Upg46c Sr2 Unix

Upgrading to 4.
6C Support Release 2:
UNIX
Release 4.6C SR2
®
SAP AG • Neurottstr. 16 • D-69190 Walldorf
51 013 879
Upgrading to 4.6C Support Release 2: UNIX SAP AG
Copyright
©Copyright 2001 SAP AG. All rights reserved.
No part of this brochure may be reproduced or transmitted in any form or for any purpose without
the express permission of SAP AG. The information contained herein may be changed without
prior notice.
Some software products marketed by SAP AG and its distributors contain proprietary software
components of other software vendors.
Microsoft®, WINDOWS®, NT®, EXCEL®, Word® and SQL Server® are registered trademarks of
Microsoft Corporation.
IBM®, DB2®, OS/2®, DB2/6000®, Parallel Sysplex®, MVS/ESA®, RS/6000®, AIX®, S/390®,
AS/400®, OS/390®, and OS/400® are registered trademarks of IBM Corporation.
ORACLE® is a registered trademark of ORACLE Corporation, California, USA.
INFORMIX®-OnLine for SAP and Informix® Dynamic Server are registered trademarks of
Informix Software Incorporated.
UNIX®, X/Open®, OSF/1®, and Motif® are registered trademarks of The Open Group.
HTML, DHTML, XML, XHTML are trademarks or registered trademarks of W3C®, World Wide
Web Consortium, Laboratory for Computer Science NE43-358, Massachusetts Institute of
Technology, 545 Technology Square, Cambridge, MA 02139.
JAVA® is a registered trademark of Sun Microssystems, Inc. , 901 San Antonio Road, Palo Alto,
CA 94303 USA.
JAVASCRIPT® is a registered trademark of Sun Microsystems, Inc., used under license for
technology invented and implemented by Netscape.
ADABAS® is a registered trademark of Software AG.
SAP, SAP Logo, mySAP.com, mySAP.com Marketplace, mySAP.com Workplace, mySAP.com
Business Scenarios, mySAP.com Application Hosting, WebFlow, R/2, R/3, RIVA, ABAP, SAP
Business Workflow, SAP EarlyWatch, SAP ArchiveLink, BAPI, SAPPHIRE, Management
Cockpit, SEM, SAP DB are trademarks or registered trademarks of SAP AG in Germany and in
several other countries all over the world. All other products mentioned are trademarks or
registered trademarks of their respective companies.
Documentation in the SAP Service Marketplace

You can find this documentation at the following address:
http://service.sap.com/instguides
2 April 2001
SAP AG Upgrading to 4.6C Support Release 2: UNIX
Typographic Conventions
Type Style Represents

Interface Text Words or characters that appear on the screen. This
includes system messages, field names, screen titles,
pushbuttons, menu names, and menu options.
Document Title Cross-references to other documentation
User Entry Exact user entry. These are words and characters that
you enter exactly as they appear in the documentation.
File Name File names, batch files, paths or directories, and
screen messages
<Variable User Variable user entry. Pointed brackets indicate that you
Entry> replace these words and characters with appropriate
entries.
NAME Names of elements in the SAP System. These include
report names, program names, transaction codes,
table names, and ABAP language elements.
KEY Keys on your keyboard. These include function keys
(for example, F2) and the ENTER key.
Icons
Icon Meaning
Caution
Example
Note
Recommendation
Syntax
Tip
April 2001 3
Contents
Upgrading to 4.6C Support Release 2: UNIX ................................. 8

New Features ......................................................................................... 9
Naming Conventions........................................................................... 12
Checklist for the Upgrade................................................................... 13
Planning the Upgrade ......................................................................... 18
Planning the Upgrade Strategy...............................................................................................20
When to Restart Production Operation...................................................................................25
Runtime for the Import of the Substitution Set........................................................................26
Database-Specific Aspects .....................................................................................................27
Incremental Table Conversion................................................................................................30
Drawing Up an Upgrade Schedule .........................................................................................32
Examples of Upgrade Scheduling........................................................................................34
Upgrading in an SAP System Group ......................................................................................36
Planning the Modification Adjustment.....................................................................................37
Time Frame for Upgrading the Frontend Software.................................................................39
Notes for the Upgrade.............................................................................................................40
Checking Structural Requirements .........................................................................................44
Checking Hardware Requirements.........................................................................................45
Checking Software Requirements ..........................................................................................47
Checking the SAP Source Release .....................................................................................47
Meeting the Requirements for the Upgrade Assistant .........................................................48
Meeting the Operating System-Specific Requirements .......................................................49
Accessing Documentation Before and During the Upgrade ...................................................50
Meeting the Requirements for the SAP Internet Solution.......................................................51
Importing Additional Languages .............................................................................................52
Upgrading the Operating System and Database System: Overview......................................53
Upgrade Preparations ......................................................................... 57
Determining the Host for the Upgrade Preparation ................................................................59
Creating the Upgrade Directory ..............................................................................................60
Checking Database-Specific Prerequisites for PREPARE .....................................................62
Substituting the SAP Kernel (Source Release 3.x) ................................................................63
Checking SAP Programs (Source Release 4.x) .....................................................................64
Starting PREPARE from the CD.............................................................................................66
Starting the Upgrade Assistant Server ...................................................................................67
Starting the Upgrade Assistant GUI........................................................................................68
Starting the Upgrade Assistant ...............................................................................................69
Restarting PREPARE from the Upgrade Assistant GUI .........................................................72
Resetting PREPARE...............................................................................................................73
Importing Software After Starting PREPARE .........................................................................74
Making Entries for the Parameter Input Module .....................................................................75
Making Entries for the Initialization Module ............................................................................80
4 April 2001
Making Entries for the Read CD Module ................................................................................82

Evaluating the Results of PREPARE......................................................................................87
Making Preparations at the Operating System Level .............................................................94
Making Preparations at the Database Level...........................................................................95
Making Preparations at the SAP System Level ......................................................................98
Checking the User for the Upgrade ........................................................................................99
Checking Requirements for the Modification Adjustment ..................................................100
Setting the Operation Mode for the Upgrade .....................................................................101
Processing Batch Input Sessions (Source Releases 3.0x/3.1x) ........................................102
Converting the Translation Proposal Pool (Source Releases 3.0x/3.1x Only) ..................102
Backing Up Wage Types in HR (T512W) (HR Customers) ...............................................103
Printing the Default Values for Document Type and Posting Key (FI Customers) ............104
Processing Direct Input Error Data (Source Releases 3.0x/3.1x)......................................105
The Upgrade....................................................................................... 106
Starting the Upgrade.............................................................................................................107
Stopping the Upgrade ...........................................................................................................108
Restarting the Upgrade.........................................................................................................109
Phase INITPUT.....................................................................................................................111
Phase DBCHK ......................................................................................................................112
Phase RFCCHK....................................................................................................................113
Phase BATCHCHK ...............................................................................................................114
Phase PATCH_CHK .............................................................................................................115
Phases INTCHK and INTCHK_SW ......................................................................................116
Phase KEY_CHK ..................................................................................................................116
Phase INITSUBST ................................................................................................................117
Phase CONFCHK_X.............................................................................................................119
Phase VIEWCHK1 ................................................................................................................119
Phase REPACHK1 ...............................................................................................................120
Phase JOB_RSVBCHCK2....................................................................................................120
Phase JOB_RSVBCHCK3....................................................................................................121
Phase SPACECHK_ALL.......................................................................................................122
Phase FREECHK_X .............................................................................................................123
Phase LOCKEU_PRE...........................................................................................................124
Phase EU_IMPORT0............................................................................................................125
Phase EU_IMPORT4............................................................................................................126
Phase EU_IMPORT5............................................................................................................126
Phase REPACHK2 ...............................................................................................................127
Phase CNV_CHK_XT ...........................................................................................................128
Phase TRBATCHK_XT.........................................................................................................129
Phase RUN_RDDIT006 ........................................................................................................130
Phase ADJUSTCHK .............................................................................................................131
Phase VIEWCHK2 ................................................................................................................131
Phase MODPROF_TRANS ..................................................................................................132
Phase ENVCHK....................................................................................................................133
Phase ACT_<rel> .................................................................................................................134
Continuing the Upgrade After Phase PRODCHK_<rel>.......................................................135
April 2001 5
Phase CHK_POSTUP ..........................................................................................................136

Post-Upgrade Activities .................................................................... 137
Actions Before Starting Production Operation ......................................................................138
Executing the Script saproot.sh .........................................................................................139
SAP DB: Backing Up the Database ...................................................................................141
DB2 Universal Database ....................................................................................................142
DB2 for OS/390: Preparations ...........................................................................................145
Informix: Preparations ........................................................................................................146
Oracle: Preparations ..........................................................................................................147
Distributing SAP Programs ................................................................................................149
Renaming the Local System Log (For Source Releases 3.0x/3.1x Only)..........................150
Checking the Profile Parameters with Transaction RZ10 ..................................................151
Actions During Production Operation ................................................................................. 152
Importing Support Packages After the Upgrade ................................................................153
Transport Management System: Distributing the Configuration ........................................153
Rescheduling Background Jobs.........................................................................................154
Rescheduling Jobs with Transaction DB13 (Source Releases 3.0x/3.1x).........................155
Adjusting Repository Objects .............................................................................................156
Reimporting Additional Programs ......................................................................................156
Migrating Matchcodes to Search Help Objects (Source Releases 3.0x/3.1x) ...................157
Performing Post-Upgrade Activities for the Language Transport ......................................158
SAP DB: Updating Optimizer Statistics..............................................................................159
DB2 for OS/390: Actions ....................................................................................................159
Informix: Performing an Update Statistics..........................................................................160
Oracle: Actions ...................................................................................................................160
Generating ABAP Loads ....................................................................................................163
Converting Batch Input Logs ..............................................................................................163
Actions for the SAP Online Documentation .......................................................................164
Performing Post-Upgrade Activities in the Authorizations Area.........................................164
Performing Post-Upgrade Activities for the Application .....................................................166
Processing Table Clusters After the Upgrade (Source Release 3.0x/3.1x).......................167
Installing More Dialog Instances ........................................................................................168
Evaluating the Upgrade Runtime .......................................................................................169
Troubleshooting ................................................................................ 170
Upgrade Logs .......................................................................................................................171
Analyzing the ELG Log Files ................................................................................................173
Correcting Errors in the ACT Phase .....................................................................................175
Correcting Errors in the ADOIM Phase.................................................................................176
Correcting Errors in the XPRAS Phase ................................................................................177
Cleaning Up Terminated Conversions in the DB Conversion Phases .................................179
Correcting Lost Field Problems in the PCON Phase............................................................182
Correcting Conversion Problems in the PCON Phase .........................................................183
Correcting Errors in the Job Phases.....................................................................................184
Correcting Entries from the INITPUT and INITSUBST Phases............................................185
Preparing the Restart of the Upgrade After a System Failure ..............................................186
Resetting the Upgrade ..........................................................................................................187
Scroll Mode: Restart .............................................................................................................191
Correcting Problems when Processing ABAP Steps............................................................192
6 April 2001
Correcting Problems when Starting the SAP System...........................................................193

Correcting Problems when Copying SAP Programs ............................................................194
Correcting Administrator Profile Problems on Application Servers ......................................195
Providing SAP Local Support with Information .....................................................................196
Upgrade Administration ................................................................... 198
Alert Function........................................................................................................................199
Determining Versions............................................................................................................200
Executing PREPARE and R3up in Scroll Mode ...................................................................201
Isolating the Central Instance ...............................................................................................202
Changing the Database Recovery Mode..............................................................................205
Deleting Archived Upgrade Logs ..........................................................................................206
Using a Different Upgrade Directory.....................................................................................207
Releasing and Confirming Open Repairs and Requests......................................................208
Reducing Upgrade Runtime in Modified Systems ................................................................210
Upgrade Tools ................................................................................... 211
PREPARE .............................................................................................................................212
PREPARE Phase List ........................................................................................................214
R3up......................................................................................................................................224
R3up Phase List .................................................................................................................225
Upgrade Assistant.................................................................................................................239
Using the Upgrade Assistant..............................................................................................241
Upgrade Monitor ...................................................................................................................242
Starting the Upgrade Monitor .............................................................................................243
Understanding the Upgrade Monitor Display .....................................................................244
April 2001 7
Upgrading to 4.6C Support Release 2:

UNIX
Purpose
This documentation describes the upgrade and provides you with additional information on
upgrade topics. The information in this documentation is intended for SAP system administrators
with operating system, database, and SAP Basis knowledge.
The following four sections explain the procedure for the upgrade. Read these sections for an
overview of the actions required before, during and after the upgrade:
• Planning the Upgrade [Page 18]
• Upgrade Preparations [Page 57]
• The Upgrade [Page 106]
• Post-Upgrade Activities [Page 137]
The next three sections of this documentation give you additional information on troubleshooting,
the administration tasks you need to perform before and after the upgrade, and the tools that you
use to upgrade the system:
• Troubleshooting [Page 170]
• Upgrade Administration [Page 198]
• Upgrade Tools [Page 211]
As well as detailed descriptions of all the procedures, this documentation also includes a
checklist for the upgrade [Page 13] with all the necessary actions for planning, preparing,
performing and following up the upgrade.
Constraints
This documentation only applies if you are upgrading your SAP System on UNIX.
In addition to this documentation, you require some other information, such as the Release Notes
for the applications that you implement, the SAP Implementation Guide (IMG), the Notes that are
specific to this upgrade [Page 40], and any other documentation referred to in this
documentation.
8 April 2001
New Features
New Features in 4.6C Support Release 2:
• Including Support Packages
In the phase BIND_PATCH, you now enter all Support Package types on one wizard screen.
You can now also reduce the number of Support Packages that you want to include without
having to reset PREPARE.
• As of source release 4.0B: queue calculation when you include Support Packages
The sequence in which you import Support Packages is now determined by the queue
calculation function in the Support Package Manager (SPAM). This ensures that Add-On
Patches (AOPs) and Conflict Resolution Transports (CRTs) are imported consistently, too.
New Features in 4.6C Support Release 1:

• 4.6C Support Release 1 already includes Support Packages 1 through 6 of the components
SAP_BASIS, SAP_ABA, SAP_APPL and SAP_HR.
• New procedure for including Support Packages in the upgrade
You no longer have to use the report RSSPDASS to confirm the Support Packages. Instead
you can search for them and include them directly from the BIND_PATCH phase.
• Using a Package Key to include Basis Support Packages
To include the Basis Support Packages in the upgrade, you need a Package Key, which is in
SAP Note 119738.
As of target release 4.6B, the Support Packages are imported directly into the Shadow
Repository in the SHADOW_IMPORT phase, before downtime begins. This procedure reduces
the downtime during the upgrade, but can be made unstable by any changes to the ABAP
Dictionary that are delivered with the Basis Support Packages. This means that you must
only include Basis Support Packages that have been released and listed in the above SAP
Note.
New Features in Release 4.6C

