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Upgrading to SharePoint 2013
A High-level Guide for Upgrading to
Microsoft’s Latest SharePoint Platform

2. 2
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3. 3
About Us

4. 4
Our Agenda

5. 5
ALL ABOUT
UPGRADES

6. 6
Upgrades Cycle
Learn
• Upgrade
methods
• New capabilities
• Downtime
mitigation
Prepare
• Document
environment
• Manage
customizations
• Plan upgrade
strategy
• Make items
upgradable
Test
• Build test farms
• Use real data
• Evaluate
techniques
• Find issues early
Implement
• Build/upgrade
farms
• Deploy
customizations
• Minimize
downtime
• Monitor
progress
Validate
• Troubleshooting
• Upgrade event
failures
• UI/UX issues
• Data issues

7. 7
SharePoint 2013 General Requirements
Hardware
• 8GB - 24GB of RAM (varies by server role)
• No dynamic memory!
• 64bit, 4 cores
• 80GB system drive
Software
• Operating System
• Windows Server 2008 R2 SP1 Std, Ent, Datacenter
• Windows Server 2012
• SQL
• SQL 2008 R2 SP1 64bit
• SQL 2012 64bit

8. 8
Upgrade Pre-Requisites
• For any upgrade, SharePoint 2010 must be SP1
• 14.0.6029.1000
• SharePoint 2010 and 2013 can’t be on same server
• SharePoint Designer
• SharePoint Designer 2010 -> v14 sites
• SharePoint Designer 2013 -> v15 sites
• Client
• Office 2010 or Office 2013 highly recommended
• IE 8 or higher

9. 9
Upgrade Paths

10. 10
Upgrade Methodologies
• Microsoft
• DB Attach
• In-Place Upgrades removed
• Search First
• Popular to move from 2007 to 2010
• Use when going from 2010 FAST Search -> SharePoint 2013
• 3rd Party Tools
Metalogix – Content Matrix
Quest (Dell) – Migration Suite
AvePoint – Migration Tools
Axceler - DaVinchi Migrator
MetaVis - Migration Suite
Share-gate
dSHIFT (Xavor) - Migrator

11. 11
What’s New with Upgrades in 2013
• No in-place upgrade
• DB Attach available for Service Application DBs
• Deferred site collection upgrade
• True SP2010 instead of visual upgrade
• Site collection health checker
• Upgrade evaluation site collections
• With notifications for life-cycle
• Throttling for site collection upgrade
• Log files are now in ULS format (Verify phase)

12. 12
Deferred Site Collection Upgrade
• No more Visual Upgrade. It’s been replaced…
• Now a true upgrade process
• Databases are mounted, schema is upgraded, but site collections are
NOT upgraded at time of attach/mount
• Cannot be forced during upgrade (mainly performance reasons)
• Site collections work unchanged in 2010 mode, but hosted in 2013
• Creates a side-by-side 14 and 15 hive in 2013, allows existing features
and solutions to function as they did
• Site collections admins (if allowed) can control
upgrade
• PLAN for performance

13. 13
Site Collection Health Checker
• Checks a site collection and lists potential upgrade issues, such as
missing or unsupported elements
• Included rules:
• Conflicting content types
• Customized files
• Missing galleries
• Missing parent content types
• Missing site templates
• Unsupported language pack references
• Unsupported MUI references
• Run in UI
• Site Settings -> Site Collection Administration -> Site collection health checks
• PowerShell
• Test-SPSite and Repair-SPSite

14. 14
Upgrade Evaluation Site Collections
• Site Collection admins can request upgrade
evaluation site collection to preview in 2013
• Temporary
• SQL snapshots big advantage to avoid
downtime, but requires SQL Enterprise
• Request an Evaluation Site Collection
• Site Settings -> Site Collection Admin -> Site collection
upgrade, click Try a demo upgrade
• User receives email when timer job “Create upgrade
Evaluation Site Collections” creates site collection,
then sends an email with URL
• Expires after 30 days, auto deleted

15. 15
Logging Changes
• Site Collection upgrade logs visible by site collection admins
• In ULS log format
• Stored in Maintenance Logs library that’s locked down as
Gallery

