FileNet P8

Version 5.2.1

Plan and Prepare Your Environment for

FileNet P8 for upgrade on Microsoft
Windows with Microsoft SQL Server,
IBM WebSphere Application Server,
and Windows Active Directory

IBM

GC19-3927-04
FileNet P8
Version 5.2.1

Plan and Prepare Your Environment for

FileNet P8 for upgrade on Microsoft
Windows with Microsoft SQL Server,
IBM WebSphere Application Server,
and Windows Active Directory

IBM

GC19-3927-04
 Note
Before using this information and the product it supports, read the information in “Notices” on page 55.

This edition applies to version 5.2.1 of IBM FileNet Content Manager (product number 5724-R81), version 5.2.1 of
IBM Case Foundation (product number 5724-R76), and to all subsequent releases and modifications until otherwise
indicated in new editions.
© Copyright IBM Corporation 2001, 2016.
US Government Users Restricted Rights – Use, duplication or disclosure restricted by GSA ADP Schedule Contract
with IBM Corp.
Contents
ibm.com and related resources. . . . . v Creating Content Platform Engine directory
Contacting IBM . . . . . . . . . . . . . v server accounts for upgrades . . . . . . 21
Creating the application server
Planning and preparing for FileNet P8 administrative console user (WebSphere
Application Server) . . . . . . . . . 22
upgrade . . . . . . . . . . . . . . . 1 Database administrator upgrade tasks . . . . 22
Planning the upgrade . . . . . . . . . . . 1 Database administrator planning . . . . . 23
Upgrade scenarios . . . . . . . . . . . 1 Planning for SQL Server database upgrades 24
Upgrade on an existing server instance . . . 3 Planning the IBM Content Search Services
Upgrade with migration to a new server upgrade . . . . . . . . . . . . . 27
instance . . . . . . . . . . . . . . 4 Application Server administrator upgrade tasks 27
Migration upgrade overview and roadmap 4 Creating the application server administrator 27
Upgrade planning considerations . . . . . . 6 Starting or stopping an application server
Upgrade system requirements for FileNet P8 . 7 instance . . . . . . . . . . . . . 28
Upgrade system requirements for FileNet P8 Configuring the application server for Content
expansion products . . . . . . . . . . 7 Platform Engine . . . . . . . . . . . 29
FileNet P8 eForms . . . . . . . . . 7 FileNet P8 administrator upgrade tasks . . . . 30
Content Federation Services . . . . . . 7 Enabling the Asynchronous Processing
IBM Enterprise Records. . . . . . . . 7 dispatcher . . . . . . . . . . . . . 30
Upgrading or migrating the underlying vendor Preparing Process Engine for upgrade
software supported by Content Platform (upgrades from versions 4.5.1, 5.0.0, 5.1.0) . . 31
Engine . . . . . . . . . . . . . . 8 Collecting settings for peupgrade wizard
Planning Process Engine upgrades (versions (upgrades from versions 4.5.1, 5.0.0, 5.1.0) . . 31
4.5.1, 5.0.0, 5.1.0) . . . . . . . . . . . 8 Collecting configuration information for
Definition of upgrade roles . . . . . . . . 9 Process Engine DbExecute connections
Using the installation and upgrade worksheet . . 10 (upgrades from 4.5.1) . . . . . . . . . 33
Running the Customize Worksheet macro . . 11 | Saving Component Manager custom settings
Autofiltering and sorting the Worksheet . . . 12 | for CE_Operations (upgrades from V5.1 or
Performing the required upgrade preparation tasks 12 | earlier) . . . . . . . . . . . . . . 34
IT administrator upgrade tasks . . . . . . . 13
Creating operating system accounts for
upgrades . . . . . . . . . . . . . 13
Appendix A. Preparing non-English
Creating the Content Platform Engine environments for installing FileNet P8 . 37
installer account . . . . . . . . . . 14 IT administrator . . . . . . . . . . . . . 37
Creating the Process Engine upgrade Operating system considerations . . . . . . 38
account (upgrades from versions 4.5.1, Microsoft Windows . . . . . . . . . . . 38
5.0.0, 5.1.0). . . . . . . . . . . . 15 Security administrator . . . . . . . . . . . 39
Creating Configuration Manager user . . 15 Extended characters and user names . . . . . 39
Creating the Content Platform Engine Database administrator . . . . . . . . . . 39
application server installation account . . 16 Installing Microsoft SQL Server . . . . . . . 39
Creating the Content Platform Engine Application Server administrator . . . . . . . 40
application server installation group . . . 17 | Configuring character encoding on WebSphere
Configuring Microsoft Windows . . . . . 17 | Application Server . . . . . . . . . . . 40
Configuring Windows for FileNet P8 FileNet P8 administrator . . . . . . . . . . 40
servers . . . . . . . . . . . . . 18 Limitations on installing in a non-English
Configuring Windows for .NET and COM environment . . . . . . . . . . . . . . 40
compatibility clients . . . . . . . . 18
Configuring Windows for Active Directory 18 Appendix B. FileNet P8 ports . . . . . 43
Adding inbound rules to Windows 2008 Content Platform Engine ports . . . . . . . . 44
and 2012 firewalls . . . . . . . . . 18 Application Engine and Workplace XT ports . . . 47
Configuring operating system elements . . . 19 Process Simulator ports . . . . . . . . . . 47
Configuring network communications . . 19 Content Search Services ports . . . . . . . . 48
Synchronizing machine clocks . . . . . 19 Rendition Engine and Content Platform Engine
Using IBM Support data collection tools . . . 20 ports for LIQUENT . . . . . . . . . . . . 49
Security administrator upgrade tasks . . . . . 20 Database ports . . . . . . . . . . . . . 51
Security upgrade planning considerations . . 21

© Copyright IBM Corp. 2001, 2016 iii

IBM System Dashboard for Enterprise Content Privacy policy considerations . . . . . . . . 58
Management ports . . . . . . . . . . . . 52
Content Services for FileNet Image Services ports . 53 Index . . . . . . . . . . . . . . . 61

Notices . . . . . . . . . . . . . . 55
Trademarks . . . . . . . . . . . . . . 57

iv Planning for FileNet P8

ibm.com and related resources
Product support and documentation are available from ibm.com®.

Support and assistance

From ibm.com, click Support & downloads and select the type of support that you
need. From the Support Portal, you can search for product information, download
fixes, open service requests, and access other tools and resources.

IBM® Knowledge Center

You can view the product documentation online in IBM Knowledge Center or in
an Eclipse-based information center that you can install when you install the
product. By default, the information center runs in a web server mode that other
web browsers can access. You can also run it locally on your workstation.

Use the following links to view the IBM Knowledge Center online product
documentation that is appropriate for your configuration. For IBM FileNet® P8
documentation, see http://www.ibm.com/support/knowledgecenter/
SSNW2F_5.2.1/. For IBM Content Foundation, see http://www.ibm.com/support/
knowledgecenter/SSGLW6_5.2.1/.

PDF publications

See the PDF publications that are available for your product at the following links:

Product Website
IBM FileNet P8 Platform http://www.ibm.com/support/
publication library docview.wss?uid=swg27042122
IBM Content Foundation http://www.ibm.com/support/
publication library docview.wss?uid=swg27042128

“Contacting IBM”
For general inquiries, call 800-IBM-4YOU (800-426-4968). To contact IBM
customer service in the United States or Canada, call 1-800-IBM-SERV
(1-800-426-7378).

Contacting IBM
For general inquiries, call 800-IBM-4YOU (800-426-4968). To contact IBM customer
service in the United States or Canada, call 1-800-IBM-SERV (1-800-426-7378).

For more information about how to contact IBM, including TTY service, see the
Contact IBM website at http://www.ibm.com/contact/us/.

© Copyright IBM Corp. 2001, 2016 v

vi Planning for FileNet P8
Planning and preparing for FileNet P8 upgrade
To prepare to upgrade your FileNet P8 installation, you must review the upgrade
planning information to determine what kind of upgrade you will carry out. You
must also complete the prerequisite tasks assigned to the various Roles.
“Planning the upgrade”
Carefully review the information provided to plan your FileNet P8 system
upgrade.
“Performing the required upgrade preparation tasks” on page 12
To efficiently carry out the required upgrade preparation tasks, assign a
member of your staff to carry out the tasks assigned to each role.

Planning the upgrade

Carefully review the information provided to plan your FileNet P8 system
upgrade.

In version 5.2, the Content Engine, Process Engine, and Case Analyzer were
combined and now run as a single deployed application. This is the Content
Platform Engine. This content and workflow management software runs on every
application server instance where it is deployed. It is recommended that you
contact your IBM representative to review capacity planning and load balancing
before you upgrade.

All data in the existing global configuration database, object stores, and workflow
system are automatically upgraded when you deploy the upgraded Content
Platform Engine EAR file.
“Upgrade scenarios”
Upgrade planning depends on the details of your existing installation. The
starting version and platform choices all influence the upgrade path of your
existing components.
“Upgrade planning considerations” on page 6
Review all upgrade planning information related to requirements for upgrading
an FileNet P8 system and expansion products, as well as other vendor products
associated with the FileNet P8.
“Definition of upgrade roles” on page 9
Your organization may have different roles, and some of the responsibilities of
listed roles will vary from those assigned by default.
“Using the installation and upgrade worksheet” on page 10
The Installation and Upgrade Worksheet is a Microsoft Excel spreadsheet
(p8_worksheet.xls). The worksheet describes the properties and parameters
required to complete FileNet P8 installation, upgrade, and configuration
programs, and provides a way to record the values you assign to these
properties and parameters.

Upgrade scenarios
Upgrade planning depends on the details of your existing installation. The starting
version and platform choices all influence the upgrade path of your existing
components.

© Copyright IBM Corp. 2001, 2016 1

 Starting with version 5.2, Content Engine, Process Engine, and Case Analyzer are
combined into the Content Platform Engine. The Content Platform Engine server is
installed from a single installation program, and configured and deployed as a
single application server instance.
Table 1. Versions of components that can be upgraded.

Versions of components that can be

Component upgraded to FileNet P8 5.2.1
Content Platform Engine 5.2.0
Content Engine 4.5.1, 5.0.0, or 5.1.0
Process Engine 4.5.1, 5.0.0, or 5.1.0
Application Engine Application Engine software is not being
updated in the 5.2.1 FileNet P8 software
release.

(For upgrades from 5.2.0): The only

requirement is to update Content Platform
Engine client files on all Application Engine
servers.

(For upgrades from 4.5.1, 5.0.0, 5.1.0) Follow

the appropriate version of the Application
Engine upgrade instructions.
Workplace XT Workplace XT software is not being updated
in the 5.2.1 FileNet P8 software release.

(For upgrades from 5.2.0): The only

requirement is to update Content Platform
Engine client files on all Workplace XT
servers.

(For upgrades from 4.5.1, 5.0.0, 5.1.0) Follow

Workplace XT upgrade instructions. See
Installing the latest Content Engine Client
files on Workplace XT servers.
IBM Content Navigator IBM Content Navigator software is not being
updated in the 5.2.1 FileNet P8 software
release.

The only requirement is to update Content

Platform Engine client files on all IBM
Content Navigator servers.
IBM Content Search Services 5.0, 5.1, or 5.2
IBM Legacy Content Search Engine If you are running IBM Legacy Content
Search Engine and you want your system to
retain the ability to do content-based searches
after the upgrade of the system is complete,
you cannot upgrade directly from version
4.5.1 to version 5.2.1 software. You must first
upgrade FileNet P8 to version 5.1 and
complete the migration from IBM Legacy
Content Search Engine to IBM Content
Search Services. You can then upgrade from
version 5.1 to 5.2.1.

2 Planning for FileNet P8

Important: If the system you are upgrading is running WebSphere® Application
Server version 6.1, you must do an upgrade with a migration. The new application
server instance must be deployed on at least version 7 of WebSphere Application
Server.

(For upgrades from versions 4.5.1, 5.0.0 and 5.1.0) Content Engine, Process Engine,
and the following associated components must be upgraded together:
v Application Engine and depending on which version of Application Engine you
are upgrading from, the upgrade could be only the installation of a fix pack.
v IBM FileNet Workplace XT
v IBM Content Search Services
v Rendition Engine
v IBM FileNet Content Federation Services
v Case Analyzer and IBM FileNet Process Simulator can be upgraded at the same
time if you need full access to all case and simulation data after the upgrade.
However, you could upgrade these components later, such as the following
weekend. All backlogged data will be processed after those upgrades are
complete. See the Case Analyzer and IBM FileNet Process Simulator
documentation for information on upgrading those components.

(For upgrades from versions 5.2.0) Content Platform Engine and the following
associated components must be upgraded together:
v Application Engine client files
v IBM FileNet Workplace XT client files
v IBM Content Navigator client files
v IBM Content Search Services
v Rendition Engine
v IBM FileNet Content Federation Services
v Case Analyzer and IBM FileNet Process Simulator can be upgraded at the same
time if you need full access to all case and simulation data after the upgrade.
However, you could upgrade these components later, such as the following
weekend. All backlogged data will be processed after those upgrades are
complete. See the Case Analyzer and IBM FileNet Process Simulator
documentation for information on upgrading those components.

See the FileNet P8 Fix Pack Compatibility Matrices for a list of product-component
versions from which you can start an upgrade. .
“Upgrade on an existing server instance”
You can complete an upgrade on an existing server instance.
“Upgrade with migration to a new server instance” on page 4
An upgrade can be accomplished while also migrating from one server instance
to another. The new server instance could be on new hardware, or could be on
existing hardware. Making such a change is often part of the motivation for
doing the upgrade and it is important to have a well-understood process.

Upgrade on an existing server instance

You can complete an upgrade on an existing server instance.

(For upgrades from 5.2.0) This upgrade scenario assumes you are upgrading
Content Platform Engine on the application server where it is currently deployed
and making configuration changes to that deployment.

Planning and preparing for FileNet P8 upgrade 3

 (For upgrades from 4.5.1, 5.0.0, or 5.1.0) This upgrade scenario assumes you are
upgrading Content Engine on the application server where it is currently deployed
and making configuration changes to that deployment to include Process Engine
information.

| A server that was formerly a Process Engine server could also be used to install
| Content Platform Engine and Case Analyzer. This requires an installation of the
| same application server software that is installed on the other Content Platform
| Engine servers. Handle the configuration of this server like an upgrade with
| migration to a new server instance. Then add the new server as another node in
| the Content Platform Engine application server cluster.

