Upgrading to

WINDOWS XP
HOME EDITION or PROFESSIONAL
Version 4.9 — Last Updated January 3, 2004
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by Gary Woodruff
© 2001-2004 by Author, All Rights Reserved

Preliminaries

As with earlier versions of the Windows operating system, an Upgrade installation requires
that you have a previous version to serve as a “qualifying product.” However, this time
around you will not be able to use the Upgrade from Windows 95. Windows XP requires
Windows 98 or newer to qualify.

NOTE: By design, Win95 should not work as a qualifying product. However, there is a bug in the Setup program on
Windows XP CDs (both Home Edition and Professional). Apparently, Microsoft will not be fixing this bug. As a result, though
you will not be able to perform an upgrade installation from a Win95 install, the following operating system CDs will
suffice as “Qualifying Media” for a clean install:

• Windows NT Workstation, Versions 3.51 & 4.0

• Windows 2000 Professional
• Windows 95
• Windows 98 (Original & Second Edition)
• Windows Millennium Edition

Also, the old question remains of whether an OEM CD or “Restore Disk” supplied by your
computer manufacturer will “qualify.” The answer is that not all will work for this purpose,
mostly because the Windows CAB files are not in evidence. Check with your computer
manufacturer to confirm that your copy qualifies, or buy your Upgrade copy directly from
them. Presently, the only company that I have confirmed all their OEM CD’s will “qualify” is
Dell. I talked to a Dell Representative during the XP Launch in New York City on the trade
show floor who confirmed this and stated that they understood the importance of keeping it
that way.

So what do you do if your OEM CD or Restore disk does not work as qualifying media? One
neat new feature of XP allows one to get around this problem. First, start the XP clean
install from within an existing qualified install rather then from the XP CD or from a DOS
prompt. When you see the screen that ask what type of install to do, change “Upgrade
(Recommended)” to “New install.” You can then select the existing partition, format it, and
do a Clean Install, never having to insert your qualifying product CD.

As in the past, Original Equipment Manufacturer (OEM) copies, which can be

purchased with a qualifying piece of hardware, cannot be used to Upgrade. They will allow
only a clean install, and all support is the responsibility of the seller. Microsoft will provide
no support for OEM copies of Windows. (However, you can still get free support even for
OEM copies, usually of a very high quality, on the peer-support newsgroups that
Microsoft sponsors. - Ed.) Also, there are some important changes regarding OEM copies,
which will make them a more attractive alternative for many people: See OEM CD’s &
Microsoft Licensing: What Has Changed? below.

A Decision to Make

You first have to decide of whether to purchase Windows XP Home or Professional. You will
find several links to articles comparing the two Win XP Versions here.

To Clean Install or Upgrade — That is the question!

As with earlier versions of Windows, you will have the option either to clean install or to
upgrade. So, what is the difference?

A Clean Install

With a clean install you start completely over from scratch, right?

Well, that used to be true; but with Windows XP, you have the option (from the CD’s
welcome screen) to select “Transfer Files and Settings.” (See a screen shot here and read
about it in my File & Settings Transfer Wizard article.) This utility allows you to export
your personal settings, such as network settings; Dial-Up Networking; email
information including accounts, folders, and filters; and registered file types. Then
you can import them back into Windows after your clean install of XP. In other words,
“Transfer Files and Settings” blurs the meaning of starting over with a clean install, when all
that information can be gleaned and saved from your old install before you format. It does
not bring the actual applications — those would need to be reinstalled, which that is why
you should consider the upgrade route instead.

An Upgrade

An upgrade is by far the simplest approach, and requires the least from the user. You just
install Windows XP over the old Windows install, and it keeps your settings, files, and all
your applications as well. If you have “tweaked” your system heavily, installing then
uninstalling many programs from the web and, in general, played with the system a lot, you
are a candidate for a clean install; but if you are an average user, you should take
Microsoft’s advice during the initial install and note the word “Recommended” next to the
Upgrade option in the Install Type box.

And the best thing about an upgrade is that it’s easy, and doesn’t require you to reinstall all
your existing applications. If it doesn’t meet your expectations, you can always fall back and
do a clean install with your Upgrade CD by inserting your Windows 98 or Millennium CD in
your drive when asked proof of ownership. You really can’t lose.

To get a good result from an upgrade you will need to do a little homework and, more
importantly, a little house cleaning. This gives you the best chance of being happy with
your upgrade installation of Windows XP.
Homework Before You Install
(Maybe even before you buy!)

