Smart-UPS Firmware Upgrade Wizard v4.3.1

Introduction

The Firmware Upgrade Wizard provides the following features:

• It supports upgrading the firmware on designated devices. Refer to Supported Devices.
• It can upgrade your device using serial or USB, with the exact method depending on the device itself.
• It supports automatic filtering of compatible firmware images from a directory of images.
• It bundles the latest compatible firmware files for supported devices with the tool.
• It includes bug fixes and has added compatibility with more devices.

Note: For UPS devices with a SmartSlot, firmware upgrades can also be performed using a UPS Network Management Card. The detailed process is in the “Upgrading Firmware” section of the UPS Network Management Card 2 User Guide, available in the documentation tab.

System Requirements

The system requirements are as follows:

• Operating systems: Windows 7®, Windows 8.1®, Windows 10®, Windows 11®, Windows Server 2016®, Windows Server 2019®, and Windows Server 2022®.
• Computer screen graphics: Resolution of 800x600 with 16-bit colors (65536 colors) or higher.

Serial Connection

Use the serial cable provided with the UPS to connect the computer to the device being updated, via a DE-9/DB-9 serial communications port.

USB Connection

Use the USB cable provided with the UPS to connect the computer to the device being updated.

Note: Do not use serial to USB converters or other devices to connect your computer to the device being updated.

Supported Devices

All Smart-UPS devices with SMT, SMX, SMC, SMTL, SRT, SCL, SRTL, XU, XP, CSH series are supported.

Unsupported SKUs

SU, SUA, SUM, SURT, SURTD, or SURTA Smart-UPS models are not supported. For upgrading these non-compatible SKUs, refer to Knowledge Base article FA279197 on the APC website.

• SRC Family: SRC10KUXI, SRC5KUXI
• SMT Family: SMT750RMJ1U, SMT2200
• SRC Family: SRC5KUXI, SRC10KUXI, SRC1KUXIX828
• SMC Family: SMC2200XLI-BR
• SURT Family: SURTD5000RMXLP3U

Usage

Upgrade Notes

• AC utility power should be supplied to the device, and the internal battery should remain connected throughout the firmware upgrade.
• Do not remove the serial/USB cable from your device while the upgrade is in progress. If the upgrade is interrupted, the UPS may crash. Contact APC Customer Support in this case.
• It is recommended that the Wizard runs on a laptop or a power-protected computer. If upgrading a UPS, do not have the UPS supply power to the computer.
• Ensure that the computer does not go to sleep, standby, or hibernate due to user inactivity.
• While the Wizard allows a downgrade, this is neither recommended nor supported by Schneider Electric, unless directed by a representative of the company.
• Compatible firmware images for various devices are bundled with this software. Use only these compatible images or any approved firmware upgrade files supplied by Schneider Electric. Files obtained by other means may cause problems with the device, possibly resulting in permanent damage.
• Ensure that only one device is connected at a time to the computer for the firmware upgrade.

Notes for UPS Devices only

• SmartSlot cards should be removed from the UPS before a firmware upgrade. It is also recommended that any equipment is disconnected from the UPS.
• The UPS should not be performing a runtime calibration during the upgrade.
• When updating firmware directly after plugging in a USB cable to a UPS, ensure the USB driver installation is complete before proceeding with the upgrade.

Troubleshooting

• No software that communicates with the device being upgraded should be running while using this Firmware Upgrade Wizard. Some software runs as a service on Windows and should be stopped (e.g., PowerChute Business Edition). To access Windows services, launch “Services” from the Windows Control Panel in Administrative Tools or type “Services.msc” in the command prompt. The PowerChute Business Edition service is called 'APC PBE Agent'. Stop this service before running the Wizard and start it again afterward.
• If you have Bluetooth or virtual COM ports and want to perform the upgrade using your serial port, you should manually select the COM port. This does not apply for a firmware upgrade using the USB port.
• The Firmware Upgrade Wizard will display an error message if the UPS is not capable of performing a firmware upgrade using the USB port. This will cause no harm to the device.
• The Firmware Upgrade Wizard is bundled with OpenJDK v17 and uses its 64-bit Java environment. Some operating systems might ask for confirmation to run this Java version.

