Symantec Enterprise Vault. Upgrading to Enterprise Vault

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1 Symantec Enterprise Vault Upgrading to Enterprise Vault

2 Symantec Enterprise Vault: Upgrading to Enterprise Vault The software described in this book is furnished under a license agreement and may be used only in accordance with the terms of the agreement. Last updated: Legal Notice Copyright 2014 Symantec Corporation. All rights reserved. Symantec, the Symantec Logo, the Checkmark Logo, Enterprise Vault, Compliance Accelerator, and Discovery Accelerator are trademarks or registered trademarks of Symantec Corporation or its affiliates in the U.S. and other countries. Other names may be trademarks of their respective owners. This Symantec product may contain third party software for which Symantec is required to provide attribution to the third party ("Third Party Programs"). Some of the Third Party Programs are available under open source or free software licenses. The License Agreement accompanying the Software does not alter any rights or obligations you may have under those open source or free software licenses. Please see the Third Party Software file accompanying this Symantec product for more information on the Third Party Programs. The product described in this document is distributed under licenses restricting its use, copying, distribution, and decompilation/reverse engineering. No part of this document may be reproduced in any form by any means without prior written authorization of Symantec Corporation and its licensors, if any. THE DOCUMENTATION IS PROVIDED "AS IS" AND ALL EXPRESS OR IMPLIED CONDITIONS, REPRESENTATIONS AND WARRANTIES, INCLUDING ANY IMPLIED WARRANTY OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE OR NON-INFRINGEMENT, ARE DISCLAIMED, EXCEPT TO THE EXTENT THAT SUCH DISCLAIMERS ARE HELD TO BE LEGALLY INVALID. SYMANTEC CORPORATION SHALL NOT BE LIABLE FOR INCIDENTAL OR CONSEQUENTIAL DAMAGES IN CONNECTION WITH THE FURNISHING, PERFORMANCE, OR USE OF THIS DOCUMENTATION. THE INFORMATION CONTAINED IN THIS DOCUMENTATION IS SUBJECT TO CHANGE WITHOUT NOTICE. The Licensed Software and Documentation are deemed to be commercial computer software as defined in FAR and subject to restricted rights as defined in FAR Section "Commercial Computer Software - Restricted Rights" and DFARS , et seq. "Commercial Computer Software and Commercial Computer Software Documentation," as applicable, and any successor regulations, whether delivered by Symantec as on premises or hosted services. Any use, modification, reproduction release, performance, display or disclosure of the Licensed Software and Documentation by the U.S. Government shall be solely in accordance with the terms of this Agreement. Symantec Corporation 350 Ellis Street, Mountain View, CA 94043

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4 Technical Support Contacting Technical Support Symantec Technical Support maintains support centers globally. Technical Support s primary role is to help you resolve specific problems with a Symantec product. The Technical Support group also creates content for our online Knowledge Base. The Technical Support group works collaboratively with the other functional areas within Symantec to answer your questions in a timely fashion. For example, the Technical Support group works with Product Engineering and Symantec Security Response to provide alerting services and virus definition updates. Symantec s support offerings include the following: A range of support options that give you the flexibility to select the right amount of service for any size organization Telephone and/or web-based support that provides rapid response and up-to-the-minute information Upgrade assurance that delivers software upgrades Global support purchased on a regional business hours or 24 hours a day, 7 days a week basis Premium service offerings that include Account Management Services For information about Symantec s support offerings, you can visit our website at the following URL: All support services will be delivered in accordance with your support agreement and the then-current enterprise technical support policy. Customers with a current support agreement may access Technical Support information at the following URL: Before contacting Technical Support, make sure you have satisfied the system requirements that are listed in your product documentation. Also, you should be at the computer on which the problem occurred, in case it is necessary to replicate the problem. When you contact Technical Support, please have the following information available: Product release level Hardware information

5 Available memory, disk space, and NIC information Operating system Version and patch level Network topology Router, gateway, and IP address information Problem description: Error messages and log files Troubleshooting that was performed before contacting Symantec Recent software configuration changes and network changes Licensing and registration Customer service If your Symantec product requires registration or a license key, access our Technical Support web page at the following URL: Customer service information is available at the following URL: Customer Service is available to assist with non-technical questions, such as the following types of issues: Questions regarding product licensing or serialization Product registration updates, such as address or name changes General product information (features, language availability, local dealers) Latest information about product updates and upgrades Information about upgrade assurance and support contracts Information about the Symantec Buying Programs Advice about Symantec's technical support options Nontechnical presales questions Issues that are related to CD-ROMs, DVDs, or manuals

6 Support agreement resources If you want to contact Symantec regarding an existing support agreement, please contact the support agreement administration team for your region as follows: Asia-Pacific and Japan Europe, Middle-East, and Africa North America and Latin America