16. 16
Overview of Microsoft’s Upgrade Process

17. 17
PREPARE TO
UPGRADE

18. 18
Review the Existing Environment
• You don’t know what you don’t know
• What I mean is, plan and do your homework
• Take an Inventory
• Customizations
• Content
• Farm
• Service Accounts and passwords
• Cleanup
• Large lists/libraries
• Unused site collections
• Broken or unused features / customizations / solutions
• Remove orphaned or corrupt sites

19. 19
Inventory – What to Gather
• Customizations
• Solutions, Features and web parts
• Branding – master pages, CSS and page layouts
• Content
• Large lists/libraries
• Site topology
• Old or unused webs / site collections
• Farm Environment & Settings
• Servers, farm info, farm passphrase, service accounts and passwords
• Alternate access mappings, URLs
• Service Application information
• Don’t forget the secure store passphrase!
• Use Upgrade Planning worksheet
• http://www.microsoft.com/en-us/download/details.aspx?id=30370

20. 20
Inventory – Gathering Methods
• Manually / UI
• PowerShell
• Test-SPContentDatabase –name dbname –webapplication URL
• Get-SPDatabases
• Get-SPContentDatabase
• Document farm settings scripts (http://technet.microsoft.com/en-us/library/ff645391(v=office.14).aspx)
• For 2007, find all FAB40 sites (http://blog.henryong.com/2011/06/30/reporting-on-all-sites-for-a-
sharepoint-web-application/)
• STSADM
• Stsadm –o enumallwebs –includefeatures –includewebparts (use Feb 2011 CU for cmd updates)
• Tools
• PinPoint by Axceler (http://info.axceler.com/axceler-pinpoint-download/download-pinpoint-here)
• Metalogix Blobulator (http://www.metalogix.com/Downloads/StoragePoint-Downloads/StoragePoint-
BLOBulator.aspx)
• SPSFarmReport (http://spsfarmreport.codeplex.com/) or SPDocGen
• Documentation Toolkit for SharePoint (http://www.spdockit.com/)

21. 21
Clean up the Environment
• See TechNet http://technet.microsoft.com/en-
us/library/ff382641.aspx
• Large lists or lists with lots of columns (varies by column)
• Remove Unsupported Sites
• PPT Broadcast sites
• FAST Search Center sites
• Convert all 2007 Visual Upgrade to 2010 v4 UI
• Clean up Databases to remove orphaned sites or corruption
• Rearrange topology
• FAB40 Sites
• Extraneous document versions

22. 22
Cleanup – Details
• Remove Unsupported Sites
• PPT Broadcast Sites
• Get-SPSite | Where-Object{$_.RootWeb.Template -eq
"PowerPointBroadcast#0"} | Remove-SPSite
• FAST Search Centers
• Will upgraded, but is recommended to remove and re-create in
2013
• Convert all 2007 Visual Upgrades to 2010 v4
• Get list with status
• Get-SPSite | ForEach-Object{$_.GetVisualReport()}
• Convert all
• Get-SPSite | ForEach-Object{$_.VisualUpgradeWebs()}

23. 23
Clean up – Details Cont’d
• Clean up databases
• Corruption in database or corrupted list
• Stsadm –o databaserepair or forcedeletelist
• PowerShell – Get-SPContentDatabase | foreach {$_.Repair($false)}
• False reports any corruption, True will repair the corruption
• Duplicated / Orphaned sites / Deleted sites
• Stsadm –o enumallwebs to view, then use Remove-SPSite (PowerShell)
• SP2010 SP1 has Remove-SPDeletedSite cmdlet
• Rearrange topology
• Move-SPSite (between site collections), Export-SPWeb / Import-SPWeb
• FAB40 Sites
• Use this script to find all sites - http://blog.henryong.com/2011/06/30/reporting-on-
all-sites-for-a-sharepoint-web-application/
• Extraneous Document versions
• Use code, Versions web service

24. 24
Check Authentication
• 2013 creates claims-based authentication for web apps by default
• Only create classic via PowerShell
• Recommended to convert 2010 Classic to Claims BEFORE upgrading
to 2013
• Use TechNet article with scripts http://technet.microsoft.com/en-
us/library/gg251985.aspx
• Can upgrade after using Convert-SPWebApplication
• When creating web apps in 2013, create with same authentication
as in 2010
• Use Test-SPContentDatabase to find mismatched authentication
• Also checked on DB attach