Firmware Upgrade Process: Step-by-Step Walkthrough

Download the Firmware Upgrade Wizard from the Software / Firmware page on the APC website (select “Software Upgrades – Wizards and Configurators” from the drop-down list) or Knowledge Base article FA279197. Double-click the downloaded file and launch the application.

Step One

NOTE: Only authorized personnel should have access to the Firmware Upgrade Wizard.

Once you have downloaded the Firmware Upgrade Wizard, validate the signed application. A screenshot shows a “User Account Control” prompt asking: “Do you want to allow this app to make changes to your device?”. It displays “Self-Extracting Package for Smart-UPS Firmware Upgrade Wizard”, “Verified publisher: SCHNEIDER ELECTRIC USA, INC.”, and “File origin: Hard drive on this computer”. Buttons are “Yes” and “No”. Confirm that the application is signed by Schneider Electric before proceeding.

Step Two

Click “Yes” to start extracting the application files. A screenshot shows a “Firmware Upgrade Wizard” prompt asking: “? Extracting the files for Firmware Upgrade Wizard”. Buttons are “Yes” and “No”.

Step Three

Confirm that the application has valid Schneider Electric copyright before proceeding. Click “Next” to begin. A screenshot shows the “Firmware Upgrade Wizard” window with an image of a box and text “Firmware Upgrade Wizard Copyright 2022 APC by Schneider Electric, All Rights Reserved.”. Buttons are “< Back”, “Next >”, “Cancel”.

Step Four

Select the destination folder, e.g. C:\Documents, to extract the firmware files and folders. A screenshot shows the “Firmware Upgrade Wizard” window titled “Destination Folder for Files”, asking “Please select the destination folder where the package should extract the files:”. It includes a path input field and a “Browse” button. Buttons are “< Back”, “Next >”, “Cancel”.

Step Five

Allow up to a minute for the package files to extract and the Welcome page to appear. A screenshot shows the “Firmware Upgrade Wizard” window titled “Unpacking Files”, with text “Please wait while the package files are being extracted onto your computer...”. A progress bar indicates “Extracting win32...” at 8%. Buttons are “”, “Cancel”.

Step Six

Click “Next” to begin. A screenshot shows the “Firmware Upgrade Wizard” window titled “Welcome”. It displays an image of blurred figures walking and text: “Welcome to the Firmware Upgrade Wizard. This wizard updates the capabilities of your UPS or device. To avoid damage to the device, the process must be allowed to complete, which can take up to 10 minutes. Shut down, switch off and disconnect all equipment connected to the UPS or device.” Below the text is the Schneider Electric logo and “Version: 4.3.1.80641.”. Buttons are “”, “Cancel”.

Step Seven

Select the “I agree to terms in the License Agreement” checkbox, and click “Next”. A screenshot shows the “Firmware Upgrade Wizard” window titled “License Agreement”, containing the software license agreement text. It includes a checkbox “I agree to terms in the License Agreement”. Buttons are “< Back”, “Next >”, “Cancel”.

Step Eight

The Firmware Upgrade Wizard will now search the communication ports for the UPS. The UPS is referred to on-screen as the “device”. If you have set up virtual ports, it is important to manually select the correct port the UPS is connected to. A screenshot shows the “Firmware Upgrade Wizard” window titled “Communication Port Selection”. Text explains connecting the serial cable, stopping UPS management software, and choosing the port. Options are “Search the communication ports for device” and “Choose the computer's communication port”. Buttons are “< Back”, “Next >”, “Cancel”.

Finding Device

If the device is connected via USB, the wizard will detect the device. A screenshot shows the “Firmware Upgrade Wizard” window titled “Finding Device”, with a progress bar at 20% and text “Attempting to connect with device on port COM5...”. Buttons are “”, “Cancel”.

Device Found

Click “Next” and the Firmware Upgrade Wizard will display the current firmware version installed on the device. A screenshot shows the “Firmware Upgrade Wizard” window titled “Device Found”. An information icon (ℹ️) is displayed. Text: “A device has been discovered on the COM5 port. The firmware on this device can be upgraded. The current firmware version: UPS 07.1”. A button is “More Information”. Buttons are “< Back”, “Next >”, “Cancel”.

Step Nine

Click “Browse” to select your firmware file. A screenshot shows the “Firmware Upgrade Wizard” window titled “Select Device Firmware”, with a folder icon and text “Click Browse to locate the new firmware. You should only use firmware from Schneider Electric.”. Buttons are “< Back”, “Browse”, “Cancel”.