7 Contents Technical Support... 4 Chapter 1 About this guide Introducing this guide Where to get more information about Enterprise Vault How To articles on the Symantec Support website Enterprise Vault training modules Comment on the documentation Chapter 2 Before you begin Server upgrade paths Documentation Chapter 3 Points to note when upgrading from Enterprise Vault About this chapter Order of upgrade in an environment with Compliance Accelerator or Discovery Accelerator Admin service TEMP folder security checks Clearwell compatibility with Enterprise Vault Enabling fast browsing for Enterprise Vault Search Changes to storage queues Exchange Server 2013 support Support for Outlook 2013 SP1 on the Enterprise Vault server Enterprise Vault 10.0 original release server hotfix required to support the Outlook Add-In Assigning the required permissions to the Vault Service account Requirements for upgrading the Enterprise Vault databases Directory database upgrade requirements Changes to best practice settings Changes to index roll-over Changes to support FSA targets without Administrator privileges for the Vault Service account... 28

8 Contents 8 About upgrading FSA targets that run a Server Core installation of Windows Default File Blocking location is no longer supported Changes to retention category settings for the deletion of archived items File System Archiving of files under Dynamic Access Control Chapter 4 Points to note when upgrading from Enterprise Vault About this chapter Order of upgrade in an environment with Compliance Accelerator or Discovery Accelerator Admin service TEMP folder security checks Support for Outlook 2013 SP1 on the Enterprise Vault server Chapter 5 Steps to upgrade your system Overview of the upgrade process Chapter 6 Enterprise Vault server preparation About Enterprise Vault server preparation Backing up the system Backing up Enterprise Vault data Backing up changed language files Backing up the Enterprise Vault 10.0 SCOM management pack Updating required Windows features Running Enterprise Vault Deployment Scanner Setting database permissions Allowing the MSMQ queues to empty Checking the archiving and expiry schedules Chapter 7 Single server: upgrading the Enterprise Vault server software About upgrading a single Enterprise Vault server Installing the Enterprise Vault server software on a single server Upgrading the Directory database and the Storage databases Running Enterprise Vault Database Upgrader Monitoring the progress of Database Upgrader Upgrading the auditing database... 46

9 Contents 9 Upgrading the Monitoring and Reporting databases Backing up the upgraded Enterprise Vault databases Upgrading indexing metadata and schema version Starting all the Enterprise Vault services Chapter 8 Chapter 9 Chapter 10 Multiple servers: upgrading the Enterprise Vault server software About upgrading multiple Enterprise Vault servers Installing the Enterprise Vault server software on multiple servers Upgrading the Directory database and the Storage databases Running Enterprise Vault Database Upgrader Monitoring the progress of Database Upgrader Upgrading the auditing database Upgrading the Monitoring and Reporting databases Backing up the upgraded Enterprise Vault databases Upgrading indexing metadata and schema version Starting all the Enterprise Vault services Veritas Cluster Server: upgrading the Enterprise Vault server software About upgrading a Veritas cluster Installing the Enterprise Vault server software Upgrading the Directory database and the Storage databases Running Enterprise Vault Database Upgrader Monitoring the progress of Database Upgrader Upgrading the auditing database Upgrading the Monitoring and Reporting databases Backing up the upgraded Enterprise Vault databases Upgrading indexing metadata and schema version Starting all the Enterprise Vault services Windows Server Failover Clustering: upgrading the Enterprise Vault server software About upgrading a Windows Server Failover Cluster Installing the Enterprise Vault server software Upgrading the Directory database and the Storage databases Running Enterprise Vault Database Upgrader Monitoring the progress of Database Upgrader Upgrading the auditing database Upgrading the Monitoring and Reporting databases... 66

10 Contents 10 Backing up the upgraded Enterprise Vault databases Upgrading indexing metadata and schema version Starting all the Enterprise Vault services Chapter 11 Upgrading standalone Administration Consoles Upgrading standalone Administration Consoles Chapter 12 Upgrading Enterprise Vault Reporting Upgrading Enterprise Vault Reporting Installing the Enterprise Vault Reporting component Running the Enterprise Vault Reporting Configuration utility Chapter 13 Upgrading MOM and SCOM Upgrading MOM Upgrading the Enterprise Vault SCOM management pack About the supplied management packs About the upgrade procedure Chapter 14 Upgrading Exchange Server forms About upgrading Exchange Server forms Chapter 15 Upgrading Domino mailbox archiving About upgrading Domino mailbox archiving Domino client version required to run EVInstall.nsf Preparing for the upgrade of Domino mailbox archiving Upgrading Domino mailbox archiving Granting the Domino archiving user access to mail files Identifying internal mail recipients Run the Domino provisioning task Chapter 16 Upgrading the FSA Agent Compatible versions of the FSA Agent and Enterprise Vault server About upgrading the FSA Agent Upgrading FSA Agent services that are clustered for high availability Upgrading the FSA Agent on a target Windows file server from the Administration Console... 88