Upgrade with migration to a new server instance

An upgrade can be accomplished while also migrating from one server instance to
another. The new server instance could be on new hardware, or could be on
existing hardware. Making such a change is often part of the motivation for doing
the upgrade and it is important to have a well-understood process.
“Migration upgrade overview and roadmap”
The goal of an upgrade that involves a migration to a new server instance is to
minimize the unavailability of the production system.

Migration upgrade overview and roadmap:

The goal of an upgrade that involves a migration to a new server instance is to

minimize the unavailability of the production system.

Upgrading large FileNet P8 systems involves significant work. The upgrade can be
particularly challenging if you are changing the underlying platform of major
system components, such as Content Platform Engine. Using this approach, you
might install and configure a new server instance, such as for the application
server or database server. The initial installation and configuration work can be
done without impacting the production system.

At a high level, complete the upgrade migration procedures by using the following
steps. Some steps are repeated for each major FileNet P8 component:
v Determine a time when you can run the upgrade, which must be done when
nobody is altering the production system data. The copy of the production data
(replica) must reflect the production system. Otherwise the upgrade is not on
current data.
| v Set up a second system that contains a copy of production data. With this
| approach, you can revert to the original system if you encounter problems
| during the upgrade. You can also do some of the initial installation and
| configuration without impact to the production system. This second system lets
| you move to different server instances, replacing or updating hardware for
| application servers or database servers. Try to reuse as many of the
| configuration settings as possible from the original system on the second system
| to reduce any configuration issues that might arise in the upgrade.
v On the second system, run all upgrade tasks that might alter data in a
production system.
v Typically, the file stores are also relocated to the new platform. If you do not
relocate your file stores, you must take extra steps to ensure that the file stores
can be accessed from the new system.
v Conduct various validation tests that use the production applications on the
upgraded replica system.

4 Planning for FileNet P8

 Migration roadmap
The migration roadmap lists the major steps that are required to upgrade
FileNet P8 onto a different set of servers. Use this roadmap as a template
for your own plan.
Table 2. Steps required to complete a migration upgrade.
Migration task. Where to go for instructions.
h Learn about upgrading FileNet P8. “Upgrade planning considerations” on page 6
h Create a replica of your FileNet P8 environment. This v Version 4.5.1: http://www.ibm.com/support/
scenario involves installing a new environment with the knowledgecenter/SSNW2F_4.5.1/welcome.html
same servers and same version of FileNet P8 as your
v Version 5.0.0: http://www.ibm.com/support/
production system.
knowledgecenter/SSNW2F_5.0.0/
v The GCD, object store, and Process Engine databases in com.ibm.p8toc.doc/ic-homepage.html
the replica must be backups of the databases that are
v Version 5.1.0: http://www.ibm.com/support/
used on the production system. If the database accounts
knowledgecenter/SSNW2F_5.1.0/
required by FileNet P8 are not included in the backup,
com.ibm.p8toc.doc/ic-homepage.html
create new instances of the accounts and use the same ID
and password as on your production system. v Version 5.2.0: http://www.ibm.com/support/
knowledgecenter/SSNW2F_5.2.0/
v The replica must use the same LDAP provider, LDAP
com.ibm.p8toc.doc/
configuration settings, and LDAP-based security accounts
filenetcontentmanager_5.2.0.htm
as the production system.
v The replica application server can start with a new
Configuration Manager profile or a copy of the
production Configuration Manager profile. The
installation instructions have sections for both these
possibilities.
v On the new Content Platform Engine computer, complete
the installation preparation tasks for the Application
Server administrator except for the tasks that are related
to Application Engine or Workplace XT, as these
components are not being upgraded now.
v As part of an upgrade or if you are moving Workplace
XT from 1.1.4 to 1.1.5, you might apply fix packs to
Application Engine or Workplace XT because the older
version is supported by older FileNet P8 releases.
v If you still have a copy of the installation and upgrade
worksheet for your production system, use it to help you
install the replica system. Do not use this older version of
the worksheet for upgrades.
h Download the 5.2.1 installation and upgrade worksheet. “Using the installation and upgrade worksheet” on
Run the customization macro and select Upgrade for the page 10
Procedure Type option. Use the customized worksheet to
enter values that are required for an upgrade.
h Prepare the replica for upgrade. Follow the steps in the “Performing the required upgrade preparation
upgrade preparation instructions. tasks” on page 12

Depending on your replica system, not all upgrade

preparation instructions apply to migration upgrades.
h Upgrade the replica. Follow the steps in the 5.2.1 upgrade
instructions. Upgrade instructions have separate sections for
whether you are working with a new configuration profile
in the replica or copied your former configuration profile
into the replica.
h When the replica system is tested and is ready for
production, disconnect the former system and make the
replica your new production system.

Planning and preparing for FileNet P8 upgrade 5

 Tip: Because large-system upgrades involve interacting with many system
components, a common approach is to go through a test upgrade run first. In this
scenario, you complete the upgrade on a test system, and then discard the test
system after you verify the integrity of the upgrade. You preserve the original
production system in case the upgrade fails and to minimize outages to the
production system. Running a test upgrade first takes more time than doing the
upgrade immediately, but it can minimize risk. The test upgrade approach involves
extra steps to completely replicate the production data. Replication is needed to
simulate production activities by using a duplicated system.

You can practice the upgrade of your production environment by using either of
these two methods:
v Upgrade the lower environments first by running practice upgrades in the
following order:
– Upgrade the development environment
– Upgrade the various test environments
– Upgrade the production environment
This method tests the process and validate that your applications are functioning
correctly at each environment level before you move production to the next
level.
v Practice the upgrade of the production environment by using the new
production environment.
– Early in the project cycle, copy the existing production databases and file
storage areas into the new environment
– Each time that you practice the upgrade, you apply only the updates that
were made to the data since the last practice run.
This method reduces the time that is needed to complete the final upgrade in
the required maintenance window. All of the required FileNet P8 and custom
application software is already installed in the new environment. You run only
incremental changes to the replicas of databases and file storage areas.

Upgrade planning considerations

Review all upgrade planning information related to requirements for upgrading an
FileNet P8 system and expansion products, as well as other vendor products
associated with the FileNet P8.
“Upgrade system requirements for FileNet P8” on page 7
Before you upgrade FileNet P8, verify that all components are at the minimum
supported versions, including fix pack levels.
“Upgrade system requirements for FileNet P8 expansion products” on page 7
To upgrade the FileNet P8 Platform expansion products, in addition to the tasks
described in those products' own Installation and Upgrade Guides, you must
carry out certain tasks regarding Content Platform Engine.
“Upgrading or migrating the underlying vendor software supported by Content
Platform Engine” on page 8
To remain in a supported configuration, some upgrade scenarios might require
that you also upgrade or migrate the underlying vendor software, such as the
application server or database server software.
“Planning Process Engine upgrades (versions 4.5.1, 5.0.0, 5.1.0)” on page 8
Upgrades of versions 4.5.1, 5.0.0, and 5.1.0 require the use of a Process Engine
upgrade wizard.

6 Planning for FileNet P8

Upgrade system requirements for FileNet P8
Before you upgrade FileNet P8, verify that all components are at the minimum
supported versions, including fix pack levels.

Apply the required minimum level FileNet P8 software updates for the release you
are currently running before you upgrade.

Applying a fix pack for one component might require fix packs for other
components. Prior to applying any fix pack, review the FileNet P8 Fix Pack
Compatibility Matrices to ensure compatibility between all installed components.

Upgrade system requirements for FileNet P8 expansion products

To upgrade the FileNet P8 Platform expansion products, in addition to the tasks
described in those products' own Installation and Upgrade Guides, you must carry
out certain tasks regarding Content Platform Engine.
“FileNet P8 eForms”
If FileNet P8 eForms is installed, undeploy it before upgrading Application
Engine. You can redeploy after the Application Engine upgrade is completed.
“Content Federation Services”
IBM FileNet Content Federation Services must be at the same version level as
Content Platform Engine.
“IBM Enterprise Records”
Depending upon which version of the records management product you are
using, there are tasks you must perform before you upgrade your Content
Platform Engine software. You must use different upgrade tools depending on
the version of records management software you are running.

FileNet P8 eForms:

If FileNet P8 eForms is installed, undeploy it before upgrading Application Engine.

You can redeploy after the Application Engine upgrade is completed.

For more information, see the appropriate topics for upgrading in the IBM FileNet
P8 eForms Installation and Upgrade Guide.

Content Federation Services:

IBM FileNet Content Federation Services must be at the same version level as
Content Platform Engine.

If IBM FileNet Content Federation Services is not at the same version level as
Content Platform Engine, shut it down and upgrade it to the same version level
after Content Engine has been upgraded.

For more information, see readme file that accompanied the latest IBM FileNet
Content Federation Services fix pack.

IBM Enterprise Records:

Depending upon which version of the records management product you are using,
there are tasks you must perform before you upgrade your Content Platform
Engine software. You must use different upgrade tools depending on the version of
records management software you are running.

Planning and preparing for FileNet P8 upgrade 7

 For more information, see the appropriate topic for upgrading your object stores in
the IBM Enterprise Records Installation and Upgrade Guide.

Upgrading or migrating the underlying vendor software

supported by Content Platform Engine
To remain in a supported configuration, some upgrade scenarios might require that
you also upgrade or migrate the underlying vendor software, such as the
application server or database server software.

Upgrading the underlying vendor software

For specifics on how to upgrade the underlying vendor software, see the
appropriate vendor documentation. Complete these vendor software upgrades
before you begin the upgrade but as part of the entire upgrade process.

Migrating the underlying vendor software

As an alternative to upgrading the existing instances of the underlying software,

you can choose to use a migration process. Migration involves creating a new
instance of the underlying software and then moving data and configuration
settings. Some steps in the upgrade procedures show where you must complete
different actions when you use a new application server or database server
instance.

| Important: If the system you are upgrading is running WebSphere Application

| Server, you must upgrade WebSphere Application Server with a migration. The
| new application server instance must be deployed on a later version of WebSphere
| Application Server. For more information, see IBM FileNet P8 system requirements.

Any new databases into which you migrate data must be populated by using the
database vendor’s appropriate database tools, such as backup and restore tools or
export and import tools. Perform database migration tasks only after you shut
down existing Content Platform Engine software and back up the databases. These
shutdown and backup actions help to ensure that all data that was in production is
moved to the new upgraded system.

Planning Process Engine upgrades (versions 4.5.1, 5.0.0, 5.1.0)

Upgrades of versions 4.5.1, 5.0.0, and 5.1.0 require the use of a Process Engine
upgrade wizard.

Upgrading Process Engine 4.5.1, 5.0.0, or 5.1.0 requires the following steps, which
are explained in the upgrade instructions:
v Install the Content Platform Engine and IBM Case Foundation 5.2.1 software on
an existing Content Engine application server or on a new application server.
v Define data sources for any Process Engine database that is not already shared
with an object store.
v Deploy the combined Content Platform Engine on the application server.
v Run the pre-upgrade wizard to gather configuration information for Process
Engine. Upon completion of the wizard, the upgrade of the Process Engine
database and isolated regions starts.

After the upgrade, the Process Engine is no longer a separate component. There is
a single deployment of both the Process Engine and Content Engine components in
the new Content Platform Engine. Each existing Process Engine database becomes

8 Planning for FileNet P8

 a legacy workflow system in the Content Platform Engine. You administer legacy
workflow systems, as well as new workflow systems, with the Administration
Console for Content Platform Engine.

| To move a legacy workflow system to the 5.2 style collocation model, you use the
| Region Move tool that is provided under Tools in the installation package. For
| detailed information on how to run the Region Move tool, see
| http://www-01.ibm.com/support/docview.wss?uid=swg27036552.

There are no longer any dependencies on the IBM FileNet Image Services software
and no IBM FileNet Image Services software is installed. You can remove the older
versions of Process Engine and IBM FileNet Image Services after successfully
installing the Content Platform Engine software and upgrading the database.

The Database administrator and FileNet P8 administrator upgrade tasks provide

more details.

Definition of upgrade roles

Your organization may have different roles, and some of the responsibilities of
listed roles will vary from those assigned by default.

The tasks in this guide as well as the rows in the Installation and Upgrade
Worksheet are organized by administrative roles, listed below.

| Installation administrator
| v Runs the FileNet P8 component installers and upgrade programs.
| v Runs the FileNet Configuration Manager tool, followed by launching IBM
| Administration Console for Content Platform Engine.
| v Abbreviated as IA®. Responsible for coordinating the information described in
| this worksheet. The information itself will require the input from the other roles.

| The role of IA is usually filled by a FileNet P8 Certified Professional (FCP).

Information technology administrator

v Responsible for the networking and operating systems settings required by the
FileNet P8 components.
v Responsible for performing certain security configurations.
v Abbreviated as ITA. Responsible for providing the information in the rows in
the Installation and Upgrade Worksheet with a value of ITA in the Role column.

For tasks assigned to the ITA, see “IT administrator upgrade tasks” on page 13.

Security administrator
v Responsible for configuring the directory servers required by FileNet P8
components.
v Creates and maintains directory server user and group accounts.
v Abbreviated as SA. Responsible for providing the information in the rows in the
Installation and Upgrade Worksheet with a value of SA in the Role column.

For tasks assigned to the SA, see “Security administrator upgrade tasks” on page
20.

Planning and preparing for FileNet P8 upgrade 9

 Database administrator
v Creates, configures, maintains database installations and databases or table
spaces.
v Responsible for creating database accounts needed by FileNet P8 Platform
components.
v Performs database backups.
v For purposes of this documentation, the database administrator is expected to
have responsibilities regarding the Java™ Database Connectivity (JDBC) data
sources.
v Abbreviated as DBA. Responsible for providing the information in the rows in
the Installation and Upgrade Worksheet with a value of DBA in the Role column.

For tasks assigned to the DBA, see “Database administrator upgrade tasks” on
page 22.

Application server administrator

v Responsible for providing the application servers required by FileNet P8
Platform components.
v Responsible for application server administrative accounts.
v Abbreviated as ASA. Responsible for providing the information in the rows in
the Installation and Upgrade Worksheet with a value of ASA in the Role column.

For tasks assigned to the ASA, see “Application Server administrator upgrade
tasks” on page 27.

FileNet P8 administrator
v This role designation actually refers to the administrator or administrators who
perform regular maintenance of Content Platform Engine and any client
applications.
v The administrator who logs on to IBM Administration Console for Content
Platform Engine using the gcd_admin account or an object_store_admin account is
considered an FileNet P8 administrator.
v Abbreviated as P8A. Responsible for providing the information in the rows of
the Installation and Upgrade Worksheet with a value of P8A in the Role column.