• Including Support Package 1
To be able to use GA Release 4.6C productively without restrictions, you must include
Support Package 1 in the upgrade for each of the components SAP_BC, SAP_ABA,
SAP_APPL and SAP_HR. This is done during the BIND_PATCH phase of PREPARE. The
exact procedure is described in the section Making Entries for the CD Read Module.
• Mass activation of Dictionary objects
The mass activation of Dictionary objects is performed in parallel. The dependencies among
the Dictionary objects do not allow multiple activation programs to be started as background
jobs in parallel, unlike other tools (such as the conversion program). The objects are sorted
by their dependencies and split into different levels. These levels are then activated in
sequence, with each of the levels being made parallel with asynchronous RFC.
The number of parallel processes is controlled by the work process resources and the
estimated capacity needed to activate the objects in one level.
April 2001 9
The minimum number of dialog processes needed to start the mass activation in parallel is
six. The upgrade tools provide this resource automatically if at least three background
processes are permitted for the upgrade.
• Language transport
The technical basis of the language transport has been changed completely. Languages are
now imported with the transport programs R3trans and tp as part of the table import
phases. This makes the separate language import phases obsolete.
For information on the language transport, see the SAP Library under Help → SAP Library →
Basis Components → Change and Transport System → Language Transport.
New Features in Release 4.6B

• Shadow import
To minimize the longer downtimes caused by including transport requests, shadow imports
are used as of Release 4.6B when upgrading the SAP System. For the A_switch and A_on
strategies, the transport requests for Support Packages, Industry Solutions, and the
modification adjustment are now imported into the SAP System during production operation.
The import (Dictionary and main import) is not made into the original Repository (source
release). Instead it occurs in the shadow repository (new Repository of the target release),
which is loaded into the SAP System during the EU_IMPORT phase. This shadow import is
performed in the SHADOW_IMPORT upgrade phase.
New technology implemented in R3trans allows you to use the shadow import and include
the transport requests during production operation. This technology will also be used in other
cases to minimize upgrade downtime as much as possible.
New Features in Release 4.6A

• New Upgrade Monitor
The Upgrade Monitor lets you follow the progress of the upgrade, and helps you recognize
processes that are hanging.
For more information, see The Upgrade → Monitoring the Upgrade → Upgrade Monitor.
• Integration of the incremental table conversion function (transaction ICNV)
Transaction ICNV is now integrated in the upgrade. In the CD Read module, PREPARE
determines the tables that would benefit from being converted incrementally and prompts you
to start the transaction ICNV. R3up checks the progress of transaction ICNV. R3up informs
you if not enough data has been converted incrementally. This makes sure that the
conversion during downtime is as short as possible.
For more information on transaction ICNV, see Planning the Upgrade → Incremental Table
Conversion.
• No UNIX frontend available for 4.6A
The development of the UNIX frontend was frozen in Release 4.5B. Instead, a cross-platform
Java implementation is being developed that will also cover UNIX platforms. This Java GUI is
not yet available in Release 4.6A. 32-Bit Windows is the only supported frontend platform.
For more information, see SAP Note 26417.
10 April 2001
• As of Source Release 4.5B: Automatic scheduling and descheduling of background jobs

Previously, you had to manually deschedule background jobs during the upgrade (when you
isolated the central instance). After the upgrade, you had to manually schedule the jobs
again.
The upgrade program now performs this task for you if your source release is 4.5B or higher.
The JOB_BTCTRNS1 phase schedules the background jobs; the JOB_BTCTRNS2 phase
deschedules them. The Job Monitor (transaction SM37) gives the automatically descheduled
jobs a special status.
• Transaction SGEN for generating ABAP loads
Transaction SGEN replaces the report RDDGENLD. It offers you many more options for
selecting the amount of objects that need to be generated and for controlling the background
job that generates the objects.
For a detailed description of transaction SGEN, see the online documentation in the
transaction by choosing Info.
April 2001 11
Naming Conventions
Release 4.6C and 4.6C Support Release 2
In this documentation, the term Release 4.6C is the same as 4.6C Support Release 2. The
abbreviation 4.6C is also used as a synonym for the abbreviation 4.6C SR2.
R/3 System and SAP System

In this documentation, the term SAP System is the same as R/3 System. SAP is also used as a
synonym for R/3 in terms such as SAP start profile or SAP System language.
SAP-System-ID
The SAP System ID is abbreviated as SAPSID or sapsid in this documentation. If <sapsid> is
used, your SAP system ID must be in lowercase letters, for example prd. If <SAPSID> is used,
you must write in uppercase letters, for example PRD.
DB6, DB2 Universal Database for UNIX & Windows and DB2 common
server
In this documentation and in the upgrade dialogs, DB2 Universal Database (or the abbreviation
DB2 UDB) is used to describe the database DB2 Universal Database for UNIX & Windows, and,
in certain cases, the SAP ID DB6 is used as well. In older versions of this documentation, DB2
Universal Database for UNIX & Windows was known as DB2 common server (DB2/CS) or DB2
Universal Database for UNIX, Windows.
DB2, DB2 for OS/390 and DB2 Universal Database

In this documentation and in the upgrade dialogs, DB2 for OS/390 is used to describe the
database DB2 Universal Database for OS/390, and in certain cases, the SAP ID DB2 is used as
well.
SAP DB and ADABAS

SAP now offers the database SAP DB. SAP DB is an enhanced and extended database offered
by SAP since 1997 that is based on ADABAS database technology. Existing customers on SAP
DB/ADABAS receive SAP DB as a part of their maintenance contract. SAP plans to support all
SAP Releases on SAP DB that were supported on ADABAS. This documentation only uses the
name SAP DB.
Support Packages and Patches

As of Release 4.6, SAP uses the term Support Packages instead of SAP patches. Hot Packages
are now called R/3 Support Packages, and Legal Change Patches are called R/3 HR Support
Packages. There are other types of Support Packages, such as Basis Support Packages or Add-
On Support Packages.
12 April 2001
Checklist for the Upgrade

Definition
This checklist includes all activities necessary for planning, preparing, performing, and following
up the upgrade. It is not intended to replace the documentation Upgrade to 4.6C, since it does
not include all the information relevant to the upgrade.
Planning the Upgrade

Meeting the Requirements
Activity
You can upgrade the frontend software as soon as you receive the upgrade package
Request current upgrade notes
Define the upgrade strategy in connection with the operating system upgrade and the
database upgrade
Draw up the upgrade schedule
If necessary, plan the modification adjustment
Before you start the upgrade decide which database-specific actions you need to take and
include them in your upgrade schedule
Checking Structural Requirements
Checking Hardware Requirements
Check software requirements (SAP source release, Upgrade Assistant, operating system)
Meet the requirements for installing the online documentation according to the guide
Installing the SAP Library.
If necessary, meet the requirements for the SAP Internet Transaction Server and the
SAP@Web Studio according to the installation guide SAP@Web Installation Guide.
If necessary, make preparations for importing additional languages
If necessary, upgrade the operating system and database system
Preparations for PREPARE

Preparing for PREPARE
Activity
Choose the correct host for PREPARE and the Upgrade Assistant.
Prepare the empty upgrade directory with <sapsid>adm as the owner.
Make sure that DIR_PUT in the instance profile of the central instance has the value
<upgrade_directory>
Include 20% extra space on the database if you intend to carry out a lot of development
April 2001 13
work. Also do this if you want to include Support Packages and add-ons.
If you want to import languages other than English and German, provide an extra 300 MB of
memory for each language in the database.
Make database-specific preparations for PREPARE
For source releases 3.0x/3.1x, check version of SAP Kernel
For source release 4.x, check the version of each SAP program
Start PREPARE from the CD SAP Kernel
User Actions During PREPARE

Activity
Make entries for the Parameter Input module, such as entering CD mount directories
Making Entries for the Initialization Module
Make entries for the Read CD module, such as including Support Packages, start
transaction ICNV
Checks Not Supported by PREPARE

Preparing the Upgrade
Activity
Analyze the results of PREPARE

Make a backup copy of the old SAP Kernel
If changes are made to the standard SAP System, back up the SAP start and stop scripts.
Make operating system-specific preparations:
Make sure that you can recover the database to the state it had before the upgrade.
Make database-specific preparations
Check the users and authorizations needed for the upgrade
Make sure that the requirements for modification adjustment have been met
Set the operation mode for the upgrade
For source releases 3.0x/3.1x, process batch input sessions
For source releases 3.0x/3.1x in translation systems, convert proposal pool
For HR customers only: save table T512W (Wage Types in HR)
For FI customers only: print out the default values for document type and posting key
For source releases 3.0x, 3.1x, material master (industry): process the direct input error data
If necessary, upgrade frontend software
14 April 2001
The Upgrade
Activities
Activity
Check the general upgrade note and the database-specific upgrade notes for new entries or
changes
Select the correct host for the upgrade
Start R3up
Phase INITPUT: enter system-specific parameters
Phase KEY_CHK: enter keyword from the current Upgrade Note
If necessary, enter keyword for industry solution
Phase INITSUBST:
Determine when to restart production operation
For A_switch and A_on, specify the runtime of the import of the substitution set
Phase LOCKEU_PRE:
For A_switch and A_on, lock the ABAP Workbench if necessary
Phase EU_IMPORT0:
For A_off, isolate central instance, stop application server, and change database recovery
mode, if necessary
For ICNV, check converted percentage rate
Phase REPACHK2:
For A_switch and A_on, last chance to lock the ABAP Workbench
Phase ADJUSTCHK:
If there are modifications, confirm the transfer request if necessary
Phase VIEWCHK2: delete customer tables if necessary
Phase MODPROF_TRANS:
For A_switch and A_on, isolate central instance, stop application server, and back up
upgrade directory
For A_switch, change the database recovery mode if necessary
Phase ENVCHK: if necessary, repeat changes to the environment
Phase KX_SWITCH: as of this phase you can only log on with the new frontend software
Phase ACT_<Rel>:
For modifications, adjust any modified SAP objects with the SAP standard
Phase PRODCHK_<Rel>:
Choose a new time for restarting production operation or:
For A_on, determine P errors, change database recovery mode, start secondary application
server
For A_switch and A_off, back up database, determine P errors, change database recovery
mode, start secondary application server
April 2001 15
Post-Upgrade Activities
Activities Before Starting Production Operation
Activity
Execute the script saproot.sh

Perform database-specific actions
If there is no central software storage point, distribute SAP programs
For source releases 3.0x/3.1x: if remote application servers exist, rename local system logs
Check profile parameters using transaction RZ10 and if necessary, reset to default value
Actions After Starting Production Operation
Activity
Import any Support Packages that you need
If you want to install additional languages, import them before you import the Support
Packages as described in the guide Language Transport
Perform post-upgrade activities for the Transport Management System (TMS)
Reschedule background jobs whose released status was reset when isolating the central
instance
For source releases 3.0x/3.1x, reschedule jobs with transaction DB13
If necessary, adjust Repository objects with transaction SPAU
If necessary, re-install additional programs such as RFC-SDK or CPIC-SDK from the CD
Presentation
For source releases 3.0x/3.1x, migrate matchcodes in search help objects, if necessary
Performing Post-Upgrade Activities for the Language Transport
Perform database-specific actions
Generate ABAP loads with transaction SGEN
Converting Batch Input Logs
Install the online documentation according to the installation guide Installing the SAP Library
If necessary, install the SAP Internet Transaction Server and SAP@Web Studio according
to the upgrade guide SAP@Web Installation
Perform post-upgrade activities in the authorization area
Perform application-specific, post-upgrade activities:
If necessary, perform upgrade and delta Customizing
For HR customers: reload table T512W (Wage Types in HR)
16 April 2001
Actions Before the Next Upgrade
Activity
For source releases 3.0x/3.1x only: perform post-processing for table clusters EDIDOC and
CDCLS
If necessary, install more dialog instances
Evaluating the Upgrade Runtime
Activity
Analyze the runtime of the upgrade using report RSUPGSUM / Send list to SAP with
SAPNet - R/3 Frontend connection
April 2001 17
Planning the Upgrade

Purpose
Before you begin the actual upgrade, you must first plan it carefully. This is the prerequisite for a
successful SAP System upgrade.
This section helps you plan your upgrade so that downtime is reduced to a minimum, and the
upgrade runs as efficiently as possible. It is aimed in particular at SAP system administrators who
are upgrading a system with the Repository Switch procedure for the first time.
All the times specified in this guide are based on hardware with average performance.
TeamSAP offers the free upgrade service SAP GoingLive Functional Upgrade
Check. A team of experts checks the parameter settings of your system in one
session before the upgrade, and gives you detailed recommendations on the
configuration. After the upgrade, the parameters and the entire system status are
checked again in a second session. For information on services, see SAPNet
under Services → Consulting Services → SAP GoingLive Functional Upgrade
Check. Your local support is your contact for ordering service.
Process Flow
Do not perform any additional actions during the upgrade that could place it at
risk.
Start planning your upgrade at least two to three weeks before you want to start.
When you plan the upgrade, you must do the following:
1. You must decide on an upgrade strategy [Page 20].
The strategy you choose influences the time needed for the upgrade, and also means you
must pay attention to certain database-specific aspects [Page 27]. You can also convert
some of the tables before you start the upgrade using incremental table conversion [Page
30].
2. You draw up your upgrade schedule [Page 32]. Do not forget the sequence of the upgrades
in an SAP system group [Page 36].
3. If necessary, you plan a modification adjustment [Page 37].
4. You plan the upgrade of the frontend software [Page 39].
5. You request the necessary Notes [Page 40].
6. You make sure that the structural requirements [Page 44], the hardware requirements [Page
45] and the software requirements [Page 47] are met.
To make sure that the requirements are met, run the PREPARE [Page 212] program as
soon as possible. You can repeat the program as often as you need before starting the
actual upgrade. The successful execution of PREPARE is a prerequisite for starting the
upgrade.
7. You make sure that you can access the online documentation [Page 50].
18 April 2001
8. If necessary, you plan the installation of the SAP Internet Solution [Page 51].
9. If necessary, you upgrade the operating system and database system [Page 53].
The checklist for the upgrade [Page 13] is a concise overview of all required actions for planning,
preparing, performing and following up the upgrade, which you can use to monitor your progress
in the upgrade project.
We recommend testing the upgrade in a development system.