The Wizard will display the Firmware File appropriate for your device. If you want to manually select a different file, you can browse to the appropriate location. Select it, and click “Open”. A screenshot shows the “Firmware Upgrade Wizard” window titled “Select Device Firmware” with an “Open” dialog box. It shows “Look in:” field, file list including “SMT17UPS_07-1_Le.enc”, “File Name:” field, and “Files of Type:” dropdown “Firmware files (*.enc) (*.img)”. Buttons are “Open”, “Cancel”.

Step Ten

The Firmware Upgrade Wizard is now ready to begin the upgrade process. The Revision Note will give detailed information on the version of the firmware. Click “Next”. A screenshot shows the “Firmware Upgrade Wizard” window titled “Device Firmware Upgrade Ready”. It displays a circular arrow icon (?) indicating an upgrade process. Text: “Press Next to upgrade your firmware to version: UPS 07.1”. A button is “More Information”. Notes include: “Disconnect any Network Management Cards or other accessories from the UPS.”, “The network communications will stop.”, “This may cause visible/audible alarms in shutdown agents monitoring the UPS.”, “* Do not turn off input power or remove the battery from the device during the upgrade process.”, “* In addition, do not disconnect the communication cable between the UPS and the computer or interrupt the upgrade.”. Buttons are “< Back”, “Next >”, “Cancel”.

The first step is sending the upgrade file to the UPS. For some UPS devices, the Wizard may ask you to turn off the UPS before proceeding with the upgrade, so ensure the attached load is correctly shut down. For most UPS devices, the Wizard supports “Firmware Upgrade With Output On”, and the UPS and its connected load do not need to be turned off. Click “Next”. A screenshot shows the “Firmware Upgrade Wizard” window titled “Firmware Upgrade With Output On”. A yellow warning triangle icon (⚠️) is displayed. Text: “The UPS has detected connected equipment which will be powered but not protected against power events during the firmware update. It is advised to shut down the equipment for maximum protection.”. Buttons are “< Back”, “Next >”, “Cancel”.

The Firmware Upgrade Wizard will now begin transferring the file to the device. This process will take approximately 5 minutes. Do not turn off power or remove the battery during this process. A screenshot shows the “Firmware Upgrade Wizard” window titled “Turning Off UPS”. A yellow warning triangle icon (⚠️) is displayed. Text: “Your UPS and any connected equipment will be turned off. If any graceful shutdown is necessary, we recommend to shutdown that equipment before continuing. Click Next to continue.”. Buttons are “< Back”, “Next >”, “Cancel”.

A subsequent screenshot shows the “Firmware Upgrade Wizard” window titled “Sending Device Firmware”. Text: “Note: Do not turn off input power or remove the battery from the device during the upgrade process. In addition, do not disconnect the communication cable between the device and the computer or interrupt the upgrade.”. A progress bar indicates “Initiating the transfer” at 8%. Buttons are “”, “Cancel”.

Apply Upgrade

The Wizard begins applying the upgrade to the UPS. This process may take a few minutes to complete. A screenshot shows the “Firmware Upgrade Wizard” window titled “Apply Upgrade”. Two spinning gear icons (⚙️⚙️) are displayed. Text: “Device is now applying the Update. Be aware that the update process can take several minutes to complete. Once the Finish button is enabled you may skip this check and finish the wizard. The device will continue to apply the upgrade after the wizard is closed. Update in Progress...”. Buttons are “”, “Cancel”.

Step Eleven

The firmware upgrade is now complete. You can verify the new updated revision of your device firmware. Click “Finish” and you can put your UPS and attached load back into production.

If the upgrade was unsuccessful

The Firmware Upgrade Wizard is a self-extracting executable file that gets uncompressed to your chosen folder; the default folder is the Documents directory, e.g., C:\User\Documents\FirmwareUpgradeWizard_v4.3.1. A log file called FUW.log gets created when the tool is run in the FirmwareUpgradeWizard_v4.3.1 folder. If you have problems with running the wizard, go to the FirmwareUpgradeWizard_v4.3.1 folder to access the log file, which gives information on what occurred when the Wizard executed. For security reasons, this log file is encrypted. If problems occurred while running the Firmware Upgrade Wizard, please contact Customer Support and provide this encrypted log file to them for processing.