11 Contents 11 Upgrading the FSA Agent on an FSA Reporting proxy server from the Administration Console Upgrading the FSA Agent manually Chapter 17 Upgrading OWA and RPC Extensions About upgrading OWA and RPC Extensions Upgrading Enterprise Vault OWA 2010 Extensions Upgrading Enterprise Vault OWA 2007 Extensions Upgrading Enterprise Vault OWA 2003 Extensions Preparing EVServers.txt OWA 2003: Installing the Enterprise Vault OWA 2003 Extensions Chapter 18 Upgrading SharePoint Server components About upgrading the SharePoint components Upgrading the Enterprise Vault SharePoint components Chapter 19 Upgrading SMTP archiving About upgrading SMTP Archiving Chapter 20 Upgrading your Enterprise Vault sites to use Enterprise Vault Search About Enterprise Vault Search About the server requirements for Enterprise Vault Search Net.Tcp Listener Adapter service (NetTcpActivator) Enterprise Vault on Windows Server About the client requirements for Enterprise Vault Search Upgrading an Enterprise Vault site to use Enterprise Vault Search Defining search policies for Enterprise Vault Search Setting up provisioning groups for Enterprise Vault Search Changing the order in which Enterprise Vault processes the search provisioning groups Creating and configuring Client Access Provisioning tasks for Enterprise Vault Search Configuring user browsers for Enterprise Vault Search Configuring Enterprise Vault Search for use in TMG or similar environments Setting up Enterprise Vault Search Mobile edition

12 Contents 12 Carrying out preinstallation tasks for Enterprise Vault Search Mobile edition Installing Enterprise Vault Search Mobile edition Verifying the installation of Enterprise Vault Search Mobile edition Chapter 21 Upgrading Enterprise Vault API applications Upgrading any applications that use the Enterprise Vault API Runtime

13 Chapter 1 About this guide This chapter includes the following topics: Introducing this guide Where to get more information about Enterprise Vault Comment on the documentation Introducing this guide This guide describes how to upgrade to Enterprise Vault If you are performing a new installation of Enterprise Vault, see the Enterprise Vault ReadMeFirst. Then follow the installation instructions in Installing and Configuring, which is in the Symantec Enterprise Vault\Documentation folder on the Enterprise Vault release media. For the most up-to-date versions of this guide and of the ReadMeFirst, see the following page on the Symantec Support website: Where to get more information about Enterprise Vault Table 1-1 lists the documentation that accompanies Enterprise Vault.

14 About this guide Where to get more information about Enterprise Vault 14 Table 1-1 Document Enterprise Vault documentation set Comments Symantec Enterprise Vault Documentation Library Includes all the following documents in Windows Help (.chm) format so that you can search across them all. It also includes links to the guides in Acrobat (.pdf) format. You can access the library in several ways, including the following: On the Windows Start menu, click Start > Programs > Enterprise Vault > Documentation. In Windows Explorer, browse to the Documentation\language subfolder of the Enterprise Vault installation folder, and then open the EV_Help.chm file. On the Help menu in the Administration Console, click Help on Enterprise Vault. Introduction and Planning Deployment Scanner Installing and Configuring Upgrade Instructions Setting up Exchange Server Archiving Setting up Domino Server Archiving Setting up File System Archiving Setting up IMAP Setting up SharePoint Server Archiving Setting up SMTP Archiving Administrator s Guide Provides an overview of Enterprise Vault functionality. Describes how to check the required software and settings before you install Enterprise Vault. Provides detailed information on setting up Enterprise Vault. Describes how to upgrade an existing Enterprise Vault installation to the latest version. Describes how to archive items from Microsoft Exchange user mailboxes, journal mailboxes, and public folders. Describes how to archive items from Domino mail files and journal databases. Describes how to archive the files that are held on network file servers. Describes how to configure IMAP client access to Exchange archives, and to Internet mail archives. Describes how to archive content from Microsoft SharePoint servers. Describes how to archive SMTP messages from other messaging servers. Describes how to perform day-to-day administration procedures.

15 About this guide Where to get more information about Enterprise Vault 15 Table 1-1 Document Enterprise Vault documentation set (continued) Comments Backup and Recovery NSF Migration PST Migration Reporting Utilities PowerShell Cmdlets Registry Values Help for Administration Console Help for Enterprise Vault Operations Manager Describes how to implement an effective backup strategy to prevent data loss, and how to provide a means for recovery in the event of a system failure. Describes how to migrate content from Domino and Notes NSF files into Enterprise Vault archives. Describes how to migrate content from Outlook PST files into Enterprise Vault archives. Describes how to implement Enterprise Vault Reporting, which provides reports on the status of Enterprise Vault servers, archives, and archived items. If you configure FSA Reporting, additional reports are available for file servers and their volumes. Describes the Enterprise Vault tools and utilities. Describes how to perform various administrative tasks by running the Enterprise Vault PowerShell cmdlets. A reference document that lists the registry values with which you can modify many aspects of Enterprise Vault behavior. The online Help for the Enterprise Vault Administration Console. The online Help for Enterprise Vault Operations Manager. For the latest information on supported devices and versions of software, see the Enterprise Vault Compatibility Charts book, which is available from this address: How To articles on the Symantec Support website Most of the information in the Enterprise Vault administration guides is also available online as articles on the Symantec Support website. You can access these articles by searching the Internet with any popular search engine, such as Google, or by following the procedure below.