For tasks assigned to the P8A, see “FileNet P8 administrator upgrade tasks” on
page 30.

Using the installation and upgrade worksheet

The Installation and Upgrade Worksheet is a Microsoft Excel spreadsheet
(p8_worksheet.xls). The worksheet describes the properties and parameters
required to complete FileNet P8 installation, upgrade, and configuration programs,
and provides a way to record the values you assign to these properties and
parameters.

Administrators who are preparing the environment for installation or upgrade of

FileNet P8 components must use the worksheet during their preparation tasks to
record the appropriate values and provide them to the Installation Administrator
who runs the installation or upgrade programs.

Some of the features of the Installation and Upgrade Worksheet are:

10 Planning for FileNet P8

v Instructions: describes the worksheet and includes a button that runs the
Customize Worksheet macro.
v The two highlighted columns, Property or Parameter and ENTER YOUR
VALUE HERE, provide the simplest view of the requirement. The others add
identifying information and help you sort and filter the rows usefully.
v The Role column assigns each row to an administrator and uses the following
acronyms:
– IA: Installation Administrator
– ITA: Information Technology Administrator
– ASA: Application Server Administrator
– DBA: Database Administrator
– SA: Security Administrator
– P8A: FileNet P8 Administrator
v Property definitions are contained in the column titled Description.
v Some rows, though not all, contain a hyperlink in the IC help link column.
Click this hyperlink to run a query against the online documentation, which
opens with the Search Results pane showing the topics that contain the words in
the query phrase. Browse the search results until you have enough information
to be able to enter a value in the Worksheet row.
“Running the Customize Worksheet macro”
The Customize Worksheet macro lets you extract only those rows that describe
your environment.
“Autofiltering and sorting the Worksheet” on page 12
There are several ways to organize the Worksheet to make finding properties
and entering values easier.

Running the Customize Worksheet macro

The Customize Worksheet macro lets you extract only those rows that describe
your environment.

Important: For support of the full range of built-in filter and macro features, use
Microsoft Excel to view the Installation and Upgrade Worksheet file. You can use
other spreadsheet programs to view the file; however, filter and macro support can
vary. For example, in Calc from OpenOffice.Org, the column filters work as
expected, but the Customize Worksheet button does not.

To run the Customize Worksheet macro:

1. Open the Installation and Upgrade Worksheet (p8_worksheet.xls) and click the
Instructions worksheet (also called a tab).
2. Scroll down until you see the button representing the Customize Worksheet
macro. Click the button.
3. Select the components and options that describe the environment you are
preparing for FileNet P8.
v Installation or Upgrade
v FileNet P8 Components
v Application Server type
v Operating system
v Database type
v Directory Server type
v Number of object stores (adds new sets of rows for creating additional data
sources)
Planning and preparing for FileNet P8 upgrade 11
 v Name of customized sheet
4. Click OK. The macro copies the rows that fulfill your selection criteria into a
new worksheet with the name you entered. Enter the values for your
environment into this new worksheet.
5. Click the name of the new worksheet at the bottom of the Excel window. Add
your preparation values into this new worksheet.
6. Notice that the new worksheet has buttons at the top titled Show Installer
View and Show Full View, depending on its state. The Show Installer View
displays only those columns that you need while running installation or
configuration programs.

Autofiltering and sorting the Worksheet

There are several ways to organize the Worksheet to make finding properties and
entering values easier.

AutoFiltering is a quick way to display only those rows that meet a certain
criterion.

To use AutoFilter:
1. Make sure AutoFiltering is enabled. (Select the entire row with the column
headers, then click Data > Filter > Autofilter.) AutoFilter arrows will appear to
the right of the column labels.
2. Click the AutoFilter arrow in the Installation or Configuration Program
column header and select the program you are interested in (for example, CPE
installer).
3. For a custom AutoFilter, click the AutoFilter arrow in any column header,
select Custom, and use the dialog box to define a filter that will show rows
that meet your criteria.
4. To turn off AutoFiltering in a column, click the column AutoFilter arrow and
select (All).
5. To reorder rows alphabetically, do a Sort:
a. Click anywhere in a column, for example, Column A Role.
The only possible values in the Role column are ASA, SA, DBA, ITA, and
P8A. Sorting on Role therefore groups the rows by this attribute, in
alphabetic order. Several other columns also have a limited number of
possible values which means they can be usefully sorted.
b. Click the Sort Ascending icon in the Excel toolbar, or use the Data > Sort
menu command. The rows sort on Role.
Sorting the Worksheet reassigns row numbers. If you refer to rows by
number, be aware that row numbers change if you change the sort order.

Performing the required upgrade preparation tasks

To efficiently carry out the required upgrade preparation tasks, assign a member of
your staff to carry out the tasks assigned to each role.

To prepare the FileNet P8 environment, complete the tasks assigned to each role.
Some tasks require input that results from other preparation tasks performed by
other administrator roles. For information about assigning and defining these roles,
see “Definition of upgrade roles” on page 9.

While performing the tasks, record the results in the Installation and Upgrade
Worksheet where indicated.

12 Planning for FileNet P8

 “IT administrator upgrade tasks”
The Information Technology administrator must prepare the network and
operating systems, and carry out certain security configurations to prepare your
environment for FileNet P8 upgrade.
“Security administrator upgrade tasks” on page 20
The Security administrator must prepare the security environment for FileNet
P8 upgrade, including planning the security environment, and creating
accounts.
“Database administrator upgrade tasks” on page 22
The Database administrator prepares the databases required for FileNet P8
upgrade.
“Application Server administrator upgrade tasks” on page 27
The Application Server Administrator must prepare the application servers for
FileNet P8 upgrade.
“FileNet P8 administrator upgrade tasks” on page 30
The FileNet P8 administrator must carry out several tasks to prepare your
environment for your FileNet P8 upgrade.

IT administrator upgrade tasks

The Information Technology administrator must prepare the network and
operating systems, and carry out certain security configurations to prepare your
environment for FileNet P8 upgrade.
v Review all rows assigned to the IT Administrator for Upgrade in the
Installation and Upgrade Worksheet. Provide values for any rows appropriate to
your installation that you have not yet completed.

Tip: With the Data > Filter > AutoFilter command enabled, as it is by default in
the shipping worksheet file (p8_worksheet.xls), perform the following actions to
quickly see only the properties assigned to a particular role:
–Click the AutoFilter drop-down arrow in the Role column header and select
ITA.
– Further filter the result set by clicking the AutoFilter drop-down arrow in
any of the other columns and selecting a value or clear a filter by selecting
All.
v Configure the operating systems to prepare for component upgrade.
“Creating operating system accounts for upgrades”
Operating system accounts are required during the upgrade process.
“Configuring Microsoft Windows” on page 17
Verify that the following Windows server configuration changes have been
made in preparation for upgrading FileNet P8 software.
“Configuring operating system elements” on page 19
Configure the network to prepare for your FileNet P8 upgrade. You must
ensure proper network communications and access rights.
“Using IBM Support data collection tools” on page 20
The IBM Support data collection tools can help you troubleshoot problems with
your installed IBM FileNet P8 products by collecting and analyzing
problem-related diagnostic data.

Creating operating system accounts for upgrades

Operating system accounts are required during the upgrade process.

Accounts are referred to in documentation in the following ways:

Planning and preparing for FileNet P8 upgrade 13

 v By a display name; for example, Database User Name. An account's display
name is how the FileNet P8 user interface, such as a setup program or dialog
box, refers to the account. Many accounts have both a display name and a
variable.
v By a variable designator; for example cpe_db_user, using lower-cased italics and
underscores. The variable is intended to show that you must designate your
own account to act in the role described by the variable. The variable is the
unique identifier for a particular account.

If you see a reference to an account that you do not understand, search the
documentation for that reference.
“Creating the Content Platform Engine installer account”
An operating system account you use to install Content Platform Engine.
“Creating the Process Engine upgrade account (upgrades from versions 4.5.1,
5.0.0, 5.1.0)” on page 15
An operating system account you use to run the Process Engine upgrade
wizard.
“Creating Configuration Manager user” on page 15
An operating system account you use to run Configuration Manager.
“Creating the Content Platform Engine application server installation account”
on page 16
Create a new or designate an existing application server account to be used
while upgrading Content Platform Engine.
“Creating the Content Platform Engine application server installation group” on
page 17
An operating system group account to which several Content Platform Engine
accounts must belong.

Creating the Content Platform Engine installer account:

An operating system account you use to install Content Platform Engine.

If you are upgrading on the same machine where Content Platform Engine (or
Content Engine) was previously installed, use the same installer account that you
originally used to install that software. The installation program requires this to
detect that it is an upgrade and to use the same installation path.

If you are upgrading on a new machine, where Content Platform Engine has never
been installed, create the cpe_install_user as explained here.
1. If installing Content Platform Engine on Windows, create the following
operating system account:
Content Platform Engine installer account (Windows)
Unique identifier
cpe_install_user
Description
An operating system account used to run the Content Platform
Engine installation program.
Minimum required permissions
Use Windows administrative tools to add cpe_install_user to the
Local Administrators group and to the
cpe_appserver_install_group.

14 Planning for FileNet P8

2. Record this value in your customized Installation and Upgrade Worksheet.
To find this property, search the worksheet for instances of cpe_install_user.

Creating the Process Engine upgrade account (upgrades from versions 4.5.1, 5.0.0,
5.1.0):

An operating system account you use to run the Process Engine upgrade wizard.
1. Create the following operating system account:
Process Engine upgrade user account
Unique identifier
pe_upgrade_user
Description
v A directory server user account that has Full Control access
rights to the FileNet P8 domain, and has also been granted
rights through its membership in the
workflow_system_admin_group.
v Content Platform Engine permissions can be granted by a
gcd_admin who uses IBM Administration Console for Content
Platform Engine to add the pe_upgrade_user to the ACL of the
FileNet P8 domain and grant it Full Control.
v Use your directory server tools to add the pe_upgrade_user to
the workflow_system_admin_group. The
workflow_system_admin_group in the current release is the
same as the pe_admin_group that you created in the previous
release.
Minimum required permissions
v Full Control access rights on the FileNet P8 domain.
v Membership in the workflow_system_admin_group.

2. Record this value in your customized Installation and Upgrade Worksheet.

To find this property, search the worksheet for instances of pe_upgrade_user.

Creating Configuration Manager user:

An operating system account you use to run Configuration Manager.

If you are upgrading on the same machine where Content Platform Engine (or
Content Engine) was previously installed, use the same Configuration Manager
user account that you originally used during installation. The program requires
this to detect that it is an upgrade and to use the same installation values.

If you are upgrading on a new machine, where Content Platform Engine (or
Content Engine) has never been installed, create config_mgr_user, as explained here.
1. Create the following operating system account:
Configuration Manager user
Unique identifier
config_mgr_user
Description
An operating system account you will use to run Configuration
Manager.

Planning and preparing for FileNet P8 upgrade 15

 Minimum required permissions
config_mgr_user must belong to the cpe_appserver_install_group.
(Windows only) Using Active Directory tools, add
config_mgr_user to either the Power® Users group or the Local
Administrators group.
At several points in the installation process you will be
instructed to grant additional permissions to config_mgr_user,
including the following permissions:
v Execute permission to the Configuration Manager executable
file, configmgr.exe (Windows) or configmgr.sh (AIX®,
HPUX, HPUXi, Linux, Linux for System z, Solaris).
v Read and write permission to the directory where
Configuration Manager will create the configuration XML
files. For example:
– the directory you specify using the optional -path
parameter when you run Configuration Manager.
– the default directory, ce_install_path/tools/configure/
profiles, if you do not specify a path parameter.

2. Record this value in your customized Installation and Upgrade Worksheet.

To find this property, search the worksheet for instances of config_mgr_user.

Creating the Content Platform Engine application server installation account:

Create a new or designate an existing application server account to be used while

upgrading Content Platform Engine.

Create this account if it does not already exist. The upgrade instructions tell you
when to use it. In earlier releases, this account was identified as
ce_appserver_install_user.
1. Create the following operating system account:
Content Platform Engine application server installation administrator
Unique identifier
cpe_appserver_install_user
Description
The cpe_appserver_install_user account is needed during the
installation process to perform the following tasks:
v Create and configure the application server for Content
Platform Engine.
v Start or stop the application server when needed.
v Modify the application server files or directories as needed
for deploying Content Platform Engine using the
Configuration Manager tool.
v Provide create, read and write permissions for directories on
devices or drives that are used for external Content Platform
Engine file storage.
cpe_appserver_install_user must belong to the
cpe_appserver_install_group.
Minimum required permissions
Use your local machine's administrative tools to grant
cpe_appserver_install_user at least the following permissions:

16 Planning for FileNet P8

 v For Windows, cpe_appserver_install_user must be a member of
the Local Administrators Group.

2. Record this value in your customized Installation and Upgrade Worksheet.

To find this property, search the worksheet for instances of
cpe_appserver_install_user.

Creating the Content Platform Engine application server installation group:

An operating system group account to which several Content Platform Engine

accounts must belong.

Create this account if it does not already exist. The upgrade instructions tell you
when to use it. In earlier releases, this account was identified as
ce_appserver_install_group.
1. Create the following operating system account:
Content Platform Engine application server installation group
Unique identifier
cpe_appserver_install_group
Description
An operating system group account. You will be instructed to
grant certain permissions to this group during Content Platform
Engine installation and configuration.
The user accounts in cpe_appserver_install_group will perform the
following tasks:
v Give operating system privileges to the directories used for
Content Platform Engine installation and for the application
server's instance/domain/profile.
v Configure and deploy the Content Platform Engine EAR files
which require access to the application server's
instance/domain/profile directories.
v Have permissions on devices/drives to read and write that
are designated for external Content Platform Engine file
storage.
Minimum required permissions
Use your local machine's administrative tools to add the
following accounts to this group:
v cpe_appserver_install_user
v cpe_install_user
v config_mgr_user

2. Record this value in your customized Installation and Upgrade Worksheet.

To find this property, search the worksheet for instances of
cpe_appserver_install_group.

Configuring Microsoft Windows

Verify that the following Windows server configuration changes have been made
in preparation for upgrading FileNet P8 software.
“Configuring Windows for FileNet P8 servers” on page 18
Make sure your Windows servers comply with the requirements for the
upgraded version of FileNet P8.

