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Public Upgrade Preparation Session Tomas Black/SAP Services and Support March, 2015 As part of the Customer Facing Training project

Upgrade Preparation Session - SAP

Jan 06, 2022



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Upgrade Preparation SessionMarch, 2015
This presentation intends to train SAP customers who are about to upgrade or update their systems, helping to avoid the most common problems registered in SAP Support services. The term "upgrade" is used for a major release change, and "update" is used when applying EHPs over an existing product, when applying Support Packages or when installing an Add-On. The content included on this document express the latest information processed by SAP Support services, as per its date stamp. Content accuracy is assured as much as possible.
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Customer Facing Trainer introduction Brief description of the new services and scope of the upgrade preparation
Preparation Reviewing database, operating system and SAP system for the upcoming changes
The SUM tool Context, usage, news, nZDM
Technical Overview and troubleshooting Concepts of the different actions initiated by SUM and how to analyze errors
Post processing activities XPRAs phase runtime and SPAU adjustments.
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Proactive actions
A considerable number of incidents are worked reactively by customer alongside SAP Support, when software-related errors take place during
the maintenance of SAP systems. We were able to track down and classify these interactions, and the outcome showed an impressive 80% of
all UPG cases that were already documented or were consulting (how-to) requests. Had customers reached the properly knowledge channels of
SAP, most of the incidents would have never existed.
Based on that, SAP Support has developed a series of proactive solutions. This Customer Facing Training focus on examining customer systems
in all relevant aspects for upgrade scenarios, aiming to eliminate know gaps, problems and limitations.
System Optimization and Tuning
Because the upgrade procedure is such a complex set of tasks that involves almost all ABAP and SAP Java technologies aspects, a direct result
of this investigation will be an optimized and tuned system. Going from the operating system level, through the database and ending up on the
SAP product, we’ll review and suggest on the most common settings
In the end customers might have a considerable gain in SAP technology knowledge that can side effect to all Application areas, fostering
knowledge and ecosystem accountability
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• The preparation for an upgrade require many actions:
1. Check PAM for the OS x HW x SAP product combinations
2. Setup and configure your database accordingly before starting the upgrade
a) Oracle
o 1919276: Performance issues when running a SAP Upgrade (general note)
o 1171650: Automated Oracle DB parameter check (run the attached scripts to identify missing or faulty parameters)
o 830576: Parameter recommendations for Oracle 10g
o 1431798: Oracle 11.2.0: Database Parameter Settings
o 592393: FAQ: Oracle
o 1738989: Upgrade/Support Package import hang due to INACTIVE wait event "SQL*Net break/reset client" in Oracle
o 1237682: Configuration Parameters for SQL Server 2008
o 1702408: Configuration Parameters for SQL Server 2012
o 1986775: Configuration Parameters for SQL Server 2014
o 987961: FAQ: SQL Server I/O performance
o 363018: File management for SQL Server
o 1725220: New Trace Flags set and recommended with SQL Server 2012
o 1558087: SQL Server Statistics Maintenance
o 1054852: Recommendations for migrations using Microsoft SQL Server
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c) DB6 (DB2 on Unix/Windows)
o 1314750 DB6: DBA Cockpit Correction Collection SAP Basis 7.00 / 7.10
o 1456402 DB6: DBA Cockpit Corrections for SAP Basis 7.02/7.30/7.31
o 1309424 DB6: DBA Cockpit Correction Collection SAP Basis 7.01 / 7.11
o 1312006 DB6: Database Performance Warehouse Master Note
o SAP DB2 document in SCN listing the important notes and documents
o SAP SCN Hana and In-Memory Computing troubleshooting document
Maintenance Optimizer (MOPZ)
The SUM tool uses a stack XML file generated in MOPZ to determine all dependent packages according to the target version and Support
Package levels. This stack file is mandatory.
1887979: Requirements before opening an incident for MOPZ (update your SolMan following this note before generating the XML file)
1600302: MOpz: Copy stack xml with a report (copy the XML file using this report or generate a new stack file for your next upgrade system)
Oficial SAP MOPZ guide
1981278: Software Update Manager 1.0 SP12 [lmt_008] (last SUM version)
SUM usage paths for SP12 PDF
Old SAPup for other upgrade paths: check for the target NW version. 701 (like EhP4), 702 (EhP5) and 711 (PI/XI).