1. You will want to make sure your system is a candidate for Windows XP. It is not
considered a good idea to have only the minimums hardware as listed in the article,
Windows XP Professional System Requirements. If you are close to the
minimum hardware listed, you should pass on Windows XP.

I have seen it suggested that only computers manufactured since January 1, 2000
should be considered for Windows XP. That may be a little strong; but, the older the
system, the more likely its performance will not be up to par. As a practical matter,
you will want to look at a base of a P-III 500 with 128 MB of memory, or possibly a
slower processor in the P-II or P-III 300+ range if you have plenty of memory (say,
256 MB or more). Memory seems more important then processor speed to Windows
XP.

Next, check your hardware for compatibility. You can download the free Windows
XP Upgrade Advisor utility from here. (Just keep in mind, if you don’t have a high-
speed Internet connection, that one of the downloads is 50 MB.) This is the same
utility that runs before Win XP is installed, but you can download it and run it on your
computer before spending the money for XP.

2. Check the web site of your computer manufacturer for Windows XP compatible
drivers. This will be particularly important if you have new hardware that is not likely
to have drivers on the XP CD-ROM. Download and set aside any new XP drivers that
you may need.

In the event that you find you have orphaned hardware or hardware that is not
supported, you may want to consider directing Win XP to set up a Dual Boot
installation, so that you can keep using the original (currently existing) operating
system for this hardware. See How To Create a Multi-Boot System With
Windows XP. As an alternative to this method, you can use BootIt Direct or
Partition Magic to create alternate (hidden) primary partitions for Dual Boot.

3. Make sure your software is compatible with XP. This is particularly important for CD-
writer software, firewalls, and antivirus applications.

NOTES ON SPECIFIC SOFTWARE

o For ZoneAlarm or ZoneAlarm Pro to survive an upgrade with no

problems, they must be version 2.5.357 or later.
o Norton AntiVirus must be version 2002. (NAV 2001 will work with
XP, but make sure it has the XP update patches from Symantec.) I am most
with comfortable removing this utility completely via the Add/Remove
Programs applet in Control Panel, then reinstalling it after the upgrade.
o Norton GoBack also has had some issue with upgrades, and
Symantec addresses the issues on their web site. Remove GoBack with the
Add/Remove Programs applet, then reinstall it after the upgrade.
o EasyCD version 4.03 will make the trip, but you should install the
version 4.05 upgrade immediately after installing Windows XP.
 o MusicMatch Jukebox also seems to survive an upgrade, but you
should reinstall just after the upgrade.
o If you have installed the Target Context PowerToy to your system,
remove it prior to the install via the Control Panel’s Add/Remove Programs
applet; see also the PowerToys FAQ on this site for a discussion of the
PowerToys that will still work under Windows XP.
o If you own a Hewlett Packard All in One Printer, remove your print
driver before the upgrade. This step may be crucial to your being able to use
your printer. For any HP printer, see this page on their web site for more
information.

To be safe, if you are not sure about your version of these programs (or, for that
matter, the XP-readiness of any other software you have), remove the program via
Control Panel | Add/Remove Programs, then try reinstalling after the Win XP
upgrade. As a general rule it is best to uninstall any firewall, antivirus, CD burning,
NAT, or proxy server programs prior to the upgrade.

4. If you are running Internet Explorer 5.5 (original) or IE5.5 SP1 you need to do one of
the following things. (In Internet Explorer, see Help | About IE Explorer to confirm
what version you are using.)

o If you are running Windows 98 (either edition) and upgraded to IE 5.5, go to

Control Panel | Add/Remove Programs and uninstall it so that you revert
back to your previous version of IE; or
o If you are running Windows Millennium Edition, which comes with with IE 5.5
preinstalled, or if you do not want to revert to a pre-5.5 version of IE,
upgrade your browser to IE 5.5 Service Pack 2 (SP2). Microsoft has
withdrawn all IE 5.5 versions from its Web site, but you can still get archived
copies of IE 5.5 SP2 here if you don’t already have a copy available.
Alternately, you could upgrade to IE 6.

In any case, try to do the upgrade with something other than IE 5.5 or IE 5.5 SP1
installed. Though these versions do not always cause problems in an upgrade, they
have been known to increase the chances of a problem. I wouldn’t play the odds.