Planning and preparing for FileNet P8 upgrade 17

 “Configuring Windows for .NET and COM compatibility clients”
Microsoft .NET Framework is a prerequisite for installing .NET API Clients and
COM Compatibility clients. Some clients might also require the installation of
Microsoft Web Services Enhancements (WSE).
“Configuring Windows for Active Directory”
If you are using Windows Active Directory for your directory service, set the
primary DNS.
“Adding inbound rules to Windows 2008 and 2012 firewalls”
Configure inbound rules in the Windows firewall to allow the following ports
access.

Configuring Windows for FileNet P8 servers:

Make sure your Windows servers comply with the requirements for the upgraded
version of FileNet P8.
v See the IBM FileNet P8 system requirements for details on required Windows
Service Packs and patches.
v Consult with the application server, database, and FileNet P8 administrators to
determine port requirements for all the servers in your installation environment.
For details, see Appendix B, “FileNet P8 ports,” on page 43.

Configuring Windows for .NET and COM compatibility clients:

Microsoft .NET Framework is a prerequisite for installing .NET API Clients and
COM Compatibility clients. Some clients might also require the installation of
Microsoft Web Services Enhancements (WSE).

To configure Windows for .NET and COM compatibility clients:

1. If you have client programs that use Windows Communication Foundation
(WCF) to access Content Platform Engine, ensure that .NET 3.x is installed.
WCF is embedded with .NET 3.x or later. Applications which were developed
to use the Content Engine .Net API from release 5.0 or later can operate with
either WSE or WCF, automatically adapting to whichever is installed (which
may be both). However, unlike WSE, WCF requires an SSL secured network
connection to the Content Platform Engine.
2. Backward compatibility is provided for client programs that use Web Services
Enhancements (WSE) to access Content Platform Engine. These clients require
the installation of .NET 2.x and WSE 3.0. Applications which were developed to
use the Content Engine .Net API for release 4.5.1 or earlier require that WSE be
installed.

Configuring Windows for Active Directory:

If you are using Windows Active Directory for your directory service, set the
primary DNS.

If Windows Active Directory is your directory service, set the primary DNS server
IP address on your Content Platform Engine application server to the IP address of
the machine where DNS is installed.

Adding inbound rules to Windows 2008 and 2012 firewalls:

Configure inbound rules in the Windows firewall to allow the following ports
access.

18 Planning for FileNet P8

 Port Protocol Used for
32771 TCP RMI
32775 TCP The primary IBM System Dashboard for
Enterprise Content Management listener port.
Internal port number HTTP In a cluster configuration, set the internal port
number to a nonzero value in Administration
Console for Content Platform Engine. Use that
port number here to open it in the Windows
firewall.

Configuring operating system elements

Configure the network to prepare for your FileNet P8 upgrade. You must ensure
proper network communications and access rights.
“Configuring network communications”
Ensure that your TCP/IP settings are configured so that your servers and
clients can communicate with one another.
“Synchronizing machine clocks”
FileNet P8 processes require that you synchronize the clocks on all of the
machines that are running FileNet P8 servers and FileNet P8 clients.

Configuring network communications:

Ensure that your TCP/IP settings are configured so that your servers and clients
can communicate with one another.

Complete the following prerequisite tasks in any order:

v Ensure TCP/IP settings. Verify the TCP/IP settings on the UNIX and Windows
servers and IBM Administration Console for Content Platform Engine clients
that are configured for FileNet P8 enable the servers and clients to communicate
with one another.
v Ensure NetBIOS over TCP/IP is enabled on Windows.
v Ensure availability of required port numbers. Several port numbers are required
by the various FileNet P8 components. Appendix B, “FileNet P8 ports,” on page
43

Synchronizing machine clocks:

FileNet P8 processes require that you synchronize the clocks on all of the machines
that are running FileNet P8 servers and FileNet P8 clients.
1. Make sure that the machine clocks on all FileNet P8 servers, including Content
Platform Engine, Application Engine, as well as all database servers and those
of FileNet P8 client applications including Workplace XT, Rendition Engine,
IBM Case Manager, and so on, are synchronized. Errors that might arise if they
are not synchronized include those of authentication, cooperative locking,
communication between servers, and others.
| 2. You can run a clock synchronization utility to synchronize all of the clocks on
| your Java virtual machines with a reliable time source. If the clocks get out of
| sync by 60 seconds or more, you can configure a scheduler in the clock
| synchronization utility to periodically synchronize the time of the clocks.

Planning and preparing for FileNet P8 upgrade 19

 Using IBM Support data collection tools
The IBM Support data collection tools can help you troubleshoot problems with
your installed IBM FileNet P8 products by collecting and analyzing
problem-related diagnostic data.

IBM Support data collection tools automate the gathering and sending of
appropriate diagnostic data to IBM Support for investigation and resolution of
installation, upgrade, or runtime problems in IBM FileNet P8 products. Typically
you would run an IBM Support data collection tool after installing or upgrading
the product, or when the IBM FileNet P8 system is in production.

To use an IBM Support data collection tool, your IBM FileNet P8 product must be
supported by the tool and must have Internet access to the IBM Support back-end
servers where the collected data is analyzed. If your product does not meet these
requirements, IBM Support can assist you in determining the most effective
manual method to collect and deliver the diagnostic data for analysis.

Two IBM Support Assistant data collection tools are available, at the IBM Support
Assistant Data Collectors website:
v IBM Support Assistant Data Collector is a web-based tool that can be used at
any time; there is nothing to install.
v IBM Support Assistant Lite Data Collector must be installed on the servers
where you installed or upgraded your IBM FileNet P8 products before it can be
used. By installing the tool before your IBM FileNet P8 system goes into
production, you avoid the possibility of not being able to install it after a
runtime problem occurs.

To determine which IBM Support data collection tool supports your IBM FileNet
P8 product:
1. Browse to the IBM Support Assistant Data Collectors website.
2. Find an IBM Support data collection tool that supports your product:
v To determine whether IBM Support Assistant Data Collector supports your
product, complete the following substeps:
a. Click the Data Collectors tab on the IBM Support Assistant Data
Collectors home page, and then click Launch.
b. Expand the I need to collect data for drop-down list. If your product is
listed, then you can use IBM Support Assistant Data Collector.
v To determine whether IBM Support Assistant Lite Data Collector supports
your product, complete the following substeps:
a. Click the Data Collectors tab on the IBM Support Assistant Data
Collectors home page.
b. Choose Enterprise Content Management in the Select a brand to begin
the download process drop-down list.
c. Expand the Select a product to access the download page drop-down
list. If your product is listed, then you can use IBM Support Assistant Lite
Data Collector.
3. Follow the instructions on the web page for the tool that supports your product
to use the tool directly or to install it, as needed.

Security administrator upgrade tasks

The Security administrator must prepare the security environment for FileNet P8
upgrade, including planning the security environment, and creating accounts.

20 Planning for FileNet P8

v Review all rows assigned to the Security Administrator (SA) for upgrades in the
Installation and Upgrade Worksheet. Provide values for any rows appropriate to
your installation that you have not yet completed.

Tip: With the Data > Filter > AutoFilter command enabled, as it is by default in
the worksheet file (p8_worksheet.xls), perform the following actions to quickly
see only the properties assigned to a particular role:
– Click the AutoFilter drop-down arrow in the Role column header and select
SA.
– Further filter the result set by clicking the AutoFilter drop-down arrow in
any of the other columns and selecting a value or clear a filter by selecting
All.
“Security upgrade planning considerations”
Review the security requirements for systems being upgraded.
“Creating Content Platform Engine directory server accounts for upgrades”
Create new or designate existing directory server installation accounts for
Content Platform Engine.

Security upgrade planning considerations

Review the security requirements for systems being upgraded.
v It is a best practice not to change realms (your authenticated users and groups),
during an upgrade.
v If the new Content Platform Engine version does not support the directory
server (LDAP) version you are already using, migrate the LDAP directory before
upgrading.
v Contact your IBM FileNet representative if you intend to change directory
servers.

Creating Content Platform Engine directory server accounts for

upgrades
Create new or designate existing directory server installation accounts for Content
Platform Engine.

Accounts are referred to in documentation in the following ways:

v By a display name; for example, Database User Name. An account's display
name is how the FileNet P8 user interface, such as a setup program or dialog
box, refers to the account. Many accounts have both a display name and a
variable.
v By a variable designator; for example cpe_db_user, using lower-cased italics and
underscores. The variable is intended to show that you must designate your
own account to act in the role described by the variable. The variable is the
unique identifier for a particular account.

If you see a reference to an account that you do not understand, search the
documentation for that reference.
“Creating the application server administrative console user (WebSphere
Application Server)” on page 22
An LDAP account to which you have granted the WebSphere Application
Server administrative role.

Planning and preparing for FileNet P8 upgrade 21

 Creating the application server administrative console user (WebSphere
Application Server):

An LDAP account to which you have granted the WebSphere Application Server
administrative role.

Create this account if it does not already exist. The upgrade instructions tell you
when to use it.
1. Create the following directory service account:
WebSphere administrative console user
Unique identifier
appserver_console_user
Description
The appserver_console_user account is an LDAP account to which
you have granted the WebSphere Application Server
administrative role so that it can log in to the WebSphere
administrative console.
v If your WebSphere repository type is Stand-alone LDAP
registry, when you run the Configuration Manager Configure
LDAP task, enter the credentials of a valid LDAP user
account to be the appserver_console_user for the entry labeled
Administrative console user name. Configuration Manager
grants this account WebSphere administrative console
administrative rights. Alternatively, you can enter an LDAP
account that you have already configured as a console
administrator.
v If your WebSphere Application Server LDAP repository type
is Federated repositories, you can use the same user account
defined as your appserver_admin. However, if you specify a
user for the Administrative console user name that is
different from appserver_admin, it must be unique across all
federated realms including the WebSphere Application Server
local file-based repository.

2. Record this value in your customized Installation and Upgrade Worksheet.

To find this property, search the worksheet for instances of
appserver_console_user.

Database administrator upgrade tasks

The Database administrator prepares the databases required for FileNet P8
upgrade.
v Review all rows assigned to the Database Server Administrator in the
Installation and Upgrade Worksheet. While you complete the following
preparation tasks, provide values for the rows that are appropriate to your
installation.

Tip: With the Data > Filter > AutoFilter command enabled, as it is by default in
the worksheet file (p8_worksheet.xls), perform the following actions to quickly
see only the properties assigned to a particular role:
– Click the AutoFilter drop-down arrow in the Role column header and select
DBA.

22 Planning for FileNet P8

 – Further filter the result set by clicking the AutoFilter drop-down arrow in
any of the other columns and selecting a value or clear a filter by selecting
All.
v Upgrade your database to a version that is supported by FileNet P8 prior to
upgrading the FileNet P8 software. See FileNet P8 Hardware and Software
Requirements for version information.
“Database administrator planning”
To prepare for an upgrade, review database requirements and complete other
planning tasks.
“Planning the IBM Content Search Services upgrade” on page 27
Empty the IBM Content Search Services index request table before you upgrade
Content Platform Engine.

Database administrator planning

To prepare for an upgrade, review database requirements and complete other
planning tasks.

You must upgrade to the appropriate database versions and patches before you
upgrade FileNet P8 components. For minimum database software version and fix
pack requirements, see IBM FileNet P8 system requirements.

Rather than upgrading your existing database, it is a best practice to create a new
database instance on a version of the database that is supported by the new
FileNet P8 components. Import data for, or restore backups of, your existing
Content Platform Engine (or your Content Engine and Process Engine) data into
the new database. Then retarget your JDBC Content Engine data sources to the
new database. This approach allows you to leave the existing production system in
place while you do the prerequisite steps for the new database.

FileNet P8 systems with IBM Case Manager (for upgrades from

versions 5.0.0, or 5.1.0)

Before upgrading FileNet P8 to version 5.2.1, Process Engine isolated regions that
are used in an IBM Case Manager configuration must be located in the
corresponding Content Engine object store database or table space.

For version 5.0 and 5.1 FileNet P8 systems, new installations configured with IBM
Case Manager were required to have common Oracle or DB2® for Linux, UNIX
and Windows table spaces for the Process Engine isolated region and Content
Engine object store. For Microsoft SQL Server, new installations configured with
IBM Case Manager were required to have a common database for the Content
Engine object store and the Process Engine isolated region. For systems that were
upgraded to version 5.0 or 5.1, where IBM Case Manager was then added, there
was no requirement for Process Engine and Content Engine databases to be
common.

Important: For version 5.0 or 5.1 systems not in compliance with the common
database or table space requirement, you must move any Process Engine isolated
regions into the appropriate Content Engine object stores before you upgrade. A
tool has been provided on the Content Platform Engine installation media for that
purpose. See the techdoc documenting the tool for moving isolated regions.

Planning and preparing for FileNet P8 upgrade 23

 Process Engine (for upgrades from versions 5.0.0, or 5.1.0)

Starting with the 5.2 version of FileNet P8, the Content Engine and Process Engine
are deployed together as a single application server instance. In addition, the
database is handled as a single entity. New workflow systems and isolated regions
are created in object stores, and all database connections require data sources.
Existing Process Engine systems become legacy workflow systems and the
databases are separate from any new workflow systems.

As a part of the upgrade you will create data sources for any existing Process
Engine databases. If you are upgrading from version 5.0 of Process Engine and had
multiple virtual servers, each virtual server had a unique database and each of
those databases will require a data source and those data sources will also be
targeted to the new database. Upgrade the Content Engine, Process Engine, and
Case Analyzer software and complete all upgrade procedures before you allow
users to access information in the new database.

To upgrade the Process Engine database, identify the existing database user name
and password. In versions of Process Engine older than 5.0, the default was the
f_sw user. Record this database user name and password in the Installation and
Upgrade Worksheet as the pe_db_user and password.
“Planning for SQL Server database upgrades”
Review upgrade requirements for Microsoft SQL Server databases.

Planning for SQL Server database upgrades:

Review upgrade requirements for Microsoft SQL Server databases.

For minimum version and fix pack requirements, see IBM FileNet P8 system
requirements.
“Planning for Process Engine SQL Server database upgrades (upgrades from
version 5.0.0)”
For version 5.0.0, plan the Process Engine SQL Server database upgrade. Plan
carefully to determine whether there are prerequisites for doing the Process
Engine upgrade.
“Enabling XA transactions” on page 25
Configure the Windows server to enable XA transactions.
“Reducing deadlock errors in Microsoft SQL Server” on page 26
High Microsoft SQL Server concurrency causes transaction deadlock errors
because writers block access, by readers, to database resources. You can reduce
the likelihood of deadlock by setting the READ_COMMITTED_SNAPSHOT ON option
for your database.

