This is before my time working with SRA, but I did some research as I worked with our editors to improve the 9.6 documentation, and included this information:
If you are also upgrading from SRA 4.0 or earlier: • If you are using SRA 4.0, you can perform an in-place upgrade of the SRA server ( the .ova file installed as a VM) to the latest version. <Upgrading to the 9.6 virtual appliance for VSC, VASA Provider, and SRA on page 19> • If you are using SRA 2.1 or 3.0, you should first make note of existing site configuration details. See Installation and Setup Guide for Storage Replication Adapter 4.0 for ONTAP for detailed instructions under "Upgrade Overview". These SRA releases also use the VASA Provider, so you must unregister VASA Provider and then deploy the latest version of the virtual appliance for VSC, VASA Provider, and SRA. The previous release server (.ova) can be removed when the upgrade is complete.
For any SRA upgrade, the SRA software (the adapter on the Site Recovery Manager server, installed by .msi file) should be removed from the Site Recovery Manager server. You can use the Windows system control panel to uninstall the software and then install the latest SRA software on the SRA server using the .msi file.
Before uninstalling the Storage Replication Adapter (SRA) version from your disaster recovery environment, you must note the existing site configurations for the protected and recovery sites. You must note the following details before uninstalling SRA: • Array manager configurations ◦ Recovery plans ◦ Storage controller information either from the cluster or from the SVM. • Protection groups • SVM management IP address along with the credentials if you want to configure multitenancy. However, you can continue to use cluster management IP address with SVM.
Hope this helps! Support should also be able to help you with this upgrade.