5. Take a look at the README.HTM file on your Windows XP CD-ROM. Put in the CD
and select, from its opening menu, “Perform Additional Tasks,” then “Browse this
CD.” More information on the XP CD is given below.

You can also take a look at the following articles from the Microsoft Knowledge Base.
(The first is for Home Edition; the second, for Professional.)

Release Notes for Windows XP Setup Contained in the PRO.TXT File

Release Notes for Windows XP Setup Contained in the HOME.TXT File
 6. If your user name in Win98 or ME ends in a period (!), various problems can result of
which the most frustrating would be the appearance of having lost a lot of data after
the upgrade. (It’s recoverable, but why put yourself through a panic and a hassle?)
For more details, see MSKB article 312942, Missing Data or Program Settings
After Upgrade to Win XP.

OK, Time to Start House Cleaning

NOTE: Variations pertaining to Windows Millennium will be noted as we go.

1. In the past, this is where I would have stated categorically that you should not upgrade
on top of an installed operating system with existing problems. That is probably still good
advice, but, since Win XP is based on an entirely different kernel, it replaces virtually all of
any Win 9x install anyway. This means it is more likely to fix a flaky installation. No
guarantee, just more likely.

2. Since I have been one of those involved with keeping the old MS Fax (originally from
Win95) alive and working even on Windows Millennium, I should say that the days of MS
Fax are done. Do not even think about trying to make it work with XP. That dog won’t hunt.
<bg> By all means try the new Fax Service for XP explained here: How to Enable &
Configure the Fax Service

3. This is also a good time to remove, using Control Panel | Add/Remove Programs, any
programs that you do not use or that have become antiquated. Get rid of any unnecessary
programs now.

4. Check the Web site for your computer manufacturer to see if there is an update for your
BIOS. A BIOS update may be a good idea if your BIOS is more then two years old. If you
have not flashed a BIOS before, follow the update instructions from your computer or
motherboard manufacturer exactly. This update can do serious damage to your computer if
not done correctly. Better, if it is your first time, to take it to a technician or have a
competent friend come over and help. If in doubt, do not.

5. Shut down the screen saver: Right-click on an empty spot on the desktop, and select
“Properties,” then the “Screen Saver” tab. Select “None” for your screen saver. While you
are at the Screen Saver tab, check to be sure that Power Management settings are all set to
“Never.”

6. Manually delete the Temp files. Reboot first, just to make sure you do not interrupt
something in process. Include:

• Files in C:\Windows\Temp
• Temporary Internet Files from IE: Open IE and click Tools | Internet Options |
General tab.
• Recycle Bin: Right-click the Recycle Bin and choose the option to delete files. With
Norton installed, delete Norton Protected Files from here as well.

Alternatively, you can use the Disk Cleanup Tool. Open My Computer, indicate the drive,
right-click, and select Properties.
7. Next, I run Scandisk, EasyCleaner, RegClean 4.1a, and Windows Disk Defragmenter to
make sure there are no problems. (You can substitute your own favorite utilities.) Do this
before the upgrade then update EasyCleaner to version 2.0, since older versions of
EasyCleaner will remove Registry keys required for Windows’ Help system to run, effectively
breaking it. Also, Symantec states that you should upgrade to their newest versions of their
products for XP. In other words, do not use this type of utility after the XP Upgrade unless
they are updated to versions specifically created for Windows XP.

8. In Win98, if you are familiar with ScanReg, run SCANREG /OPT /FIX from a real-mode
DOS prompt. (In other words, reboot to MS-DOS, rather than just using a DOS window.)
Run this from one to three times in succession. This will repair and compact your Registry,
always a good idea and particularly well-advised just before upgrading. Windows Millennium
will not reboot to real-mode DOS, but SCANREG /OPT /FIX runs just fine, and faster,
from the Start | Run box. (During the process, in ME, your system will reboot to finish the
job.)

9. For Norton Antivirus 2001, you have to go to “Options” | “Auto-Protect,” uncheck “Load
Auto-Protect at startup,” “OK” out, and answer Yes to “Do you want to unload now” to keep
it from popping up during installation. You can restart AutoProtect after the upgrade, but go
to Norton AntiVirus now and uncheck “Scan System files at Startup” under “Startup Scan.”
It should no longer run.