16 About this guide Comment on the documentation 16 To access the How To articles on the Symantec Support website 1 Type the following in the address bar of your web browser, and then press Enter: 2 In the Supported Products A-Z page, choose the required product, such as Enterprise Vault for Microsoft Exchange. 3 Search for a word or phrase by using the Knowledge Base Search feature, or browse the list of most popular subjects. Enterprise Vault training modules The Enterprise Vault Tech Center ( provides free, publicly available training modules for Enterprise Vault. Modules are added regularly and currently include the following: Installation Configuration Getting Started Wizard Preparing for Exchange 2010 Archiving Assigning Exchange 2007 and Exchange 2010 Permissions for Enterprise Vault Enterprise Vault File System Archiving More advanced instructor-led training, virtual training, and on-demand classes are also available. For information about them, see Comment on the documentation Let us know what you like and dislike about the documentation. Were you able to find the information you needed quickly? Was the information clearly presented? Report errors and omissions, or tell us what you would find useful in future versions of our guides and online help. Please include the following information with your comment: The title and product version of the guide on which you want to comment. The topic (if relevant) on which you want to comment. Your name.

17 About this guide Comment on the documentation 17 your comment to Please only use this address to comment on product documentation. We appreciate your feedback.

18 Chapter 2 Before you begin This chapter includes the following topics: Server upgrade paths Documentation Server upgrade paths This guide describes how to upgrade to Enterprise Vault The only possible server upgrade paths to this version are from the following: Enterprise Vault 10.0 or any Enterprise Vault 10.0 service pack. Enterprise Vault 11.0 original release. If your Enterprise Vault servers are running a version of Enterprise Vault that is older than Enterprise Vault 10.0, you must first upgrade to Enterprise Vault 10.0 and then upgrade to Enterprise Vault Note: Enterprise Vault hotfixes that you have installed do not affect the upgrades. You do not have to remove Enterprise Vault hotfixes before you upgrade. Note: Do not upgrade to Enterprise Vault 10.0 and then immediately upgrade to Enterprise Vault You must complete the Enterprise Vault 10.0 post-installation tasks as described in the Enterprise Vault 10.0 upgrade instructions, before you upgrade to Enterprise Vault

19 Before you begin Documentation 19 Documentation The Enterprise Vault documentation is in the Symantec Enterprise Vault\Documentation folder on the Enterprise Vault media. For the latest information on supported software and storage devices, see the Enterprise Vault Compatibility Charts at the following page on the Symantec Support website:

20 Chapter 3 Points to note when upgrading from Enterprise Vault 10.0 This chapter includes the following topics: About this chapter Order of upgrade in an environment with Compliance Accelerator or Discovery Accelerator Admin service TEMP folder security checks Clearwell compatibility with Enterprise Vault Enabling fast browsing for Enterprise Vault Search Changes to storage queues Exchange Server 2013 support Support for Outlook 2013 SP1 on the Enterprise Vault server Enterprise Vault 10.0 original release server hotfix required to support the Outlook Add-In Assigning the required permissions to the Vault Service account Requirements for upgrading the Enterprise Vault databases Changes to best practice settings Changes to index roll-over

21 Points to note when upgrading from Enterprise Vault 10.0 About this chapter 21 Changes to support FSA targets without Administrator privileges for the Vault Service account About upgrading FSA targets that run a Server Core installation of Windows Default File Blocking location is no longer supported Changes to retention category settings for the deletion of archived items File System Archiving of files under Dynamic Access Control About this chapter Read this chapter if you are upgrading from any release of Enterprise Vault Read this chapter before you upgrade. You may need to take action to review or modify your configuration before or after the upgrade. For a list of the new features and fixes in Enterprise Vault , see the Enterprise Vault release notes document. Order of upgrade in an environment with Compliance Accelerator or Discovery Accelerator If the Enterprise Vault environment that you are upgrading includes Compliance Accelerator or Discovery Accelerator, you must upgrade the Accelerator versions to or later. Compliance Accelerator works with Enterprise Vault only, so you must upgrade Enterprise Vault before you upgrade Compliance Accelerator. Discovery Accelerator works with Enterprise Vault and later. The version of Discovery Accelerator can be the same as, but must not be lower than, the version of Enterprise Vault. The order in which you must upgrade the various components differs from the normal order.

