IBM Support

IBM Pre-Upgrade Verification Tool for IBM i



This document describes the IBM pre-upgrade verification tool and provides the link to download it.

Resolving The Problem

The IBM pre-upgrade verification tool for IBM i was developed to help ensure a successful upgrade. The tool ensures that the required pre-upgrade steps have been successfully completed and flags the steps that were missed or completed incorrectly. The person performing the upgrade then has the opportunity to successfully complete the required steps. The tool does not automatically perform the corrective actions.

Current release = pruv_7.5.0.20240124 (January 24, 2024)
This PRUV tool is capable of running on unsupported IBM i releases (as low as V5R2M0) up to the current supported releases (7.1, 7.2, 7.3, 7.4, and 7.5)

This tool is provided "as is" and on an unsupported basis. It is the customer's responsibility to install the tool. If there are usage issues with the PRUV tool itself, do not contact IBM technical support. Instead, you should use the feedback button for your comments or questions.

Installing the Tool
To install the tool, you should do the following:

Download the tool from the following site that uses your IBM id:
*Note: Most users want to download the .jar file. If you do not have Java, then download the .exe file and then double-click the .exe to extract the contents. The .exe only runs on a Microsoft Windows-based platform whereas the .jar file is not dependent on Windows.
Run the PRUV tool by double-clicking the .jar file.
*Note: If you have the .exe file, then after extracting, double-click the run_pruv.bat file.
Important Note: The IBM pre-upgrade verification tool for IBM i is an "as-is" and "not supported" by IBM. The .exe version of the tool will only run on a Microsoft Windows-based client. General requirements for the tool include the following:
O IBM i (i5/OS, OS/400) V5R2 or newer
O 57xxSS1 Option 12 Host Servers (See the following firewall ports):
O    Port:  449 - Port mapper
    Ports: 8471-8476 - Host server ports
*Note: The option for 'Secure connection (TLS)' uses ports: 9471-9476
O .exe version requires a Windows client
O Java 1.5 or higher (included with .exe version of the tool)
O The 'Contiguous Storage' check requires a linked Service Tools profile with 'Display/Alter/Dump' authority granted. Before running the INSTALLCHECKSPACE macro, the PRUV tool first verifies per APAR MA50006 that either system value QSTGLOWACN is set to *MSG or the following fixing PTFs are applied:
  • 7.2 No PTF is available as of now. QSTGLOWACN needs to be set to *MSG to run this check.
  • 7.3 MF70628
  • 7.4 MF70634
  • 7.5 MF70637

Below is a screen capture of the PRUV tool after the items have been checked:

Screenshot after items have been checked

Check descriptions
The pre-upgrade verification tool has the ability to check the following items:

*Note: Some checks might not show in the tool based on the source and target releases chosen.

This check will look for known conditions with BRMS that may cause an upgrade to fail, such as certain files in QUSRBRM, BRMS Jar File, or BRMS logical files in QBRM and other libraries.

CPU and Memory
This check will determine if the system meets the minimum thresholds for CPU and memory to support the target release. This includes the absolute minimum based off of the IBM i 'Miscellaneous Limits' and the recommended minimum based on previous client issues. These values are only the minimum to upgrade and run base functions; these minimums are usually not enough to run actual production workloads.

Contiguous Storage
Verifies that there is enough contiguous internal storage to support the upgrade. The Contiguous Storage check is only available for source 7.2 and newer. A linked Service Tools profile with 'Display/Alter/Dump' authority granted is required. If system value QSTGLOWACN is not set to *MSG, then the following PTF is required to run the Contiguous Storage check:

  • 7.2 No PTF is available as of now. QSTGLOWACN needs to be set to *MSG to run this check.
  • 7.3 MF70628
  • 7.4 MF70634
  • 7.5 MF70637

LIC Space Allocated
Checks to make sure that the additional  Licensed Internal Code space has been properly allocated for the target release.

