Overview · VCF

Full VCF upgrade sequence

A companion to the Overview, expanding the full VCF track: a fleet driven through VCF Management Services / Fleet Management (SDDC Manager, VCF Operations Fleet Management, the License Server) end to end. If that layer isn’t in the picture, see the Standalone VVF upgrade doc instead – see the Overview for how to tell which applies.

Status: draft. The phase ordering and conditionality below is verified against the VCF Upgrade Planner (run 2026-08-27, target build 9.1.0.0400). VCF 9.1.1 went GA on 2026-09-03 – that run predates it, so re-run the planner and the interoperability matrix for a 9.1.1 target build. Per-phase procedure detail, IP counts, and version numbers are transcribed from the planner and the supplementary guides and must be re-confirmed verbatim against Broadcom TechDocs (and against your actual target build) before being treated as authoritative. Sources: reference/sources.md.


Contents


How to use this doc

  1. Confirm a supported path and pin a target build – see the Overview.
  2. Clear every prerequisite and precheck below.
  3. Execute The upgrade sequence phase by phase. Every phase boundary is a safe stopping point – pause there to validate before continuing.
  4. Insert any conditional phases your fleet needs (Avi, SRM, HCX, NSX Federation, Log Management, …) at the points shown.
  5. Apply your hardware addendum where it cross-links a phase (VxRail: VxRail Addendum).
  6. Finish with Post-upgrade validation and Cleanup.

Keep Field notes open alongside – the list of things that went wrong on real upgrades and how they were cleared.


What changes in VCF 9.x

A 5.2 → 9.1 upgrade is more than a version bump. What is structurally new – know these before planning the sequence:

  • The fleet construct. VCF Operations manages a fleet of VCF instances. For a 5.2.x source the planner labels the upgrade “Create New VCF 9.1 Fleet” – still an in-place upgrade of the existing environment; the wording reflects the new construct. A 9.0.x source uses “Expand existing VCF Fleet by upgrading the current instance”.
  • VCF Management Services + a headless License Server (Phase 3) – a new cluster hosting Fleet Lifecycle and SDDC Lifecycle services. It replaces the standalone 9.0 Fleet Management Appliance and consolidates the standalone Identity Broker.
  • Subscription licensing – no perpetual model, no 25-character keys; managed through VCF Operations and the VCF Business Services console.
  • VCF Identity Broker replaces VIDM / Workspace ONE Access as the fleet identity layer – not an in-place upgrade (detail).
  • vLCM images only – baseline / VUM-managed clusters are not supported in vSphere 9; convert them first.
  • Unified Cloud Proxy – one appliance for VCF Operations, Operations for Logs, and the SDDC integration; legacy per-purpose 8.18 Cloud Proxies do not upgrade in place.
  • Operations for Logs has no in-place upgrade path – it is a fresh 9.1 deployment plus content re-import.
  • Behaviour changes – vCLS deactivated by default; vCenter syslog on TLS port 1514; vCenter root password 15–20 characters.

Prerequisites and architectural guardrails

Clear all of these before Phase 1. Re-confirm each against TechDocs for your target build.

AreaRequirement
Fleet healthHealthy source fleet; no failed workflows; all SDDC Manager prechecks green
Bundle stagingAll upgrade bundles downloaded, staged, and integrity-checked before the window; confirm free disk space on SDDC Manager – a common, avoidable staging failure
CPU & TPMNo deprecated CPU families for the target build; TPM 2.0 firmware current, or TPM disabled
BackupsvCenter file-based backup configured; SDDC Manager + VCF Operations image-based backups to an external SFTP target
vSphere Lifecycle ManagerAll clusters managed by vLCM images – transition any remaining baseline-managed clusters first. Full walkthrough: VUM to vLCM images migration
DNSStrictly lowercase forward and reverse records for every existing and new name
NTPTime sync healthy and consistent across all fleet components before the upgrade window
vCenter root password15–20 characters (new 9.1 standard)
Management Services IP blockFree /28 CIDR minimum on the management network (or a dedicated network); 12 IPs minimum, 30 recommended. FQDNs for: Fleet component service, Instance component service, VCF services runtime, Identity Broker, License Server
Internal runtime rangeVCF services runtime uses 198.18.0.0/15 internally – must not overlap the management network. Changeable to 240.0.0.0/15 or 250.0.0.0/15 only via the deployment JSON spec
vCenter temp IPsA temporary IP per vCenter for the reduced-downtime upgrade
vSAN HCLUpdate the vSAN Hardware Compatibility database; confirm Broadcom vSAN plugins are supported on the target build
vSAN healthResolve every red/yellow Skyline Health finding (vSAN cluster → Monitor → Skyline Health) before upgrading; only silence alerts that are understood and accepted
Certificates & passwordsAll component certs valid and not near expiry; all managed credentials valid
SyslogvCenter syslog moves to TLS on port 1514
vCLSvSphere Cluster Services is deactivated by default in 9.x – expect the behaviour change
LicensingVCF 9 is subscription-only – no perpetual model, no 25-character keys; managed through VCF Operations and the VCF Business Services console. A valid term subscription with the required capacity must be in place before the upgrade window. VCF Operations must be licensed within 90 days of upgrade; the License Server is deployed during Phase 3