22 Points to note when upgrading from Enterprise Vault 10.0 Admin service TEMP folder security checks 22 Order in which to perform the upgrade 1 If your environment includes Discovery Accelerator, install Discovery Accelerator on the Discovery Accelerator server. Then upgrade the Discovery Accelerator databases, and install the Discovery Accelerator client software on each client computer. 2 Upgrade Enterprise Vault to version on all Enterprise Vault servers. Note: If your environment includes Compliance Accelerator, do not start the Enterprise Vault Storage service on any Enterprise Vault Storage server until you have upgraded to Compliance Accelerator This ensures that the random sampling feature works seamlessly before and after the upgrade. 3 Upgrade Enterprise Vault to version on all Compliance Accelerator and Discovery Accelerator servers. 4 If your environment includes Compliance Accelerator, install Compliance Accelerator on the Compliance Accelerator server. Then upgrade the Compliance Accelerator databases, and install the Compliance Accelerator client software on each client computer. Note the following: Only start the Enterprise Vault Storage service on the Enterprise Vault Storage servers after you have fully upgraded Compliance Accelerator. In Compliance Accelerator , all the functions of the Journaling Connector have been incorporated into Enterprise Vault itself. So, there is no longer a need to configure and maintain one or more Journaling Connector installations. When you upgrade, Compliance Accelerator automatically removes any existing Journaling Connector installation. For more information on supported versions and upgrade paths, see the Enterprise Vault Compatibility Charts at and the article Supported upgrade paths for Enterprise Vault, Compliance Accelerator, Discovery Accelerator and Discovery Collector at Admin service TEMP folder security checks From Enterprise Vault version , the Admin service checks the accounts that have access to the TEMP folder, which can contain sensitive data. If the Admin service finds unauthorized access permissions, it writes an error to the event log and terminates immediately.

23 Points to note when upgrading from Enterprise Vault 10.0 Clearwell compatibility with Enterprise Vault 23 Access to the TEMP folder must be granted using a SID that is authorized in one of the following ways: The SID identifies one of the following: local Administrators group, local Backup Operators group, Domain Admins group, local system, System Operators group. The SID identifies one of the accounts that is listed in the TempFolderExceptions registry value. For more information, see the section called "Granting additional users and groups access to the TEMP folder" in the Installing and Configuring guide. Access is granted using the Creator Owner SID, and the current owner of the TEMP folder is allowed access under the previous conditions. The SID identifies a user, and it is the same as the SID of the user under which the Admin service is running. The Enterprise Vault Admin service checks the folder's discretionary access control list (DACL). If there is no DACL, the check fails and the service terminates immediately. If the DACL is present, the Admin service checks the SID in each access control entry (ACE) and terminates immediately if access to the TEMP folder is granted using a SID that is not authorized correctly. For more information about Enterprise Vault TEMP folder requirements, see the following technical note on the Symantec Support website: Clearwell compatibility with Enterprise Vault For details of the compatibility of Clearwell with Enterprise Vault, see the Clearwell ediscovery Platform Compatibility Matrix, which is available from Enabling fast browsing for Enterprise Vault Search Enterprise Vault can create metadata indexes for use with Enterprise Vault Search. These indexes enable faster browsing of archived items. If there is no metadata index for an archive, Enterprise Vault Search uses the archive's own index but browsing is slower. When you upgrade from Enterprise Vault 10.0 no archives are enabled for fast browsing. Fast browsing is always enabled for IMAP. If you choose to enable fast browsing, you can do so in the following ways:

24 Points to note when upgrading from Enterprise Vault 10.0 Changes to storage queues 24 Use the Administration Console. You can choose to enable new archives at the time that they are created. On the Archive Settings tab of Site properties you can enable all archives of a particular type. For example, you can enable all Exchange mailbox archives. You can also enable archives individually, by editing the properties of each archive. This method is not suitable if you need to enable more than a few archives. Use a PowerShell script. The New-EVMDSBuildTask PowerShell script lets you enable a large number of archives for fast browsing. Changes to storage queues Enterprise Vault 11.0 introduced a new storage queue for each Storage service. Following upgrade, Enterprise Vault creates the new storage queue automatically when you start the Storage service. For more information, including details of how to change the storage queue location, see Managing the Storage queue in the Administrator s Guide. Exchange Server 2013 support Enterprise Vault introduced support for Exchange Server 2013 archiving. If you plan to implement Exchange 2013 archiving, check that the additional requirements for archiving Exchange Server 2013 targets are satisfied. See Additional requirements for Exchange Server archiving in Installing and Configuring. If you use a database availability group (DAG) in your Exchange Server environment, you must set up archiving for all members of the DAG. See Using Exchange Server database availability groups in Setting up Exchange Server Archiving. The Enterprise Vault documentation is in the Symantec Enterprise Vault\Documentation folder on the Enterprise Vault media. For more information about the configuration of Exchange 2013 archiving, see the following article on the Symantec Support website:

