successful, the host will boot into ESX 4.0 or ESX 4.0 Update 1, based on the upgrade you performed. The upgrade log files are located in the following directories on the host:

/esx3-installation/esx4-upgrade/
/var/log/vmware/

If the upgrade is unsuccessful, the host will roll back to ESX 3.x. The upgrade log files are located in the following directories on the host:

/esx4-upgrade/
/var/log/vmware/

What to do Next

See the vSphere Upgrade Guide for post-upgrade considerations.

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KB Article: 1009440
Updated: Nov 19, 2009

Products:
VMware ESX
Product Versions:
VMware ESX 3.0.x
VMware ESX 3.5.x
VMware ESX 4.0.x

Argument	Description	Type
-h	Prints help information.	Optional
-V	Prints version information.	Optional
-v (-vmdk-extra-space)	Specifies the amount of extra space, in megabytes, to allocate for the ESX service console VMDK. The value must be greater than zero.	Optional
-i	The full path to the installation ISO file or DVD. If you are upgrading ESX by using an ISO image, the ISO file must be located on a VMFS volume. If you are upgrading from a CD-ROM, the default drive location is /dev/cdrom. Important: The upgrade script does not verify the file path is a VMFS volume and not an NFS datastore, and does not verify that the device is supported by VMware. For example, software-iSCSI is not a supported device but no check is performed to detect such devices.	Required
-r	Prevents the immediate reboot of the ESX host after the esxupgrade.sh script performs pre-upgrade tasks. By default, the esxupgrade.sh script reboots the host five seconds after the pre-upgrade tasks are completed. You can use this argument if you need to perform other operations before rebooting the ESX host and starting the actual upgrade process. Note: If you run the esxupgrade.sh script with the -r argument, you can cancel the reboot by typing \Ctrl-C at the command prompt after the script completes. A message appears and indicates that the host must be manually rebooted to start the upgrade.	Optional
-p	Runs the specified script at the end of the upgrade process. For example, the following command runs the myconfig.sh script after upgrading to ESX 4.0: esxupgrade.sh -i /vmfs/volumes/storage1/esx4.iso /vmfs/volumes/storage1 -p /root/myconfig.sh Note: The contents of the script code must begin with %post. If the post script fails, the upgrade process also fails unless you specify the following command with the post command: --ignorefailure=true. For example: %post --ignorefailure=true	Optional

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