Cross-references in the sister repo (foundational VCF9 detail that also applies during an upgrade – don’t duplicate it here):

  • Firewall flows by zone – VCF9-DeploymentPlanning/docs/07-firewall-ports.md
  • Certificate-authority setup – VCF9-DeploymentPlanning/docs/prerequisites.md
  • Fleet SSO / Identity Broker – VCF9-DeploymentPlanning/docs/12-sso-configuration.md
  • Ordered fleet shutdown/startup – VCF9-DeploymentPlanning/docs/13-shutdown-startup.md

Run the pre-upgrade precheck

Run the upgrade precheck in SDDC Manager and resolve every error before starting. Component-specific prechecks (VCF Automation especially) run again inside each phase – a green fleet precheck is the entry gate, not the whole story.

No finding should go into the upgrade window unowned: track each one to resolution (or an explicit accepted-risk decision) and re-run the precheck to confirm it clears before proceeding. This is the go / no-go gate – the window opens only when every blocker is resolved (or explicitly accepted) and the evidence exists to prove it, not on a verbal “looks fine.”

Findings typically split across ownership tiers – some resolved directly, some needing a customer-executed change (firewall rules, networking, company policy), some requiring hardware-vendor investigation, and a small remainder needing vendor support escalation. Agree ownership per finding; don’t assume one team can clear everything.

Also run VDT per vCenter before the window opens, to catch vCenter-level issues early. The VCF Diagnostic Tool for vSphere (VDT) – distributed as a normal, publicly available KB attachment – runs directly on a vCenter appliance and checks DNS, NTP, disk space, certificates, AD/Lookup Service integration, vCenter services, and VCHA:

cd /root/ && unzip vdt-<version_number>.zip && cd vdt-<version_number>
python vdt.py

See VDT and lsdoctor: self-service diagnostic tools for the full reference, including what to do next if the Lookup Service / AD check turns up something (lsdoctor).


The upgrade sequence

Core spine for a fleet with core components only9 phases / 10 steps. Each phase is a safe stopping point. For each phase, follow the linked Broadcom TechDocs procedure; this doc gives the order, the gotchas, and what to validate before moving on.

Numbers below (node counts, sizes, effective versions) are from the planner at target 9.1.0.0400 – re-confirm for your build.

Phase 1 – VCF Operations upgrade

Upgrade the VCF Operations instance that manages the fleet first. VCF Operations is a required component in 9.x and must be on the target build before the SDDC Manager upgrade begins. On a 5.2.x source this is the transition from Aria Operations (via vRSLCM) to VCF Operations 9.1.

In-place vs. fresh install, re-IP, HA/CA, and registering vCenters as data sources are covered in detail in Operations modernization – read that before committing to a re-IP procedure or a content-migration plan.

  • Unified Cloud Proxy (also Universal Cloud Proxy / UCP). 9.1 collects for VCF Operations, Operations for Logs, and the SDDC Manager / VCF Management integration from a single Cloud Proxy appliance (1 node, 1 IP) in the first VCF Instance. Hard blocker: without a Cloud Proxy on the first VCF Instance, the upgrade cannot complete – this applies even with no Aria stack present at all (deploy VCF Operations and a Cloud Proxy in that case; both are mandatory). Legacy 8.18 vRealize Operations Cloud Proxies do not upgrade in place into the unified model – deploy the new proxy and reconfigure the collection paths from SDDC Manager alongside this phase. The upgrade plan does not deploy the UCP for you – and log-data transfer from the old Operations for Logs needs a UCP in split-proxy mode (field notes).
  • Operations for Logs has no in-place upgrade to 9.x – it is a fresh deployment regardless of source. Redeploy at 9.1 and re-import content packs, forwarding, agents, and RBAC. Plan it as its own step, not part of the Operations upgrade (see conditional phases).
  • vRSLCM / Aria Suite Lifecycle is not upgraded in place. Its lifecycle role is absorbed by VCF Operations fleet management and the VCF Management Services; its VIDM-management role disappears when VIDM is replaced by Identity Broker. Retire it after the Aria → VCF component migration is confirmed (see Cleanup).