Disk capacity
Checks to make sure there is enough System ASP available to upgrade to the target release.

Analyze Object conversion PTFs
Checks to make sure that the ANZOBJCVN PTFs are applied to the system and if the command has been run. (Check is only if target system is V6R1M0 or above)

Acceptance of software agreements
Checks to make sure that the software agreements have been restored and accepted.

Damaged System Profiles
Ensures that the QSECOFR, QLPINSTALL, and the user profile running the tool are not damaged.

Required PTFs
Checks to make sure that the Prepare for Install PTFs are applied on the system. It also checks if the latest
supersedes are applied. Additional PTFs are checked if Virtual Media Install (Image catalog) and / or Central Site Distribution (DSLO) advanced install options were previously selected.

Library lists
Verifies that only QSYS, QUSRSYS, and QSYS2 are in the System library list and no libraries are above QSYS.
Verifies that QGPL and QTEMP are in the User library list.

System values
QVFYOBJRST = 3 or less

Database cross-reference files
Checks to make sure that the Database cross-reference files are not in *ERROR. (Tool is only capable of running this check if source system is V5R4M0 or higher.)

External Storage
Checks for type 2107 (DS8000) external hard disk drives. If they exist, then flag to upgrade DS8000 to compatible firmware. (Dependent on Target release.)

System Firmware level
Checks the system firmware level to ensure that it is compatible with the target release (Check is only available if the source system is V5R4M0 or above.)

Hardware Model
Determines if the current type and model of the server will be supported at the selected target release (Check is only available if the source system is V5R4M0 or above)

Licensed programs
Checks the currently installed licensed programs and determines if they are supported on the target release.

Miscellaneous Checks
Checks for other potential error conditions that do not fit with the other checks.
These can be dependent on releases and also can be removed based on fixing PTFs being added to the list:

- Mirrored Disk Units check

- 'Hidden' Check for Environment Variables that may flag SQL0302 or SQL0678 after upgrade to 7.5 or later

RIO/HSL Loop and IOP-based hardware
Checks for unsupported RIO/HSL and IOP-based hardware (target IBM i 7.2 and newer).

IBM libraries not in ASP 1
Ensures that there are not any IBM libraries in basic user ASPs that may conflict with the upgrade.

Duplicate files in IBM libraries
Checks QSYS2 and QUSRSYS for "duplicate" or "extension" files. Example, QALZAL0001.

Active Domino servers
Checks to see if there are Domino servers present and, if so, are they varied off.

Performance data collected
Checks if performance data is set to be collected for 7 or more days.

Cluster environment
Checks to see if the server is part of a cluster points the user to review the cluster website.

System i Access for Windows compatibility
Makes sure that the client access connections are compatible with the target release.

Active integrated servers
Checks to make sure that there aren't any integrated servers varied on.

PTFs Permanently applied
Suggests to permanently apply all Licensed Internal Code PTFs (MF* PTFs for product 5770999 and SI* PTFs for product 5770BR1)

QAQQINI Options Files
Looks for any QAQQINI options files on the system that have options not supported on the target release

Checks the installation date of the QMGTOOLS library, to look for previous versions that may cause issues. *Note: After the OS upgrade, QMGTOOLS should be upgraded to the new release

Tool Recommended Actions
After the selected items have been checked, the user can review the status and recommended actions:

Screenshot of status and recommendations

After clicking the Next button, if you previously selected to Collect Historical data, you may now choose the items to collect, similar to the screen  capture below:

Screenshot of Collect Historical Data

Historical Data Collection
Select which data should be collected and stored in the QPRUV library:
O BRMS recovery report
O System Values
O SQL Plan Cache
O PTF Information
O Hardware Information

After clicking Finish, the output is generated in an HTML document that can be reviewed and printed.

