Validator Upgrade Policy and Release Schedule

CatalyX's policy and process for validator node upgrades, release validation, and version compatibility on the Canton Network.

Overview

CatalyX follows the official Canton Foundation release lifecycle for validator upgrades. New Canton releases are continuously monitored, evaluated, and validated by IntellectEU before being recommended for customer environments.

The objective of the upgrade process is to maintain compatibility with the Canton Network while minimizing operational risk and service disruption.

CatalyX does not automatically upgrade validator nodes. Upgrades are performed in a controlled manner following internal validation, customer communication, and agreed maintenance windows where applicable.

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Upgrade Policy

Validator upgrades are performed according to the release schedule published by the Canton Foundation.

When a new supported version becomes available, IntellectEU:

• Reviews the Canton Foundation release notes.

• Evaluates compatibility with supported CatalyX components.

• Performs internal validation and testing.

• Reviews migration requirements and known issues.

• Updates internal and customer documentation where necessary.

• Recommends the validated release to customers.

• Assists customers with upgrade planning and execution.

This process ensures that validator nodes remain compatible with the Canton Network while reducing the risk of introducing regressions into production environments.

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Release Validation Process

Before a validator version is recommended for customer use, IntellectEU follows an internal release validation process:

1. Reviewing the new Canton Foundation release.

2. Validating compatibility with supported CatalyX services.

3. Testing validator deployment and upgrade procedures.

4. Verifying database migrations (if applicable).

5. Validating package compatibility.

6. Reviewing known issues and workarounds.

7. Updating operational documentation.

8. Recommending the validated release for customer deployment.

Only validated releases are recommended for production environments.

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Release Schedule

CatalyX does not maintain its own fixed release calendar for Canton validator versions. Validator upgrades follow the availability of new Canton Foundation releases.

Customers can monitor upcoming and released versions through:

• Canton Foundation release announcements

• CatalyX Blockchain Manager Release Notes

• CatalyX Product Roadmap

After a new Canton release becomes available, IntellectEU performs validation before recommending customer upgrades.

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Typical Upgrade Process

A validator upgrade generally consists of four stages.

1

Preparation

Before performing an upgrade, it is recommended to:

• Schedule an appropriate maintenance window.

• Review the release notes for the target version.

• Verify that recent database backups are available.

• Verify that a recent Validator Identity Dump (IDDump) exists.

• Review any migration requirements.

See Validator Backups and Identity Dumps for how to schedule and verify backups and IDDumps.

2

Upgrade the Validator Version

The validator application version is upgraded by updating the validator image.

Using the CatalyX UI:

• Open the validator.

• Edit the validator configuration.

• Select the new Image Tag.

• Save the configuration.

Using the Validator CRD:

spec:
  imageTag: 0.6.x

The operator deploys the updated validator version.

3

Execute Migration (When Required)

Some validator releases require an application or data migration.

When migration is required:

1. Increment the Migration ID.

2. Set Migrating to true.

3. Wait for the migration to complete.

4. Set Migrating back to false.

Example:

spec:
  migrationId: "3"
  migrationMigrating: true

After successful completion:

spec:
  migrationMigrating: false

Migration should only be executed once for each required upgrade.

4

Post-Upgrade Validation

After the upgrade completes, verify that the validator is operating normally:

• Validator status is Running.

• Participant successfully joins and synchronizes with the network.

• Wallet login succeeds.

• Applications start successfully.

• No startup errors are present in the logs.

• Scan API responds successfully.

• Health status is normal.

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Backup Recommendations Before Upgrading

Before every upgrade, IntellectEU recommends creating both a database backup and a Validator Identity Dump (IDDump). See Validator Backups and Identity Dumps for scheduling and restore procedures.

Backup Type	Preserves	Does Not Preserve
Database Backup	Validator database, participant database, ledger state, transaction history	Validator identities and cryptographic keys
Identity Dump (IDDump)	Validator identity, cryptographic keys, wallet identity, participant identity	Database contents, ledger state, transaction history

For complete disaster recovery, both database backups and Identity Dumps should be available before performing an upgrade.

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Upgrade Best Practices

To minimize operational risk, IntellectEU recommends:

• Test upgrades in DevNet or TestNet before Production.

• Create a database backup.

• Create an Identity Dump.

• Review release notes.

• Perform upgrades during planned maintenance windows.

• Verify validator health immediately after the upgrade.

• Monitor logs until validator initialization completes successfully.

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Version Compatibility

Validator nodes should remain on a supported Canton version validated by IntellectEU.

Although older versions may continue operating for a period of time, remaining significantly behind the supported version increases operational risk and may eventually lead to incompatibility with newer network components.

Customers are encouraged to upgrade after IntellectEU validates and recommends a new release.

Consequences of Running an Outdated Validator

If a validator remains on an older version after the Canton Network has moved forward, the following issues may occur:

• Application initialization failures.

• Package compatibility conflicts.

• Migration failures.

• Validator remaining in Pending state.

• Failure to join or synchronize with the network.

• Inability to deploy newer applications or packages.

• Reduced compatibility with newer Canton protocol features.

• Unsupported configuration for future incident resolution.

In some cases, the validator must be upgraded before normal operation can resume.

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Customer Communication Process

When a new supported validator version becomes available, IntellectEU typically follows this process:

1. Review the official Canton Foundation release.

2. Perform internal compatibility testing.

3. Validate upgrade and migration procedures.

4. Update operational documentation if required.

5. Notify customers of the recommended upgrade.

6. Schedule or assist with the upgrade.

7. Verify validator health after deployment.

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Frequently Asked Questions

How often should validator nodes be upgraded?

Validator nodes should be upgraded after IntellectEU has validated and recommended the corresponding Canton Foundation release. There is no fixed calendar for upgrades, as they depend on the Canton Foundation release schedule and the validation process performed by IntellectEU.

Does every upgrade require a migration?

No. Some releases only require updating the validator application version, while others introduce schema or application changes that require a migration. Migration requirements are documented as part of each supported release.

Can upgrades be rolled back?

Application versions can generally be reverted if necessary. However, migrations may introduce irreversible data changes. Always create a database backup and Identity Dump before upgrading to ensure recovery options are available.

How long does an upgrade take?

Upgrade duration depends on validator size, database size, whether migrations are required, and infrastructure performance. Most routine upgrades complete within a planned maintenance window.