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1. SharePoint Installation and Upgrade
Untangling Your Options
Dan Holme
MVP, SharePoint Server
Microsoft Technologies Analyst & Evangelist
Intelliem

2. Dan Holme
danholme http://tiny.cc/danholmepresentations dan.holme@intelliem.com

3. About This Session
Technical guidance
How do I upgrade or migrate?
What do I need to know to successfully upgrade?
Roadmap to 2013
What is SharePoint 2010? What is new at Microsoft? What is SharePoint 2013?
When should I upgrade?
On-premise or Office 365?
Insight, clarity & balance
What are enterprises planning and doing?
Answer questions

5. What is upgrade?
Version-to-version (V2V)
SharePoint 2010 to SharePoint 2013
Build-to-build (B2B)
Patches, updates, cumulative updates, service packs, etc.

6. What options are available?
In-place
B2B only
Not available V2V
Database attach
V2V
B2B
Consider the benefits of using DB attach for B2B

7. Upgrade: A High Level View
Server Farm Administrators 4
1 2 3 4 5
Upgrade site collections
to 2013 mode
Site collections remain
in 2010 mode 2010 mode available
2010 workflow engine
Create SharePoint 2010 customization
2013 Copy databases to models
Production farm new farm Upgrade Databases (Full Trust, Sandbox)

8. Upgrade is “dead”
No more in-place upgrade
New Farm + Database Attach
Backward compatibility: 2010 & 2013 “modes”
2013 includes 2010 root folder (―14 hive‖), features, templates etc.
And the 2013 root folder, features, templates, etc.
New sites can be created in 2010 or 2013 mode (configurable: SPWebApp/SPSite.SiteCreationMode)
Support for 2010 and 2013 approaches
2010 workflows and 2013 workflows
2010 customization models (full trust & sandbox) and 2013 App models
Old workloads and customizations continue to
work*

9. Upgrade planning
Definition
Current state & future state
Why
What must be rebuilt, migrated, or upgraded
Servers and settings
Services & content
Customizations
Governance of upgrade
Timeline, roles, responsibilities, policies and procedures, cost/benefit, risk and reward
Impact
Performance, disruption, downtime

10. Upgrade
Learn
Validate Prepare
Implement Test

11. Upgrade
Learn
Validate Prepare
Implement Test

12. Upgrade improvements
Faster
Deferred site collection upgrade
Safer
No in-place upgrade
Upgrade evaluation site collections
Site collection and health checks
Manageable
Can be delegated to site collection administrators
Site collection upgrade throttling
System event notifications system
Logging changes
Flexible
Federated services compatibility across versions

13. Upgrade
Learn
Validate Prepare
Implement Test

14. Implement
Build servers
Deploy customizations
Upgrade services
Migrate to claims
Upgrade content databases
Upgrade site collections
Along the way
Backup everything first
Minimize downtime
Monitor progress

15. Build server(s)
Scripted deployment
SQL
Prerequisites
SharePoint binaries
Configuration
Check out my Deployment Wizard session from the SPC, on video at
http://www.mssharepointconference.com/Pages/default.aspx
Cannot upgrade the configuration database

16. Upgrade service applications
1. Document settings for service in source farm
2. Back up service application database(s) in source
farm
3. Restore database to target farm
4. Create service application app pool
5. Create service application
Attach or upgrade service database when creating the service application
Some service applications require special attention: Project, Search, Secure Store
6. Create service application proxy
7. Start service instances only
After service is created with upgraded databases

17. Upgrade service applications
Project
Merge four databases into one before upgrading
Secure Store
Set service passphrase to the same value as before upgrade
Search
V2V admin database only
Index cannot be upgraded, V2V
Recommend: Start anew