If you are upgrading a modified system where changes have been made to the standard system,
you have to start by upgrading a development or quality assurance system that has the same
SAP release (including Support Packages), and contains the same modifications. The
adjustments you perform manually for the new standard in this system can be automatically
exported to the global transport directory and are integrated in the production system upgrade
from there. This procedure eliminates the need for time-consuming adjustments to the production
system.
April 2001 19
Planning the Upgrade Strategy

Purpose
Choose the upgrade strategy best suited for your SAP System. The most suitable upgrade
strategy depends on two factors:
• The maximum downtime permitted in the system
• The size of the database
The upgrade strategy defines:
• whether the substitution set is imported into the shadow tables during production operation or
during downtime.
− The Repository Switch can be divided into two parts:
• Importing the substitution set into the shadow tables
The database tables referred to as the substitution set comprise almost the complete
SAP Repository. "Shadow tables" are tables which the running SAP System does not
recognize at this point. This part of the procedure can run during production operation.
• Substituting the old Repository with the new Repository
This part of the Repository Switch substitutes the Repository by deleting the old
Repository and renaming the shadow tables. You can no longer operate the system
productively.
• The time intervals in which the actions are saved on the database by database mechanisms
This mode is database-specific and is defined as follows:
SAP DB Logging is activated
DB2 Universal Database LOGRETAIN and USEREXIT set to ON
DB2 for OS/390 No mode for deactivating logging
Informix Database backup mode activated
Oracle Database is operated in ARCHIVELOG mode
This determines whether the database system can recover lost data. The upgrade strategy
also determines the times at which you must make a complete backup of the system.
SAP Upgrade Strategies

There are three upgrade strategies available:
A_switch
• Imports the substitution set during production operation.

• Database mechanisms save database actions that occur in the first half of the upgrade.
• You can recover the database to its current state during the first half of the upgrade. In the
second half of the upgrade, you can recover the database to its state after the import of the
substitution set.
20 April 2001
A_on
• Imports the substitution set during production operation.

• Database mechanisms save database actions that occur in the during the entire upgrade.
• You can recover the database to its current state during the entire upgrade.
A_off
• Production operation ends before the substitution set is imported.

• Database mechanisms do not save database actions during the upgrade.
• You can only recover the database to its state before the import of the substitution set.
Comparing the Strategies

A brief overview of the advantages and disadvantages of the individual strategies:
Strategy Advantages Disadvantages
A_switch Short downtime Offline backup necessary after
upgrade
Medium storage requirements for
ensuring database recovery Monitoring necessary to determine
if disks for ensuring recovery are
full
A_on Shortest downtime Greatest additional space
requirements to ensure database
No offline backup necessary after
recovery
upgrade
Monitoring necessary to determine
if disks for ensuring recovery are
full
A_off No additional space requirements Longest downtime
for ensuring possible recovery
No monitoring necessary to
determine if disks for ensuring
Offline backup necessary after
recovery are full.
upgrade
The runtime of the upgrade and the amount of uptime or downtime involved are heavily
dependent on the upgrade strategy you choose.
The graphic below shows the upgrade procedure for the different strategies. It does not take
differences in the duration of the upgrade into consideration. The upgrade is divided into phases.
The important phases are EU_IMPORT2 and MODPROF_TRANS, since these mark the beginning
of downtime, depending on the strategy chosen.
The procedure is the same for all the strategies up to phase EU_IMPORT0. With strategy A_off,
the downtime begins in phase EU_IMPORT0. The mode in which the database operates changes.
A_on and A_switch are identical until phase MODPROF_TRANS. Then downtime begins for both.
For A_switch the mode in which the database operates is changed, but not for A_on.
April 2001 21
Upgrade Process Flow
A_switch A_on A_off

Start
PREPARE
PREPARE
Start R3up
R3up check phases
Choose upgrade
strategy Prompt for upgrade strategy
Default: A_switch
Phase
EU_IMPORT0
Import
Import
substitution
substitution set
set
Phase
MODPROF_TRANS Repository Repository Repository Legend:
Switch Switch Switch Actions by R3up
or PREPARE
End of User
actions
R3up
Offline Online Offline Downtime
backup backup backup
Production
The total runtime of R3up depends on how long it takes to import the substitution set. Each
additional language that you import increases the minimum duration of the import by about an
hour. If you choose the strategies A_switch or A_on, you choose the runtime of the import
[Page 26] yourself. The longer the runtime you choose, the better the performance during
production operation. The downtime depends on the upgrade strategy you choose, and the time
it takes to create the database archives.
The following table shows the sizes of the archives created for the different upgrade strategies
and databases. These sizes are based on sample data.
Comparison of the Archives in GB
A_switch A_on A_off

SAP DB 7.5 9.5 0.0
DB2 UDB 7.5 15.0 0.0
Informix 7.0 12.0 0.0
Oracle 13.5 22.5 0.0
The following graphics show an analysis of the upgrade runtimes and downtimes registered by
SAP customers for Releases 4.0 - 4.6. This data has not been sorted by operating system,
database type, source release or database size.
22 April 2001
Runtime Distribution
250
Number of upgrades
200
150
100
50
0
0-4 4-8 8-12 12- 16- 20- 24- 28- 32- 36- 40- 44-
16 20 24 28 32 36 40 44 48
Runtime (hours)
Downtime Distribution
300
Number of upgrades
250
200
150
100
50
0
0-4 4-8 8-12 12- 16- 20- 24- 28- 32- 36- 40- 44-
16 20 24 28 32 36 40 44 48
Downtime (hours)
April 2001 23
Your source release can influence the runtime and downtime of the upgrade by up to
approximately 25%. The following factors can also influence runtime and downtime of the
upgrade:
• Hardware
• Installed languages
• Number of clients
• A significant amount of customer developments
• Modifications to the standard SAP tables
• Add-on software
• Integrated Support Packages
The hardware that you use has the greatest influence on total runtime and downtime. The size of
your database only has a secondary role in determining the runtime of the upgrade.
The following table shows you how much time you can gain for production operation by using
strategy A_switch or A_on. Both strategies allow you to work productively during the first half of
the upgrade. Strategy A_on also allows you to work productively at the end of the upgrade, even
though R3up is still running.
Guideline for the Duration of Production Operation During the Upgrade
A_switch A_on
From: Start of R3up
1) 1)
To: Start of downtime 34 hours 34 hours
Duration can be configured
From: End of downtime
1)
To: End of R3up 0 hours 1 hour
1)
Minimal reduction in performance will occur during production operation.
24 April 2001
When to Restart Production Operation

Process Flow
All three strategies allow you to enter the latest date and time by which you want to resume
production operation of your SAP System. This reduces the downtime towards the end of the
upgrade and during post-upgrade activities. If R3up has reached the post-upgrade phases when
this time is reached, you do not need to wait until R3up completes its run before resuming
production operation. In this case R3up informs you that the SAP System can resume production
operation although R3up is still active. You are also requested to carry out certain actions (for
strategies A_off and A_switch, for example, it is necessary to make an offline backup).
When selecting this time, pay attention to the following:

Production operation is only possible from upgrade phase PRODCHK_46C
onwards. The upgrade always executes up to the PRODCHK_46C phase, even if
the time you entered is earlier.
April 2001 25
Runtime for the Import of the Substitution Set

Process Flow
With strategies A_switch and A_on you are asked to specify the total runtime for the import of the
substitution set. Depending on the hardware, an import takes about six hours without delays. If
you enter a longer runtime, the import will be slowed down accordingly. This enables you to
sustain the performance of the system and also to reduce the number of archives (Oracle) or log
files (SAP DB, DB2 Universal Database, DB2 for OS/390 and Informix) that need to be saved per
hour.
Depending on the start time of the upgrade, specify total runtimes of about 24
hours.
26 April 2001
Database-Specific Aspects
SAP DB
The performance for the development environment (DE) import (mass insert)
depends largely on the log devspace. Make sure that the log devspaces are on
different hard disks. The concatenated archive logs can be located on one disk
without a loss of performance, however, their mirrors should be on other disks.
The log configuration can be changed with the database command alter log in the
database tool xcontrol. The statistics values for newly imported tables are
updated automatically after the DE import.
We recommend that you update the statistics values with the tool xpu shortly before the
upgrade.
When the central instance is isolated (in the MODPROF_TRANS phase with A_on and A_switch, in
the EU_IMPORT2 phase with A_off), you are requested to stop all work in the system. R3up waits
for your confirmation before it stops the central instance.
At this point the tables relevant to the upgrade are checked to see if they contain sufficient
statistical information. If the statistics for more than 15 tables are out-of-date, you can choose to
update them or to terminate the upgrade. If the statistics for less than 15 tables are out-of-date,
they are updated automatically.
After the log backup has been confirmed and checked, R3up switches the log mode to DEMO for
the strategies A_off and A_switch. After the mode has been switched, the contents of the log are
permanently lost. You must be able to recover the database to the state it has at this point.
To ensure this, you need to create an online backup before you stop operating the system
productively. For all strategies, create an online backup before the system starts operating
productively again. If large amounts of data are involved, an incremental backup is sufficient
(save updated pages).
You can decide if you want a very fast import which switches logging off completely for the
import.
DB2 Universal Database
• Isolating the central instance
When the central instance is isolated (in the MODPROF_TRANS phase with A_on and
A_switch, in the EU_IMPORT2 phase with A_off), you are requested to stop all work in the
system. R3up waits for your confirmation before it stops the central instance.
With the strategies A_off and A_switch, R3up switches the parameters LOGRETAIN and
USEREXIT to OFF after confirmation. To activate these parameters, shut down the database
and reboot it.
• Database backup before the upgrade
You must be able to recover the database to its state before the upgrade was started. This
means that you must back up the database for all strategies; at the latest, when the system
stops operating productively.
April 2001 27
• Database backup at the end of the upgrade

At the end of the upgrade, R3up switches the parameters LOGRETAIN and USEREXIT to ON
for strategies A_off and A_switch after confirmation. The database forces you to create a
complete backup (otherwise a CONNECT to the database is not possible). After the
database backup, continue in R3up.
DB2 for OS/390
Database actions are backed up during the entire upgrade by database mechanisms. Logging is
always switched on regardless of the upgrade strategy. This has the following effects:
• There is no difference between the strategies A_switch and A_on.
• You can recover the database to its current state during the entire upgrade.
• The upgrade strategy influences the downtime, but not the database logging.
• You can also make an online backup after an upgrade with the strategies A_switch and
A_on.
Informix
When the central instance is isolated, you are asked to stop all work with the system. R3up waits
for your confirmation before it stops the central instance.
You must be able to recover the database to the state it has at this point. For this reason, you
must now create a complete backup for the strategies A_off and A_switch. This makes sure that
in the event of a database crash, you do not have to import all logical log files written until this
time. You can choose between an online and an offline backup. You are prompted to deactivate
the database backup mode. You can find the necessary commands under Changing the
Database Recovery Mode [Page 205]. After the upgrade, you must make an online backup.
For strategy A_on we recommend that you create a full online backup at the end of downtime.
This makes sure that you do not need to perform a recovery that uses the logical log files created
during the upgrade.
Oracle
At the start of the downtime (in the MODPROF_TRANS phase with A_switch and A_on, in the
EU_IMPORT0 phase with A_off) you are asked to stop all work with the system. R3up waits for
your confirmation before it stops the central instance.
• A_switch
You are then asked to switch off database archiving.
You must be able to recover the database to the state it has at this point. Now make a
complete backup of your database so that if you need to recover it you do not have to import
all the archives created so far, including those written during the previous import. You can
choose an online or an offline backup. You must make the online backup before the central
instance is stopped. You must make the offline backup before you confirm that you want to
deactivate archiving. You can find a description under Changing the Database Recovery
Mode [Page 205].
28 April 2001
• A_on
With strategy A_on you do not switch off database archiving.
Note that a large number of database archives have to be saved at regular intervals during
downtime. At the end of downtime, create a complete online backup (possibly as a post-
upgrade activity) to avoid a recovery based on upgrade database archives.
• A_off
You must be able to recover the database to the state it has at this point. If some time has
elapsed since the last complete backup of your database, make a new complete backup
now, so that you do not have to import all the archives created up to this point if there is a
database failure. You can choose an online or an offline backup.
You are then asked to switch off database archiving. You can find a description under
Changing the Database Recovery Mode [Page 205].
End of the database-specific explanations
April 2001 29
Incremental Table Conversion

Represents
With each new release, the structure of the tables in your database changes. In some cases, you
may need to completely restructure the relevant tables by converting each data record. These
table conversions used to only occur during the downtime of the upgrade (phase PCON_<rel>).
By using incremental conversion, you can convert many of these data records before the
upgrade. The necessary data is converted during production operation.
This gives you several advantages:
• Reduced downtime during the upgrade
• You can return to the SAP standard more easily for modified tables
• You can use incremental conversion for large tables as well
SAP DB
SAP DB does not support incremental table conversions.
End of SAP DB
Prerequisites
To be able to use this function, you must first run PREPARE.
PREPARE checks whether the system:
• runs on a database platform that supports incremental conversion
• contains tables for which an incremental conversion is useful.
Examples of these are tables that contain large amounts of data and would significantly
extend downtime if they were converted.
If these checks return positive values, PREPARE asks you to start the incremental conversion.
Incremental conversion is optional. If you do not want to use this function, the tables are
converted in the phase PCON<rel>.
Functions
Incremental table conversion is performed using transaction ICNV. You can use the following
functions:
• Display the tables determined by PREPARE (tables for conversion with ICNV)
• Choose
− which non-modified tables you want to convert incrementally.
− which modified tables you want to return to the SAP standard and convert incrementally.
• Start the conversion.
• Monitor the conversion.
• Estimate the runtime of the conversion.
More information is available online in transaction ICNV by pressing F1 or selecting the i button.
30 April 2001
What to look for:

• Whereas the PREPARE actions have an analyze function, the ICNV does not. Transaction
ICNV already makes modifications to the database tables that you want to convert during the
Initialization step. These modifications are not canceled by resetting PREPARE. In particular,
you cannot directly upgrade the release of these modifications. For this reason, only start the
incremental table conversion if you then want to perform the upgrade.
• If you use incremental table conversion, do not start an SAP archiving program for these
tables in parallel, since this can lead to performance bottlenecks. Therefore, archive as much
as possible before starting the conversion.
• After the incremental conversion starts, you cannot change any more Dictionary definitions
for the relevant tables until the upgrade is complete. This affects changing, deleting or adding
field definitions. Transaction SE11 is locked for these tables.
• Pay special attention to the resource usage of your database management system to detect
bottlenecks early on. Incremental conversion requires double the space in the relevant
database container (tablespace, dbspace, and so on) for each affected table during the
conversion. The continuous data transfer results in more transactions. Therefore, also
monitor the space for the rollback information.
• Do not begin the upgrade before at least 95% of the total data has been converted. R3up
checks this at the beginning of downtime. If this percentage has not been reached, R3up
displays a corresponding message.
This gives you the advantage of reducing critical downtime. You can monitor the progress of
the conversion using transaction ICNV.
You can start the upgrade even if the 95% minimum is not reached. However, the remaining
data is transferred entirely during the downtime.
• Incremental conversion requires a sufficient number of background work processes. Ideally,
there should be one process for each table to be converted. If you cannot have one process
for each table due to a large number of tables, you can still convert the tables since
transaction ICNV distributes the tables itself to the available background processes.
However, the incremental conversion takes longer to complete, and the time for beginning
the upgrade is pushed back.
April 2001 31
Drawing Up an Upgrade Schedule