Before moving on: VCF Operations reachable and healthy; metrics still flowing through the (unified) Cloud Proxy.

Phase 2 – SDDC Manager upgrade

Upgrade SDDC Manager to the target build using the pre-9.1 SDDC Manager UI. This is where the 9.1 fleet-management UI and the new upgrade workflow appear; from here on, NSX and vCenter are driven from SDDC Manager / VCF Operations Fleet Management, not their own upgrade tools. Re-run the fleet precheck afterwards.

Before moving on: SDDC Manager UI healthy; inventory intact; prechecks still green.

Phase 3 – Deploy VCF Management Services + License Server

Deploy the new VCF Management Services cluster and the headless License Server, then transfer licenses onto the new infrastructure. This layer is new in 9.x – it hosts Fleet Lifecycle and SDDC Lifecycle services that replace the standalone 9.0 Fleet Management Appliance and consolidate the standalone Identity Broker.

Sizing (planner, target 9.1.0.0400):

ComponentSizeNodesvCPUMemoryStorage
VCF Management Services nodesSmall41224 GB3,000 GB
License ServerSmall124 GB12 GB

Extra IPs (up to 18 more, 30 recommended total) can be added later in the VCF Operations Lifecycle UI as CIDR or individual IPs – they need not be contiguous.

Before moving on: Management Services cluster healthy; License Server reachable; licenses assigned; vCenter(s) still show valid licensing.

Phase 4 – VCF Automation upgrade (if VCF Automation / Aria Automation is present)

Upgrade VCF Automation (8.18.x → 9.1). A new instance is deployed; the existing FQDN and node IPs are auto-transferred as VIPs, and an existing external load balancer needs no config change. VCF Automation must reside on the management cluster before VCF can upgrade it. Ensure enough resources for all Automation components.

VCF Operations Orchestrator (formerly Aria Automation Orchestrator, if present) upgrades alongside Automation to Orchestrator 9.1 – on a 5.2.x source this is a manual step; on a 9.0.x source it is driven by VCF Operations. Confirm which applies for your source build.

Before moving on: Automation portal reachable at its original FQDN; catalog/deployments intact; Orchestrator (if present) on the target build.

Phase 5 – NSX Local Manager upgrade

Upgrade the NSX Local Manager(s). Check the VMware Product Interoperability Matrix first. (If NSX Federation is in play, the NSX Global Manager upgrade comes first – see conditional phases.)

Before moving on: NSX management plane healthy; no alarms; overlay intact.

Phase 6 – vCenter upgrade

Upgrade vCenter via VCF Operations → Fleet Management – the installer-UI upgrade path is deprecated. Gotchas:

  • Integrated Windows Authentication is removed in vCenter 9. Dissolve the Active Directory domain join before upgrading – unjoin gracefully per KB 373004; move to another IdP configuration. Full walkthrough, including a permissions/roles backup before the switch: IWA to AD-over-LDAPS migration.
  • RDU (reduced-downtime upgrade) deploys a new appliance on the target build alongside the running one and copies data/config while the source stays online; the only outage is the switchover (~10 minutes per Broadcom KB 313288). If it fails, it auto-reverts to the source VM in its pre-upgrade state – no manual rollback needed. If the manual rollback procedure below is still required for a specific failure: shut down the target vCenter → run the script to stop the RDU → roll back the 8.0 vCenter Workspace ONE broker precheck change → reboot vCenter.
  • After a successful RDU switchover, disconnect the source VM’s network adapter. If the old appliance is later powered back on while still connected, it will delete the new target VM (KB 313288). Do this before the source VM leaves the maintenance window, not as an afterthought.
  • After the upgrade, re-check the vCenter Lifecycle Manager depot token – it can silently stop matching SDDC Manager’s, and ESXi images vanish from the vCenter depot (field notes).

Before moving on: vCenter on the target build; ELM (if used) intact; all hosts connected.