25 Points to note when upgrading from Enterprise Vault 10.0 Support for Outlook 2013 SP1 on the Enterprise Vault server 25 Support for Outlook 2013 SP1 on the Enterprise Vault server Enterprise Vault supports Outlook 2013 SP1 (32-bit version) on the Enterprise Vault server. The following versions of Outlook 2013 are not supported: Outlook 2013 SP1 (64-bit version) Outlook 2013 Original Release Note: Outlook performance counters must be disabled when Outlook 2013 SP1 is installed on the Enterprise Vault server. The Enterprise Vault Admin service automatically disables the Outlook performance counters if it detects Outlook 2013 on the Enterprise Vault server. To upgrade to Outlook 2013 SP1 1 Stop the Enterprise Vault Admin service on the Enterprise Vault server. 2 Install Outlook 2013 SP1. 3 Restart all the Enterprise Vault services. Enterprise Vault 10.0 original release server hotfix required to support the Outlook Add-In Note: This section applies only if you are upgrading from the Enterprise Vault 10.0 original release. If you plan to roll out the Enterprise Vault Outlook Add-In to users before you upgrade the Enterprise Vault servers, you must apply a hotfix to the Enterprise Vault servers to avoid the restrictions listed in this section. The link to the relevant technical note and the hotfix that is required to support the Enterprise Vault Outlook Add-In with Enterprise Vault server 10.0 original release is as follows: The following restrictions apply to the Enterprise Vault Outlook Add-In if you have not installed the hotfix on Enterprise Vault servers that have not been upgraded:

26 Points to note when upgrading from Enterprise Vault 10.0 Assigning the required permissions to the Vault Service account 26 You cannot view the Enterprise Vault properties of a mailbox, a mailbox folder, or a public folder. The Enterprise Vault Properties page says that the functionality is not available. You cannot change the setting of the option to suspend archiving for a mailbox. When you store items manually in full mode, Enterprise Vault displays the light mode Store in Vault dialog box. The light mode dialog box does not include options to choose a vault or a retention category. Assigning the required permissions to the Vault Service account Note: This section applies only if you are upgrading from Enterprise Vault or later. From Enterprise Vault the Enterprise Vault databases contain a set of roles that let you revoke the Vault Service account's ownership of the databases, and assign only the minimum permissions it needs to run Enterprise Vault. If you have revoked the Vault Service account's ownership of the databases, you must assign the Vault Service account to the EVUpgradeRole before you begin the upgrade. Revoke the Vault Service account's membership of the EVUpgradeRole when you have completed the upgrade. For more details, see the following document on the Symantec Support website: Requirements for upgrading the Enterprise Vault databases The following sections discuss the additional space requirements for the upgrade of the Enterprise Vault databases. Note: Enterprise Vault does not let you proceed with the upgrade unless a suitable amount of space is available for the Directory database upgrade. See Directory database upgrade requirements on page 27.

27 Points to note when upgrading from Enterprise Vault 10.0 Changes to best practice settings 27 Directory database upgrade requirements When the Directory service starts for the first time after you install the Enterprise Vault software, it upgrades the Directory database schema. The upgrade of the Directory database schema requires additional disk space on the SQL Server computer, mainly for log file growth. You can reclaim most of this additional space by routine database maintenance after the upgrade. The required amount of space for the upgrade depends on which recovery model the database uses. Table 3-1 lists the additional space requirements. Table 3-1 Space required for the upgrade of the Directory database Directory database recovery model Simple or Bulk-logged Full Required additional space on the volume that holds the database transaction log files Twice the combined size of the Directory database data files Four times the combined size of the Directory database data files Note: Enterprise Vault does not let you proceed with the upgrade unless this additional space is available. These estimated space requirements are based on the assumption that you perform the recommended maintenance activities when you back up the database before the upgrade. See Backing up Enterprise Vault data on page 39. The upgrade of a large Directory database may take a long time to complete. The upgrade time depends on the size of the database, the database recovery model, the upgrade path, and the available resources. Changes to best practice settings Note: This section applies only if you are upgrading from the Enterprise Vault 10.0 original release. The Enterprise Vault installation program checks whether the Enterprise Vault uses the best practice registry values. If not all the best practice registry values are set the installation program can set them automatically. The following changes have been made to the best practice settings:

28 Points to note when upgrading from Enterprise Vault 10.0 Changes to index roll-over 28 New setting: AttachmentMax New setting: RecipientMax Changed setting: MachineQuota. Changed from 4 GB to 8 GB. For information about these settings, see the section "Best practice settings for Enterprise Vault servers" in the Administrator's Guide. Changes to index roll-over Note: This section applies only if you are upgrading from the Enterprise Vault 10.0 original release. In the Enterprise Vault 10.0 original release there was a single setting that controlled the maximum size of an index volume. In Enterprise Vault there is a setting for the indexes of each archive type, as follows: Maximum items in a mailbox index volume Maximum items in a journal index volume Maximum items in a public folder index volume Maximum items in a SharePoint index volume Maximum items in a shared index volume Maximum items in a file system index volume When you install Enterprise Vault , all these settings have a default of 5,000,000 items. If you have previously modified the maximum size of index volumes you must change the appropriate setting after you install Enterprise Vault For details of the individual settings, see the section Computer properties advanced settings in the Administrator's Guide. Changes to support FSA targets without Administrator privileges for the Vault Service account Note: The following changes were introduced with Enterprise Vault File System Archiving previously required that the Vault Service account was a member of the local Administrators group on target Windows file servers. Now the