Planning for Process Engine SQL Server database upgrades (upgrades from version
5.0.0):

For version 5.0.0, plan the Process Engine SQL Server database upgrade. Plan
carefully to determine whether there are prerequisites for doing the Process Engine
upgrade.

The following requirements are in addition to the requirements discussed in

Database administrator planning .

24 Planning for FileNet P8

 The recommended upgrade scenario is to make a test copy of the Process Engine
database. Complete the upgrade on that copy. Doing the upgrade with a database
copy also lets you to determine how long the upgrades take.

| READ_COMMITTED_SNAPSHOT must be enabled for the SQL Server database

| where the Process Engine schema is installed. You can enable
| READ_COMMITTED_SNAPSHOT before or after you upgrade the database. To
| enable READ_COMMITTED_SNAPSHOT for the object store, see the instructions
| in Creating a Microsoft SQL Server database for an object store.

Changes to string fields

Process Engine string fields are modified for all Process Engine user tables by
increasing the length by an expansion factor. This expansion value is to allow for
the additional space requirements for character-based string fields. String fields are
modified by increasing the length by the defined factor.

Record the value to indicate your choice to expand string fields by a size
factor in your customized Installation and Upgrade Worksheet. Set the value
between three and six. To find this property, filter on peupgrade and search the
worksheet for instances of the Database Column Size Factor parameter.

| SQL Server additional database changes

| After the upgrade, use the pedconvert tool to make the following changes:
| v Enable date fields that exceed the 2038 date.
| v Support of character strings:
| – Enable support for GB18030 characters by using nvarchar instead of varchar
| in the Process Engine database schema.
| – Enable properly truncated strings with multi-byte characters, where a partial
| character is not left at the end of a string.
| – Provides better performance when it uses indexes that have one or more
| string keys.
| – Number of bytes (expansion factor) for character sets no longer required.

| Use of the pedconvert tool is recommended for workflow systems that support
| multi-byte characters in an international global environment. Customers who do
| not have multi-byte systems also run the pedconvert tool, but it can be run after the
| upgrade. See techdoc 7036559 for information. The technote is applicable to all
| upgrades from 4.5.1 and also to 5.0 systems that previously upgraded from earlier
| releases but have not run the 5.0 advanced upgrade tool, techdoc 7019393.

Enabling XA transactions:

Configure the Windows server to enable XA transactions.

Perform these steps on every Microsoft SQL Server that will contain a Content
Platform Engine database.
1. Download the Microsoft SQL Server JDBC Driver that is referenced in the IBM
FileNet P8 system requirements document for Content Platform Engine SQL
Server databases.

Tip: Installation procedures for JDBC settings can vary by release. See the
Microsoft website for full details.

Planning and preparing for FileNet P8 upgrade 25

 2. Copy the sqljdbc_xa.dll from the JDBC installation directory to the binn
folder of the instance, although a pre-2.0 version of the driver also functions
correctly from the tools\binn folder. For the 32-bit version of Microsoft SQL
Server , use the sqljdbc_xa.dll file in the x86 folder. For the 64-bit version of
Microsoft SQL Server, use the sqljdbc_xa.dll file in the x64 folder.
3. Log on as the sa administrator or as a user with equivalent permissions and
execute the database script xa_install.sql on the master database on every SQL
Server instance that will participate in distributed transactions.

Important: Use SQL Server database credentials, not Windows credentials, to

log on. Windows Integrated Logon to SQL Server is not supported with IBM
FileNet P8.
This script installs sqljdbc_xa.dll as an extended stored procedure and creates
the SqlJDBCXAUser role in the Master database.
4. Add each database account (cpe_db_user) that Content Platform Engine uses to
access SQL Server to the SqlJDBCXAUser role. This action grants permissions
to those accounts to participate in distributed transactions with the JDBC
driver.
5. From Control Panel, open Administrative Tools, and then open Component
Services.
6. Expand Component Services, right-click My Computer, and then select
Properties.
7. Expand Distributed Transaction Coordinator and right-click Local DTC.
8. Click the MSDTC tab, and then click Security Configuration.
9. Select the Enable XA Transactions check box, and then click OK to restart the
Microsoft DTC service.
10. Click OK again to close the Properties dialog box, and then close Component
Services.
11. Stop and then restart the Microsoft SQL Server.

Reducing deadlock errors in Microsoft SQL Server:

High Microsoft SQL Server concurrency causes transaction deadlock errors because
writers block access, by readers, to database resources. You can reduce the
likelihood of deadlock by setting the READ_COMMITTED_SNAPSHOT ON option for your
database.

To reduce deadlock errors in a Microsoft SQL Server database:

1. Shut down all the servers and clients that can connect to your database
(dbName), and make sure that there are no other connections to Microsoft SQL
Server.
2. Connect to Microsoft SQL Server and issue the following SQL command to
determine whether snapshot isolation is enabled for dbName:
SELECT name, is_read_committed_snapshot_on FROM sys.databases
where name=’dbName’

If snapshot isolation is enabled for dbName, skip the remainder of this

procedure.
3. Issue the following command to enable snapshot isolation for dbName:
ALTER DATABASE dbName SET READ_COMMITTED_SNAPSHOT ON
4. Restart Microsoft SQL Server and issue the following SQL command to confirm
that the Snapshot Isolation setting is in effect for dbName:

26 Planning for FileNet P8

 SELECT name, is_read_committed_snapshot_on FROM sys.databases
where name=’dbName’

Planning the IBM Content Search Services upgrade

Empty the IBM Content Search Services index request table before you upgrade
Content Platform Engine.

For systems configured with IBM Content Search Services, plan to flush as many
index requests as possible before starting the upgrade. Part of the automatic
upgrade of the Content Platform Engine (or Content Engine) database includes a
change to the index request table. If there are more than 500,000 records in that
table when the automatic upgrade runs, a new required index will not be created.
A message will be logged and the database administrator must manually build the
new index before upgrading the IBM Content Search Services software. This index
must exist before the Content Platform Engine and IBM Content Search Services
software is used for production.

To determine the size of the index request table:

1. Run the following SQL query on the database table associated with the index
requests using your native database tools:
SELECT COUNT (*) FROM IndexRequests
2. If the SQL query result shows one or more entries, let IBM Content Search
Services process the entries before you initiate the upgrade.

Application Server administrator upgrade tasks

The Application Server Administrator must prepare the application servers for
FileNet P8 upgrade.
v Review all rows assigned to the Application Server Administrator (ASA) in the
Installation and Upgrade Worksheet. While you complete the preparation tasks,
provide values for the rows that are appropriate to your installation.

Tip: With the Data > Filter > AutoFilter command enabled, as it is by default in
the worksheet file (p8_worksheet.xls), perform the following actions to quickly
see only the properties assigned to a particular role:
– Click the AutoFilter drop-down arrow in the Role column header and select
ASA.
– Further filter the result set by clicking the AutoFilter drop-down arrow in
any of the other columns and selecting a value or clear a filter by selecting
All.
“Creating the application server administrator”
An application server administrator used while configuring Content Platform
Engine.
“Starting or stopping an application server instance” on page 28
You need to be able to start or stop an application server instance when
working with Content Platform Engine.
“Configuring the application server for Content Platform Engine” on page 29
You can deploy Content Platform Engine only on certain versions of application
servers. Therefore, you must determine if and when to upgrade the application
server where the current version of Content Platform Engine (or Content
Engine) is deployed before upgrading to a new version.

Creating the application server administrator

An application server administrator used while configuring Content Platform
Engine.

Planning and preparing for FileNet P8 upgrade 27

 Create this account if it does not already exist. The upgrade instructions tell you
when to use it.
1. Create the following application server account:
Application server administrator
Unique identifier
appserver_admin
Description
WebSphere Application Server
In Configuration Manager, when you run the Set
Properties for WebSphere Application Server task, enter
the credentials of the appserver_admin account in the
field labeled Application server administrator user
name. Configuration Manager uses the appserver_admin
account to run configuration tasks.
WebSphere administrative security is enabled
You have two options for creating the
appserver_admin user account. You can use the
local file-based account usually defined while
creating the WebSphere profile. Or, you can use
WebSphere tools to grant administrative rights
to an LDAP account and optionally remove the
file-based account created earlier.
The appserver_admin user account must have
WebSphere administrator permissions
throughout the Content Platform Engine
installation process. Afterwards, you can reduce
the account to a lesser role, such as
Configurator.
WebSphere administrative security is not enabled
If you decide not to enable WebSphere
administrative security during profile creation,
then no special credentials are required to log
in to the WebSphere administrative console.
You can enter any string into the Configuration
Manager field labeled Application server
administrator user name. However, remember
that to run Content Platform Engine,
WebSphere administrative security must be
enabled. When you do enable it and the
WebSphere administrative console requests an
account to use as the administrative user, enter
the appserver_admin.

2. Record this value in your customized Installation and Upgrade Worksheet.

To find this property, search the worksheet for instances of appserver_admin.

Starting or stopping an application server instance

You need to be able to start or stop an application server instance when working
with Content Platform Engine.

To start or stop an application server instance:

28 Planning for FileNet P8

Depending on your application server type, run one of the following commands to
start or stop an application server instance:
Table 3. How to start or stop an application server instance
Command to start an Command to stop an
Application server type application server instance application server instance
WebSphere Application startServer stopServer
Server

In a high availability environment, when instructed to start or stop an application

server instance, start or stop the nodes unless otherwise specified.

Configuring the application server for Content Platform Engine

You can deploy Content Platform Engine only on certain versions of application
servers. Therefore, you must determine if and when to upgrade the application
server where the current version of Content Platform Engine (or Content Engine) is
deployed before upgrading to a new version.

To determine the order of upgrading Content Platform Engine and the application
server on which it is deployed:
1. Consult the IBM FileNet P8 system requirements documentation for both the
existing version of software and the new version. Determine if a version of
your application server is supported by both your existing version of Content
Platform Engine (or Content Engine) and the new version of Content Platform
Engine.
2. Upgrade your application server and Content Platform Engine (or Content
Engine) according to the criteria in the following table:

Option Description
If you deployed your current version of 1. Upgrade the Content Platform Engine
Content Platform Engine (or Content software. It is not necessary to upgrade
Engine) on an application server version your application server.
that is supported by the new version of
2. (optional) Upgrade the application server
Content Platform Engine
to a newer version that is supported by
the new version of Content Platform
Engine
If you deployed your current version of 1. Upgrade to an application server version
Content Platform Engine (or Content that both the current version of Content
Engine) on an application server version Platform Engine (or Content Engine) and
that is not supported by the new version of the new version of Content Platform
Content Platform Engine Engine support.
2. Upgrade Content Platform Engine to the
new version.
If you deployed your current version of 1. Perform a migration upgrade by creating
Content Platform Engine (or Content a new instance of the application server
Engine) on an application server version using a version that is supported by the
that is not supported by the new Content new Content Platform Engine.
Platform Engine and an application server
2. Upgrade Content Platform Engine
version that is supported by both your
working through the topics on
existing Content Platform Engine (or
configuring Content Platform Engine into
Content Engine) and the new Content
a new application server instance using
Platform Engine version does not exist
an existing Configuration Manager
profile.

Planning and preparing for FileNet P8 upgrade 29

 FileNet P8 administrator upgrade tasks
The FileNet P8 administrator must carry out several tasks to prepare your
environment for your FileNet P8 upgrade.

Review all rows assigned to the FileNet P8 Administrator (P8A) in the Installation
and Upgrade Worksheet. While you complete the following preparation tasks,
provide values for the rows that are appropriate to your installation.

Tip: With the Data > Filter > AutoFilter command enabled, as it is by default in
the worksheet file (p8_worksheet.xls), perform the following actions to quickly see
only the properties assigned to a particular role:
v Click the AutoFilter drop-down arrow in the Role column header and select
P8A.
v Further filter the result set by clicking the AutoFilter drop-down arrow in any
of the other columns and selecting a value or clear a filter by selecting All.
“Enabling the Asynchronous Processing dispatcher”
You must enable the Asynchronous Processing dispatcher to ensure that the
object stores progress to a completed or ready state as part of an upgrade.
“Preparing Process Engine for upgrade (upgrades from versions 4.5.1, 5.0.0,
5.1.0)” on page 31
Repair any inconsistencies between Process Engine queues and rosters in the
Process Engine database, reconcile user security information and prepare Case
Analyzer data for upgrade.
“Collecting settings for peupgrade wizard (upgrades from versions 4.5.1, 5.0.0,
5.1.0)” on page 31
Collect the values for all settings in the peupgrade wizard. The values are
needed for Process Engine upgrades from versions 4.5.1, 5.0.0, and 5.1.0.
“Collecting configuration information for Process Engine DbExecute
connections (upgrades from 4.5.1)” on page 33
DbExecute connection information must be provided to the peupgrade tool for
Process Engine upgrades from Version 4.5.1. Collect the current configuration
information for all of your existing DbExecute aliases before you upgrade.
“Saving Component Manager custom settings for CE_Operations (upgrades
from V5.1 or earlier)” on page 34
Save Component Manager custom settings for CE_Operations in each isolated
region before you upgrade. You need to restore the settings after the upgrade is
complete.

Enabling the Asynchronous Processing dispatcher

You must enable the Asynchronous Processing dispatcher to ensure that the object
stores progress to a completed or ready state as part of an upgrade.

For each object store to be upgraded, you must enable the Asynchronous
Processing dispatcher on at least one Content Platform Engine (or Content Engine)
server in the site where the object store is located.

(For upgrades from 5.2.0 to 5.2.1) To enable the Asynchronous Processing

dispatcher for one Content Platform Engine server:
1. Start the FileNet P8 administration tool.
a. (For upgrades from 5.2.0 to 5.2.1) Start Administration Console for Content
Platform Engine.
b. (For upgrades from 4.5.1, 5.0.0 or 5.1.0) Start Enterprise Manager.

30 Planning for FileNet P8

 2. (For upgrades from 5.2.0 to 5.2.1) Click the domain root node and then click the
Asynchronous Processing Subsystem tab. Select Enable Dispatcher.
3. (For upgrades from 4.5.1, 5.0.0 or 5.1.0) Right-click the domain root node or the
node of the object store to be upgraded and click Properties. Click the
Asynchronous Processing tab and select Enable Dispatcher.