Phase 7 – ESX / host-cluster upgrade

Upgrade ESX hosts cluster by cluster via rolling maintenance mode, plus any vSAN witness hosts. NSX VIBs ship inside the ESX image and upgrade with the host – there is no separate NSX-on-host step between this phase and NSX finalize.

Hardware addendum replaces or wraps this phase. On Dell VxRail, host/firmware/driver upgrades are delivered as a Dell-validated VxRail bundle and driven by Dell – do not use the online VxRail Manager UI / vCenter plugin path. See VxRail Addendum.

Before moving on: all hosts on the target build; vSAN healthy; resync complete; no HCL warnings.

Phase 8 – NSX finalize

Run the NSX upgrade finalization step. (With NSX Edge nodes present, Edge upgrade + finalize happen together here – see NSX Edge & Finalize.)

Before moving on: NSX upgrade marked complete; Edge/transport nodes healthy.

Phase 9 – Effective versions (reference)

Not an action – a check. At target 9.1.0.0400 the planner reports these effective builds (a component without a patch for the exact build reflects its highest available version):

ComponentEffective build @ 9.1.0.0400
vCenter Server9.1.0.0300
ESX / vSphere9.1.0.0200
NSX Local Manager9.1.0.0200
SDDC Manager9.1.0.0400
VCF Operations9.1.0.0400
VCF Automation9.1.0.0200

Confirm each component landed on its expected build.


Windows, ordering and rollback

  • Method. The upgrade runs sequentially – one component, one domain at a time. Management domain first, then each workload domain, repeating the same phase order.

  • Windows. Size the window per domain, not for the whole estate, and split it into an unattended block (host / firmware remediation – the bulk of the elapsed time) and attended blocks around it (the VCF Operations upgrade, config updates, prechecks, DR re-test). A single VxRail management

    • workload domain pair has run to roughly 80 hours end to end. Ask your Broadcom TC contact for their per-component time estimates to build the project plan from – use those alongside a real reference point like the above.

    Rough per-component durations, gathered from field experience and general Broadcom planning guidance rather than any single authoritative source (single management domain plus workload domains; excludes time to resolve blockers found along the way, and will vary by hardware and environment size – treat these as a starting point to validate against your own TC’s numbers, not a commitment):

    DomainComponentEst. timeNotes
    MGMTSDDC Manager~1.0 hrFirst component upgraded
    MGMTNSX-T (Edges / TN / Manager)~4.0 hrs
    MGMTWitness node~0.5 hrIf applicable
    MGMTvCenter Server~1.0 hr
    MGMTESXi (per host)~11.0 hrsScales with host count
    WLD 1+NSX-T (shared across WLDs)~8.0 hrsSingle upgrade, all WLDs
    WLD 1+vCenter Server~1.0 hrPer WLD
    WLD 1+ESXi (per host)~8-13 hrsWLDs can run in parallel
    AllAria Suite LCM~1.0 hrIf in scope
    AllPost-upgrade checksTBDFinal step, full environment
  • Safe stopping points. Every phase boundary is a safe stop – run the “before moving on” checks, then either continue or pause. Do not stop mid-phase.

  • Rollback. Recovery is per-component – there is no single “undo”:

    • VCF Operations – snapshot each node before starting (cluster offline, memory excluded); rollback is a snapshot revert.
    • SDDC Manager & NSX Manager – not cleanly reversible; the backout position is restore-from-backup (NSX Manager: file-level backup only), so pre-upgrade backups must be verified first.
    • vCenter – the reduced-downtime upgrade auto-reverts on failure (Phase 6); no manual rollback needed in the normal case.
    • Avi – follow Avi’s own documented rollback procedure, where present as a conditional phase.
    • ESX / host – forward-only; rollback is only possible within the maintenance window, not after.

    Write down the agreed per-phase backout position before the window – this is one of the things a Technical Consultation gate expects as evidence, not just a verbal agreement.

  • Prechecks are a loop. The fleet precheck is the entry gate; component prechecks re-run inside each phase. Expect to iterate – clear, re-run, proceed.