Purpose
Create an exact schedule for your SAP System upgrade.
Prerequisites
You have decided on one of the three upgrade strategies A_on, A_switch or A_off.
Process Flow
1. You decide when you want to begin the preparations for the upgrade.
At the latest, start preparing for your upgrade a week before starting the upgrade.
2. You decide when you want to begin the upgrade.
If you have decided to use the A_off upgrade strategy, start the upgrade on the last day of
production operation with the old release. If you have decided to use strategy A_switch or
A_on, start the upgrade on the second to last day of production operation with the old
release.
In all cases, you can start the import of the substitution set with the phases EU_IMPORT0 to
EU_IMPORT5 towards the end of the day.
You are prompted to change the CD at the beginning of the phases EU_IMPORT4
and EU_IMPORT5. Phase EU_IMPORT4 has a runtime of about 30 minutes,
phase EU_IMPORT5 has a runtime of about 3-4 hours. If you miss this prompt,
your time schedule could be seriously disrupted.
3. Take the necessary measures to extend the time in which the upgrade can run unmonitored.
a. Specify all CD mount directories at the start of the upgrade
R3up lets you specify up to 16 CD mount directories when you start upgrading. This
significantly increases the amount of time R3up can run without user input.
The prompt for the mount directories occurs during the INITPUT phase, which runs
during PREPARE and during the upgrade itself. You are only prompted for the mount
directories, which means that it does not matter where the CDs are mounted. As long as
the program finds a CD with the correct label, it does not prompt the user to change the
CD.
If you do not have enough CD disk drives, you can copy the contents of each CD to
separate directories on your hard disk (providing you have sufficient disk space). A
maximum of 650 MB per CD is required. You then enter these directory names when
prompted for the mount points.
b. For a list of the CDs that PREPARE needs, see Making Entries for the Parameter Input
Module. For a corresponding list for R3up, see The Upgrade.
c. Early locking of the ABAP Workbench
If you have decided to use upgrade strategy A_switch or A_on:
32 April 2001
The phase LOCKEU_PRE is directly before the phase EU_IMPORT0. In LOCKEU_PRE you
are asked when the ABAP Workbench can be locked. If you are sure that you do not
need the ABAP Workbench from phase EU_IMPORT0 onwards, confirm the lock in
LOCKEU_PRE.
If you do not confirm the lock in LOCKEU_PRE, you are asked to confirm the lock in
REPACHK2. Since phase REPACHK2 is after the last CD change (phase EU_IMPORT5),
you may not want to do this.
d. Avoiding long upgrade downtimes.
The Upgrade Assistant can inform you if R3up waits for a long period of time for an entry.
This can be either a standard user entry or an action taken to correct an error.
To receive this alert information, you have to activate the alert function and supply the
relevant parameters. You can specify an external program to be started if R3up has been
waiting too long for an entry. This then triggers a communications service that informs
the system administrator. You must provide this external program yourself.
You can find more information on the alert function in the online help in the Upgrade
Assistant in the section Set Alert Window. To access the online help, go to the main
menu and choose Help → Introduction.
Whether you use the Upgrade Assistant or not, the R3up control program stops the
upgrade if errors occur so that you can take action. R3up indicates that you should take
action as follows:
− A message appears on the screen.
− The file upalert.log is created in sub-directory tmp of the upgrade directory.
If you do not notice these errors, significant delays can occur in your time schedule.
To avoid losing time unnecessarily, you can arrange to be notified automatically, for
example, by telephone, that the upgrade has stopped. You can use the alert file to do
this. You must provide the appropriate software for using the alert file.
4. You decide when you want to back up the database after the upgrade.
If you decide to use upgrade strategy A_off, start the complete backup after the end of the
upgrade on the evening of the second day. If you decide to use upgrade strategy A_switch,
start on the morning of the third day. For all the upgrade strategies, you can resume
production operation at the beginning of or during the third day.
5. Extend the time for the import of the substitution sets during production operation.
You need approximately 6.5 hours to import the substitution sets. To avoid lowering system
performance, extend this time. Set the time required for the import so that it ends at least 5
hours before the planned shutdown of production operation.
At the latest, system downtime begins in the MODPROF_TRANS phase. The earliest you can
resume production operation is approximately 10 hours later. During this time the SAP
System is started up several times.
6. You decide when production operation resumes.
If possible, do not resume production operation until all the necessary post-upgrade activities
have been performed. The same applies to the complete backup of the database, which is a
requirement for resuming production operation for upgrade strategies A_off and A_switch.
April 2001 33
This has the advantage that all database changes resulting from post-upgrade activities are
included in the complete backup.
The earliest possible point for continuing with production operation is PRODCHK_<release>.
Examples of Upgrade Scheduling

The tables below show examples of an upgrade schedule for each of the three strategies. The
modification adjustment was run during the night in order to show the shortest possible runtime.
You can also run it during the day. The schedule would then take correspondingly longer.
The language import was not taken into consideration in these examples. For SAP System
languages other than 'EN' (English) and 'DE' (German), add approximately 1 hour. In the A_off
strategy the import period is during the downtime, whereas in the A_on and A_switch strategies
half of the import is while the system is operating productively, and half during downtime.
Example Schedule for Strategy A_switch
Day Time Actions

Thursday 9:00 Start R3up
Thursday 10:00 Start import of the
substitution set (slow) with
R3up in phase EU_IMPORT0
Thursday 19:00 Insert the last CD (title:
Upgrade CD5) at the
beginning of phase
EU_IMPORT5
Friday 20:00 Stop production operation at
the beginning of phase
MODPROF_TRANS by isolating
the central instance, as
described under Isolating the
Central Instance.
Friday 23:00 Adjust modifications, if
required.
Saturday 9:00 Back up database offline
Saturday After offline backup has been System in production
completed operation
Example Schedule for Strategy A_on
Day Time Actions

Thursday 9:00 Start R3up
Thursday 10:00 Start import of the
substitution set (slow) with
R3up in phase EU_IMPORT0
34 April 2001
Thursday 19:00 Insert the last CD (title:

Upgrade CD5) at the
beginning of phase
EU_IMPORT5
MODPROF_TRANS by isolating
the central instance, as
Central Instance.
required.
Saturday 10:00 Start post-upgrade activities
Saturday After starting to operate the Back up the database online
system productively
Example Schedule for Strategy A_off
Day Time Actions

Friday 15:00 Start R3up
EU_IMPORT0 by isolating the
central instance, as
Central Instance.
Start the import of the
substitution set with R3up
Friday 17:00 Insert the last CD (title:
Upgrade CD5) at the
beginning of phase
EU_IMPORT5
required.
Saturday 9:00 Start post-upgrade activities
Saturday Back up database offline
April 2001 35
Upgrading in an SAP System Group

Purpose
If you have more than one SAP System, for example a production system and a development
system, you must consider the entire system group when you upgrade. You should upgrade your
systems in the same sequence in which you transport your modifications.
Process Flow
If you have a development system and a production system, upgrade the systems as follows:
1. Development system
2. Production system
If your system group consists of three SAP Systems and includes a quality assurance system
that has been set up between the development and production system, upgrade your systems as
follows:
1. Development system
2. Quality assurance system
3. Production system
If you have made modifications to SAP objects that you want to retain, you must proceed with the
upgrades in the above sequence. The version management functions of the SAP System only
record all the changes you make in the system in which you made them (the development
system). Only this SAP System offers you optimal support when you adjust modifications.
Changes made in the development system after the upgrade can be transported automatically to
your other SAP Systems. Use this procedure to avoid making time-consuming adjustments in the
production system.
If you have modified SAP objects, make sure that your development system
remains in existence. Do not copy your production system to your development
system to test the upgrade.
To test the upgrade with realistic production data, set up a quality assurance system between the
development system and production system. This system can be a copy of the production
system.
36 April 2001
Planning the Modification Adjustment

Purpose
If you are sure that your SAP System corresponds exactly to the SAP standard,
you can skip this section.
When you upgrade the system, you lose any modifications you made to objects that conflict with
SAP modifications. The modification adjustment lets you make your modifications to the
appropriate new objects in the upgrade.
Any preliminary corrections that you have imported as transport requests from
one of the sapserv(x) SAP Support Servers may be lost when you upgrade.
You can identify modifications as repairs to the SAP standard or as imports of SAP objects.
Requests in the customer namespace (number range 900000 to 999999) “modify” the SAP
objects included in them. All other requests are dealt with as preliminary corrections.
During the Repository Switch, a distinction is made between the following two classes of
modification:
• Modification to an object from the central SAP Basis component
• Modification to an application object
In the first case, the modifications have to be preliminary corrections, otherwise the SAP System
would not be able to operate. Objects belonging to the central Basis component are always
returned to the SAP standard by the Repository Switch. To safeguard existing modifications of
this kind, the error message TG140 appears in phase RUN_RDDIT006.
Prerequisites
To adjust modifications, you might need an SSCR key, which you should obtain before
upgrading. For more information, see the SAP online documentation.
Release 3.x
Choose Help → R/3 library → BC - Basis Components → ABAP/4 Development Workbench →
Enhancements to the SAP Standard → The SAP Software Change Registration Procedure
(SSCR).
Release 4.x
Choose Help → SAP Library → BC - Basis Components →ABAP Workbench → BC - Changing
the SAP Standard → The SAP Software Change Registration Procedure (SSCR).
Process Flow
Adjusting Modifications in the First System (Development System)
You must test the modification adjustment in a development system that has the same SAP
Release and that has been modified to the same extent as the production system. If the
development system contains more modifications, including Support Packages, then contact an
experienced Basis consultant for help. The following explanation assumes that the levels of
modification are identical.
April 2001 37
1. The list of objects that have to be adjusted in your SAP System is determined in the
ADJUSTPRP phase. This phase is executed in the PREPARE module Modification support and
runs in the upgrade between the import of the substitution set and the end of the production
period. You must consult the authors of the modifications named in the log
UMODPROT.<SID> in the sub-directory log of your upgrade directory, to get background
information on the changes made.
2. The ABAP Dictionary objects (tables, data elements, domains, and so on) are adjusted
during downtime before the activation of the ABAP Dictionary. The adjusted objects are
collected in a repair that is released to a transport request. You cannot release this transport
request; instead it must be flagged for export in Transaction SPDD. Towards the end of the
upgrade, R3up exports this transport request into the transport directory /usr/sap/trans
(UNIX) or \\$(SAPGLOBALHOST)\SAPMNT\TRANS (Windows NT), and then registers it for
transport in the file umodauto.lst.
3. Repository objects (reports, screens, and so on) are adjusted towards the end of the
upgrade. At this stage the import of SAP objects has already been completed. However, the
old, modified version is still available in the versions database. As with Dictionary objects, all
adjustments are released to a transport request that is noted and then exported and
registered by R3up.
Adjusting Modifications in Subsequent Systems

For the quality assurance and production system, we recommend that instead of adjusting
modifications manually, you automatically transfer both the transport requests exported in the
section Adjusting Modifications in the First System (Development System).
If you have not installed a central transport directory, you must perform additional
steps for automatic acceptance. These steps are described in Note 51046.
In the ADJUSTPRP phase you are presented with the requests from the development system and
can decide whether you want to accept them. If you confirm here, the transport requests are
integrated into the upgrade. A check is performed to see if all the modifications identified in the
system are handled by transport requests. If this is the case, no adjustment needs to take place.
If the number of objects in the adjustment transport requests exceeds the number
of modifications in the next system, the upgrade will import changes which
previously did not exist in the system.
You can find a detailed description of modification adjustment in the current online
documentation under Help → SAP Library → Basis Components → ABAP Workbench →
Changing the SAP Standard (BC) → The Modification Assistant.
You can read documents on the 4.6C documentation CD offline, before you
upgrade the system. The procedure is described on the cover of the CD.
38 April 2001
Time Frame for Upgrading the Frontend Software

The new SAP release cannot run until the new version of the frontend software (SAP GUI) has
been installed. You can import the frontend software as soon as you receive the software
package. The latest possible time for upgrading is before you log on to the new version of the
SAP System for the first time. The new SAP kernel is imported by R3up in the KX_SWITCH
phase. After this has taken place, logging on with an old version of SAP GUI may cause errors.
This graphic shows the time period during which you can upgrade the frontend software:
Time Frame for Upgrading the Frontend Software
As of this point,
Earliest possible log on only with new
time frontend software
Production operation Downtime Production op.
Preparations Processing Post-upgrade
Receive the R3up Downtime Phase R3up

software package starts begins KX_SWITCH ends
The frontend software is upgraded directly from CD or from a file server. For more information,
see the SAP Frontend Installation Guide.
April 2001 39
Notes for the Upgrade

Definition
To prepare and perform the upgrade of your system, you require some additional information, not
included in the documentation. This information is kept in a number of SAPNet – R/3 Frontend
Notes. You must read the general Upgrade Note before you prepare the upgrade. This SAP Note
contains current non-database-specific information on preparing for the upgrade. There are
separate SAP Notes for the database-specific sections. When you actually upgrade the system
you need the information from some additional SAP Notes. These SAP Notes are named at the
appropriate places in this documentation.
SAP Notes for Preparing the Upgrade

You must request the general Upgrade Note and the SAP Note for your database from SAPNet –
R/3 Frontend before you start your upgrade. If you do not have a SAPNet link, use the fax
request form included in the software package. The following is a list of the SAP Notes you need
to prepare for the upgrade:
SAP Note Number Database SAP Note Type

390062 All databases Specific to this upgrade
197901 SAP DB SAP DB-specific / specific to this
upgrade
202790 DB2 Universal Database DB2 Universal Database-specific
/ specific to this upgrade
386570 DB2 for OS/390 DB2-for-OS/390-specific /
specific to this upgrade
326658 Informix Informix-specific / specific to this
upgrade
201874 Oracle Oracle-specific / specific to this
upgrade
Keyword for the Upgrade

When you start the upgrade, you are asked to enter a keyword, which you can get from the
current general Upgrade Note 390062. You cannot start the upgrade until you have entered the
keyword.
Other SAP Notes

As well as the SAP Notes you need for preparing the upgrade, this documentation also refers
you to other SAP Notes, which give you additional information, if necessary. The following is a list
of these SAP Notes, organized by database:
40 April 2001
SAP Notes for All Databases