Norton Antivirus 2002 is more complicated. I would uncheck all the following:

Norton Antivirus 2002

Under this
Uncheck the following
heading
Enable Auto Protect; Start Auto Protect When Windows
Auto Protect
Starts Up
Script Blocking Enable Script Blocking
Live Update Enable Automatic Live Update
Inoculation Inoculate Boot Record
Miscellaneous Alert me on start up if my virus protection is out of date

The above is probably overkill, but it won’t hurt to be ahead of the game. Personally, I
uninstall my antivirus software, then reinstall it after the upgrade. This is the best method
to make sure your antivirus software works correctly.

Also, check your BIOS to make sure you do not have BIOS antivirus protection enabled.
Other antivirus programs may have similar features that need to be disabled. See your
documentation for instructions.

10. Make sure you disable any firewall you have install so that it does not run at startup.
(With ZoneAlarm, bring up the program on your screen and select the “Configure” tab.
Uncheck “Load ZoneAlarm at startup” box.) As mentioned previously, the best method is to
remove your firewall, then reinstall it after the upgrade.

11. Launch MSCONFIG. On its General tab, uncheck the “Process Startup Group” box. This
will keep stray applications from running and interfering with the upgrade. (Remember to go
back and recheck this box after you are finished with the upgrade.) Sometimes, Windows
Setup will say mysteriously that it has still found a driver running that will get in its way.
Don’t worry, let it reboot to inhibit whatever it has found, then run Setup again and it
should upgrade fine.

12. OK, you are nearly done. But now you will want to set yourself up to make a clean
install as easy as possible, if this is necessary later. To do this, run Transfer Files and
Settings from the Windows XP CD-ROM. (See below, The Windows XP CD.) By running
this wizard and safely storing your settings, accounts, folders and created files on another
drive, CD-RW, or other storage medium, you make a clean install less of a headache. By
importing this saved information, many hours of tweaking the newly installed operating
system will be saved.

If you’ve followed all the advice above, your system will be squeaky-clean. It is ready for
the Windows XP Upgrade.

(NOTES)

1. Remember to go to the Windows Update site soon after the install and make any updates
that are available.

2. System Restore is found at Programs | Accessories | System Tools | System

Restore. A new Restore Point is automatically created on the install partition, if you have
room, upon completion of the Win XP upgrade. Remember this if things deteriorate soon
after the upgrade (as you proceed to add programs, make configuration changes, etc.).

3. Remember to turn back on

• Turn back on your screen saver and any power saving settings you normally run.
• Enable the antivirus AutoProtect and other features you disabled.
• Check for driver problems and upgrade any that need attention.

4. After the install you may find the following MSKB article of use: How to Troubleshoot
Program Compatibility Issues in Windows XP.

New Options During the XP Install

1. Windows XP will ask you early in the install whether you want to connect to the web to
update the install routine. This is a powerful tool and will help make the installation go well.
Only the updates to the tool are downloaded during the install, so, by all means, let it
update. For further information on this feature, see Description of the Dynamic Update
Feature in Windows XP Setup.

2. A few steps later, the Setup program will suggest that you look at a report from the
Upgrade Advisor. This is one of the tools that get updated during the update just
mentioned, and is the same tool you can download from the MS Web site (discussed above;
see also the link at the left of your screen). Leave the default and let Setup identify possible
problems. This report will identify both hardware and software compatibility issues.
Depending on the seriousness, you may want to cancel the install and do one of the
following:

• Download XP compatible drivers for the identified problem hardware.

• Remove the problem piece of hardware until a driver is available.
• Download an update for software identified as not compatible.
• Remove software that will not work with XP.

There will be fewer issues as time goes on. So, by all means, allow the Upgrade Advisor to
upgrade itself from the Web to benefit from late additions to this wizard.

The Windows XP CD

The Windows XP CD-ROM has some differences from past Windows versions. First, the CD is
bootable. So, if your system supports and is set to look for a bootable CD, you will not need
an Emergency Boot Disk for any type of install of XP. The CD-ROM also has several valuable
utilities, and provides access to some great information.

Go ahead and put it in your Windows XP CD. The first screen will look like this:

Select “Perform Additional Tasks” on this screen and you will see the following screen:
Set Up Remote Desktop Connection and
Setup a Home or Small Office Network

These are for after the XP install and are pretty self-explanatory. (They are also available
from within XP at Start | Settings | Network Connections.)

Transfer Files and Settings

This utility allows you to transfer your personal settings such as Network settings, Dial Up
Network, E-mail information including accounts, folders and filters. It catches your
registered data file types and can bring those data files across to a new install of XP. For
additional information on this remarkable tool, see my article File & Settings Transfer
Wizard.