18. Upgrade the My Site Host
2010 mode or 2013 mode
After My Site Host is upgraded to 2013 mode
SharePoint 2013 social features become available
New personal sites will be created in 2013 mode
Personal site upgrade
As users visit My Site Host, their sites are added to upgrade queue
Upgraded by timer job
Failed personal site upgrade
If upgrade of personal site fails, it will be reattempted after a delay
Can force upgrade attempt
Site collection admin: From personal site UI
Farm administrator: PowerShell if farm admin

19. Authentication considerations
Windows Classic (legacy)
SP2013 limited support
Windows Claims
Default in SP2013
Required for Apps and some other features
Migrate to claims before upgrade
Recommended
Authentication mode mismatches
Database attach detects mismatched authentication modes
Forms Authentication
No changes from SP2010
Install and configure provider in SP2013 with same name before attaching database

20. Migrating to claims authentication
Perform as a separate step
Clarify faults to reduce troubleshooting
Migrate to claims before upgrade
Recommended best practice
Use Test-SPContentDatabase before attach
Identify & remediate authentication problems
Partial migration within content database
Misconfigured web application
Verify after upgrade
Content security
Functionality
External data sources
Web services

21. Upgrade content databases
1. Document settings
From source farm
2. Configure web app
Application pool and managed account
Managed paths
AAM zones, URLs, IIS bindings
3. Install solutions and other customizations
Install SP2010 customizations
Install SP2013 customizations
Make web.config changes
4. Ensure service apps are connected to web app
5. Attach content database

22. Deferred Site Collection Upgrade
SharePoint 2013 deep backwards compatibility
SharePoint 2010 mode and SharePoint 2013 mode
Attach content database
2010 mode
2010 mode is default. SP2013 mode is an additional step: not automatic on database upgrade.
Upgrade availability
Available to farm administrators
Available to site collection administrators (configurable: SPSite.AllowUpgrade)
System status bar notification
Upgrade evaluation site collection
Copy of site collection to evaluate upgraded functionality

23. Performance
Environment
SQL server: CPU, memory, disk IOPS, database-to-disk layout (fragmentation), temp DB optimizations
SharePoint server: CPU, memory
Network bandwidth & latency
Simultaneous upgrades

24. Performance
Database upgrade
Rows: Site collections, webs, lists, documents, items, links
Database size
RBS
Site collection upgrade
Rows: Webs, lists, activated upgrading features, documents, items, links
Upgrade throttling
Concurrent upgrades: per web application or per content database
Site collection content: storage or subweb count (set in web application)
If upgrade request is throttled, it is placed in upgrade queue

25. Disruption and Downtime
Disruption
Change client software
Retrain users
Refactor or replace customizations
Mitigation: Deferred site collection upgrade
Downtime
Temporary disruption
No such thing as ―zero downtime‖: data loss vs. downtime reduction
Mitigation
Add granularity to multi-site content DBs over 100GB: Move site collection to new DB, then upgrade
Read-only databases: Content, Services (except Access)
Parallel upgrades
Upgrade offline, sync, redirect: requires third party tools

26. Upgrade
Learn
Validate Prepare
Implement Test

27. Document environment
Settings
PowerShell
WinDiff: web server extensions, IIS site (web.config), GAC, 14 & 15 root folders
Customizations
Full-trust solutions, admin-deployed InfoPath forms
MSI, XCopy deployments
Performance characteristics
Hardware
SQL
Network

28. Clean up
Clean up SP2010 environment
Delete stale content
Site collections and web sites
Remove extraneous document versions
Rationalize templates, features & web parts
Complete visual upgrades to SP2010

29. Manage customizations
Category Examples Likely Impact
Visual Master Pages 2010 mode: function
Themes 2013 mode: fail
Web Pages
Web Parts
Data Content Types If working: no impact
List Types If missing: blocker
Web Templates Upgrade required: expensive—iteration
Site Definitions
Internals Web Services Incompatible
Windows Services
HTTP Handler
HTTP Module