29 Points to note when upgrading from Enterprise Vault 10.0 Changes to support FSA targets without Administrator privileges for the Vault Service account 29 Vault Service account can run as a member of the built-in local Print Operators group, with some additional permissions and privileges. This change enables Enterprise Vault to archive from file servers when the granting of local Administrator rights is not advisable, for example: If the file server is a domain controller. An account that is a member of the local Administrators group on a domain controller is promoted to a Domain Administrator, which has far more privileges than Enterprise Vault requires. We recommend that you do not make the Vault Service account a Domain Administrator. If your company forbids the granting of local Administrator rights to computer service accounts. See Permissions and privileges required by the Vault Service account on Windows file servers in the Setting up File System Archiving guide. Note the following changes that take effect after an upgrade to Enterprise Vault or later: When you install or upgrade the FSA Agent, Enterprise Vault no longer adds the Vault Service account to the local Administrators group on the file server. Now it adds the Vault Service account to the Print Operators group, and grants the additional required permissions and privileges. To install the FSA Agent, or to configure the FSA resource for a file server cluster, you must use an account that is a member of the local Administrators group on the file server or file servers. To configure the FSA resource for a file server cluster, the account must also have Full Control permission on the Enterprise Vault server's FSA Cluster folder. This folder is in the Utilities subfolder of the Enterprise Vault installation folder, for example C:\Program Files (x86)\enterprise Vault\Utilities\FSA Cluster. If you change the Vault Service account, you must ensure that the new account is granted the required permissions and privileges on all target Windows file servers. A new utility is provided to help you to perform this task. See EVFSASetRightsAndPermissions in the Utilities guide.

30 Points to note when upgrading from Enterprise Vault 10.0 About upgrading FSA targets that run a Server Core installation of Windows 30 About upgrading FSA targets that run a Server Core installation of Windows Note: This section applies if you are upgrading from Enterprise Vault , and you have FSA targets that run a Server Core installation of Windows Server 2008 R2. Enterprise Vault added support for File Blocking and FSA Reporting from Server Core installations of some versions of Windows. If you have Enterprise Vault FSA targets that run a Server Core installation of Windows Server 2008 R2, note that after the upgrade you can configure them for File Blocking or FSA Reporting if you want. After the upgrade these servers can also act as proxy servers for FSA Reporting, and as File Blocking agent servers for NetApp filers. For more details of the FSA support for Windows Server Core installations at this release, see the Enterprise Vault Compatibility Charts, at Default File Blocking location is no longer supported Note: The following changes were introduced with Enterprise Vault Previously, if neither a local quarantine location nor a central quarantine location was available for File Blocking, Enterprise Vault used the Quarantine subfolder of the file server's Enterprise Vault installation folder as a default location. From Enterprise Vault , File Blocking does not support a default quarantine location. If neither the local quarantine location nor a central quarantine location is available, Enterprise Vault logs an error in the event log and the file is not quarantined. If you use File Blocking, make sure that suitable quarantine locations are defined and available. To avoid the risk of quarantined files filling the system drive, do not place a quarantine location on the system drive. Specify a location that has sufficient free space to hold the quarantined files, and monitor regularly the space that the quarantined files occupy. See Configuring File Blocking in the Setting up File System Archiving guide.

31 Points to note when upgrading from Enterprise Vault 10.0 Changes to retention category settings for the deletion of archived items 31 Changes to retention category settings for the deletion of archived items In the properties of a retention category, the setting Prevent deletion of archived items in this category is replaced on upgrade by the following two settings: Prevent automatic deletion of expired items with this category Prevent user deletion of items with this category On upgrade, both of these settings are turned on for an existing retention category if Prevent deletion of archived items in this category was turned on. In File System Archiving note that of the two new settings, only Prevent user deletion of items with this category overrides the archiving policy setting Delete archived file when placeholder is deleted. File System Archiving of files under Dynamic Access Control Note: Read this section if you are upgrading from Enterprise Vault and you use File System Archiving. On upgrade, File System Archiving s volume and folder policies include a new option on the Permissions tab which lets you choose whether to archive or ignore files that are under Dynamic Access Control (DAC). The default policy setting is not to archive any files that are under Dynamic Access Control. Note that this is a change in behavior from Enterprise Vault , where File System Archiving did not recognize DAC-related access control entries. For more information about archiving files that are under Dynamic Access Control, see About archiving from Windows Server 2012 file servers in the Setting up File System Archiving guide.

32 Chapter 4 Points to note when upgrading from Enterprise Vault 11.0 This chapter includes the following topics: About this chapter Order of upgrade in an environment with Compliance Accelerator or Discovery Accelerator Admin service TEMP folder security checks Support for Outlook 2013 SP1 on the Enterprise Vault server About this chapter Read this chapter before performing the upgrade. You may need to take action to review or modify your configuration before or after the upgrade. Order of upgrade in an environment with Compliance Accelerator or Discovery Accelerator If the Enterprise Vault environment that you are upgrading includes Compliance Accelerator or Discovery Accelerator, you must upgrade the Accelerator versions to or later. Compliance Accelerator works with Enterprise Vault only, so you must upgrade Enterprise Vault before you upgrade Compliance Accelerator.