Conditional phases (optional components)

When optional components are present the planner expands the plan (example: SRM + Avi + HCX + NSX Federation + vSphere Supervisor + VCF Operations for Logs + vSAN File Service → 15 phases / 17 steps). The inserts and where they slot into the core spine:

Inserted phasePositionNotes
Disaster Recovery Productsbefore the core (ahead of SDDC Manager)Converge SRM / vSphere Replication to Protection and Recovery – own doc: Disaster Recovery
Upgrade Avi Load Balancer + Deploy License Hubafter DR Products, before SDDC ManagerOwn doc: Avi + License Hub upgrade
VMware HCXafter VCF AutomationUpgrade HCX before the NSX/vCenter/host tier
NSX Global Manager upgradebefore NSX Local ManagerNSX Federation only. See NSX Federation in detail
vSphere Supervisorafter vCenter (Phase 6), before the ESX host phase (Phase 7)See vSphere Supervisor in detail
NSX Edge & NSX Finalizereplaces the plain “NSX finalize”, after the host phaseEdge nodes upgraded last, after ESX/host kernels, then finalize. Own doc: NSX Edge & Finalize
Post-Infrastructure Products → Log Managementafter NSX finalize (after Operations for Networks, before Identity Broker)Deploy fresh Log Management as part of VCF Management Services. Own doc: Log Management migration
Operations for Networks (vRNI / Aria Operations for Networks)with the operations tierUpgrade-path is version-gated – e.g. 6.14.1 reaches 9.1.0.0100 but not 9.1.0.0200 directly, and the newest 6.14.x may have no 9.x path. Collector nodes are version-locked to the platform – redeploy / re-pair
vSAN File Serviceafter Log Management, after the vSAN on-disk format upgradeRolling File Service agent (OVF) refresh, driven from the vSphere Client. See vSAN File Service in detail

Re-run the planner with the real component list for the authoritative insert points.

Several of the conditional workstreams have their own docs:

  • Disaster Recovery – SRM / vSphere Replication convergence to VCF Protection and Recovery (runs before the core upgrade).
  • Avi + License Hub upgrade – Avi Controller/Service Engine upgrade and the separate License Hub appliance (runs before SDDC Manager).
  • NSX Edge & Finalize – Edge cluster upgrade and NSX finalize, replacing the plain Phase 8 (runs after the host phase).
  • Log Management migration – VCF Operations for Logs migration to Log Management 9.1 (runs after NSX finalize).
  • Identity Broker migration – VIDM / Workspace ONE Access → VCF Identity Broker (runs after the core upgrade).

NSX Global Manager / Federation in detail

NSX Federation = one or more NSX Global Manager clusters (Active + Standby) coordinating the NSX Local Manager instances across sites. Detect it from NSX Manager (System → Location Manager), from the presence of Global Manager appliances, or from the Dell Technical Consultation checklist (“NSX Federation: Yes / No”).

  • Order. The Global Managers upgrade before the Local Managers – the upgrade coordinator does the GM cluster (standby node first, then active). Only then does the Local Manager phase (core Phase 5) run, followed by Edge and finalize.
  • Prerequisites. Every site’s NSX on a version the target supports (check the interoperability matrix); inter-site tunnel / RTEP connectivity healthy; a fresh Global Manager backup.
  • In a VCF context the whole NSX upgrade – GM → Local Manager → Edge → hosts → finalize – is driven from SDDC Manager / VCF Operations Fleet Management once SDDC Manager is on 9.1, not from NSX’s own tooling.
  • Before moving on: Location Manager healthy; every location connected; Global Managers on the target build.

Broadcom reference: “Upgrading NSX Global Manager Nodes in a Federated Environment” (techdocs, under Upgrading Cloud Foundation).

vSphere Supervisor in detail

Position: after vCenter, before the ESX host phase – between core Phase 6 and Phase 7, after NSX Local Manager (and the NSX Global Manager, if federated), ahead of any vSAN witness and the host kernels. KB 440630’s core sequence does not list it – it is an inserted advanced-product step.

  • Driven by vCenter Workload Management / vLCM, not SDDC Manager or Fleet Management. Follow the “Upgrade a Supervisor cluster” procedure.
  • Supervisor clusters must be on vLCM images. A Supervisor on a baseline / VUM cluster is not supported – transition it first. (The general vLCM-only rule, called out explicitly for Supervisor.)
  • The Supervisor version must match the vCenter version. Auto-upgrade was removed at vCenter 9.0, so once vCenter is on the target build the Supervisor is out of step until it is upgraded.
  • It touches the hosts. The Supervisor upgrade rolls each ESX host in the cluster through maintenance mode to install the Spherelet – budget for that on top of the Phase 7 host remediation.
  • vSphere Kubernetes Service (VKS / Tanzu guest) clusters upgrade after the Supervisor, against the Supervisor ↔ VKS compatibility matrix.
  • Before moving on: Supervisor control plane healthy and on the matching version; namespaces and workloads intact.