Check System for Cloud Migration
On the Tasks to Perform (after the License Agreement), checkmark the 'Check System for Cloud Migration' if you need to check for system readiness before migrating to IBM Cloud:

O Cloud-Init
O Licensed Products
O Minimum PTF Levels
O Open Source Packages
O BRMS Installation

Pre-Upgrade Verification Tool Video
In this video, Brian Bohner introduces the Pre-Upgrade Verification Tool:

Documented tool updates:

pruv_7.5.0.20240124 (January 24, 2024)

  • Fixed cloud-init check to show a green pass when installed properly
  • All PTFs updated with existing superseded PTFs

pruv_7.5.0.20230913 (September 13, 2023)

  • Added SI82497 which was missing from PTF check for VMI upgrade 7.3 to 7.5
  • Added System Name and PRUV release to Output reports

pruv_7.5.0.20230821 (August 21, 2023)

  • Added Check System for Cloud Migration
  • All PTFs updated with existing superseded PTFs

pruv_7.5.0.20230307 (May 25, 2023)

  • Added Power10 ML* firmware
  • Added crucial PTF SI83142 for 7.4 to 7.5 VMI
  • Included 5770BR1 PTFs to be permanently applied for supported source releases
  • 'Hidden' Check for Environment Variables that may flag SQL0302 or SQL0678 after upgrade to 7.5 or later
  • Intermediate check results moved to from JSON to HTML to avoid a second extraction and improved accuracy of main output file
  • BRMS checks moved from Miscellaneous into BRMS check
  • Cloud Backup configuration data area checked for existence - BRMS backup policy recommended to be updated after upgrade
  • All PTFs updated with existing superseded PTFs
  • Power10 Server models added (entire Power10 list is below):
    •     Power10    8408-E8E
    •     Power10    9105-42A
    •     Power10    9105-22B
    •     Power10    9105-22A
    •     Power10    9105-41B
    •     Power10    9786-42H
    •     Power10    9786-22H
    •     Power10 9080-HEX (Supports IBM i only as a virtual client and certain hardware feature codes)

pruv_7.5.0.20230307 (March 7, 2023)

  • Contiguous Storage check enhanced - verifies fixing PTF and/or QSTGLOWACN system value set to *MSG before running INSTALLCHECKSPACE macro
  • QBRM logcal file check enhanced for current logical files and ignores logicals in QPTFOBJ1 and QPTFOBJ2 libraries.
  • QUSRBRM file check enhanced and also doesn't flag Q1AKEYFILE
  • Performance check enhanced to show both *MGTCOL and Standard data retention days.
  • Performance check updated to handle *PERM retention
  • Updated PTFs

pruv_7.5.0.20230110 (January 10, 2023)

  • Updated PTFs, couple minimum PTFs increased to prevent issues

pruv_7.5.0.20221012 (October 12, 2022)

  • Added missing model 9080-M9S to the IBM i 7.5.0 supported models list
  • Updated PTFs

pruv_7.5.0.20220719 (July 19, 2022)

  • Miscellaneous Checks - Included QBRM/QPZA* logical files to be checked for existence. With this update, any logical files besides QA1A* in library QBRM will flag an error

pruv_7.5.0.20220601 (June 1, 2022)

pruv_7.5.0.20220518 (May 18, 2022)

pruv_7.5.0.20220505 (May 5, 2022)

  • IBM i 7.5 added as a target release

pruv_7.4.0.20211102 (November 2, 2021)