SAP Note Topic SAP Note Type
Number
323263 Resource requirements for Release 4.6C Performance
178616 Resource requirements for Release 4.6B Performance
151508 Resource requirements for Release 4.6A Performance
113795 Resource requirements for Release 4.5 Performance
89305 Resource requirements for Release Performance
4.0A/4.0B
203428 Preliminary information on freespace in the Specific to this upgrade
database
26417 System requirements for frontend workplaces Frontend/SAP GUI
/ SAP GUI
102445 Installation of a 3.1I Kernel SAP Kernel
86985 Release SAP Releases for SAP add-ons (IS) IS-specific
156387 Collection of notes on upgrade problems for HR-specific
the SAP component HR (human resources)
76431 Measures for optimizing upgrade runtime 4.x Upgrade to Release 4.x
73510 Problems when upgrading patched source R/3 HR Support Packages
releases
83458 Downloading Support Packages from the SAP Support Packages
SAP Service Marketplace
125971 Service Connection Upgrade Assistant in Remote support for upgrade
SAPNet - R/3-Frontend
33888 Central Basis objects are modified General upgrade
62519 Correction locks do not belong to system Transport Organizer
51046 Copying the modification adjustment without Change and Transport
a central transport directory System
96905 Error message TG063 in the upgrade phase ABAP Dictionary
JOB_RADDRCHK
97032 Conversion of address tables, runtime Address management
82167 Conversion of address tables, runtime Address management
24864 No conversion of table BSEG ABAP Dictionary / Phase
PCON_<rel>
10187 User buffer too small User administration
137478 Installing a dialog instance/gateway with R/3 installation
R3SETUP
April 2001 41
197746 Maintenance Strategy Internet Transaction SAP@Web

Server
86627 Transaction types: Customizing for release Customizing
upgrades
98752 Migrating the proposal pool Translation tools
195443 Current SAP Note on the 4.6C language Language transport
import
195446 Space requirements for the 4.6C language Language transport
import
195442 Language import and Support Packages Language transport
322982 Install language during upgrade Language transport
73999 Upgrade phase PCON: TG450 to TG453 General upgrade
177680 Correcting conversion problems during the General upgrade
PCON 46B / PCON 46C phase
SAP Notes for SAP DB

Number
156551 Released operating systems for 4.6x SAP DB SAP DB-specific
382741 SAP DB database upgrade to 7.2.5 B00 SAP DB-specific
34690 Add Devspace under SAP DB (ADABAS for SAP DB-specific
R/3) 6.1
46430 SAP DB load with parallel R3LOADS SAP DB-specific
201388 Change a database parameter in SAP DB SAP DB-specific
Release 7.2
201390 Back up the database SAP DB 7.2 SAP DB-specific
327578 New software structure as of SAP DB SAP DB-specific
Version 7.2.4/5
SAP Notes for DB2 Universal Database

Number
156553 Released operating systems for 4.6x DB2 DB2 Universal Database-
UDB specific
42 April 2001
SAP Notes for DB2 for OS/390

Number
156554 Released operating systems for 4.6x DB2 for OS/390-specific
DB2/390
81737 DB2/390: APAR list DB2 for OS/390-specific
78354 Conversion of partitioned tables DB2 for OS/390-specific
83473 SQL error -540 ABAP Dictionary / phase
CNV_SUBMIT
113008 Maintaining catalog statistics DB2 for OS/390-specific
136806 DB2/390: Upgrade, ICLI servers DB2 for OS/390-specific
103135 DB2/390: Manual saposcol installation DB2 for OS/390-specific
162250 DB2/390: DDIC corrections (3.0F, 3.1H, 3.1I, DB2 for OS/390-specific
4.0B)
162818 DB2/390: DDIC corrections (4.5A, 4.5B) DB2 for OS/390-specific
184399 DB2/390: DDIC corrections (4.6A, 4.6B) DB2 for OS/390-specific
197772 DB2/390: Free space for 4.6C upgrade DB2 for OS/390-specific
SAP Notes for Informix

Number
50157 Using recommended versions of Informix Informix-specific
156549 Released operating systems for 4.6x Informix Informix-specific
22941 Reorganization of tables and dbspaces Informix-specific
115619 Informix Client versions Informix-specific
SAP Notes for Oracle

Number
156548 Released operating systems for 4.6x Oracle Oracle-specific
11777 Changing the storage parameters NEXT and Oracle-specific
MAX EXTENTS
16951 Oracle - Problems with Rollback segments Oracle-specific
303238 Installation of the Oracle Client Software Oracle-specific
April 2001 43
Checking Structural Requirements

Use
You must meet the following structural requirements before you upgrade your system:
• The message server must run on the host with the central instance.
During the upgrade, the upgrade control program R3up uses Remote Function Call (RFC) to
call function modules, and temporarily schedules ABAP report programs for background
processing. For this reason, the message server must still be running after the secondary
instances are stopped. You can only guarantee this if the message server is located on the
same host as the central instance.
• Update processes must run on the central instance when you make modifications to the
standard.
If you have made modifications to the SAP standard, versions of the modified objects are
created by Version Management during the upgrade. The update program writes these
versions. Therefore, the update program must be running on the central instance.
A standard installation meets the specified structural requirements.
If you are not sure whether you have a standard installation, you can check the structural
requirements using the following procedure.
Procedure
1. Call Transaction RZ10.
Choose Goto → Profile values → Of a server.
2. Choose the server (host) where the central instance is running.
The profile parameters for this server are displayed with their values.
3. Check the profile parameter rdisp/mshost.
This parameter contains the host name where the message server is running. It must run on
the same host as the central instance. This makes sure that the message server is active
during downtime, because only the central instance runs during downtime, while the
secondary instances are stopped.
4. If you have made changes to the SAP standard, check the profile parameter
rdisp/wp_no_vb.
This parameter displays the number of update processes for the central instance. The
number must be greater than 0.
44 April 2001
Checking Hardware Requirements

CPU, Main Memory, and Swap Space
Before the upgrade, check whether you have enough hardware resources, such as CPU, main
memory, disk space, and swap space.
You can use the following to help you:
• Quick Sizing in the SAP Service Marketplace
This is an interactive tool for an approximate sizing of the required hardware.
You can find it at: http://service.sap.com/quicksizing.
• SAP Note 323263
This Note explains the resource requirements for Release 4.6C SR2 compared to Release
4.5B.
• SAP Note 113795
This Note explains the resource requirements for Release 4.5x compared to Release 4.0B.
• SAP Note 89305
This Note explains the resource requirements for Release 4.0A/4.0B compared to Release
3.x.
UNIX Kernel Parameters

You may need different values for the UNIX kernel parameters for a new SAP Release. For more
information, see the documentation SAP Software on UNIX - OS Dependencies.
Space Requirements in the File System

Make sure that you have about 1,650 MB of temporary disk space in the file system for the
upgrade. You need this free space to create the upgrade directory.
Space Requirements in the Database

SAP DB
You require a maximum of 8 GB of space in the database for the upgrade. Approximately 6.4 GB
of this amount is filled permanently.
The difference between the maximum disk space requirements and the permanent disk space
requirements is available as free space in the database as soon as the upgrade is complete.
The database is extended by a maximum of 9 GB, of which approximately 5 GB is filled
permanently.
You can free space after the upgrade by deleting the substitution tablespaces of the source
release.
DB2 for OS/390
April 2001 45
SAP Note 197772 describes the free space requirements in the database. You can free space
after the upgrade by deleting tablespaces that contain only substitution tables of your source
release.
Informix
The database is extended by at least 13 GB. The space requirements could be higher,
depending on how much data you have. Approximately 7 GB of this amount is filled permanently.
You can recover the difference between the maximum disk space requirements and the
permanent disk space requirements by deleting the old substitution dbspaces.
Oracle
Make sure that the following amount of free space exists in the database, depending on the
source release:
Space Requirements in the Database
Source Minimum Free Space for the Space Filled Permanently

Release Upgrade
3.0x/3.1x 13 GB 9 GB
4.0B 11 GB 7 GB
4.5B 10 GB 6.5 GB
The space requirements could be higher, depending on how much data you have.
You can recover the difference between the minimum disk space requirements and the
permanent disk space requirements by deleting the old substitution tablespaces.
The PREPARE program gives you information on how much free space is needed in the
database. PREPARE takes the status of your database into account and calculates the exact
space requirements. If you cannot start PREPARE early enough, you can find the maximum free
space requirements for the database in SAP Note 203428.
46 April 2001
Checking Software Requirements

Use
You must meet certain software requirements before you upgrade the SAP System.
Procedure
1. Check the SAP source release [Page 47].
2. Meet the requirements for the Upgrade Assistant [Page 48].
3. Meet the operating system-specific requirements [Page 49].
Checking the SAP Source Release

Prerequisites
Depending on the database system, your SAP System must have one of the following releases:
Informix, Oracle and SAP DB
3.0D
3.0F
3.1H
3.1I
4.0B
4.5B
4.6A
4.6B
DB2 Universal Database and DB2 for OS/390
3.0F
3.1H
3.1I
4.0B
4.5B
4.6A
4.6B
Procedure
To find out the release of your SAP System, choose System → Status.
Release 3.x – 4.5x
The release appears in the SAP Release field.
Release 4.6x
The release is displayed in the field Component version.
April 2001 47
Meeting the Requirements for the Upgrade Assistant

Network
If you do not operate the GUI and server on the same host, you must be able to set up a TCP/IP
connection between the GUI host and the server host.
Java Virtual Machine

The Upgrade Assistant (server and GUI) is implemented in Java. This means that it requires a
Microsoft Virtual Machine for execution (Version 1.1x or preferably higher).
If you have any doubts, find out about the status of the Java porting for your operating system
from your Competence Center or with the following Internet URL of Sun Microsystems Inc.:
http://java.sun.com/cgi-bin/java-ports.cgi
Procedure
You can provide the Java Virtual Machine in several ways:
• Java Runtime Environment (JRE)
There is porting for all relevant platforms. You can also use a Java Development Kit (JDK)
that contains the JRE.
• Internet Browser with integrated Java Virtual Machine
Strict security rules apply to the execution of Java programs in Internet browsers. This means
that the browsers can only be used to execute the GUI and not the server.
At present, SAP supports the following browsers:
− Microsoft Internet Explorer as of Version 4.7231x
− Netscape Communicator as of Version 4.04 (Java AWT 1.1.4 or higher)
• Microsoft SDK for Java (Microsoft Virtual Machine)
You can use this variant for Windows and Windows NT.
Windows NT
For Windows NT hosts, SAP delivers a Microsoft Virtual Machine on the CD SAP
KERNEL NT. The prerequisite for the installation is Windows NT 4.0, Service
Pack 3.
Installation:
Insert the CD SAP KERNEL NT into the CD drive.
Open the Windows NT Explorer and switch to the directory
<CD_DRIVE>\NT\I386 (DEC-ALPHA: <CD_DRIVE>\NT\ALPHA).
Open the file msjavx86.exe (DEC-ALPHA msjavaxp.exe) by double-clicking it
and make the installation.
Restart your computer.
End of Windows NT
48 April 2001
Meeting the Operating System-Specific Requirements

Procedure
AIX
You must install the AIX packet perfagent so that the SAP Performance Monitor can function.
Check this using the following UNIX command:
lslpp -l | grep perfagent
If you have any questions, contact your IBM or Bull Competence Center.
ReliantUNIX
You must install the runtime system ReliantUNIX C++ Runtime System Version 2.0 A00 or
higher.
Check this using the following UNIX command:
pkginfo -l CDS++RTS
If necessary, you can install this software from the CD-ROM CD-DEV-MI, which you received
with your computer, or which you can order from your technical consultant.
The compressed file is called CDS_PL_PLRTS_NYMS_1_0C32.tar.Z.
End of the operating system-specific explanations
April 2001 49
Accessing Documentation Before and During the

Upgrade
Use
Before and during the upgrade you require 4.6C documentation from the CD Online
Documentation - SAP Library (for example, to modify adjustments). The documentation is not
available online in your system until you have completed the upgrade and the installation
procedure for the online documentation (SAP Library). However, you can make sure that you can
read the CD Online Documentation - SAP Library offline before the upgrade.
Procedure
The instructions for installing the documentation are on the Online Documentation - SAP Library
CD in the file Onldoc_e.pdf or Onldoc_e.htm.
This upgrade documentation includes the paths to specific information in the appropriate
sections. After the installation, you can use the same paths to find the documents online in the
SAP System. You first have to choose Help → SAP Library. If you are upgrading from a 4.x
Release, you can find most of the documentation online in the system before and during your
upgrade to the new release.
50 April 2001
Meeting the Requirements for the SAP Internet

Solution
Use
To use the SAP Internet Solution, you must install the SAP Internet Transaction Server (ITS). If
you want to modify Internet application components delivered in the standard system, you can
also install the development environment of the ITS, the SAP@Web Studio.
If you are already using the ITS and the SAP@Web Studio, you must reinstall this software in
connection with an upgrade to Release 4.6C.
We recommend waiting until after the upgrade before you install the ITS and
SAP@Web Studio.
If you install the ITS at a later time, you overwrite the application component
objects (IAC objects) that are in the Support Packages included in the upgrade.
The report IAC_PUBLISH_SP publishes the current version in the corresponding
directories of the ITS.
Execute the report IAC_PUBLISH_SP directly after installing the ITS.
The IAC Object Receiver (IACOR) must be installed for the report to execute
successfully.
Prerequisites
These prerequisites and the upgrade of customer-specific Internet application components are
described in the guide SAP@Web Installation.
Procedure
1. Read SAP Note 197746 to see if newer versions of the ITS and SAP@Web Studio are
available.
2. Install the ITS and SAP@Web Studio as described in the SAP@Web Installation Guide.
3. Execute the report IAC_PUBLISH_SP if you install the ITS later.
April 2001 51
Importing Additional Languages

After the upgrade you have the option of importing new languages into the SAP System. SAP
recommends that you only use this option if the system contains the Support Packages for the
language CD you are using. This is the case if you did not include any additional Support
Packages in the upgrade, or did not import any additional Support Packages after the upgrade.
The upgrade procedure itself only offers to update existing languages. You cannot install any
new languages during the upgrade. However, you do have the option of classifying new
languages in the SAP System before the upgrade with transaction SMLT, and importing them
during the upgrade. For more information about this procedure, see SAP Note 322982.
If you intend to use additional languages in your system in the future, import them during the
upgrade. In this way you can avoid any sequencing problems arising from Support Packages
included in the upgrade, or Support Packages you need to import after the upgrade.
Importing new languages during an upgrade is a highly efficient process, and is

preferable to importing a language into a live system after an upgrade.
52 April 2001
Upgrading the Operating System and Database