2 or even 3 steps-upgrade is OK
OS level
o Check for space availability on the OS level, especially in /SUM directory;
o Mount the medias on the local directory, avoid network /NFS drives;
o Consider the architecture of your OS: 32 or 64bit and the impact this has on ACT_UPG phase: note #1630256
o Set up parallelism in SUM according to note #1616401
o Check note #927637, specially the owners of file sapuxuserchk
o If possible, set the user limits on Unix-like Oss to unlimited
o Check SM21 and ST22
o Update if SPAM/SAINT tools to the very last version available
o Update SAP kernel to latest patch level stack (not the kernel version!)
o Update the transport tools individually (R3trans and tp)
o Check if STMS and the background jobs are correctly configured: note #1541076
o Check for orphan update processes as per note #1280546
o Data class missing or misconfigured (KBA #1805195 – tablespaces handling during upgrade)
1. Run Transaction SM65
3. Select "Consistency check DB Tables" and click execute.
4. Once you get the results check to see if you have any inconsistencies in any of your tables.
5. If there are any inconsistencies reported then run the "Background Processing Analyses" (SM65 .. Goto ... Additional Tests) again. This time check both the
"Consistency check DB Tables" and the “Remove Inconsistencies" option.
6. Run this a couple of times until all inconsistencies are removed from the tables.
Make sure you run this SM65 check when the system is quiet and no other batch jobs are running. You'll have to cancel the
current batch activities as this would put a lock on the TBTCO table till it finishes. This table may be needed by any other batch
job that is running or scheduled to run at the time SM65 checks are running. Customers should also do the TEMSE and spool
consistency checks as per note #48400. Remove inconsistencies if any found.
The SUM tool
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The SUM tool
Configuration to influence downtime
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SUM in advanced pre-configuration to optimize the downtime
Parallel operation of production system and shadow system
Import of the substitution set into the shadow tables during production
operation (2nd shadow) enables the following in uptime
Execute selected time consuming After Import Methods (AIMs)
Activation ABAP loads (SGEN)
Ongoing process improvements, e.g. faster log scanning or optimize main
import (TABIM-UPG)
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Quick facts nZDM
significantly in “Advanced Configuration”
Introduction of "Record & Replay" technique for business transactions based
on database trigger technology
Minimal additional hardware requirements due to shadow-technique, only
additional DB space needed (80 – 350 GB)
Is available for all ABAP-based Business Suite products
Ongoing improvements based on customer feedback, e.g. reduction of pre-
processing and post-processing phase
How to activate nZDM in SUM
Chose number of processes for change
recording replication (CRR)
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nZDM: Standard procedure vs. downtime procedure in SUM
selected AIMs
Customer transports
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Maintenance downtime improvements already realized
reference customer example
Technical Overview
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Technical overview
1. run ABAP programs
2. triggers background jobs
4. loads data from DVDs via R3load
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Technical overview – main picture
ABAP programs
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Technical overview – job phases: control flow
SAPup function module
external programs
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Technical overview – transport phases control flow
SAPup tp
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Technical overview – transport phases control flow (ACT, XPRA)
SAPup tp sapevt
external programs
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Technical overview – bulk import phases control flow
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Technical overview – troubleshooting
<open zip file>
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Technical overview – logfiles of job phases
During a JOB phase the following kind of logfiles are written :
<name>.LOG RFC login, start and check of a backgroundjob <name>
<name>.<SID> where <name> is not a transport logfile can be the logfile of a background job
<name>.ELG error collected from the previous log
<name>.SAV .LOG and .ELG from previous runs
Example for phase PARCONV_UPG :
(PDDIT020.SAV) .LOG and .ELG from previous runs.
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1. Does SAPup finish with „errors found in logfile“?
No: check #2
Yes: check the .ELG and the logfile of the backgound job.
2. Could SAPup logon to the SAP system? (Check the .LOG file)
Yes: check #3
No (ie. error during logon): check if DDIC could logon in 000 with the given password.
3. Did the RFC call return successful?
Yes: check #4
Check the SAP system (SM21, ST11 rfc traces, ST22).
Technical overview – logfiles of job phases: troubleshooting
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4. Did the job finish sucessful (SM37)?
Yes: nothing to do.
Find the corresponding work process (button ‚Job Details‘)
Check the corresponding dev_w* file in ST11 or on the OS level, directory …/work
Technical overview – logfiles of job phases: troubleshooting
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Technical overview – logfiles of transport phases: logfiles
SAPup calls tp with a special transport profile (TPPARAM).
Logfiles of SAPup :
*.ELG collected error lines from transport logs.
Logfiles of tp :
ALOG<rel> finished steps (request, returncode),
SLOG<rel> details of tp call.
Logfiles of R3trans :
SAPA* activation logs,
DS<nnnnnn> distribution,
N<nnnnnn> or NCONV<nn> conversion.
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Did a tool write a error message into its logfile ? (Check the .ELG file)
Yes (an error line appears in ELG):
Check the corresponding original logfile mentioned in the ELG.