Preparing Process Engine for upgrade (upgrades from versions

4.5.1, 5.0.0, 5.1.0)
Repair any inconsistencies between Process Engine queues and rosters in the
Process Engine database, reconcile user security information and prepare Case
Analyzer data for upgrade.
v (upgrades from 4.5.1) Use the vwverify program to repair any inconsistencies
between Process Engine queues and rosters in the Process Engine database.
v (upgrades from 5.0 or later) Use the PEVerify program to repair any
inconsistencies between Process Engine queues and rosters in the Process Engine
database. See Techdoc 7022275 for information.
v If there are unused isolated regions with no connection point, remove those
regions before the upgrade.

Collecting settings for peupgrade wizard (upgrades from

versions 4.5.1, 5.0.0, 5.1.0)
Collect the values for all settings in the peupgrade wizard. The values are needed
for Process Engine upgrades from versions 4.5.1, 5.0.0, and 5.1.0.

During the upgrade of Process Engine, you run peupgrade. After you provide
information to the program, you run it to upgrade the Process Engine database.
The values can be provided to peupgrade in a wizard or in a property file that is
an input file to the program. The information that you must gather varies
depending on whether you are upgrading from Version 5.0 or 5.1, or from Version

4.5.1. Record these values in your customized Installation and Upgrade

Worksheet. To find these properties, search the worksheet for instances of
peupgrade.

The following table shows the information that is required and where to collect it
on the source Process Engine system. Several values are not on the source system
but are needed for the upgrade. For each property name, record the value in your
Installation and Upgrade worksheet. Property names in this table reflect the name
in the peupgrade wizard user interface.
Table 4. peupgrade upgrade values
4.5.1 property name and 5.0 or 5.1 property name
Property name location and location Comments
Configuration group This property is the This property is the
Configuration Group, on Configuration Group, on
the Process Engine server, the Process Engine server,
in Process Task Manager, on in Process Task Manager, on
the Security tab. the Security tab.
Database schema name By default, f_sw. Database Might still be f_sw if this This property is for the
administrator must provide. system was originally Process Engine database. It
installed on a version is the schema where the
earlier than 5.0 and then workflow tables reside on
upgraded to 5.0. Database the target system.
administrator must provide.

Planning and preparing for FileNet P8 upgrade 31

Table 4. peupgrade upgrade values (continued)
4.5.1 property name and 5.0 or 5.1 property name
Property name location and location Comments
XSL/XSD file location (AIX, By default, on the source By default, on the source These directories and their
HPUX, HPUXi, Linux, system: /fnsw/local/sd/xsl system: contents need to be on a
Linux on System Z, Solaris) and /fnsw/local/sd/xsd install_path/data/ drive that is available at the
pesvr.virtual_servername/ time of the upgrade for the
xsl and peupgrade program. They
install_path/data/ must also be for available
pesvr.virtual_servername/ for the Content Platform
xsd Engine after the upgrade.
This property might be a
shared drive or you might
copy them to a local drive
on the new server in the
case of a migration
upgrade.
XSL/XSD file location By default, on the source By default, on the source These directories and their
(Windows) system: \fnsw_loc\sd\xsl system: contents need to be on a
and \fnsw_loc\sd\xsd install_path\data\ drive that is available at the
pesvr.virtual_servername\ time of the upgrade for the
xsl and peupgrade program. They
install_path\data\ must also be for available
pesvr.virtual_servername\ for the Content Platform
xsd Engine after the upgrade.
This property might be a
shared drive or you might
copy them to a local drive
on the new server in the
case of a migration
upgrade.
Database column size factor Choose the expansion Not applicable This expansion value is to
(DB2 for Linux, UNIX and factor. allow for the additional
Windows space requirements for
character-based string
fields. String fields are
modified by increasing the
length by the defined factor.
Database column size factor Choose the expansion Not applicable This expansion value is to
(SQL Server) factor. allow for the additional
space requirements for
character-based string
fields. String fields are
modified by increasing the
length by the defined factor.
Database connection name Choose from the dropdown Choose from the dropdown Every region that you
(existing) list. list. upgrade needs a connection
point. IBM Case Manager
with shared databases for
Process Engine and Content
Engine has existing
connection points. If for any
other reason Content
Engine and Process Engine
are sharing a database,
there is also an existing
connection point.

32 Planning for FileNet P8

 Table 4. peupgrade upgrade values (continued)
4.5.1 property name and 5.0 or 5.1 property name
Property name location and location Comments
Database connection name If Process Engine and
(define a new connection) Content Engine are not in
the same database, you
need to define a new
connection name.
Data source name If the 5.0 or 5.1 Process The name that is entered
Engine database is being for peupgrade must match
shared with an object store, the data source name that is
this property is the data defined in Configuration
source name of the object Manager.
store.
XA data source name If the 5.0 or 5.1 Process The name that is entered
Engine database is being for peupgrade must match
shared with an object store, the XA data source name
this property is the XA data that is defined in
source name of the object Configuration Manager.
store.
DbExecute connection See Collecting configuration Not applicable If you need a custom URL,
information for Process you cannot do the upgrade
Engine DbExecute silently and must use the
connections. GUI.

| Collect the database type

| information for all of the
| existing DBExecute
| connections.

Collecting configuration information for Process Engine

DbExecute connections (upgrades from 4.5.1)
DbExecute connection information must be provided to the peupgrade tool for
Process Engine upgrades from Version 4.5.1. Collect the current configuration
information for all of your existing DbExecute aliases before you upgrade.

Collect DbExecute connection information and record it in your Installation and

Upgrade worksheet. The DbExecute connection information must be provided to
the peupgrade tool. You run the peupgrade tool during the upgrade of Process
Engine to Content Platform Engine Version 5.2.1.

To collect DbExecute alias configuration information for Process Engine, log on to

the Process Engine v4.5.1 server and locate existing information.
1. Change your working directory to the following:

Option Description
Windows \fnsw_loc\sd

2. Each connection has a file associated with the following naming scheme
.alias.bin

Note the names for all aliases.

3. Collect the connection information for each alias by running vwtool with the
listdbconfig option as follow:

Planning and preparing for FileNet P8 upgrade 33

 a. Start vwtool at a command prompt as follows:
vwtool -Y pe_service_username+pe_service_username_password
b. Enter the following command at the prompt:
listdbconfig alias
c. For each database type, the information returned is as follows:
Oracle global database name
SQL Server
SQL Server name
database name
DB2 database alias
4. Using the information for every existing connection, collect the following
information. Record the values in your Installation and Upgrade worksheet.
v Database type
v Database name
v Database host name
v Database port
v Database user name
v Database password
As an alternative to the database host name and port, use a connection URL
string. Your URL can vary, depending on your configuration, but default URLs
that can be configured are as follows:
v jdbc:sqlserver://DBhost:DBport;DatabaseName=DBName
v jdbc:db2://DBhost:DBport/DBName
v jdbc:oracle:thin:@DBhost:DBport:DBName

| Saving Component Manager custom settings for CE_Operations

| (upgrades from V5.1 or earlier)
| Save Component Manager custom settings for CE_Operations in each isolated
| region before you upgrade. You need to restore the settings after the upgrade is
| complete.

| Before you upgrade FileNet P8 from version 5.1 or earlier, you must make note of
| the logon and password for the adapter. If you extended the CE_Operations queue
| with exposed fields or database indexes, you must also save these custom settings
| before you upgrade. You must manually restore these settings and values after the
| upgrades of the Content Platform Engine software and the Process Engine
| database are complete.

| Important: Other customizations or extensions to the CE_Operations component

| queue are not supported. These customizations might cause the Process Engine
| database upgrade to fail. Contact IBM Support for assistance before you proceed
| with the upgrade if the CE_Operations queue has customizations other than
| exposed fields or database indexes.

| You can use Administration Console for Content Platform Engine if it is available
| or the Process Configuration Console in Workplace or Workplace XT to save the
| CE_Operations settings. The console that you select is used to configure the queue,
| but that does not imply that the component queue runs in Content Platform
| Engine or Workplace.

34 Planning for FileNet P8

| To save the Component Manager custom settings for CE_Operations:
| 1. Start Process Configuration Console by using Workplace or Workplace XT:
| Table 5. Starting Process Configuration Console
| Option Select
| Workplace Select Admin > Process Configuration
| Console.
| Workplace XT Select Tools > Administration > Process
| Configuration Console
|
| 2. Save the custom settings for the CE_Operations queue in each isolated region:
| a. Go to an isolated region node and choose Export to XML from the Action
| menu.
| b. In the Export window, click Browse and specify a file name and location on
| your local drive or network for the exported data.

| Tip: Use the XML file extension for the file name.
| c. Choose the export type Export selected components and select the
| CE_Operations queue from the Component Queues. Then click Next.
| d. On the Summary page, confirm that the export contains only the
| CE_Operations queue, and then click Finish to complete the export.
| e. Repeat the preceding substeps for the other isolated regions.
| 3. Save the adapter settings for the CE_Operations queue in each isolated region:
| a. Go in Process Configuration Console for an isolated region to the isolated
| region node > Component Queues > CE_Operations.
| b. Right-click the CE_Operations node and choose Properties to view its
| properties.
| c. Open the Adapter tab and make note of the JAAS Credentials settings; you
| need it later in the upgrade process.
| d. Repeat the preceding substeps for the other isolated regions.

Planning and preparing for FileNet P8 upgrade 35

36 Planning for FileNet P8
Appendix A. Preparing non-English environments for
installing FileNet P8
To run FileNet P8 components in a non-English environment, certain conditions
must be met. Review the following considerations and tasks, organized by
administrator role, if you plan to run FileNet P8 in a non-English environment.

By default, Content Platform Engine uses Oracle Outside In Search Export for text
extraction on PDF documents. For right-to-left language PDF documents, you can
optionally use Apache PDFBox technology for text extraction. To use PDFBox, you
set a JVM property on Content Platform Engine. For more information, see the
topics in Administering FileNet P8 > Administering Content Platform Engine.

For information on how IBM Content Search Services extracts text from documents
that are sent to it by IBM Content Collector, see Administering FileNet P8 >
Administering Content Platform Engine > Retrieving documents > Finding
objects with content-based retrieval > Making object text searchable > Indexable
document types and text extraction.
“IT administrator”
Depending on the operating system, the IT administrator installs either a
localized version of the operating system, or the operating system language
pack.
“Security administrator” on page 39
The FileNet P8 security administrator installation role includes configuring and
maintaining directory servers.
“Database administrator” on page 39
The FileNet P8 database administrator installation role includes configuring
database installations and table spaces, and creating database accounts.
“Application Server administrator” on page 40
To support Unicode UTF-8 characters, all FileNet P8 domain application servers
must be properly configured and must have all fix packs installed.
“FileNet P8 administrator” on page 40
The FileNet P8 administrator configures Process Task Manager for Application
Engine and Workplace XT.
“Limitations on installing in a non-English environment” on page 40
There are certain limitations on installing FileNet P8 in non-English
environments.

IT administrator
Depending on the operating system, the IT administrator installs either a localized
version of the operating system, or the operating system language pack.
“Operating system considerations” on page 38
In addition to any operating system platforms, the IT administrator must
consider the FileNet P8 components that will be installed in a non-English
environment.
“Microsoft Windows” on page 38
Use the localized Microsoft Windows version when available. If the localized
version is not available, use the English version with the appropriate regional
setting.

© Copyright IBM Corp. 2001, 2016 37

 Operating system considerations
In addition to any operating system platforms, the IT administrator must consider
the FileNet P8 components that will be installed in a non-English environment.

Application Engine or Workplace XT

Application Engine and Workplace XT can be installed:

v On any localized version of Windows or in any region on the English version of
Windows

Remember: The Application Engine and Workplace XT setting must match the
Content Platform Engine setting. Otherwise, workflows can experience unexpected
problems such as errors related to the way characters display.

Content Platform Engine

Content Platform Engine can be installed:

v On any localized version of Windows or in any region on the English version of
Windows

If you intend to install Content Platform Engine in a path that contains

non-English characters, you must specify each such character in the path by its
escaped Unicode representation (for example, \u4EF6).

IBM Content Search Services

IBM Content Search Services can be installed:

v On any localized version of Windows or in any region on the English version of
Windows

When you run the installation program for IBM Content Search Services, you
specify a configuration data directory and an installation directory. If any
component of either of these directory names contains non-English characters, the
installation program appears to complete normally; but the program creates an
installation directory whose name contains random characters instead of the name
that you specified.

This installation failure occurs whether you install the first instance or an
additional instance of IBM Content Search Services. To prevent the failure, use only
English characters in the name of each component of the configuration data
directory and the installation directory.

Microsoft Windows
Use the localized Microsoft Windows version when available. If the localized
version is not available, use the English version with the appropriate regional
setting.

Use the Regional Options Control Panel to change the regional setting. For more
information, see the Windows help system.

If you intend to install IBM Content Search Services to a path that contains
non-English characters, ensure that your version of Windows supports the locale of
the non-English characters. If the native Windows command shell displays the
non-English characters correctly, the locale is supported.

38 Planning for FileNet P8

 Attention: The IBM Content Search Services temporary directory cannot contain
non-English characters. If you install to a non-English path, change the location of
the temporary directory to a path that contains English characters only. Use the
command-line configuration tool (configTool) to set the tempDirPath parameter.

Security administrator
The FileNet P8 security administrator installation role includes configuring and
maintaining directory servers.
“Extended characters and user names”
Note the following considerations for localized FileNet P8 accounts.

Extended characters and user names

Note the following considerations for localized FileNet P8 accounts.
v With Microsoft Active Directory, Content Platform Engine supports extended
characters in user names and passwords for all Latin1, Latin2, Arabic, and
double-byte languages
v Content Platform Engine does not support extended (double-byte) characters in
LDAP attributes for authentication purposes. These attributes include, but are
not limited to, such items as cn (common name), ou (organizational unit), or dc
(domain component). ASCII characters are required for these attributes.
v The Content Platform Engine locale must match directory server locale to
manage non-ASCII user names correctly.
v

Database administrator
The FileNet P8 database administrator installation role includes configuring
database installations and table spaces, and creating database accounts.
“Installing Microsoft SQL Server”
During installation, the Microsoft SQL Server installer program detects the
Windows regional setting and sets the Microsoft SQL Server language setting
accordingly. Use the regional setting selected by the installation program
throughout the entire Microsoft SQL Server installation.

Installing Microsoft SQL Server

During installation, the Microsoft SQL Server installer program detects the
Windows regional setting and sets the Microsoft SQL Server language setting
accordingly. Use the regional setting selected by the installation program
throughout the entire Microsoft SQL Server installation.