System: Overview
Purpose
When you upgrade the SAP System, you may have to update your operating system and
database to a new version.
For information on which versions have been released, see the following SAP Notes:
156551 Released Operating Systems R/3 4.6x SAP DB
156553 Released Operating Systems R/3 4.6x DB2 UDB
156554 Released Operating Systems R/3 4.6x DB2/390
156549 Released Operating Systems R/3 4.6x Informix
156548 Released Operating Systems R/3 4.6x Oracle
For more information, see the SAP Service Marketplace under:
http://service.sap.com/dbosplatforms
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 the database you use. We have described the process flows specifically for each
database in this section.
Process Flow
SAP DB
You require at least Version 7.2.5.000 for Release 4.6C on SAP DB.
Proceed as follows:
1. Start PREPARE and analyze the results.
2. If necessary, upgrade the operating system.
3. If you have not already done so, update the SAP DB release, as described in SAP Note
382741.
When you import the 7.2.4x (or higher) database software, you change the
structure of the SAP DB software. For more information, see SAP Note 327578.
4. Repeat the PREPARE module General checks to run through the CONFCHK phase once more
and if the module ran successfully, exit it.
5. Upgrade the system with your choice of upgrade strategy. All strategies are supported
(A_switch, A_on and A_off).
Proceed as follows:
2. Migrate the database to Version 6 if you have not already done so.
The migration guide is a PDF document on the software CD that contains Version 6 of the
database.
April 2001 53
DB2 for OS/390
Make sure that you meet the following requirements before you start PREPARE for the first time:
1. Database version: DB2 Version 6.1.0.
2. Operating system of the database server: OS/390 Version 2.8 or higher.
3. Operating system of the application server: AIX Version 4.3.2 or higher.
4. Required PTFs and APARs:
SAP Note 81737 (APAR list) contains information on the PTFs that you need to import
before the upgrade. A PTF Check Tool is available for all source releases. This tool is
described in SAP Note 183311. Any missing PTFs can lengthen the runtime of the upgrade
significantly.
5. ICLI:
The first time you start PREPARE, a 4.6C ICLI server is started for the upgrade tools
alongside the ICLI server of the source release.
The ICLI software is delivered using PTF. You must install this before you start PREPARE for
the first time.
The ICLI software must be in the following three data sets after you have installed the PTFs:
<HLQ>.SFOMDATA
<HLQ>.SAMPLIB
<HLQ>.LINKLIB
<HLQ> is identical for all three data sets and its default value is SYS1.
For more information, see SAP Notes 81737 and 136806 and the IBM documentation SAP
R/3 on DB2 for OS/390: Planning Guide.
6. Current downward-compatible SAP Kernel and required transports for source release
Make sure that all required transports and the minimum required patch level of the current
downward-compatible SAP Kernel for the source release have been imported into your
system. The import of the current downward-compatible SAP Kernel is described in SAP
Note 102445. Depending on your source release, the transports, the release and the
minimum required patch level of the Kernel are described in one of the following SAP Notes:
Source Release SAP Note Number
3.0F, 3.1H, 3.1I, 4.0B 162250
4.5A, 4.5B 162818
4.6A, 4.6B 184399
7. Stored Procedures:
As of Release 4.6B, stored procedures are used for DB2 for OS/390. The prerequisites and
preparations are described in the SAP R/3 on DB2 for OS/390 Planning Guide.
54 April 2001
Informix
For information on which version of the Informix Dynamic Server you need for this release, see
SAP Note 326658.
Proceed as follows:
1. Source Release 3.0x/3.1x: If you have not done so, import the current downward-
compatible SAP Kernel (DCK), since older versions contain errors that cause problems in
PREPARE.
This is currently the 3.1I Kernel. The import is described in SAP Note 102445. Also use the
CD SAP KERNEL from the 3.1I upgrade package that has already been sent to you.
Do not import the Informix version that was mentioned in the notes for the 3.1I
DCK; instead use the Version 7.31 as described in the next step.
4. If you have not done so, upgrade Informix as described in the guide Installing Version 7.31 of
the Informix Dynamic Servers: UNIX.
Oracle
Version 8.0.6 is required for Release 4.6C on Oracle for the majority of operating systems at the
time of going to print. For more precise information on the combination you use, see SAP Note
156548.
Proceed as follows:
1. Source Release 3.0x/3.1x: If you have not done so, import the current downward-
compatible SAP Kernel (DCK), since older versions contain errors that cause problems in
PREPARE.
This is currently the 3.1I Kernel. You require at least patch level 3 of the 3.1I Kernel. The
import is described in SAP Note 102445. Also use the CD SAP KERNEL from the 3.1I
upgrade package that has already been sent to you.
Import the current Kernel patches.
HP-UX
Depending on whether you have Version HP-UX 10 or HP-UX 11, PREPARE
disassembles the correct SAP Kernel and copies it to the directory /put/exe. If
you change to HP-UX 11 between executing PREPARE and starting the upgrade,
then you need to disassemble the SAP Kernel from the CD again, before you
start the upgrade.
April 2001 55
The exact procedure is described in the section Starting the Upgrade [Page 107].
End of HP-UX
4. If you have not already done so, migrate Oracle as described in the guide
Migrating/Upgrading to Oracle Version 8.0.6: UNIX.
56 April 2001
Upgrade Preparations
Purpose
You can prepare for the upgrade while the system is operating productively. Careful preparation
of the upgrade is the best guarantee that it will run without errors. The PREPARE program
supports you here by making most of the necessary checks automatically. Start PREPARE as
soon as possible before the upgrade so that you can initiate or perform the necessary
preparations in time.
Prerequisites
You have completed the planning of the upgrade.
Process Flow
1. You perform the user actions needed before starting PREPARE.
a. You determine a host for the upgrade preparations [Page 59].
b. You make sure that there are 500 MB of freespace in the database for PREPARE.
c. You create an upgrade directory [Page 60].
d. You check the database-specific requirements [Page 62].
e. If you have Source Release 3.x, you must check the version of the SAP Kernel and
substitute it [Page 63] if necessary.
f. If you have Source Release 4.x, you must check the SAP programs [Page 64].
2. You use the Upgrade Assistant to start the PREPARE program.
a. You first start PREPARE [Page 66] from the CD.
If you want to restart PREPARE [Page 72], for example, if the results from its first run make
you want to repeat some checks, you can execute it directly.
You can reset PREPARE [Page 73] at any time, for example, if you want to use it for another
system.
b. First you start the Upgrade Assistant server [Page 67], followed by the Upgrade
Assistant GUI [Page 68], and finally the Upgrade Assistant [Page 69] itself.
For information on using the Upgrade Assistant, see Using the Upgrade Assistant [Page
241].
c. If you need extra software after starting PREPARE, import it now [Page 74].
3. Perform the user actions needed during PREPARE.
PREPARE requires you to make certain entries for its individual modules so that it can run.
For a complete list of all PREPARE modules and phases, see PREPARE Phase List [Page
214].
a. In the Parameter Input module [Page 75], you need to provide information about the
name of the SAP System or the central SAP server.
b. The information required in the Initialization module [Page 80] is specific to DB2 for
OS/390.
April 2001 57
c. Among other things, the language CD is mounted and the Support Packages are
included in the Read CD module [Page 82]. If possible, default values appear that you
can confirm or change.
d. After PREPARE has run, you read the results [Page 87] in the log file CHECKS.LOG.
4. You perform the user actions needed before starting the upgrade.
a. You make preparations at the operating system level [Page 94], for example, you back
up the SAP Kernel.
b. You make preparations at the database level [Page 95], for example, you back up the
database.
c. You make preparations at the system level [Page 98], for example, you check the user
for the upgrade, or you check the requirements for the modification adjustment.
Result
Once you have made all the preparations, you can begin the upgrade.
58 April 2001
Determining the Host for the Upgrade Preparation

Use
You need to prepare for the upgrade on the host with the central instance. Depending on your
configuration, you may later also need or want to use your database host or another host.
Procedure
Decide which hosts you need for the upgrade preparation and the actual upgrade of the SAP
System:
• Host with the central instance
You must execute the upgrade process and PREPARE on the host where the central instance
is running. The Upgrade Assistant server also runs on this host.
• Other hosts
The graphical user interfaces (GUIs) provided by the Upgrade Assistant can run on any hosts
that meet the necessary requirements.
• Database host
You must perform the actions that affect the database on the database host. For a
description of these actions, see Preparations at the Database Level.
April 2001 59
Creating the Upgrade Directory

Use
The system is upgraded using the upgrade directory, which can be a softlink to another physical
directory. The standard path for the upgrade directory is /usr/sap/put, however, you can also
give it a different name. For more information see Using a Different Upgrade Directory [Page
207]. The upgrade directory is required by the PREPARE program before the actual upgrade,
since it copies data and programs into the directory
Prerequisites
The upgrade directory must be installed on the host with the central instance.
Ensure that the SAP profile parameter DIR_PUT in the instance profile of the
central instance has the value <upgrade directory>.
You need free disk space for the upgrade directory on the host with the central instance. This
space is required for the upgrade and the logs, and it is divided into the subdirectories data,
exe, log and other subdirectories in the upgrade directory. These directories can also be
softlinks.
The following table shows the sizes of these directories. This may vary by up to 25%, depending
on your database and source release.
Disk Space Requirements in the Subdirectories of the Upgrade Directory
data exe log Remaining Total

700 MB 250 MB 300 MB 400 MB 1,650 MB
In the Repository Switch, there are dynamic percentages in the subdirectories

data and log in the upgrade directory. We recommend that you create the
directory with more space than specified in the table above, if systems include
extensive own developments or large amounts of individual documentation. If you
want to include Support Packages and add-ons in the upgrade, you also need to
make these directories larger.
You also require an additional 300 MB in the upgrade directory for each language
other than English or German.
Procedure
If the upgrade directory does not yet exist, user root must create it:
mkdir <upgrade directory>
cd <upgrade directory>
chown <sapsid>adm .
chgrp sapsys .
chmod 755 .
60 April 2001
The owner of the upgrade directory and of all the subdirectories must be the SAP system
administrator <sapsid>adm.
Before you start, the new upgrade the directory must exist, but be empty.
If it already exists, check whether it still contains data from the previous upgrade. To make any
deletions, log on as user <sapsid>adm. Switch to the upgrade directory and delete all the
subdirectories.
If softlinks to subdirectories were created, this deletes the links, but not the
contents of the directories referred to. To delete these directories as well, you
must delete the directories one by one and redefine the links. Copy any manually
created directories before deletion if you want them to be kept.
ls -ld * (for checking purposes)
rm -rf *
April 2001 61
Checking Database-Specific Prerequisites for

PREPARE
When you run PREPARE for Release 4.6C, you require at least the database versions released
for the year 2000.
Informix
Make sure that you have at least 200 MB of freespace available in the temporary dbspaces
(TMPDBSx).
Oracle
If you already use database Version 8.0.5, PREPARE and R3up need the Oracle Client Software
under a fixed path. Install the software as described in Note 303238.
62 April 2001
Substituting the SAP Kernel (Source Release 3.x)

Use
Make sure that you are using at least the 3.1I Kernel with patch level 3 before you start
PREPARE. In the KRN_CHK_INI phase of the Initialization module, PREPARE checks the Kernel
version and prompts you to switch the SAP Kernel, if necessary. The following PREPARE
modules require a 3.1I Kernel Version, since older versions contain errors that cause problems in
PREPARE.
Prerequisites
You can combine a database upgrade with the import of the new Kernel. Also read the section
Upgrading the Operating System and Database System [Page 53].
Procedure
Proceed as follows to substitute the SAP Kernel:
1. Stop the services SAP<SAPSID>_<INSTANCES> and SAPOSCOL. Stop all SAP programs.
2. Mount the Kernel CD.
3. Before substituting the SAP Kernel, back up the existing kernel directory.
All files and subdirectories in /usr/sap/<SAPSID>/SYS/exe/run are

overwritten when the kernel is switched. For more information, see the PREPARE
log CHECKS.LOG.
4. Unpack the new Kernel.
April 2001 63
Checking SAP Programs (Source Release 4.x)

Use
Make sure that the following programs meet the specified prerequisites in the SAP Kernel
directory /usr/sap/<SAPSID>/sys/exe/run of your source release.
Required Versions of the SAP Programs for 4.0B
Database SAP Kernel tp R3trans

DB2 Universal No special No special At least version
Database requirements requirements from February 4th,
DB2 for OS/390 1999
Informix
ORACLE
SAP DB 40B_COM Kernel 40B_COM Kernel 40B_COM Kernel
DB2 Universal At least patch level 425 No special No special
Database requirements requirements
Required Versions of the SAP Programs for 4.5B
DB2 Universal No special At least patch level No special

Database requirements 126 requirements
DB2 for OS/390
Informix
ORACLE
SAP DB At least patch level At least patch level At least patch level
573, corresponding 606 607
dbadaslib
Procedure
This enables you to find out the versions of the SAP Kernel programs:
• Finding out the version of R3trans
Call R3trans without options.
The program displays the date and the version number.
• Finding out the version of tp in Release 4.5B
Call tp with the following command:
tp -V
The last line displays the highest patch level.
• Finding out the version of the SAP Kernel
Call the program disp+work with the following command:
disp+work -V
64 April 2001
The last line displays the highest patch level.