R3trans import :
In most cases during import phases it is related to DB problems and a DB error message is found in the import
XPRA error or short dump :
Check the report documentation of the XPRA.
No (ELG of a transport phase does not contain error lines):
Check if tp did finish correct (ECO file).
Check logfiles written by tp for errors (esp. SLOG).
Technical overview – logfiles of transport phases: troubleshooting
Post processing
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Post-processing: XPRAs and SPAU
• EXecution of PRograms After Import
XPRA or "Report after Put" is an ABAP program or Function Module that is executed during a transport request import sequence,
the import of a Support Package and during Upgrades/Enhancement Package installations.
The reports that are executed during XPRA are application-related conversions, adjustments, data mergers or alignments for the
conversion of release-specific SAP-shipped customizing that need to be adjusted during the upgrade. The runtime of the XPRA phase differs
from one application component to another - however XPRAs are used by all SAP modules and applications.
The XPRA phase reports are run as one of the last steps of the upgrade. However, due to the fact that table content is adjusted,
the XPRA phase needs to be done at application downtime. XPRA can also run as part of the activation of extension sets and IS add-ons.
XPRAs use jobs RDDEXECL, seen in SM37
Note #1947874 contains a comprehensive analysis of performance issues in XPRAs
Post-processing: XPRAs and SPAU
• Must be run after the 1st system upgrade of the
landscape (usually DEV)
next systems (QAS and PRD)
• 14-day expire period
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Post-processing: XPRAs and SPAU
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Resources and references
• SCN Software Logistics Space
• Upgrade newsletter (received via e-mail, also attached to this presentation)
Thank you
Contact information:
Tomas Black
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The Best-Run Businesses Run SAP
Software Update Manager
Dear Customer,
We noticed that you recently downloaded the Software Update Manager (SUM) from SAP Service Marketplace. To support you in the upcoming upgrade process, we would like to refer you to important material and information.
Before you start the actual upgrade, you have to plan it carefully so that downtime is reduced to a minimum and the upgrade runs as efficiently as possible. We recommend that you start planning your update at least two weeks before you begin it.
Software Update Manager ( SUM )
Software Update Manager (SUM) is the tool for system maintenance: Release upgrade, EHP implementation, SP stacks implementation for SAP NetWeaver based systems, DMO. SUM is delivered with Software Logistics Toolset 1.0 and can be downloaded from the link:
New SUM patches are released frequently with latest features and fixes for known bug.
Upgrade guides
The Master Guide (Upgrade Master Guide) takes you through the complete update and references the required documentation for each step. It is essential to read the upgrade guide & master guide for your product version before starting the upgrade.
If there are preparation and follow-up activities for the upgrade that are specific to your product, they are described in a product-specific document. This document is also referenced in the Master Guide (or Upgrade Master Guide).
The required guides can be downloaded from the link:
SUM guide
Please consider as well that each Operating System and Database combination have their specific SUM guide, available at:  -> Software Logistics Toolset 1.0 -> Go to the bottom of the page -> Expand “System Maintenance” -> Updating SAP Systems Using Software Update Manager 1.0 SP<XX>
SAP Notes
To prepare and perform the update of your SAP system, it is required to verify additional information, not included in the guides. This information is in a range of SAP Notes in SAP Support Portal, which you have to read before you start the preparations.
We recommend to access the following SAP Notes from SAP Support Portal before you start the update procedure:
Central Software Update Manager Note
SAP Note for your database
SAP Note 1940845 - MOpz: enhancement to support new backend services
DMO Central Note 1813548 – in case you are using the Database Migration Option (DMO):
These SAP Notes are updated regularly, make sure that you always use the newest version.
The keyword for performing the upgrade in confirm target roadmap is available in the Software Update Manager note. It is not possible to continue with the upgrade without this keyword.
Additional SAP notes may be required. It can be downloaded using the link:
Hardware Requirements
Before starting the upgrade, it is mandatory to check the CPU, main memory, disk space and page file.
For more information please refer the link:
Free Disk Space Requirements
Disk space in the file system for the SUM directory, the download directory, and directory DIR_TRANS. The space required depends on the product you are updating.
The Software Update Manager calculates the space requirements for the database. The free space required for the database is approximately in the range from 50 to 200 GB. Please consider it can be higher, depending on your database size and structure.
SUM Directory Approximately 20 GB
Download Directory (temporary space requirement) Approximately 20 GB
DIR_TRANS Approximately 20 GB
Shadow System Approximately the space required for your source release instance, that is, the size of the following directory:
UNIX: /usr/sap/<sapsid>
IBM i: /usr/sap/<SID>
Upgrade of the Operating System and Database System
When you upgrade the SAP system, the target release of your upgrade may require you to update the operating system version and database version as well.