Broadcom reference: “Upgrade a Supervisor cluster” (vSphere Supervisor installation and configuration → Updating vSphere SupervisorManaging a Supervisor cluster using vLCM); vSphere Supervisor release notes.

vSAN File Service in detail

Position: last of the conditional phases – after Log Management, at the tail of the host-domain work, alongside the other post-host vSAN tasks in Post-upgrade validation. Applies only when vSAN File Service is enabled on a cluster.

  • Order: after the vSAN on-disk format upgrade. Prerequisites are ESX hosts upgraded → vCenter upgraded → vSAN on-disk format upgraded; the File Service agent upgrade runs after all three.
  • What is upgraded. The per-host File Service agent VMs (OVF). In the vSphere Client: cluster → Configure → vSAN → Services → File Service → Edit → Check upgrade, choose Automatic (pull the OVF) or Manual (supply the OVF), then Upgrade.
  • Manual mode needs the files downloaded ahead of time – this is a do-it-yourself step, not something the wizard fetches or prompts you through. Automatic needs the vCenter’s depot/internet reachability to pull it directly; where that’s not available (restricted / air-gapped environments, or the automatic pull otherwise fails), Manual is the only option, and it just presents a file picker – it doesn’t tell you where to get the files. On the Broadcom Support Portal: search Cloud Foundation → select the target release (9.1.1) → the VMware vSAN product page → Drivers & Tools tab → VMware vSAN File Services Appliance section. It’s not a single OVA – download every file in that section: the .ovf, its .mf and .cert signature files, and the three separate .vmdk disks (cloud-components, log, system) – six files in total for the 9.1.1.0 build. The wizard’s file picker needs the .ovf pointed at, but it reads the .mf/.cert/.vmdk files from the same local folder during deployment – grabbing only the .ovf fails partway through. Download all six into the same folder before starting the wizard, not after hitting the file picker and realizing more is needed.
  • Rolling. “The upgrade is performed on a rolling basis” – agents are replaced host by host. File server containers fail over to other agent VMs as each is refreshed.
  • Triggered from the vSphere Client, not SDDC Manager / VCF Operations and not Skyline Health.
  • File shares stay accessible during the upgrade, with brief interruptions possible as containers fail over.
  • Before moving on: every File Service agent on the new version and healthy (no degraded / redeploying agents), all file shares served, vSAN Skyline Health clean for File Service.

Broadcom reference: Upgrade vSAN File Service.

Identity: VIDM / Workspace ONE Access → VCF Identity Broker

VCF 9 replaces VMware Identity Manager (VIDM) / Workspace ONE Access with VCF Identity Broker (VIDB). It is not an in-place upgrade – Identity Broker ships fresh with VCF Management Services (Phase 3), and the transition is a distinct workstream run after the core upgrade: parallel-run, bring users/groups across, rebuild the directory / IdP connection, federation, MFA policies and branding by hand, re-point the components, then retire VIDM.

Full procedure, prerequisites, and what does / does not carry: Identity Broker migration.


Post-upgrade validation

Re-run the fleet precheck and compare the results against the pre-upgrade baseline, re-check vSAN Skyline Health, and confirm every check returns GREEN. Document any residual items or exceptions and package the evidence for handover, the same way the pre-upgrade findings were tracked to closure.

  • Component builds – every component on its expected build (Phase 9 table).
  • VMware Tools – upgrade guests to 13.1. Also re-verify the ProductLocker shared-repository location on every host – it’s a per-host setting with no guarantee it survives an ESXi upgrade, see VMware Tools ProductLocker.
  • VM hardware compatibility – bump VM compatibility where appropriate.
  • vSAN on-disk format – upgrade the on-disk format version.
  • vSAN File Service – upgrade if in use; runs after the on-disk format upgrade – see vSAN File Service in detail.
  • vSphere Distributed Switch – upgrade vDS versions (TechDocs).
  • Licensing – all vCenter/NSX/host licenses assigned from the License Server; no connectivity errors between vCenter and the License Server.
  • Certificates – re-issue or replace certificates for every new appliance (Management Services, License Server, Identity Broker, unified Cloud Proxy, Protection and Recovery); update trust on downstream integrations.
  • Identity – SSO login works at every portal via Identity Broker; federation to the upstream IdP re-validated.
  • Integrations – re-validate ServiceNow round-trips, log forwarding and content packs, custom dashboards and reports, vRO workflows, and any API consumers.
  • Disaster Recovery – re-test a recovery plan against the converged Protection and Recovery appliance.
  • Backups – reconfigure backup targets for the new appliances; re-verify image-based / file-based backups run clean; take fresh baselines.
  • Fleet health – SDDC Manager and VCF Operations report a healthy fleet; run a fresh precheck.