Microsoft does not recommend changing the selected regional setting unless you
have to match the regional setting to the collation of another instance of Microsoft
SQL Server or to the Windows regional setting of another computer. Localized
versions of Microsoft SQL Server are available in French, German, Spanish, Italian,
Japanese, Korean, and Simplified and Traditional Chinese.

The collation settings must match the language settings on the system. Searching
for other languages that do not match the database collation setting will result in
invalid search and sort results.

Appendix A. Preparing non-English environments for installing FileNet P8 39

 Application Server administrator
To support Unicode UTF-8 characters, all FileNet P8 domain application servers
must be properly configured and must have all fix packs installed.
| “Configuring character encoding on WebSphere Application Server”
FileNet P8 requires two WebSphere settings: com.ibm.CORBA.ORBCharEncoding, to
specify the native encoding set of character data that Object Request Broker
uses, and com.ibm.websphere.security.BasicAuthEncoding, to match the
encoding used by Basic Authentication for Web Services so that client
applications can access web services.

| Configuring character encoding on WebSphere Application

| Server
| FileNet P8 requires two WebSphere settings: com.ibm.CORBA.ORBCharEncoding, to
| specify the native encoding set of character data that Object Request Broker uses,
| and com.ibm.websphere.security.BasicAuthEncoding, to match the encoding used
| by Basic Authentication for Web Services so that client applications can access web
| services.

| To set character encoding parameters on WebSphere Application Server:

| 1. Log on to the WebSphere administrative console.
| 2. In the navigation pane, click Servers > Server Types > WebSphere application
| servers > server_name, where server_name is the name of one of your
| application servers.
| 3. In the Container services section, click ORB service > Custom properties >
| New.
| 4. In the Name field, enter com.ibm.CORBA.ORBCharEncoding, set the value to UTF8,
| and save your changes.
| 5. In the Server Infrastructure section, click Java and process management >
| Process definition > Java virtual machine > Custom properties > New.
| 6. In the Name field, enter com.ibm.websphere.security.BasicAuthEncoding, set
| the value to UTF8, and save your changes.
| 7. Restart the application server.
| 8. Repeat steps 2 through 7 for your other application servers.

FileNet P8 administrator
The FileNet P8 administrator configures Process Task Manager for Application
Engine and Workplace XT.

Limitations on installing in a non-English environment

There are certain limitations on installing FileNet P8 in non-English environments.

Important: For additional limitations, see the release notes.

Process Designer
To import a user-defined XSD file that contains non-English characters in Process
Designer, run the following command to convert characters to the Unicode
encoding format to match an operating system other than Windows Content
Platform Engine in a UTF-8 locale, and then import the XSD file into Process
Designer.

40 Planning for FileNet P8

Java -cp pe.jar filenet.vw.toolkit.utils.FileConverter /in filename
/out outfilename

Composite Platform Installation Tool

The Composite Platform Installation Tool, which installs a single-server FileNet P8

environment, is not supported on Simplified Chinese Microsoft Windows 2008 R2.

IBM Case Manager

IBM Case Manager requires language support on the Content Platform Engine
server to support authored language solution templates.

Important: Case Manager Builder displays unreadable characters in Step Editor for
double-byte (east Asian) characters. To resolve the problem, install the correct
language pack on the Case Manager Builder Server.

IBM FileNet Image Services

In IBM FileNet Image Services, navigate to fn_edit > System Attributes > Client
Character Set, enter MS932, and restart the IBM FileNet Image Services service. This
configuration setting ensures that Japanese characters in property values are
synchronized in both directions between IBM FileNet Image Services and Content
Platform Engine.

Rendition Engine

Rendition Engine supports only English and Japanese operating system languages.
You can install and run Rendition Engine on any language version of Windows,
provided that you set the Windows Region/Language configuration to either
English or Japanese.

With one exception, IBM FileNet Rendition Engine supports only the English
versions of authoring applications. The exception is that Rendition Engine supports
the Japanese versions of Microsoft Office, Microsoft Project, and Microsoft Visio.

For more information, see Microsoft Windows operating system help for further
information about adding additional language support.

Appendix A. Preparing non-English environments for installing FileNet P8 41

42 Planning for FileNet P8
Appendix B. FileNet P8 ports
Port numbers that are used by FileNet P8 components are listed along with
information such as communication protocols, the source and target components,
whether load balancers are supported, and other information specific to the
component ports.

The following conditions apply to the ports that are used by the FileNet P8
components:
v The port numbers are default values, but can be changed to other unique port
numbers.
v The default port number and communication protocol must be open on the
target server.
v Replies and responses to the requestor are made unless specified otherwise.
v No long-lived connections are established between FileNet P8 components
unless specified for the port. The connection is closed after the initiator opens a
connection with the recipient and the recipient responds.
“Content Platform Engine ports” on page 44
The Content Platform Engine ports information is presented in multiple tables
that list the port names, port numbers, communication protocols, and
descriptions.
“Application Engine and Workplace XT ports” on page 47
The Application Engine and Workplace XT servers ports table lists the port
names, port numbers, communication protocols, and description for its use.
“Process Simulator ports” on page 47
The Process Simulator ports information, which is segmented into multiple
tables, lists the port names, port numbers, communication protocols, and
description for its use.
“Content Search Services ports” on page 48
The Content Search Services ports information, which is segmented into
multiple tables, lists the port names, port numbers, communication protocols,
and description for its use.
“Rendition Engine and Content Platform Engine ports for LIQUENT” on page
49
The following tables list the Rendition Engine and Content Platform Engine
ports information for LIQUENT.
“Database ports” on page 51
The database ports information, which is segmented into multiple tables, lists
the port names, port numbers, communication protocols, and description for its
use.
“IBM System Dashboard for Enterprise Content Management ports” on page 52
The IBM System Dashboard for Enterprise Content Management ports
information, which is segmented into multiple tables, lists the port names, port
numbers , communication protocols, and description for it use.
“Content Services for FileNet Image Services ports” on page 53
The following tables list the port numbers used by IBM FileNet Content
Services for FileNet Image Services.

© Copyright IBM Corp. 2001, 2016 43

Content Platform Engine ports
The Content Platform Engine ports information is presented in multiple tables that
list the port names, port numbers, communication protocols, and descriptions.
Table 6. Content Platform Engine ports
Application Transport level Default port
Port name level protocol protocol number From To
LDAP LDAP TCP 389 Content Directory server
Platform
Engine server
LDAP (SSL ) LDAP TCP 636 Content Directory server
Platform
Engine server
LDAP Global Catalog LDAP TCP 3268 Content Global Catalog
Platform server
Engine server
LDAP Global Catalog (SSL) LDAP TCP 3269 Content Active Directory
Platform Global Catalog
Engine server server
WebSphere WSI HTTP TCP 9080 Content Content Platform
Platform Engine server
Engine client
WebSphere WSI (SSL) HTTPS TCP 9443 Content Content Platform
Platform Engine server
Engine,
Administration
Console for
Content
Platform
Engine,
Component
Manager
(Workplace
XT), or a
custom
application
WebSphere EJB IIOP TCP 2809 Content Content Platform
Platform Engine server
Engine client

Table 7. Content Platform Engine ports - continued

Port name Supports SSL?
LDAP No
LDAP (SSL ) Yes
LDAP Global Catalog No
LDAP Global Catalog (SSL) Yes
WebSphere WSI No
WebSphere WSI (SSL) Yes
WebSphere EJB Yes

44 Planning for FileNet P8

Table 8. Content Platform Engine ports - continued
Port name Notes
LDAP The port is on the directory server and specified on the Content Platform Engine
server for authentication.
LDAP (SSL ) The port is on the directory server and specified on the Content Platform Engine
for authentication through SSL.
LDAP Global Catalog The port is used for the Active Directory only.
LDAP Global Catalog (SSL) The port is used for the Active Directory only.
WebSphere WSI The port is on the WebSphere Application Server for Content Platform Engine. The
port is used for communication with Content Platform Engine by clients through
WSI.
WebSphere WSI (SSL) HTTPS over SSL or TLS. (Port 9080 is the non-SSL HTTP port.) Content Platform
Engine and custom applications use WSI. Port 9443 is on the WebSphere
Application Server for Content Platform Engine. The port is used for
communication with Content Platform Engine by clients through WSI.
WebSphere EJB The port is on the WebSphere Application Server for Content Platform Engine. The
port is used for communication with Content Platform Engine by clients through
EJB and for request forwarding between Content Platform Engine servers.

Table 9. Content Platform Engine ports

Application Transport level Default port
Port name level protocol protocol number From To
SMTP (Email Notification) SMTP TCP 25 Content Email server
Platform
Engine server
Process Task Manager / RMI TCP 32771 (for Process Task Component
Component Manager version 1 of Manager on the Manager /
version 1 communications Component Application Process Task
port Manager) Engine server Manager
communication
Component Manager Event RMI TCP 32773 (for Content Component
Port backward Platform Manager version
compatibility Engine server 1 on the
with version 1 Application
of Component Engine server
Manager)
Rules Listener RMI TCP 32774 (for Content Rules Listener
Rules Engine Platform
using Rules Engine server
Connectivity
Framework)
Content Platform Engine HTTP (only for TCP 0 (randomly Content Content Platform
server to server clusters) assigned port Platform Engine server
communication port number) Engine server

Table 10. Content Platform Engine ports–continued

Reply or
Response to Long lived Supports SSL
Port name requestor? sessions? Load Balancer? and TLS?
SMTP (Email Notification) No No No Yes

Appendix B. FileNet P8 ports 45

Table 10. Content Platform Engine ports–continued (continued)
Reply or
Response to Long lived Supports SSL
Port name requestor? sessions? Load Balancer? and TLS?
Process Task Manager / Component Yes Yes No No
Manager version 1 communications port
Component Manager Event Port Yes Yes No No
Rules Listener Yes Yes No No
Content Platform Engine server to server Yes Yes No No
communication port

Table 11. Content Platform Engine ports - continued

Port name Notes
SMTP (Email Notification) The port is on the SMTP server and is configured for Content Platform Engine
email notification in Administration Console for Content Platform Engine.

Communication on this port is one-way, from the Content Platform Engine server
to the email server.
Process Task Manager / This port is on the Application Engine server for Process Task Manager to
Component Manager version 1 communicate with the Component Managers.
communications port
Component Manager Event Port The port is on the Application Engine server, configured through the Process Task
Manager. This port number must match the port used for the Component Manager
Event Port on the Application Engine.

Communication on this port is one-way from the Content Platform Engine server
to the Component Manager.
Rules Listener The port is on the Content Platform Engine server.

Communication on this port is bidirectional from the Content Platform Engine

server to the Rules Listener
Content Platform Engine server For a cluster configuration only. If there is a firewall between the Content Platform
to server communication port Engine server instances of a cluster, this value should be set to a specific assigned
port number and that port value should be allowed in the firewall configuration.

The port is set for the workflow system. The port number is the internal port
number, which is the field name for this in the Administration Console for Content
Platform Engine. In a cluster configuration, this port needs to be set in
Administration Console for Content Platform Engine and it needs to be opened in
the firewall.

Communication on this port is bidirectional between Content Platform Engine

servers in a cluster.

46 Planning for FileNet P8

Application Engine and Workplace XT ports
The Application Engine and Workplace XT servers ports table lists the port names,
port numbers, communication protocols, and description for its use.
Table 12. Application Engine and Workplace XT server ports
Default port
Port name number Notes®
WebSphere 9080 The port is on the WebSphere Application Server for clients to
connect to Workplace and Workplace XT.
WebSphere SSL 9443 The port is on the WebSphere Application Server for clients to
connect to Workplace and Workplace XT through SSL.
WebLogic 7001 The port is on the WebLogic Server for clients to connect to
Workplace and Workplace XT.
WebLogic SSL 7002 The port is on the WebLogic Server for clients to connect to
Workplace and Workplace XT through SSL.
JBoss 8080 The port is on the JBoss Application Server for clients to connect to
Workplace and Workplace XT.
JBoss SSL 8443 The port is on the JBoss Application Server for clients to connect to
Workplace and Workplace XT through SSL.
BPM Web Services Reliable 32767 The port is configured and used on the Application Engine server,
messaging client port for a Component Manager instance.
Content Platform Engine 32771 The port is on the Windows Content Platform Engine server for
(RMI) Process Task Manager to communicate with the Windows Content
Platform Engine Services Manager. Specify this port number in the
jpemgr.properties file, in the jpemgr.port parameter on the Content
Platform Engine.

This port is on the Application Engine server for Process Task

Manager to communicate with the Component Managers and the
Windows Process Workplace (or Workplace XT) Services Manager.
Set the port in Process Task Manager on the Application Engine as
the Registry Port.
Component Manager (Event 32773 The port is on the Application Engine server, and is used when the
Port) Component Manager (running on the Application Engine Server) is
configured to be triggered by events, instead of polling. This port
number must match the port used for the Component Manager
Event Port on the Content Platform Engine.

Process Simulator ports

The Process Simulator ports information, which is segmented into multiple tables,
lists the port names, port numbers, communication protocols, and description for
its use.
Table 13. Process Simulator ports
Application Transport level Default port
Port name level protocol protocol number From To
Registry port RMI TCP 32771 Process Task Process
Manager Simulator
Return RMI TCP 0 Application Process
Engine Simulator

Appendix B. FileNet P8 ports 47

Table 14. Process Simulator ports–continued
Reply or
Response to Long lived
Port name requestor? sessions? Load Balancer? Supports SSL?
Registry port Yes No No No
Return Yes No No No

Table 15. Process Simulator ports–continued

Port name Notes
Registry port The port is on the Process Simulator server. The Process Task Manager application
on the Process Simulator server communicates with the Process Simulator server
process on this port. The Application Engine also communicates with the Process
Simulator server process on this port.
Return The port is on the Process Simulator server and is used to communicate with the
Application Engine server.

By default an anonymous port number is used. However, if the Process Simulator

server resides behind a firewall it will be necessary to specify an explicit port by
entering a value other than 0.

Content Search Services ports

The Content Search Services ports information, which is segmented into multiple
tables, lists the port names, port numbers, communication protocols, and
description for its use.
Table 16. Content Search Services ports
Application Transport level Default port
Port name level protocol protocol number From To
Content Search Services proprietary TCP 8191 Content Engine Content Search
server Services

Table 17. Content Search Services ports–continued

Reply or
Response to Long lived
Port name requestor? sessions? Load Balancer? Supports SSL?
Content Search Services server Yes No No Yes (for P8
version 5.1)

Table 18. Content Search Services ports–continued

Port name Notes
Content Search Services server The port is located on the Content Search Services server and is used for
communication between the Content Search Services server and the Content
Engine.