30. Inform Users
Action
What is needed: requirements, information gathering, content classification & tagging
When it will happen: events, schedule
Expectations
What will happen
What happens next, if it works
What happens next, if it fails
Instructions
How to upgrade site collections
When to upgrade site collections
How to validate upgrade
Support
How to communicate with upgrade team

31. Upgrade
Learn
Validate Prepare
Implement Test

32. Build test farm(s)
Maximize realism of simulation
Use similar hardware
Use real data, not samples
Deploy all required customizations
Minimize URL changes
Minimize name changes (SQL Alias)
Minimize impact on production environment
Live databases
External data connections
SQL server performance
Active Directory profile data

33. Evaluate techniques
Methods & processes
Confirm
Script
Downtime mitigation
Performance
SQL Server responsiveness
SharePoint responsiveness
Validation
Troubleshooting

34. Test & Repair
Test-SPContentDatabase
Configuration gaps
Orphaned sites: site collections in content database but not in config database site map
Missing/unregistered customizations: features, site definitions, templates, web parts
Row sizing for predicting comparative upgrade speeds: Add –ShowRowCounts switch
Authentication mis-match
Repair-SPContentDatabase
Orphaned webs
Orphaned lists
Orphaned items
Test-SPSite and Repair-SPSite

35. Staging Migration
Use a staging farm
Offline
Performance matters only in relation to upgrade, not day-to-day utilization
Validate and remediate
In a non-production environment
Particularly if migrating to the cloud
Insufficient access and tools to remediate problems after content is in Office 365

36. Upgrade
Learn
Validate Prepare
Implement Test

37. Upgrade
Learn
Validate Prepare
Implement Test

38. Validate
Review events and logs
Troubleshoot failures
Remediate UI/UX issues
Remediate data issues

39. Logging Changes
Upgrade logs changed to ULS format
TSV format allows improved parsing
Can be imported into Excel
Includes Correlation ID
Site collection upgrade logs
Available to Site Collection admins
Uses separate logging level control than rest of upgrade

40. Validate
Review events and logs
Upgrade error log
Full upgrade log
ULS
Start at top of log, work downwards (address dependencies)
Troubleshoot failures
Process/assembly load
Authentication (login, access)
Missing services
Missing files or customizations
Content
Remediate UI/UX issues
Remediate data issues

41. Validation Checklist
Existing sites
High-priority
Sample of each site definition & feature
All sites
Provisioning of new sites
Site collections and subsites
Activate features, create lists & libraries, create pages, add web parts
As new 2010 mode
As new 2013 mode
As new 2010 mode upgraded to 2013 mode
Validate against new 2010 mode

42. Validation Checklist
Authentication
Visual customizations
External data connections
Other functionality

43. Site Collection Health Checks
Rule based health checks
Looks for common issues
Upgrade-blocking issues
Missing SP2013 templates
Post-upgrade issues
Un-ghosted files
Site collection level scoped tool
UI for Site Collection Admins
PowerShell cmdlet for Farm Admins
Runs automatically before Site Collection V2V upgrade
Prevents upgrade if blocking issues detected
Does not run automatically before B2B upgrades

45. What doesn‟t work?
2010 Web Analytics
2010 Office Web Applications
2013 Office Web Applications used for sites whether in 2010 mode or 2013 mode
Project Web Access (PWA) templates
Must upgrade to 2013 mode
Project Sites (PWS) supported in both 2010 and 2013 modes
Specific functionality
User defined functions in Excel Services
PowerPoint Broadcast sites
External BLOB Storage (EBS)

47. Multi-farm scenarios
1. Build SP2013 service and content farms
2. Pre-index content
3. Upgrade federated services to SP2013
Profile, Search, Social, Metadata, BCS, Secure Store
Set SP2010 service databases to read-only at SQL to prevent data loss
4. Consume federated SP2013 services in 2010 farm
5. Upgrade services and content databases
Set SP2010 content databases to read only
Validate database upgrades
Immediately upgrade databases required to be 2013 mode (e.g. PWA)
6. Redirect requests to SP2013 farm
7. Upgrade sites

