As presented at the Iberian SharePoint Conference in Madrid, Spain, October, 2013

1. Upgrading to SharePoint 2013: A
Methodical Approach
Michael Noel
CCO

2. Michael Noel
• Author of SAMS Publishing titles “SharePoint 2013 Unleashed,” “Exchange Server
2013 Unleashed”, “Windows Server 2012 Unleashed,” and over fifteen other titles
with worldwide circulation of over a quarter million in 20 languages worldwide
• Partner at Convergent Computing (www.cco.com / +1(510)444-5700) – San Francisco,
U.S.A. based Infrastructure/Security specialists for SharePoint, AD, Exchange, Security

3. What we will cover
• Upgrade Fundamentals
• Requirements for Upgrade
• Version to Version and Build to Build Specifics
• Third-Party vs. MS Approach
• Pre-Upgrade Tasks
• Claims Upgrade
• Content Upgrade
• Service Application Upgrade
• Managed Metadata Upgrade
• User Profile Synch Upgrade
• Post-Upgrade Tasks

4. Upgrade Fundamentals
Understanding the Best Practices around SharePoint 2013 Upgrade

5. Upgrade to SharePoint 2013
• In-Place Upgrade is NOT Supported
• Database Attach is the only supported MS upgrade option
• Only the following databases can be upgraded:
• Content Databases
• Business Data Connectivity
• Managed Metadata
• PerformancePoint
• Secure Store
• Search
• User Profile (Profile, Social, and Sync DBs)

6. Assessing What to Upgrade
• Just because you can upgrade a Service Application DB, doesn’t mean
that you necessarily should
• Only upgrade those SAs that have critical data in them. If you haven’t
invested anything into UPA or the Managed Metadata store, simply
create new ones in SP 2013.
• This will keep the process simple.
• A content-only migration can be made relatively simple by following
this rule

7. Upgrade to SharePoint 2013
• Microsoft Approach ONLY allows upgrade from SharePoint 2010
directly to SharePoint 2013
• Upgrades from SharePoint 2007 or SharePoint 2003 must first
upgrade to SharePoint 2010 first.
• 3rd Party tools remedy this, but for additional cost

8. Upgrade to SharePoint 2013
• Build to Build and Version to Version are Supported
• But can’t move ‘down’ in versions…
• For example, the following is supported:
• SP Foundation 2010 to SP Foundation 2013
• SP Foundation 2010 to SP Server 2013 (Std. or Ent)
• SP Server 2010 Std. to SP Server 2013 Std.
• SP Server 2010 Std. to SP Server 2013 Ent.
• SP Server 2010 Ent. to SP Server 2013 Ent.
• But the following is NOT supported:
• Ent to Std.
• Server to SPF

9. Upgrade: Chance to Rearchitect
• Design completely new farm
based on Best Practices
• Move to new version of SQL
(2012 ideally,) including moving
off of SQL Express
• Incorporate High Availability and
Disaster Tolerance
• Prepare the new farm in tandem,
while the old one is running – test
for functionality and upgrade

10. Upgrade: Take Advantage of SQL 2012
AlwaysOn Availability Groups

11. Upgrade: Test the Process
• Run a ‘dry run’ of the migration process on the newly built SharePoint
farm
• Test out migration of all content, ideally
• At a minimum, a ‘spot migration’ of content should be performed
• Have content owners identify if migration was successful
• When complete, delete the databases and migrate again

12. Prepare for Upgrade
A Cautioned Approach

13. Prepare for Upgrade
• Recreate the following on the new farm:
• Alternate access mappings
• Authentication providers and authentication modes that are being used
• Quota templates
• Managed paths
• Self-service site management settings
• Incoming and outgoing e-mail settings
• Customizations (solution packages, etc.)
• Certificates
• Clean up the SP 2010 farm for upgrade:
• Check for and repair all database consistency errors.
• Turn off Web Analytics service application
• Remove PowerPoint Broadcast Sites

14. Prepare for Upgrade
• DB Schema upgrade and Site Collection Upgrade is now separate,
allows Site Collection owners to ‘preview’ the new visuals before
comitting.
• Upgrade keeps SharePoint 2010 in ‘native’ format, by providing both
a ‘14’ and a ’15’ hive on the web role servers
• Avoids the majority of issues that have affected SharePoint upgrades
in the past by allowing them to be previewed
• Not a long term solution, preferred to move to SharePoint 2013 mode
quickly, and administrators can force site collection upgrades by a
certain point in time

15. Claims Migration
Classic mode Auth to Claims Auth Migration

16. Claims Migration
• Classic Mode Auth Web Apps in SharePoint 2010 (the default) need to
be migrated to Claims first before Upgrade
• Exception is if you create a Classic-Auth Web App in SharePoint 2013
(not recommended)
• Requires PowerShell scripting to be done on the SP2010 Server in
advance
• Alerts may need to be regenerated after the claims migration and
Search may have issues (known work-arounds exist)