25. 25
Object Cache Users
• Don’t forget those site cache users!
• Otherwise might get Access Denied
$wa = Get-SPWebApplication -Identity "<WebApplication>"
$wa.Properties["portalsuperuseraccount"] = "<SuperUser>"
$wa.Properties["portalsuperreaderaccount"] = "<SuperReader>“
$wa.Update()
• Be sure to use the new claims-based name for the user like
i:0#.w|domainusername

26. 26
Upgrade Considerations – All
• Performance
• Many factors
• Topology
• Office Web Apps now separate server
• Our friendly neighborhood URL
• In a perfect world, don’t change
• Use old URLs even in TEST environment (use HOSTS file on server)
• Patch your 2010 farm!
• April 2012 CU works well

27. 27
Upgrade Considerations – Performance
• Databases could grow as much as 50% during upgrade
• Best way to estimate is to do a trial upgrade
• The log files contain the duration for an upgrade — look for Total
Elapsed Time at the bottom of the upgrade log file -
%COMMONPROGRAMFILES%Microsoft Sharedweb server
extensions15LOGSupgrade.log
• Database
• # site collections, lists, libraries, overall size, etc.
• Environment
• Parallel upgrades, SQL, network, server resources
• Consider all steps in upgrade process
• backup/restore databases, search crawl, verifying environment
• Plan for performance during upgrade (TechNet) -
http://technet.microsoft.com/en-us/library/cc262891.aspx

28. 28
Customizations
• Are your features, solutions and customizations compatible
with 2013?
• Have you checked to see if any can be removed prior to
upgrade?
• Is there new out of the box functionality that replaces
customizations?
• Do customizations need to be re-done?
• Branding, site provisioning, web templates…
• Use SP Diagnostic Tool to find installed features
• http://technet.microsoft.com/en-us/library/dd745013.aspx

29. 29
TEST THE
UPGRADE

30. 30
Build Test Environment
• Build your SharePoint 2013 test environment
• Use same URLs as production
• Build as close to production as resources allow
• Use real data
• Destination
• If staying on premise, use either on premise for 2013 or Azure
• If going to online, sign up for a trial
• Tips
• Don’t ignore errors!
• Test the environment AFTER the upgrade, not just the process

31. 31
Why You’re Testing
• To verify migration strategy and processes
• Test methods and scripts
• Find issues
• Test customizations
• To be able to better estimate how long it will take
• Be able to plan actual downtime for production migration
• Build confidence from having done it
• Know what to expect

32. 32
IMPLEMENT -
PERFORM THE UPGRADE

33. 33
Upgrade Process – Create 2013 Farm

34. 34
A Quick Note on Virtualization
• Be sure to read the SharePoint 2013 virtualization
articles and best practices
• This applies to SharePoint and SQL
• Quick Tips
• For SQL, don’t use dynamically expanding disks (bad for performance),
may be called thin provisioned disks
• For SQL and SharePoint, thou shall NOT use dynamic memory!
• For SQL, only SQL Enterprise supports HOT memory adds
• For SharePoint 2013, MS guidance is not to use it because of
distributed cache (new in 2013) and Search services
• http://blogs.msdn.com/b/joerg_sinemus/archive/2013/01/24/sharep
oint-2013-with-distributed-cache-and-dynamic-memory.aspx
• http://support.microsoft.com/kb/2764086

35. 35
Upgrade Process – Create 2013 Farm #1
• Make sure you have all your inventory collected for farm
settings
• Remove or stop the following services to avoid errors
• Web Analytics
• PowerPoint Broadcast Sites
• Make sure you have collected
• Passphrase for Secure Store
• Export encryption key for User Profile service app
• Stored in <root directory drive>Program FilesMicrosoft Office
Servers14.0Synchronization ServiceBin
• Run miiskmu.exe (will need sync account credentials)

36. 36
Upgrade Process – Create 2013 Farm #2
• Install new SQL Server
• SharePoint 2013 no longer
supports SQL 2005
• Must be SQL 2008 R2 SP1 or
SQL 2012 (SP1)
• Not a bad thing, lots of
improvements, especially in SQL
2012 and Business Intelligence
• Follow good SQL practices
• Set max degree of parallelism to
1 from 0 – SP install will error!