Browse this CD

This takes you to Windows Explorer to take a look at the actual files on the CD-ROM.

View the Release notes

This accesses the RELNOTES.HTM file on the CD. Lots of information here and it explains the
above utilities. Spend some time here as it is worth you time.

OEM CD’s & Microsoft Licensing: What Has Changed?

An OEM copy (according to the signed agreement between the seller and Microsoft) is to be
sold only with a new computer or a “qualifying” piece of hardware. That used to be pretty
much restricted to a hard drive, CPU, or motherboard. The rules for what “qualifies” for an
OEM sale recently were loosened considerably. Some have read them even to encompass
something as minor as a power cord.

Basically, OEM copies are supposed to be sold with a fully-assembled computer system or a
non-peripheral hardware component. A fully-assembled computer system normally consists
of at least a central processing unit, motherboard, hard drive, power supply, and a case. A
non-peripheral hardware component is any component that is essential to running a
computer system, such as memory, internal drives, mouse, or power supply. According to
an OEM System Builder with whom I spoke recently, it is pretty much up to the OEM
supplier to determine what qualifies — but a power cord probably shouldn’t make the grade.

If you qualify an OEM copy, this brings down the cost of Win XP considerably in comparison
to a retail “Full” version — particularly with the XP Professional version. The following chart
tells the story.

Windows XP Versions: Comparative Pricing & Capabilities

Win XP Edition Street Price What It Does
Retail “Full” $199 Clean Install & Upgrade
Clean Install & Upgrade;
Win XP Retail
$99 Requires you to have
Home “Upgrade”
Qualifying Previous Version
Edition
Clean Install only;
OEM “Full” $90-$95
No Microsoft support
Retail “Full” $299 Clean Install & Upgrade
Clean Install & Upgrade;
Retail
Win XP $199 Requires you to have
“Upgrade”
Professional Qualifying Previous Version
Clean Install only;
OEM “Full” $140-$145
No Microsoft Support

Microsoft recently changed their policies on additional licenses. Previously they had offered
only 5% to 10% discounts on additional licenses. Now you can get an across-the-board
15% discount. The discounts are discussed on the Windows XP Home Edition retail
page and the Windows XP Professional Edition retail page. Keep in mind that these
“additional licenses” can be used only with an existing CD copy of the respective
Windows versions, and will not work for systems where Windows XP was preloaded on the
system and did not include a CD copy. Make sure that you read the “how to qualify for and
order your new Product Key” link on the above web sites.

NOTE: This is a very recent change in Microsoft’s pricing policy. There is no 5-copy minimum purchase required as with
past Volume Licensing. You can buy only one additional license, or as many as three additional licenses per original copy
for which you have a license. Windows Product Activation (WPA) is enforced for these one-at-a-time supplemental
licenses.

Microsoft’s recommended pricing, which may differ from actual retail pricing, is summarized
in the following table:

Windows XP: MS Pricing of CDs vs. Extra Licenses

Win XP Edition Street Price What It Does
 Retail “Full” $199
Additional Full Clean Install & Upgrade
$170
Win XP License
Home Upgrade CD $99
Edition Clean Install & Upgrade;
Additional Requires you to have
Upgrade $85 Qualifying Previous Version
License
Retail “Full” $299
Additional Full Clean Install & Upgrade
$255
License
Win XP
Professional Upgrade CD $199
Clean Install & Upgrade;
Additional Requires you to have
Upgrade $170 Qualifying Previous Version
License

OEM copies still deserve consideration, however. In the past, OEM copies have been looked
down on by many knowledgeable users. Yes, they now are considerably cheaper. But they
only are supported by the seller. No telephone support is available from Microsoft. And they
only clean install on a blank drive or partition. What surely will draw more attention to them
is the advent of the “Transfer Files and Setting” utility discussed above, which gives a clean
install more of the advantages of an upgrade. Now you can buy an OEM copy, use the
“Transfer Files and Settings” wizard to capture your current system information, and
seriously reduce the tweaking and setup normally required by a clean install. You will still
have to reinstall all your applications, but that normally is less then half the work.

So it is your choice.

Also, if you are shopping around for the best price (these will vary somewhat from source to
source, and over time), keep in mind that with OEM copies of Windows you depend on the
seller, rather than Microsoft, for support. This means that your local computer shop is worth
a lot more to you than any available deal on the web!