You can always find the correct versions of these SAP Kernel programs on the SAP Support
Servers sapserv<X>. You can also use the following options to obtain these versions more
quickly:
Locations of the Correct Versions of SAP Kernel Programs for 4.0B
Database Location
DB2 Universal For R3trans:
Database
DB2 for OS/390 4.6C Kernel CD,
Informix Directory /<CD mount directory>/UNIX/<OS>/40B
ORACLE
SAP DB
DB2 Universal For the SAP Kernel:
Database
sapserv<X>
Locations of the Correct Versions of SAP Kernel Programs for 4.5B
All databases For tp:

4.6C Kernel CD,
Directory /<CD mount directory>/UNIX/<OS>/45B
April 2001 65
Starting PREPARE from the CD

Prerequisites
• You have met the requirements for PREPARE.
• You have made the met the database-specific requirements for PREPARE [Page 62].
Procedure
1. Make sure that the database and the SAP System have been started up.
2. Mount the CD SAP Kernel.
The necessary commands can be found in the specific chapters for the operating system in
the manual SAP Software on UNIX - OS Dependencies.
3. Log on to the host on which the central instance is running as user <sapsid>adm.
4. Enter the following commands:
/<CD mount directory>/UNIX/PREPARE
This creates a directory <upgrade directory>/ua into which the Upgrade Assistant is
unpacked.
5. We recommend that you use the Upgrade Assistant. Confirm the prompt of the display mode
with the default EXIT. This ends the program PREPARE.
Now start the Upgrade Assistant Server [Page 67], followed by the Upgrade Assistant GUI
[Page 68].
Log on to the Upgrade Assistant GUI as the administrator and restart PREPARE [Page 72].
If you want or have to run PREPARE in scroll mode, enter SCROLL when you are
prompted for the display mode. For information on how to activate scroll mode
when you restart PREPARE, see the section Executing PREPARE and R3up in
Scroll Mode [Page 201].
66 April 2001
Starting the Upgrade Assistant Server

Prerequisites
You must start the program PREPARE once from the CD. This creates the subdirectory ua in the
upgrade directory and disassembles the Upgrade Assistant in this directory.
Procedure
1. Open a new window at the operating system level as user <sapsid>adm:
2. Enter the following command:
jre -cp <upgrade_directory>/ua/ua.jar UaServer
April 2001 67
Starting the Upgrade Assistant GUI

Prerequisites
The Upgrade Assistant server must be active [Page 67].
The procedure depends on the host on which you are starting the GUI of the
Upgrade Assistant. We recommend that you call the GUI from an Internet
browser.
Starting the GUI from the Internet Browser
To start the GUI from a browser, enter the following URL:
http://<host_name>:4239/ua/UaGui.html
Replace <host name> with the name of the host on which the Upgrade Assistant is running.
You need to enter the full Internet name, for example,
hw1156.wdf.sap-ag.de.
Use the following URL to display the contents of the upgrade directory:
http://<host_name>:4239
Starting the GUI on Windows Hosts

1. So that the GUI can also be executed on other hosts, copy the file uagui.jar from the
directory <UpgDir>/ua on this host to any directory <UaGuiDir>.
2. Start the GUI in a command prompt as follows:
When using the Java Runtime Environment (JRE):
jre -cp <UaGuiDir>\uagui.jar UaGui
When using the Microsoft Virtual Machine:
jview /cp <UaGuiDir>\uagui.jar UaGui
Starting the GUI on UNIX Hosts

Starting the GUI on the Host with the Central Instance
1. Open a new window as user <sapsid>adm:

2. Start the GUI as follows:
jre -cp <upgrade_directory>/ua/uagui.jar UaGui
Starting the GUI on Other UNIX Hosts
1. So that the GUI can also be used on other hosts, you must copy the file uagui.jar from the
upgrade directory on this host to a directory <UaGuiDir> or mount it with NFS.
2. Start the GUI as follows:
jre -cp <UaGuiDir>/uagui.jar UaGui
68 April 2001
Starting the Upgrade Assistant

Prerequisites
The Upgrade Assistant and the Upgrade Assistant GUI are already started.
Procedure
If you did not start the GUI from an Internet browser, the following connect screen appears:
1. In the field Host name, enter the name of the host where the central instance is running.
Example of the format for the host name:

hw1156
hw1156.wdf.sap-ag.de
155.56.202.33
2. If you want to start the GUI and the server on the same host, you can leave the field Host
name empty.
3. Do not change the default value 4241 in the field Port number.
You see the following screen:
April 2001 69
4. In the fields User name / Phone number, enter your personal information.
5. In the field Password, you must enter a password that specifies if the GUI has the role of the
administrator or the observer. The initial passwords for the two roles are as follows:
Role Initial Password

Administrator admin
Observer observer
After logging on, the following window appears with the main menu:
70 April 2001
April 2001 71
Restarting PREPARE from the Upgrade Assistant

GUI
1. Make sure that the Upgrade Assistant server is active.
2. Start a GUI as described under Starting the Upgrade Assistant GUI.
3. Log on to the GUI.
4. Select Administrator → Start PREPARE.
You can select which modules you want PREPARE to run through on one of the following
screens. Some modules are mandatory, some are optional. PREPARE must run through all
mandatory modules before you start the actual upgrade. A successfully executed module has
the status succeeded.
72 April 2001
Resetting PREPARE
Use
If you have already executed PREPARE more than once, but do not want to upgrade the system,
then you have to reset PREPARE.
In the following cases, you can only reset PREPARE under certain conditions:
• If PREPARE in the Import module is between the phases TOOLIMPD1 and NPREPCRE0, you
must perform the remaining phases up to at least NPREPCRE0 before you reset PREPARE. If
you reset PREPARE between the phases mentioned above, errors occur when you restart
PREPARE.
• If you have already triggered initialization in transaction ICNV, the command reset
prepare does not reset these initializations.
Procedure
1. Enter the following commands as user <sapsid>adm:
cd <upgrade_directory>/bin
R3up reset prepare
2. Delete the contents of the upgrade directory so that it has the same status it had the first time
PREPARE was started [Page 66].
April 2001 73
Importing Software After Starting PREPARE

Use
After you start PREPARE, you may need to import software, such as Support Packages,
languages, or add-ons (and add-on updates).
Procedure
1. Reset PREPARE as described in the section Resetting PREPARE.
2. Import the required software.
3. Start PREPARE again from the CD and repeat the required and optional modules.
74 April 2001
Making Entries for the Parameter Input Module

Use
PREPARE needs certain information from you so that it can run the Parameter Input module.
Default entries appear where possible. Confirm or change the default entry. For a list of the
necessary entries for this PREPARE module, see below. The name of the phase is given in
parentheses to help you.
Procedure
The following parameters of your system are prompted (INITPUT phase):
• Name of the SAP System (<SAPSID>)
• Number of the instance, for example 00
• Host name of the central SAP server
• Path to the SAP start and stop procedure (default is the home directory of user
<sapsid>adm)
• Path to the active SAP Kernel
• Instance name of the database
DB2 for OS/390
You are now prompted to make the following entries:
1. Stop before execution of the JCL job
Several JCL jobs are executed during PREPARE and the upgrade. These jobs can also run at
night, in particular RUNSTATS during the table import.
Here you have to decide whether you want the upgrade to stop before the JCL job is
executed, so that you can make corrections to the job.
You always have this option if the JCL job produces errors.
2. Data set for LOAD library
Enter the name of the data set that contains the LOAD library.
3. Data set for DSNTIAD library
Enter the name of the data set that contains the DSNTIAD library.
4. DB2 subsystem name
Enter the name of the DB2 subsystem.
5. User who starts the ICLI server
Enter the name of the user who starts the 4.6C ICLI server. The default name is ICLIRUN.
6. JCL Submission Service test
Make the following entries as part of the JCL Submission Service test:
− MESSAGECLASS
− TCP/IP name of the database host
April 2001 75
− OS/390 user
− Password of the OS/390 user
7. High level qualifier for 4.6C ICLI PTF
As part of the installation of the 4.6C ICLI server you must enter the High Level Qualifier
under which the 4.6C ICLI PTF was installed.
8. Port number
You are prompted to enter a port number for an instance of the 4.6C ICLI servers.
You are then prompted to start a 4.6C ICLI server under this port number.
This instance is needed during the upgrade only, in addition to the instance of the source
release’s ICLI server. You can stop it again after the upgrade. For more information, see
SAP Note 136806.
9. SAP software components
You are asked whether you want to import some SAP software components (rfcoscol,
saposcol and librfc) to OS/390 while PREPARE is running.
You can also install this software as described in SAP Note 103135.
If you confirm this prompt, you need to make the following entries:
• Program ID
Specifies the TCP/IP connection used by rfcoscol
• saposcol-/rfcoscol directory
Directory in which saposcol and rfcoscol are installed.
The OS/390 user (step 6) needs write and read authorization for this directory.
• Temporary upgrade directory on OpenEdition
You must create this directory now. You need at least 15 MB for this. The OS/390 user
(step 6) needs write and read authorization for this directory. You can delete this
directory after you complete the upgrade.
10. Stop and start the ICLI server for each job
In the TABUIMP_BAS phase, you must stop the ICLI server of the source release and start
the ICLI server of the target release. You can also use a job to start and stop the ICLI server
(without any user action).
You are asked if you want to use this option.
If you confirm this option, you are asked to adjust the corresponding jobs.
End of DB2 for OS/390
• Host name of the database server
• Mount directories for CDs
If you have only one CD drive, you do not have to enter any other mount directories.
Whenever necessary, R3up prompts you to specify a mount directory or to change the CD. If
you are working in scroll mode use ENTER to skip the prompts for extra mount directories.
76 April 2001
If you have more than one CD drive or you are able to copy the contents of the CD to disk,
enter all the mount directories used. You can change your entries each time you run
PREPARE or R3up. For more information on using multiple CD drives, see Drawing Up an
Upgrade Schedule [Page 32].
PREPARE and R3up require the following CDs as well as the SAP Kernel CD:
Additional CDs
CD Title Contents
Upgrade CD1 Transport requests imported during the upgrade (PREPARE)
Upgrade CD2 Transport requests imported during the upgrade (PREPARE)
Upgrade CD3 ABAP loads and transport requests imported in the upgrade
(PREPARE/R3up)
Upgrade CD4 Transport requests imported during the upgrade (R3up)
Upgrade CD5 Transport requests imported during the upgrade (R3up)
Language Disc Standard languages English and German (PREPARE/R3up)
Optional CDs
CD Title Contents
Language Disc for Languages other than English and German
your chosen language
For the exact contents, see the file README on the CD.
Add-On CDs Add-Ons
The other CDs in the upgrade package are not required by PREPARE or R3up, but by other
programs within the upgrade, for example, to import a new version of the database system.
• Number of parallel import processes
The number of parallel processes used by R3trans to import data into the database. We
recommend the 3 processes for machines with 512 MB main memory. Up to 4 parallel import
processes are possible for multiprocessor hosts with sufficient main memory.
• Language key
Enter E or D to define whether the help texts displayed by R3up in error situations appear in
English or German.
• Update database statistics
To avoid lock situations and any resulting problems during the upgrade, you now have the
chance to update the database statistics for tables and indexes.
You can skip this step. However, we only advise you to do this if:
− you update the statistics regularly
− you already generated statistics the last time you ran PREPARE
April 2001 77
At the beginning of R3up (actual upgrade), you have another opportunity to update the
statistics.
You have the following options:
MEDIUM = tables with cardinality = -1 or with cardinality = 0 (and any corresponding
indexes)
HIGH = all tables (and any corresponding indexes).
Long runtime.
If you do not know the state of the database statistics, choose MEDIUM.
End of DB2 Universal Database
• Name of the SAP start profile
The SAP start profile is used in the SAP start procedure and is in the general profile directory
/usr/sap/<SAPSID>/SYS/profile.
It meets the following naming conventions:
START_<instance name><instance number>_<host name>
START_DVEBMGS00_hsi027
Always check that the default value is correct. If it is not correct, change it. If in
doubt, see the script startsap for the correct name of the start profile.
• Path and name of the profile of the central instance
The profile for the central instance is also in the directory
/usr/sap/<SAPSID>/SYS/profile and usually uses the following naming convention:
<SAPSID>_DVEBMGS<instance number>_<host name>
You must check here whether your default value is correct. If in doubt, see the start profile for
the correct name.
• Path of the DEFAULT.PFL profile
The DEFAULT.PFL can be found in directory /usr/sap/<SAPSID>/SYS/profile.
Password of user DDIC in the system, client 000
This password is needed for the RFC connection to the system. Check whether the
password is correct by logging onto the system. R3up asks you to verify the password by
entering it a second time.
• Host name of the background server
Normally a background service is available on the central instance. You can check this with
transaction SM51.
However, in larger systems, the background service may be elsewhere to improve load
distribution. In this case, enter the host name and the name of the relevant application
server. Also make sure that the upgrade directory is mounted on the host with the
background service, and that the background server can process background jobs of class
C.
78 April 2001
The server you select must be available for background operations round the clock. Check
the active operation modes with transaction SM63 to find out if it satisfies this requirement.
• The greatest synchronization time of the buffers of all the application servers
Usually, 60 seconds is entered for the bufreftime parameter in the instance profiles of the
servers.
If you installed several instances, it is important that the largest value of all the
profiles is defined here. R3up must wait for this length of time at certain points
during the upgrade so that all the instances are synchronized. If the time entered
is too short, time intervals might occur, in which users can make unchecked
changes.
• Directory for the local system log
This is the local system log for the central instance.
The SAP Kernel of Release 4.x cannot read the system log of older releases since the format
changed as of Release 4.x. For this reason, the local system log of the central instance and
the central system log are renamed in a kernel substitution (KX_SWITCH phase).
The system logs are recreated the next time the system is started with the new release.
If you run the system with multiple application servers, you must manually
rename the local system log of this remote server (see Renaming the Local
System Log [Page 150]). This action cannot be performed automatically.
• Directory for the central system log
See Directory for the local system log above.
• Path to the EPS inbox
The default value is proposed. Check this value and correct it if necessary.
April 2001 79
Making Entries for the Initialization Module

Procedure
DB2 for OS/390
Depending on the source release, you may need to create new stogroups in the database, or
extend existing stogroups. To do this, you need information about the local hardware
configuration (SMS/NON SMS, VOLIDs).
The database layout was changed in Release 4.5A. The Database Administration Guide
describes the new database layout for the target release.
• For source releases up to and including 4.0B, the stogroups needed for the database layout
of the target release are created with the volumes defined in the file volumes.pfl . You
also have the option of inserting the volumes from volumes.pfl into the existing stogroups
of the source release database layout.
• For source releases 4.5B and later, you have the option of inserting the volumes defined in
the file volumes.pfl into the existing stogroups of the source release database layout.
For information on the amount of disk space needed in the database, see Note 197772.
The volumes.pfl file does not exist when PREPARE starts. In the first SPACECHK phase, you
are prompted to create this file using the sample file volumes.smp. The volumes.pfl file
contains the VSAM catalog ID and the disk ID.
R3up creates the following sample file volumes.smp in the sub-directory bin of the upgrade
directory.
#------------------------
# FILE: VOLUMES.SMP
#------------------------
# VCAT-ID
VCAT DSNOOE
# VOLUME-ID
volume DB2069
volume DB206A
volume DB206B
#------------------------
You must copy this volumes.pfl to the sub-directory bin of the upgrade directory, and then
adapt it to the local hardware configuration. The first line without comments contains the
characters VCAT and the disk catalog ID. The following lines contain information on the disks
whose IDs are specified behind volume, the disk ID.
If the database uses disks managed by the Storage Management System (SMS), the file
volumes.pfl in the sub-directory bin of the upgrade directory contains the following disk
entries:
# VOLUME-ID
volume '*'
The following is an example of a sample file for the SMS:
80 April 2001
#-----------------------------
# FILE: VOLUMES.PFL
#-----------------------------
# VCAT-ID
VCAT DSNOOE
# VOLUME-ID
volume '*'
#-----------------------------
April 2001 81
Making Entries for the Read CD Module