33 Points to note when upgrading from Enterprise Vault 11.0 Order of upgrade in an environment with Compliance Accelerator or Discovery Accelerator 33 Discovery Accelerator works with Enterprise Vault and later. The version of Discovery Accelerator can be the same as, but must not be lower than, the version of Enterprise Vault. The order in which you must upgrade the various components differs from the normal order. Order in which to perform the upgrade 1 If your environment includes Discovery Accelerator, install Discovery Accelerator on the Discovery Accelerator server. Then upgrade the Discovery Accelerator databases, and install the Discovery Accelerator client software on each client computer. 2 Upgrade Enterprise Vault to version on all Enterprise Vault servers. Note: If your environment includes Compliance Accelerator, do not start the Enterprise Vault Storage service on any Enterprise Vault Storage server until you have upgraded to Compliance Accelerator This ensures that the random sampling feature works seamlessly before and after the upgrade. 3 Upgrade Enterprise Vault to version on all Compliance Accelerator and Discovery Accelerator servers. 4 If your environment includes Compliance Accelerator, install Compliance Accelerator on the Compliance Accelerator server. Then upgrade the Compliance Accelerator databases, and install the Compliance Accelerator client software on each client computer. Note the following: Only start the Enterprise Vault Storage service on the Enterprise Vault Storage servers after you have fully upgraded Compliance Accelerator. In Compliance Accelerator , all the functions of the Journaling Connector have been incorporated into Enterprise Vault itself. So, there is no longer a need to configure and maintain one or more Journaling Connector installations. When you upgrade, Compliance Accelerator automatically removes any existing Journaling Connector installation. For more information on supported versions and upgrade paths, see the Enterprise Vault Compatibility Charts at and the article Supported upgrade paths for Enterprise Vault, Compliance Accelerator, Discovery Accelerator and Discovery Collector at

34 Points to note when upgrading from Enterprise Vault 11.0 Admin service TEMP folder security checks 34 Admin service TEMP folder security checks From Enterprise Vault version , the Admin service checks the accounts that have access to the TEMP folder, which can contain sensitive data. If the Admin service finds unauthorized access permissions, it writes an error to the event log and terminates immediately. Access to the TEMP folder must be granted using a SID that is authorized in one of the following ways: The SID identifies one of the following: local Administrators group, local Backup Operators group, Domain Admins group, local system, System Operators group. The SID identifies one of the accounts that is listed in the TempFolderExceptions registry value. For more information, see the section called "Granting additional users and groups access to the TEMP folder" in the Installing and Configuring guide. Access is granted using the Creator Owner SID, and the current owner of the TEMP folder is allowed access under the previous conditions. The SID identifies a user, and it is the same as the SID of the user under which the Admin service is running. The Enterprise Vault Admin service checks the folder's discretionary access control list (DACL). If there is no DACL, the check fails and the service terminates immediately. If the DACL is present, the Admin service checks the SID in each access control entry (ACE) and terminates immediately if access to the TEMP folder is granted using a SID that is not authorized correctly. For more information about Enterprise Vault TEMP folder requirements, see the following technical note on the Symantec Support website: Support for Outlook 2013 SP1 on the Enterprise Vault server Enterprise Vault supports Outlook 2013 SP1 (32-bit version) on the Enterprise Vault server. The following versions of Outlook 2013 are not supported: Outlook 2013 SP1 (64-bit version) Outlook 2013 Original Release

35 Points to note when upgrading from Enterprise Vault 11.0 Support for Outlook 2013 SP1 on the Enterprise Vault server 35 Note: Outlook performance counters must be disabled when Outlook 2013 SP1 is installed on the Enterprise Vault server. The Enterprise Vault Admin service automatically disables the Outlook performance counters if it detects Outlook 2013 on the Enterprise Vault server. To upgrade to Outlook 2013 SP1 1 Stop the Enterprise Vault Admin service on the Enterprise Vault server. 2 Install Outlook 2013 SP1. 3 Restart all the Enterprise Vault services.

36 Chapter 5 Steps to upgrade your system This chapter includes the following topics: Overview of the upgrade process Overview of the upgrade process Overview of the upgrade process 1 Prepare the Enterprise Vault servers for the upgrade: See About Enterprise Vault server preparation on page Install and configure the Enterprise Vault server software as described in the appropriate chapter for your installation. See About upgrading a single Enterprise Vault server on page 43. See About upgrading multiple Enterprise Vault servers on page 49. See About upgrading a Veritas cluster on page 55. See About upgrading a Windows Server Failover Cluster on page Upgrade any computers that are running just the Enterprise Vault Administration Console. See Upgrading standalone Administration Consoles on page Upgrade any computers that are running Enterprise Vault Reporting. See Upgrading Enterprise Vault Reporting on page Perform the post-installation tasks as necessary: Upgrade Exchange Server forms.

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