You can determine if the target release is supported on your current Operating System and Database using the Product Availability Matrix (PAM):
For upgrades including Database Migration Option, the minimum database versions can be checked in Note 1813548 - Database Migration Option (DMO) of SUM
If you need to upgrade an operating system or database, or migrate a database, then the timing and the sequence of the individual upgrades is of great importance. The procedure differs according to each database.
Please consider that upgrades from older releases may require to be executed in two steps. More details are available in the file SUM_xx_paths.pdf attached to the Central Software Update Manager Note. Cross-check your DB/OS information at PAM for such requirement.
Note:  upgrades to target 740 may require Database updates dependent on the target kernel release as well, see details in note 1969546 - Release Roadmap Kernel 740.
Software Requirements
Your SAP system should have one of the source releases that are available for your upgrade and DB/OS combination.  Different SAP NetWeaver usage types may have different minimum Support Package levels. If you upgrade an SAP NetWeaver-based system containing various usage types, make sure that your source release is on a minimum Support Package level for all usage types implemented in the system.
Please refer to SAP Note 1850327 and its references for Support Package Stack source and update your system if necessary. The correct SP level will be then calculated by Solution Manager Maintenance Optimizer. Additional patches, such as Java patches, can be obtained from:
Typically, SAP systems like SAP ERP, SAP CRM, SAP SCM or SAP SRM are part of an SAP system landscape that contains various interconnected systems. Business processes can run across the various systems. When planning an upgrade of the systems in your landscape, if you want to know whether this has an impact on other systems in your landscape, that is, whether the upgrade requires changes to other systems in the landscape as well, please access:
Solution Manager - Stack XML Generation
In order to update perform a Support Package Update, EHP installation or Release Upgrades, a stack XML file must be generated in Solution Manager’s Maintenance Optimizer. Landscape verification is required to enable the Maintenance Optimizer to create a proper stack configuration XML file for the correct product constellation. 
To be able to generate a correct XML file for the upgrade, please make sure that you read note 1887979 carefully. Also make sure that the LMDB is updated with correct software system info.
Further information and reference:
If the maintenance to be performed is a Java patch import or the update of a custom component, you have to use the Manually Prepared Directory option.
For more information on this option, read SAP note 1641062 - Single component update and patch scenarios in SUM
In the SUM Update Guide, the Chapter named "Applying Single Component Updates and Patches Using a Manually Prepared Directory" have the steps to be followed and more information.
Install or Update SAP Host Agent
SAP Host Agent Version 142 or higher is required for the proper execution of the update process.
If it is included in the stack.xml, SAP Host Agent can be automatically installed only in the primary application
server host.
To manually install SAP Host Agent or update it on remote hosts, proceed as described in the SAP Library [page 15]
The Software Update Manager controls the entire procedure, from checking the system requirements and
importing the necessary programs through stopping production operation until production operation is
resumed. The procedure is divided up into a number of different roadmap steps. The roadmap steps are in
turn divided into individual steps. The successful completion of a step is a precondition for the success of all
subsequent steps.
For a complete list of all steps, see the process overview report, which you can access by choosing the GUI menu option -> Update Process Overview .
Alternatively, you can see the ProcessOverview.html file available in the directory <DRIVE>:\<path to SUM directory>\SUM\sdt\htdoc.
In case of any issues please refer the following troubleshooting guide containing information of all the Known issues during the upgrade.
Troubleshooting procedures
Performance issues
SUM for ABAP –
SUM for Java –
For other errors or issues, the following SAP Knowledge Base Article can help you finding a solution:
SAP KBA 2081285 - How to get best results from an SAP search?
Follow-up activities
Please refer to the section 6 of the SUM guide for detailed information of the follow-up activities which need to be performed in the system before releasing the system for Production use.
Emergency procedures
Resetting an upgrade
Please refer to section 5.x of the SUM guide “Resetting the Software Update Manager”.
Additional information is also available in this page .
Continuous Quality Check & Improvement Services
You can also use some of the expert SAP Continuous Quality Checks and SAP Improvement Services during the lifecycle of your upgrade. Some of the available services are:
CQC Going Live Support
These services are available as part of SAP support offerings and can also be ordered as single services.
SAP Enterprise Support Academy
Browse through our catalog of videos, documents, live sessions of Quick IQ’s, Meet the Expert sessions, Expert Guided Implementations, Best Practices and much more.
In case you have any question during the upgrade, we invite you to access the Software Logistics space on SAP Community Network, where you will be able to find further information and exchange experiences with other customers and professionals.
SCN Space: Software Logistics
Do you have any comments or suggestions about this email? Please reply this email.
Thanks and regards,
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