  • Fixed an issue where the output was empty if system IP was used for connection instead of the system name.
pruv_7.4.0.20210927 (September 27, 2021)
pruv_7.4.0.20210319 (March 19, 2021)
pruv_7.4.0.20210118 (January 18, 2021)
pruv_7.4.0.20201023 (October 23, 2020)
pruv_7.4.0.20200826 (August 26, 2020)
pruv_7.4.0.20200626 (June 26, 2020)
pruv_7.4.0.20200416 (April 16, 2020)
pruv_7.4.0.20200305 (March 5, 2020)
  •     Added Miscellaneous check for current/temporary issues
  •     Check for condition addressed by APAR MA48140 (1.1T -2.1T disk size)
  •     Check for Central Site Distribution upgrade from 7.3 to 7.4 - BRMS symbolic link
  •     Fixed Hardware models check
  •     'Active Integrated Servers' recovery appended to recommend Online(*No) during upgrades
  •     Licensed program checks updated to reflect 5770SS1 option 29 dropped
  •     Minimum firmware check updated
pruv_7.4.0.202000113 (January 13, 2020)
  •     Added additional firmware to be checked
pruv_7.4.0.20191220  (December 20, 2019)
  •     PTFs updated
  •     Hardware models updated
  •     Added check for condition in APAR MA48101
pruv_7.4.0.20190625 (June 25, 2019)
  •     7.4 version made available to public
pruv_7.4.0.20190529 (May 29, 2019)
pruv_7.3.0.20180410 (April 10, 2019)
pruv_7.3.0.20181023 (October, 23, 2018)
pruv_7.3.0.20180912 (September 12, 2018)
pruv_7.3.0.20180622 (June 22, 2018)
pruv_7.3.0.20180604 (June 4th, 2018)

pruv_7.3.0.20170510 (May 10th, 2017)

  • - Tool installation and Java correct/updated
    - Required PTFs check updated
    - Hardware model check updated
    - Multiple systems data collection enhanced
    - Structures for future enhancements

pruv_7.3.0.20160413 (April 13th, 2016)

  • - Target release IBM i 7.3.0 added
    - Required PTFs check updated
    - Firmware level check updated
    - Hardware model check updated
    - Licensed programs check updated

pruv_7.2.0.20151216 (December 16th, 2015)

  • - Duplicate files check enhanced to be language independent
    - Fixed hang issue when collecting PTF information
    - Hardware model check updated with additional models
    - Required PTFs check updated

pruv_7.2.0.20150828 (August 28th, 2015)

  • - Java error issue fixed
    - Required PTFs check updated

pruv_7.2.0.20150312 (March 12th, 2015)

  • - HSL/RIO check added
    - Required PTFs check updated
    - Hardware model check updated
    - Supported IOP hardware check enhanced
    - Added RTVSYSINF option in Historical data collection

pruv_7.2.0.20140512 (May 12th, 2014)

  • - Target release IBM i 7.2.0 added
    - Allocate LIC Space check updated
    - Required PTFs check updated
    - Firmware level check updated
    - Hardware model check updated
    - Licensed programs check updated
    - Supported IOP hardware check added
    - IBM i Access for Windows version check updated

pruv_7.1.0.20131211 (December 11th, 2013)

  • - Multiple systems supported to run simultaneously
    - Required PTFs check updated
    - JV1 7.1 licensed program check corrected (5761JV1 at 7.1 and not 5770JV1)
    - Updated packaged Java with PRUV tool
    - Minor updates to interface usability

pruv_7.1.0.20120220 (February 20th, 2012)

  • - Licensed programs check added
    - Feedback button added
    - Major updates to PTFs
    - Hyperlink capabilities
    - Text/HTML updates
    - Window is now sizeable

pruv_7.1.0.20101202 (December 2nd, 2010)

  • - Fixed minor bug in system firmware check

pruv_7.1.0.20101119 (October 19th, 2010)

  • - System Firmware check added
    - Hardware Model check added
    - External Storage check updated

pruv_7.1.0.20100805 (August 5th, 2010)

  • - Minor changes to documentation and messages

pruv_7.1.0.20100603 (June 3rd, 2010)

  • - Historical Data Collection added

pruv_1.07.0821 (August 18, 2007)

  • - IBM pre-upgrade verification tool created

For feedback on suggested enhancements and tool usefulness, you should e-mail

Note: This tool is provided at no additional charge, so we would like to receive as much feedback as possible because it will be used for tool improvements as well as the justification for the continued updates, enhancements, and future existence.

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Historical Number


Document Information

Modified date:
25 January 2024