17. Claims Migration
• $WebAppName = "http://old.companyabc.com"
• $wa = get-SPWebApplication $WebAppName
• $wa.UseClaimsAuthentication = $true
• $wa.Update()
• $account = "COMPANYABCSHAREPOINTADMIN"
• $account = (New-SPClaimsPrincipal -identity $account -identitytype 1).ToEncodedString()
• $wa = get-SPWebApplication $WebAppName
• $zp = $wa.ZonePolicies("Default")
• $p = $zp.Add($account,"PSPolicy")
• $fc=$wa.PolicyRoles.GetSpecialRole("FullControl")
• $p.PolicyRoleBindings.Add($fc)
• $wa.Update()
• $wa.MigrateUsers($true)
• $wa.ProvisionGlobally()

18. Content Upgrade
Core Upgrade Concerns

19. Content Database Overview
1. Test Upgrade Process using Test-SPContentDatabase cmdlet
2. Create new SP 2013 Farm with same AAMs
3. Create a web application (delete default DB)
4. Set source DB to ‘Read-Only’
5. Backup existing Content DB
6. Restore Content DB to new SQL Server
7. Run Mount-SPContentDatabase cmdlet to upgrade DB schema
8. Run Get-SPSite –ContentDatabase CONTENTDBNAME –Limit
All | Upgrade-SPSite –VersionUpgrade to upgrade Site
Collections

20. Content Upgrade
• Test the Content Databases
for upgrade using the Test-
SPContentDatabase cmdlet
• Address issues before
migrating
• Example: Test-
SPContentDatabase -
ServerInstance
SQLSERVERNAME -Name
DBNAME -WebApplication
http://webapptargetname

21. Content Upgrade
• After issues have been resolved, use Mount-SPContentDatabase
to mount DB in SharePoint 2013
• Percentage indicator will show how long the upgrade will take

22. Content Upgrade
• Second set of PowerShell commands continues the upgrade
• Get-SPSite –ContentDatabase CONTENTDBNAME –Limit All |
Upgrade-SPSite -VersionUpgrade

23. Content Upgrade
• Check the status of the
upgrade using Get-
SPSiteUpgradeSessionInfo
• Syntax: Get-
SPSiteUpgradeSessionInfo –
ContentDatabase
CONTENTDBNAME –
ShowInProgress –
ShowCompleted -
ShowFailed

24. Site Collection Health Checks

25. Upgraded Site Collection Visuals

26. Service Application Upgrade
Proceed with Caution

27. Service Application Upgrade
• Some Service Apps DBs can be Upgraded
• UPA (Sync, Social, and Profile Databases)
• Project Databases (all 4 databases get merged into 1 in SharePoint 2013)
• Secure Store Database
• Social Database
• Search Admin Database
• Managed Metadata Database
• Web Analytics is Retired
• Other Service Apps do not store any data that requires migration
• Process for migrating each Service App is as follows:
• Create or Declare existing Application pool for Service Application
• Restore Service Application database
• Create Service Application Proxy

28. Service App Upgrade – Managed
Metadata Service Step-by-Step
• Create the new Service Application Pool on the 2013 Server that
will house the old 2010 DB
• Use New-SPServiceApplicationPool cmdlet

29. Service App Upgrade – Managed
Metadata Service Step-by-Step
• 2nd step is to reference the restored database for upgrade
• Use New-SPMetadataServiceApplication cmdlet to create the
connection between the S.A. and the DB

30. Service App Upgrade – Managed
Metadata Service Step-by-Step
• 3rd step is to create the Service Application Proxy
• Use the New-SPMetadataServiceApplicationProxy cmdlet

31. Service App Upgrade – Managed
Metadata Service Step-by-Step
• The Managed Metadata Service Application should then be
visible in SPCA

32. Service App Upgrade – Managed
Metadata Service Step-by-Step
• And the
Term Store
should
then be
visible

33. Service App Upgrade – Managed
Metadata Service Step-by-Step
• Finally, change the Content Type Hub URL using the following
cmdlet (note that –HubUri is used…the ‘i’ is accurate.)

34. Service App Upgrade – User Profile Sync
Step-by-Step
• Use the
miiskmu tool
to export
out the UPA
key

35. Service App Upgrade – User Profile Sync
Step-by-Step
• Run through the MIISKMU tool and export the key sets

36. Service App Upgrade – User Profile Sync
Step-by-Step
• Enter Credentials that run the current SP2010 UPA

37. Service App Upgrade – User Profile Sync
Step-by-Step
• Create the new Service Application Pool for the UPA

38. Service App Upgrade – User Profile Sync
Step-by-Step
• You must
find the
GUID of
the new
UPA
using a
SQL
Query

39. Service App Upgrade – User Profile Sync
Step-by-Step
• The GUID is then used in the creation of the new Service
Application Proxy for the UPA

40. Service App Upgrade – User Profile Sync
Step-by-Step
• The UPA will then be visible as a Service Application from within
SPCA

41. Service App Upgrade – User Profile Sync
Step-by-Step
• Copy the
encryption key to
the bin folder
• Use the /? to find
the GUID of the key

42. Service App Upgrade – User Profile Sync
Step-by-Step
• Inject the key using the GUID provided and the command syntax
below

43. Service App Upgrade – User Profile Sync
Step-by-Step

45. GRACIAS POR SU ATENCIÓN
Michael Noel
Twitter: @MichaelTNoel
www.cco.com
Slides: slideshare.net/michaeltnoel
Travel blog: sharingtheglobe.com