48 Planning for FileNet P8

Rendition Engine and Content Platform Engine ports for LIQUENT
The following tables list the Rendition Engine and Content Platform Engine ports
information for LIQUENT.
Table 19. Rendition Engine and Content Platform Engine ports for LIQUENT
Transport level Default port
Port name protocol number From To
LIQUENT input port TCP/IP 2867 (COM Content Platform Rendition Engine
Repository only) Engine and
Rendition Engine
LIQUENT notify port TCP/IP 2868 Rendition Engine Content Platform
Engine and
Rendition Engine
LIQUENT event port TCP/IP 2869 Content Platform Rendition Engine
Engine and
Rendition Engine
LIQUENT admin port TCP/IP 2870 Content Platform Rendition Engine
Engine and
Rendition Engine
LIQUENT file transfer port TCP/IP 2871 Content Platform Content Platform
Engine and Engine and
Rendition Engine Rendition Engine
LIQUENT job queue port TCP/IP 2872 Rendition Engine Rendition Engine

Table 20. Rendition Engine and Content Platform Engine ports for LIQUENT - continued
Reply or
Response to Long lived
Port name requestor? sessions? Load Balancer? Supports SSL?
LIQUENT input port Yes No No No
LIQUENT notify port Yes No No No
LIQUENT event port Yes No No No
LIQUENT admin port Yes No No No
LIQUENT file transfer port Yes No No No
LIQUENT job queue port Yes No No No

Table 21. Rendition Engine and Content Platform Engine ports for LIQUENT–continued
Port name Notes
LIQUENT input port The port allows for distributed processing of jobs on the Rendition Engine servers
when there are more than one Rendition Engine server. A Rendition Engine server
or Rendition Engine client (Content Platform Engine Publishing server) on which a
job is submitted makes the load balancing decision on where to run the job. If the
job is sent to another Rendition Engine server for execution then it uses the other
Rendition Engine server's input port to do so.

Appendix B. FileNet P8 ports 49

Table 21. Rendition Engine and Content Platform Engine ports for LIQUENT–continued (continued)
Port name Notes
LIQUENT notify port The port is also related to the distributed processing of jobs on the Rendition
Engine servers. When a job is sent to another Rendition Engine server, then the
originating Rendition Engine server or Rendition Engine client (Content Platform
Engine Publishing server) is notified on this port by the other Rendition Engine
server when the other Rendition Engine server has finished processing the job.
One case of this is when the Rendition Engine server is notifying the Rendition
Engine client (Content Platform Engine Publishing server) that a conversion job
has completed.
LIQUENT event port The port is used by each Rendition Engine server to send or receive events. These
events are used by the Rendition Engine server to keep each other informed of
current activities. The LIQUENT Domain Manager on the Rendition Engine server
uses these events for the job status display.
LIQUENT admin port The port is used by each Rendition Engine server for internal administrative
functions. The primary use is for each Rendition Engine server to publish its
current activity statistics (for example, how busy the business services are) for use
by other Rendition Engine servers to make load balancing decisions.
LIQUENT file transfer port This port is used for transferring source, temporary, and result files between
Rendition Engine servers as well as between Rendition Engine servers and
Rendition Engine clients (Content Platform Engine Publishing servers).
LIQUENT job queue port This port is for job queuing by the render business service on all Rendition Engine
servers.

Tip: If the LIQUENT port number assigned to the Rendition Engine/LIQUENT

software conflicts with the port number required by another application or service
that runs on the Rendition Engine server or the Content Platform Engine
Publishing server, then the default values can be changed in the LIQUENT Domain
Manager on the Rendition Engine server.

The above port numbers are the default values set by the Rendition Engine
installer for the COM Repository in the LIQUENT Vista domain, which represents
the Rendition Engine server itself. When a Content Platform Engine Publishing
server is configured to point to the Rendition Engine server, one must create a
"Java Repository" in the LIQUENT Vista domain that represents the Content
Platform Engine Publishing server as a Java client to the Rendition Engine server,
and this repository will also have the same default port number values.

The database port number is not specified directly by the Rendition Engine
server’s LIQUENT software, but it is specified for the Rendition Engine client in
the Content Platform Engine Publishing server's Rendition Engine Connection
object (for the JDBC connection from the Rendition Engine client module to the
Rendition Engine database server).

50 Planning for FileNet P8

Database ports
The database ports information, which is segmented into multiple tables, lists the
port names, port numbers, communication protocols, and description for its use.
Table 22. Database ports
Application Transport level Default port
Port name level protocol protocol number From To
DB2 for Linux, UNIX, and JDBC or CLI TCP 50000 Content DB2
Windows Platform
Engine, Case
Analyzer and
IBM Content
Navigator
DB2 for z/OS® JDBC or CLI TCP 446 Content DB2
Platform
Engine, Case
Analyzer and
IBM Content
Navigator
Oracle JDBC or OCI TCP 1521 Content Oracle
Platform
Engine, IBM
Content
Navigator, Case
Analyzer, and
Rendition
Engine
Microsoft SQL Server JDBC or TDS TCP 1433 Content Microsoft SQL
Platform Server
Engine, IBM
Content
Navigator, Case
Analyzer, and
Rendition
Engine

Table 23. Database ports - continued

Reply or Response
Port name to requestor? Long lived sessions? Load Balancer?
DB2 for Linux, UNIX, and Windows Yes No Yes
DB2 for z/OS Yes No Yes
Oracle Yes No Yes
Microsoft SQL Server Yes No Yes

Table 24. Database ports - continued

Port name Notes
DB2 for Linux, UNIX, DB2 for Linux, UNIX, and Windows default port. Port 50000 or
and Windows higher can be used.
DB2 for z/OS The default port for DB2 for z/OS is typically changed. Refer to
your database administrator for the port numbers in use.
Oracle Oracle DB default listener. Alternative port is 2483 (TTC) or 2484
(TTC SSL).

Appendix B. FileNet P8 ports 51

 Table 24. Database ports - continued (continued)
Port name Notes
Microsoft SQL Server The port is the default port for SQL Server.

IBM System Dashboard for Enterprise Content Management ports

The IBM System Dashboard for Enterprise Content Management ports information,
which is segmented into multiple tables, lists the port names, port numbers ,
communication protocols, and description for it use.
Table 25. IBM System Dashboard for Enterprise Content Management ports
Application Transport level Default port
Port name level protocol protocol number From To
Listener (first) TCP/IP TCP 32775 IBM System IBM System
Dashboard for Dashboard for
Enterprise Enterprise
Content Content
Management Management
client (such as, Listener
System (running on
Dashboard / Content Platform
FSM) Engine,
Application
Engine, FileNet
Image Services,
and other
servers)
Listener (subsequent) TCP/IP TCP OS defined IBM System IBM System
Dashboard for Dashboard for
Enterprise Enterprise
Content Content
Management Management
client (such as, Listener
IBM System (running on
Dashboard for Content Platform
Enterprise Engine,
Content Application
Management / Engine, FileNet
FSM) Image Services,
and other
servers)

Table 26. IBM System Dashboard for Enterprise Content Management ports–continued
Reply or
Response to Long lived
Port name requestor? sessions? Load Balancer? Supports SSL?
Listener (first) Yes Yes No No
Listener (subsequent) Yes Yes No No

52 Planning for FileNet P8

Table 27. IBM System Dashboard for Enterprise Content Management ports–continued
Port name Notes
Listener (first) This is the primary "pilot port" for connection to the IBM System Dashboard for
Enterprise Content Management server. This port also registers the secondary
allocated ports and communicates those numbers to the Dashboard. If needed, an
administrator can use the PchConfig.properties file to override the OS-defined
property and define a specific range of ports to use.
Listener (subsequent) If the first listener port is allocated, the OS will allocate additional ports for
managers to connect to listeners on the IBM System Dashboard for Enterprise
Content Management server. If needed, an administrator can use the
PchConfig.properties file to override the OS-defined property and define a
specific range of ports to use.

Content Services for FileNet Image Services ports

The following tables list the port numbers used by IBM FileNet Content Services
for FileNet Image Services.
Table 28. Content Services for FileNet Image Services ports
Application level Transport level Default port
Port name protocol protocol number From To
tms Custom TCP 32768 administrator FileNet Image
Services server
cor Custom TCP 32769 FileNet Image FileNet Image
Services, FileNet Services server
Image Services
Toolkit, or
Content Engine
server
nch Custom UDP 32770 Content Engine FileNet Image
server Services server
fn_snmpd SNMP UDP 161 SNMP Mgmt FileNet Image
Services
snmp trap SNMP UDP 162 SNMP Mgmt SNMP Mgmt
fn_trapd SNMP UDP 35225 FileNet Image SNMP Mgmt
Services
Native default SNMP UDP 8000 SNMP Mgmt HP-UX OS
SNMP port (HP
only)
IBM FileNet P8 SNMP UDP 8001 SNMP Mgmt fn_snmp (HP and
specific SNMP port Sun)
(HP and Solaris
only)
tpi Custom UDP anonymous FileNet Image FileNet Image
Services Toolkit Services
or FileNet Image
Services

Appendix B. FileNet P8 ports 53

Table 29. Content Services for FileNet Image Services ports–continued
Reply or
Response to Long lived
Port name requestor? sessions? Load Balancer? Supports SSL?
tms Yes No No No
cor Yes Caller is No No
responsible for
closing the
connection
nch Yes No No No
fn_snmpd Yes No No No
snmp trap No No No No
fn_trapd No No No No
Native default SNMP port (HP only) Yes No No No
FileNet P8 specific SNMP port (HP and Yes No No No
Solaris only)
tpi Yes No No No

Table 30. Content Services for FileNet Image Services ports–continued

Port name Notes
tms tms is the Task Manager service. TM_daemon listens for requests from initfnsw
running on the same or a different system analogous to COR_Listen listening for
RPCs.
cor cor is the Courier service. COR_Listen listens on this port for incoming RPC
requests.
nch nch is the NCH daemon. NCH_daemon listens on this port. Pre-4.1.2 listened for
broadcasts, and so on, Post 4.1.2, listens only for old print servers to verify that
NCH is up.
fn_snmpd fn_snmpd is the FileNet Image Services Simple Network Management Protocol
daemon. It listens for SNMP requests from the native OS SNMP daemon. The
native SNMP daemon listens on this port and communicates with fn_snmpd
through other local port. fn_snmpd does not listen on this port.
snmp trap This port is a well-known OS trap daemon port for listening to trap messages. All
FileNet Image Services trap messages received by fn_trapd daemon are eventually
routed to this port.
fn_trapd fn_trapd is the FileNet Image Services trap daemon, which listens for notifications
of the end of FileNet Image Services background processes running on the server
and sys logs information.
Native default SNMP port (HP All non-FileNet Image Services based SNMP requests are routed to this port for
only) native SNMP processing.
FileNet P8 specific SNMP port All FileNet Image Services based SNMP requests are routed to this port for
(HP and Solaris only) fn_snmpd daemon processing.
tpi Used for migration notification. The requester gets the anonymous UDP socket and
waits on completion. When the migration is complete, the ds_notify and pri_notify
processes send TPI notifications to signal completion of a task.

54 Planning for FileNet P8

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56 Planning for FileNet P8

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Notices 59
60 Planning for FileNet P8
Index
Special characters F R
.NET FileNet Image Services ports 53 Reducing deadlock errors
configuring Windows 18 FileNet P8 eForms 7 Microsoft SQL Server 26
Filenet P8 ports 43 Rendition Engine ports 49
Fix Packs and Test Fixes roles
A minimum level required 7 definition of upgrade 9
accounts
Content Platform Engine
upgrade 13, 21 I S
Application Engine and Workplace XT IBM Support SA
ports 47 data collection tools 20 upgrade tasks 21
Application Engine operating system IBM Support Assistant Data security
database user account 28 Collector 20 upgrade considerations 21
application server IBM Support Assistant Lite Data SQL Server
LDAP user account 22 Collector 20 planning for upgrades 24
application server installation group 17 IBM System Dashboard for Enterprise
application server instance Content Management ports 52

ASA
starting or stopping 28 installation and upgrade worksheet 10
installing localized version of operating
U
upgrade 4
upgrade tasks 27 system 37
ASA tasks 27
asynchronous processing dispatcher installing operating system language
DBA tasks 22
enabling before upgrade 30 pack 37
ITA tasks 13
ITA
on existing server instance 3
upgrade tasks 13
planning 1
C planning and preparing 1
CE_Operations custom settings 34 planning considerations 6
CFS database user 22 M SA tasks 21
COM compatibility clients Microsoft SQL Server upgrade expansion products 7
configuring Windows 18 reducing deadlock errors 26 Content Federation Services 7
configuring Active Directory 18 migration upgrade FileNet P8 eForms 7
configuring the application server migrating the Windows platform to Records Manager 8
forContent Platform Engine 29 UNIX upgrade tasks
Configuring Windows goal overview 4 P8A 30
Active Directory 18 upgrading Content Engine
Content Federation Services 7 upgrading the underlying vendor
Content Platform Engine
configuring the application server 29
N software 8
Upgrading Process Engine
network
Content Platform Engine application background information 8
configuring for FileNet P8
server installation account 16 using localized version of Microsoft
components 19
Content Platform Engine application Windows 38
new server instance
server installation group 17
changing application server
Content Platform Engine operating
hardware 4
system user account 15
Content Platform Engine ports 44
changing database server hardware 4 W
Windows
Content Platform Engine ports for
configuring for FileNet P8
LIQUENT 49
Content Search Services ports 48 O components 17, 18
Windows inbound rules 19
operating system considerations 38
worksheet
autofiltering and sorting 12
D running the customize macro 11
data collection tools P using the installation and upgrade
IBM Support Assistant Data P8A worksheet 10
Collector 20 upgrade tasks 30
IBM Support Assistant Lite Data ports 43, 44, 47, 48, 49, 51, 52, 53
Collector 20
database ports 51
Process Engine
preparing for upgrades 31
X
XA transactions
DBA Process Simulator ports 47
enabling 25
upgrade tasks 22
DBexecute alias 33

© Copyright IBM Corp. 2001, 2016 61

62 Planning for FileNet P8
IBM®

Product Number: 5724-R76

5724-R81

GC19-3927-04