Spot-check builds, VMware Tools, vSAN on-disk format, and vDS version with PowerCLI (a fleet-wide sweep across the checklist’s build/Tools/vSAN/vDS rows – it does not replace the fleet precheck or Skyline Health, both of which look deeper than these surface-level properties):

Lab-verified 2026-09-19 (my holodeck lab, PowerCLI 13.3.0, vCenter/ESXi 9.1.1) – run as shown below, with one fix from what first shipped here: Get-VsanClusterConfiguration does not expose a DiskFormatVersion property on this PowerCLI version at all (confirmed by dumping every property on the returned object – it isn’t there), so the vSAN check below uses Get-VsanDiskGroup instead, which does carry it, per host and disk group. The build and VMware Tools checks ran clean as originally written. One thing to expect, not a bug: VCF appliance VMs (SDDC Manager, VCF Operations, NSX Manager, etc.) report guestToolsUnmanaged rather than guestToolsCurrent – that’s normal for their bundled open-vm-tools and doesn’t mean they’re behind; the filter below still lists them, so expect noise from appliances on every run, not just from genuinely outdated Tools on workload VMs.

The Get-VDSwitch line – Lab-verified 2026-09-21 (same holodeck lab, PowerCLI 13.5.1, vCenter 9.1.1): ran clean, returning Name, Version (a plain string, e.g. "9.1.0" – not automatically flagged against a target), NumUplinkPorts, and NumPorts per switch. Compare Version by eye against the target vDS version from Pick a VDS version.

# Component builds - compare against the Phase 9 effective-versions table
Get-VMHost | Select-Object Name, Version, Build | Sort-Object Name
(Get-View ServiceInstance).Content.About |
  Select-Object FullName, Version, Build

# VMware Tools - flag anything not on the target version (13.1 at time of writing)
# Appliance VMs normally show guestToolsUnmanaged (bundled open-vm-tools) - expected, not a gap.
Get-VM | Get-View | Select-Object Name,
  @{N="ToolsVersion";E={$_.Config.Tools.ToolsVersion}},
  @{N="ToolsStatus";E={$_.Guest.ToolsVersionStatus}},
  @{N="ToolsRunningStatus";E={$_.Guest.ToolsRunningStatus}} |
  Where-Object { $_.ToolsStatus -ne "guestToolsCurrent" }

# vDS versions - compare against the target vCenter's max-supported version
Get-VDSwitch | Select-Object Name, Version, NumUplinkPorts, NumPorts

# vSAN on-disk format version - per host, per disk group (Get-VsanClusterConfiguration has no
# DiskFormatVersion property to read this from)
Get-Cluster | Get-VsanDiskGroup |
  Select-Object VMHost, Name, DiskGroupType, DiskFormatVersion, IsMounted

Anything reported here as behind target still needs the corresponding upgrade action (host remediation, guest Tools upgrade, vSAN disk-format upgrade) – this script only surfaces the gap, it doesn’t fix it.


Cleanup / decommission

After the fleet is stable on 9.1:

  • 9.0 Fleet Management Appliance – decommission; it is fully replaced by Fleet Lifecycle / SDDC Lifecycle services in VCF Management Services. Do not use it for any further upgrades.
  • Standalone Identity Broker VMs – consolidated into VCF Management Services; ready for decommissioning (no downtime if on the management network).
  • vRSLCM / standalone Aria appliances – retire once the Aria → VCF Operations / VCF Automation transition is confirmed.
  • Pre-upgrade snapshots – delete once the upgrade is confirmed successful; leaving them attached causes performance degradation.
  • General Day-N component removal/reinstall guidance – VCF9-DeploymentPlanning/docs/16-remove-components.md.

Hardware addenda

HardwareAddendum
Dell VxRailVxRail Addendum – replaces Phase 7, plus VxRail-specific prechecks and post-upgrade validation

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