37. 37
Upgrade Process – Create 2013 Farm #3
• Install SharePoint 2013
• Run prereqs (read TechNet for all hotfixes!!)
• Install the bits (setup.exe)
• Can slipstream March 2013 PU, then install April 2013 CU
• Run Psconfig
• but don’t run the farm config wizard!
• Don’t forget to create SQL alias!
• Create any service applications that aren’t being upgraded
• Apps, Machine Translation, etc.
• Configure farm settings
• SMTP email
• Diagnostic logging, etc.
• Check state of timer job “Workflow Auto Cleanup” in 2010
• Runs daily, deletes workflow history older than 60 days
• If disabled in 2010, disable in 2013 to avoid workflow associations issues

38. 38
Upgrade Process – Copy Databases

39. 39
Upgrade Process – Copy Databases #1
• Set DB to read only (optional)
• SQL Mgmt Studio, database properties, set Database Read-only to True
• Backup Databases for content and service applications
• All content databases
• Service applications (if used)
• BCS
• Managed Metadata
• PerformancePoint
• Search
• Secure Store
• User Profile (all 3)
• Note: If full recovery model, best to do transaction log active backup first
(option in transaction log backup settings)

40. 40
Upgrade Process – Copy Databases #2
• Restore all databases to SharePoint 2013 SQL Server
• Right click databases, click Restore Database
• Restore -> to database
• Type new database name in To Database in the box
• Check the “Restore the database files as” path and filenames
• Ensure all set for read-only to false

41. 41
Upgrade Process – Upgrade Service Applications

42. 42
Upgrade Process – Upgrade Service Apps #1
• Start Service Instances for service apps that are being upgraded
• Perform in Central Admin
• Search can’t be in the UI, only in PowerShell
• Create Service Applications, use existing DB names
• Upgrade happens at this point
• Must use PowerShell
• Create Service App Proxies (all but BCS), add to default group
• For Secure Store, restore passphrase
• For UPS, import encryption key
• Use PowerShell from TechNet
• http://technet.microsoft.com/en-us/library/jj839719.aspx

43. 43
Upgrade Process – Upgrade Content Databases

44. 44
Upgrade Process – Upgrade Content DBs #1
• Create new web apps
• Use same URL
• Use same authentication method (convert from classic before migration)
• Recreate all same settings like managed paths, quota templates, email
settings, self-service site creation, web application policies
• For My Site host, create /personal wildcard managed path
• Install / re-apply customizations
• Don’t forget web.config changes!
• To install to both 14 and 15 hives, use CompatibilityLevel parameter on
Install-SPSolution cmdlet

45. 45
Upgrade Process – Upgrade Content DBs #2
• Run Test-SPContentDatabase before attach
• Test-SPContentDatabase -Name DatabaseName -WebApplication URL
• Attach content databases to web application
• This is when database is actually upgraded (not site collection)
• MUST use Mount-SPContentDatabase, UI not supported for upgrading
• If webapp spans databases, be sure to restore DB with root site collection first
• Once completed, remove databases that were created by webapp creation
• For MySites, mount MySite host first
• After first db mount, check upgrade status in CA
• Central Admin -> Upgrade and Migration -> Check upgrade status
• You can mount multiple content DBs in parallel

46. 46
Upgrade Process – Upgrade DB Cleanup
• Verify site collections work in 2010 mode
• Check links in InfoPath form templates
• Configure Search topology
• Perform full crawl
• Good time to do backups
• Test, test, test and then test some more

47. 47
Upgrade Process – Upgrade site collections #1
• Run site collection health
checks
• Create site collection
evaluation sites
• Test functionality in 2013 mode
• Upgrade the site collections
• Site settings -> Site collection
administration -> Site collection
upgrade, then click Upgrade this
site collection

48. 48
Upgrade Process – Upgrade site collections #2
• Use PowerShell to upgrade site collections
• To upgrade a single site collection immediately and bypass the upgrade
queue:
• Upgrade-SPSite <http://site> -VersionUpgrade –Unthrottled
• To upgrade ALL site collections in a database at once:
• Get-SPSite -ContentDatabase <DBName> -Limit All | Upgrade-
SPSite -VersionUpgrade –QueueOnly
• Plan what sites Farm admins will upgrade, and which site collection
admins will do
• High-priority
• Highly customized
• Very large