48. Restructure physical or logical
architecture
New features in SharePoint 2010
Content type hub
Document information policies
Managed metadata
New features in SharePoint 2013
Search: Continuous crawl, Content By Search
Cross-site publishing (XSP)
Managed navigation
Lessons learned
Information management: security, compliance, information lifecycle management
Service management: performance, storage, SLAs, content recovery, high availability, disaster recovery

49. Information assessment
Assess all content
Business needs change
Information management & service management requirements change
Archive, Rebuild, Migrate, Delete (ARMD)
Determine migration priority & action
Create a migration request queue
Site source URL
Site target URL
Action (archive, rebuild, remove, migrate, delete)
Priority
Roles & responsibilities
Information gathering
Processes and workflow
Migration date

50. Information (re)architecture
Information architecture
Content types, metadata, search, site map, navigation
Classification (―tagging‖) processes and tools
Plan for IA migration
Map source IA to target IA
Perform IA migration
Third party tools
Staging farm
Consider and manage URL changes
Utilize IA to facilitate and govern migration
Prioritize and filter sites and content to migrate

51. Governance, security & compliance
Upgrade (improve) or establish governance
Harden security
Improve user and group management
Rationalize and re-map security boundaries and controls
Cleanse and validate content
In source farm
In staging farm
In target farm
Not recommended (on-premise)
Not easy or even possible (Office 365)

52. Migrate, don‟t upgrade
Why
Big bang migrations are complex and risky
Downtime is not tolerable
Garbage in – garbage out
Bad decisions
Database modifications
Unsupported site definitions
Information architecture changes
Restructure
Metadata
Rules-based migration: filter, tag, process
Migration of third-party components, e.g. workflows
Migration from 2007 (or other platforms) to SharePoint 2013 or Office 365
How
Third-party tools

53. Upgrade and migration guidance
Treat it as a real project
Clean up the source environment first
Upgrade more than just content
Improve and restructure information architecture
Architect governance, security, and compliance into the migration process and end state
Upgrade related infrastructure and services, especially authentication (ADFS)
Utilize test and staging farms
Particularly important to test and stage on-premise before migrating to cloud
Be granular
Split large content DBs into multiple CDBs with fewer sites prior to upgrade
Use migration tools to migrate subsets of content

55. Evaluate third-party tools: Migration
Prepare Perform migration
Pre-scanning Automate
Minimize down time:
Improve performance, offline, and other options
Re-architect farm Migrate other components, e.g. workflows
Restructure information architecture
Automatically classify content Support (!!!)
Rationalize security management Migration is a one-time or rare activity for you
Enforce and audit content & compliance It’s the raison-d’etre for migration tool ISVs
Extensive knowledge and experience
Align with business Services to support your migration
process
Align with business process:
granularity, metadata-driven rules and filters
Govern: workflows, approvals, controls

56. Evaluate third-party tools
Management of cloud, on-prem, and hybrid
environments
Expose and integrate legacy and non-SharePoint content
Maintain a healthy service for the next change
Information architecture: content, metadata, tagging, navigation
Information management: security, compliance, information lifecycle
Service management: performance, storage optimization, recovery, HA, DR
Customization management: application and customization lifecycle management
Service portfolio management

57. Shout Outs
Randy Williams Matt McDermott
Jeremy Thake Eric Shupps
Gary Lapointe Paul Swider
Chris Givens Shane Young
Andrew Connell Todd Klindt
Spence Harbar Wictor Wilén
Jason Himmelstein Asif Rehmani
Todd Baginski Rob Bogue
Scot Hillier Agnes Molnar

58. MAHALO! (thank you!)
http://tiny.cc/danholmepresentations
http://bit.ly/danholmearticles
http://bit.ly/danholmebooks
A HUI HO! („til next time!)
dan.holme@intelliem.com
@danholme