49. 49
Upgrading My Sites
• High Level Process
• Be sure User Profile and Metadata service apps
is already upgraded and functioning
• Create new webapp for My Sites
• Attach DB to new My Site Host
• Migrate My Site Host site collection
• Personal site collections upgraded automatically
• Be sure to migrate the My Site host site
collection FIRST
• As each user visit’s their My Site (if exists), it
will get queued to be upgraded
• If the user doesn’t have a My Site yet, it will spin
up a 2013 My Site
• If a user visit’s their My Site before the Host is
upgraded, they will get 2010 My Site

50. 50
VALIDATE THE
UPGRADE

51. 51
Checking the Upgrade
• Make sure all sites and pages render
• If pages don’t render, add ?contents=1 to load web part maintenance
page
• Might be due to master page, can change with PowerShell or SPD if
necessary
• Check all sites, lists, libraries
• Check site settings pages
• Try adding web parts to pages
• Verify services
• Check for errors

52. 52
Troubleshooting Failures
• Always check upgrade logs!
• In site collection
• http://<SiteName>/_catalogs/MaintenanceLogs/YYYYMMDD-HHMMSS-
SSS.txt
• On server - %COMMONPROGRAMFILES%Microsoft SharedWeb server
extensions15LOGS
• SiteUpgrade-YYYYMMDD-HHMMSS-SSS.log
• Review upgrade error log first, then full upgrade log, then ULS logs
• Check event viewer logs
• Are all customizations installed?
• MS Recommended troubleshooting order
• Authentication -> missing files/customizations -> content issues

53. 53
Finishing Up
• Confirm successful upgrade state
• Verify services and content rendering
• Enable/disable self-service upgrades as required
• Default allows upgrades and creation of 2010 site collections
• Change web application CompatibilityRange property
• Old, OldVersions, or 14 will prevent 2013 site collection creation
except for farm administrators
• Old, NewVersion, or 15 will prevent 2010 site collection creation
except for farm administrators, but will allow upgrade of 2010 site
collections by site collection admins
• All, AllVersions, or “14,15” will allow both 2010 and 2013 site
collection creation and upgrade by site collection admins

54. 54
Key Takeaways
• Do you have your documentation?
• Test-spcontentdatabase and stsadm to find issues
• Test the migration
• Work with your users, involve them in UAT and training,
goes a long way for user adoption
• Check all important sites to validate any custom
functionality
• Does 2013 have functionality that can replace
custom?

55. 55
Helpful Links & Resources
Overview of SharePoint 2013 Upgrades
http://technet.microsoft.com/en-us/library/cc262483.aspx
Checklist for database-attach upgrade
http://technet.microsoft.com/en-us/library/ff607663.aspx
Upgrade to SharePoint 2013
http://technet.microsoft.com/en-us/library/cc303420.aspx
Search First migration from FAST Search 2010 to 2013
http://technet.microsoft.com/en-us/library/dn130132.aspx
Plan for performance during upgrade to SharePoint 2013
http://technet.microsoft.com/en-us/library/cc262891.aspx
Upgrade and Migration SharePoint 2013 Resource Center
http://technet.microsoft.com/sharepoint/fp142375
SharePoint 2013 known Issues
http://office.microsoft.com/en-001/help/sharepoint-
server-2013-known-issues-HA102919021.aspx
Troubleshoot database issues in SP 2013
http://technet.microsoft.com/en-us/library/cc262967.aspx
Troubleshoot site collection issues in SP 2013
http://technet.microsoft.com/en-us/library/jj219648.aspx
SharePoint 2013 Upgrade Process
http://go.microsoft.com/fwlink/?LinkId=255047
SharePoint 2013 Test Your Upgrade Process model
http://go.microsoft.com/fwlink/?LinkId=252098
SharePoint 2013 Upgrade Worksheet
http://go.microsoft.com/fwlink/?LinkId=252097
Introduction to Upgrade in SharePoint 2013 by Bill Baer
http://blogs.technet.com/b/wbaer/archive/2012/07/17/intr
oduction-to-upgrade-in-sharepoint-server-2013.aspx
SharePoint 2013 IT Pro Training
http://technet.microsoft.com/en-
us/sharepoint/fp123606.aspx

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