Procedure
Phase LANG_SELECT
You are prompted to mount the language CD. You need to do this even if only the standard
languages English and German are installed in your system.
If you have installed languages other than the standard languages, you can exclude certain
languages from the upgrade. The standard languages are always imported.
If you exclude a language, you cannot work in this language after the upgrade.
In principle, it is possible to install additional languages during the upgrade. For more information,
see Importing Additional Languages [Page 52].
Phase LANG_CHK
If you have a source release lower than 3.0E and R3up is unable to determine a standard setting
for the territory of your system, you are prompted to make the relevant changes.
Phase IS_CHK
You are asked if any add-ons are installed that are not automatically recognized. If you have not
installed any add-ons, confirm the prompt with nothing else.
Phase IS_READ
All add-ons appear that are found in the IS_CHK phase, and any add-ons that may have been
added manually. The following alternatives are offered for each add-on:
• Upgrade the component with the CD for the add-ons
When you choose this alternative, you are asked to insert the corresponding CD. The data is
copied to the upgrade directory.
• Keep the present version of the add-on
Only choose this alternative if the vendor of your add-on has confirmed that you
can do this without losing data. A password is required for this alternative.
• Delete the add-on
You can only choose this alternative if your add-on supplier has confirmed that
this does not cause any problems.
Phase PATCH_CHK3
The system tests to see if all the Support Packages (previously known as Hot Packages, Legal
Change Patches) are confirmed.
82 April 2001
Unconfirmed Support Packages are displayed on the screen and in the PATCHOUT.LOG file in
the log subdirectory of the upgrade directory. Confirm these Support Packages with transaction
SPAM.
If the source release contains Support Packages that are more recent than those in the delivered
target release, a warning appears that informs you which Support Packages these are. All
software components appear whose Support Package level is more up-to-date than the status of
the software components on the upgrade CD. As of Release 4.6, the Hot Packages and Legal
Change Patches are divided into several subpackages:
• Hot Packages:
− Basis Support Packages (software component SAP_BASIS)
− Cross-Application Support Packages (software component SAP_ABA)
− R/3 Support Packages (software component SAP_APPL)
• Legal Change Packages:
− Basis Support Packages (software component SAP_BASIS)
− Cross-Application Support Packages (software component SAP_ABA)
− R/3 Support Packages (software component SAP_APPL)
− R/3 HR Support Packages (software component SAP_HR)
In this case, we recommend that you always include all available Support Packages for the target
release, and all released Basis Support Packages. This means that your system is completely
up-to-date after the upgrade. One disadvantage of including Support Packages in the upgrade is
that the runtime of the upgrade phases SHADOW_IMPORT_REP, ACT_46C, TABIM_46C and
XPRAS_46C increases. However, the overall runtime of the upgrade is reduced.
If you use an add-on component, you can find information about including the corresponding
Add-On Packages or Conflict Resolution Transports in the SAP Note for the Add-On Supplement
CD.
If you use SAP HR, you must include the HR Support Packages. If you upgrade
your system without doing this, the R/3 HR Support Packages already imported
into your SAP System are canceled and data is lost. Reimporting the R/3 HR
Support Packages in the target release does not solve this problem. We
recommend that you include all existing R/3 HR Support Packages in phase
BIND_PATCH (see the next section) of the upgrade. SAP Note 73510 specifies
which R/3 HR Support Package in the target release is equivalent to your current
state.
To include Basis Support Packages, you need a Package Key as of 4.6C Support
Release 1. For information on this and on other subjects, see SAP Note 119738.
If R3up displays a warning that your Support Package level is too up-to-date and you want to
include Support Packages in the upgrade, then you need to do this in the next phase
BIND_PATCH. You can include the Support Packages for multiple software components in this
phase.
April 2001 83
Phase BIND_PATCH
You can include the Support Packages for the target release in this phase.
When you upgrade to 4.6C Support Release 2, the following Support Packages are already
included in the upgrade:
Component Support Package
SAP_BASIS 1 - 15
SAP_ABA 1 - 15
SAP_APPL 1 - 15
SAP_HR 1 - 19
If you want to include additional Support Packages, proceed as follows:

1. Download the Support Packages of the target release.
You can download the Support Packages in one of the following ways:
− from SAPNet - R/3 Frontend using transaction SPAM. If you choose this method,
skip points 2 through 4 and proceed from point 5.
− from the SAP Service Marketplace, following the instructions in SAP Note 83458
− from a Support Package Collection CD, following its instructions
2. Log on as user <sid>adm.
3. Switch to the following subdirectory in your system:
Operating system Subdirectory
UNIX /usr/sap/trans
Windows NT <DRIVE>:\usr\sap\trans
4. Use the following command to unpack the archive that contains the Support Packages:
Operating system Command
UNIX SAPCAR -xvf /<CD_DIR>/<PATH>/<ARCHIVE>.SAR
Windows NT SAPCAR -xvf <CD_DRIVE>:\<PATH>\<ARCHIVE>.SAR
If you want to download the archives from a Support Package Collection CD, you can find
details about the archives and their paths in the readme file on the CD.
5. Check whether the unpacked Support Packages are in the EPS Inbox of your transport
directory:
Operating system EPS Inbox of the transport directory
UNIX /usr/sap/trans/EPS/in
Windows NT <DRIVE>:\usr\sap\trans\EPS\in
84 April 2001
For Source Release 4.0B: If you want to include Conflict Resolution Transports
as well as Add-On Support Packages for Add-On components, make sure that
these packages are also in the EPS Inbox.
6. If you want to include (more) Support Packages for your various software components,
answer Yes to the prompt about including Support Packages in the BIND_PATCH phase.
7. Answer the prompt about searching for new Support Packages with Search. You can skip
this step with Skip if you have not downloaded any new Support Packages since the last
time you searched.
8. Enter the Support Package level you want for your various software components.
You no longer need to reset PREPARE to reduce the number of Support Packages
that you want to include. All you need to do is overwrite the default Support
Package level.
If you want to cancel the selection for a software component completely, select
the appropriate field if you are using the Upgrade Assistant, or enter NONE if you
are using scroll mode.
As well as the software components, you also have the option of including a single change
request. In certain situations, you can use a single change request to avoid losing data. The
modification adjustment function ignores this request.
Using the single change request function is risky. Only use this function if the
owner of the request can guarantee that it is compatible with the upgrade.
It may take a few minutes to unpack the Support Package data.
You need a Package Key to include a Basis Support Package in the upgrade.
The Package Keys are in SAP Note 119738.
9. When you confirm the confirmation prompt you integrate all Support Packages up to the
specified level into the upgrade for the selected components.
You cannot include SPAM Updates in the upgrade. Whether you have the option of including
Conflict Resolution Transports (CRTs) or Collective Conflict Resolution Transports (CCRTs) in
the upgrade depends on what is written in the SAP Note for the particular add-on component.
Any Support Packages that you cannot include in the upgrade must be imported into the system
after the upgrade.
Phase ADJUSTPRP
If you want to execute PREPARE in a target system and you made preparations for an automatic
modification adjustment in the first system, you are prompted to choose a request.
Phase ICNVREQ_PRP
If PREPARE determined candidates for incremental table conversion (ICNV), you are prompted to
start transaction ICNV. For an online description of how to use this transaction, call Transaction
ICNV and choose Information.
April 2001 85
If you do not want to use this option, the tables are converted during downtime. For more
information on incremental conversion, see Planning the Upgrade → Incremental Table
Conversion.
Call the steps Initialization and Data Transfer in the ICNV only when all PREPARE
actions, in particular the inclusion of Support Packages, have been completed.
If you reset PREPARE, this does not cancel any modifications made by initializing
the ICNV.
86 April 2001
Evaluating the Results of PREPARE

Use
As mentioned in the section PREPARE [Page 212], PREPARE writes its results to the file
CHECKS.LOG. This file is located in the sub-directory log of the upgrade directory. Each run of
PREPARE generates a header entry containing the text Starting new execution of
PREPARE modules <modulename> at <time_stamp>. This is followed by the PREPARE
results.
The entries in the file CHECKS.LOG can be error messages, information or prompts for user
action.
Procedure
Most of the entries are self-explanatory. You can find information and procedures for the other
entries in the following:
• Incremental conversion is not completed.
Call transaction ICNV and finish incremental conversion.
The incremental conversion is not yet finished from a previous upgrade.
Use Transaction ICNV to lock this conversion. For more information, see the online help for
ICNV.
• The buffers of your R/3 instance are not automatically validated.
The parameter rdisp/bufrefmode must have on of the following values in the profile
/usr/sap/<SAPSID>/SYS/profile DEFAULT.PFL:
Value Use if
sendon,exeauto Multiple SAP instances are installed for this system (<SAPSID>)
sendoff,exeauto one SAP instance is installed for this system (<SAPSID>)
Also make sure that the parameter rdisp/bufrefmode is not set in the instance profile.
If you have distributed application servers that do not use NFS to share access to the profile
of the central instance, enter the value sendon,exeauto in each local DEFAULT.PFL and
make sure that the parameter rdisp/bufrefmode is not set in the local instance profile.
• Insufficient freespace in the database as follows:
The new release needs more space in the database. The data for the new release cannot be
imported into the existing space in your database. The extensions required are specified in a
table in CHECKS.LOG. Add the space that you will need for additional data before you
actually upgrade the system.
The procedure is described in the following database-specific sections.
April 2001 87
SAP DB
To extend your database, create a new devspace with the database tools. For an exact
description, see Note 34690.
Database Release 7.2 increases the page size of a database page from 4 KB to 8
KB. The required freespace is based on the database version you are currently
using.
Extend the listed tablespaces by at least the specified values.
Create the new tablespaces as required by PREPARE. These are always the following
tablespaces for the Repository Switch:
PSAPES<Rel>D
PSAPES<Rel>I
PSAPEL<Rel>D
PSAPEL<Rel>I
<Rel> stands for the current target release.
For performance reasons, you must take the following restrictions into consideration when
creating the new tablespaces (in the order they are listed):
− Different containers of a tablespace should be located on different (physical) disks.
− Corresponding index and data tablespaces should not be on the same disk.
− PSAPES<Rel>D and PSAPEL<Rel>D must not be on the same disk.
To create or extend tablespaces, you can use the DB2 administration tools or a DB2
Command Line Processor Template generated by PREPARE (see file CHECKS.LOG). You can
find more information in the SAP online documentation on database administration for DB2
Universal Database.
Informix
Extend the listed dbspaces by at least the specified values.
Create the new dbspaces as required by PREPARE. These are always the following dbspaces
for the Repository Switch:
psapes<rel>
psapel<rel>
<rel> stands for the current target release (lower case).
When you create the dbspaces, make sure that they are not located on the same disk: This
improves performance.
You can find information on extending and creating dbspaces in the SAP online
documentation on database administration for Informix.
The space check is made at the dbspace level. If you moved tables with delivery classes
other than “L” to your own dbspaces, you should have roughly the same size freespace
88 April 2001
available in these dbspaces as in the original dbspaces of the tables. A typical example is
moving the ATAB from the dbspace psappool.
Oracle
Extend the listed tablespaces by at least the specified values.
Create the new tablespaces as required by PREPARE. These are always the following
tablespaces for the Repository Switch:
PSAPES<Rel>D
PSAPES<Rel>I
PSAPEL<Rel>D
PSAPEL<Rel>I
<Rel> stands for the current target release.
For performance reasons, you must take the following restrictions into consideration when
creating the new tablespaces:
- index tablespaces and data tablespaces that belong together must not be on the
same disk, and must not be in the same sapdata directory
- PSAPES<Rel>D and PSAPEL<Rel>D must not be on the same disk.
We recommend the following combination:

Disk 1: PSAPES<Rel>D and PSAPEL<Rel>I
Disk 2: PSAPEL<Rel>D and PSAPES<Rel>I
To extend and create tablespaces, use the program <upgrade_directory>/exe/sapdba
as user ora<sapsid>. You can now create tablespaces with sapdba. You can find further
information in the SAP online documentation on the program sapdba.
AIX
If the AIX user parameter fsize (=maximum filesize) is set to the default value of 1 GB
for the user ora<sapsid>, error messages are issued if tablespaces greater than 1 GB
are created. Where necessary, increase the value of fsize.
Note that the parameter fsize is increased by the same amount for the user
<sapsid>adm. Otherwise <sapsid>adm is unable to start up the database after large
tablespaces have been created.
Reboot your AIX System to activate the new values.

End of AIX
sapdba suggests other values for the extension than those specified in the list. You can
overwrite these values, however, you must meet the minimum requirements of the list.
Avoid fragmenting the database too strongly.

Be generous when you extend existing tablespaces.
Choose a low degree of fragmentation when you create tablespaces.
April 2001 89
For the tablespace PSAPES<Rel>D, create at least one data file with 2 GB,
otherwise the import of the substitution set will terminate.
If you have to create a tablespace in more than two fragments, add (n - 2) * 100
MB to the total size of the tablespace, where n is the number of fragments.
Also check the extent structure of the tables. For information on this, see the Online
Documentation under Help → SAP Library → Basis Components → Change and Transport
System → Language Transport.
• In Release <rel> you applied the following unconfirmed patches to
your system.
There are unconfirmed Support Packages in your system, such as R/3 Support Packages,
R/3 HR Support Packages, BW Support Packages, APO Support Packages and so on. Use
the Transaction SPAM to confirm these Support Packages before the upgrade.
• Change the permission of these executables:
You must be able to overwrite the programs of the old SAP Kernel to be able to copy the new
SAP kernel to the directory /usr/sap/<SAPSID>/SYS/exe/run during the upgrade. The
programs that are affected are listed in the lines
ERROR> No write permission for file <executable>.
Change the write authorization with:
chmod ug+w <executable>
If the program does not belong to the group sapsys, you must either change the group or
add the user <sapsid>adm to the group temporarily. We do not recommend that you give
write authorization to others, for security reasons.
• no write permission on <file name>:
The specified file in the directory of user <sapsid>adm cannot be overwritten because the
authorizations were not correctly set or the owner of the file is not <sapsid>adm. Correct
this by changing the authorizations or the owner.
• Release these open transport requests and repairs:
Modifications can be lost if open repairs are ignored

There are locked SAP objects in open repairs and/or requests in your system. Their numbers
are listed.
Before you begin upgrading, you must release and confirm all the open repairs and requests
listed by PREPARE, since the objects contained in them are locked. For more information, see
Releasing Open Repairs and Requests [Page 208].
If open repairs that do not belong to this system are displayed, then this system
was created by a database copy. These open repairs cannot be released in the
normal manner.
Note 62519 gives you possible solutions to this problem.
90 April 2001
You must log on to the system under the name of the relevant owner to release and confirm
the open repairs. The list in CHECKS.LOG contains these names.
• Restart logs of DB conversions found.
Outstanding DB conversions found.
Your system contains outstanding conversions and restart logs of terminated conversions.
Clean these up as described under Cleaning Up Terminated Conversions in the DB
Conversion Phases [Page 179].
• Unresolved request found in TRBAT.
.......
TRBAT entry indicates that a batch job is running.
.......
TRBAT entry indicates that a batch job has finished.
Corrupted TRBAT entry found.
.......
The transport control program tp uses the table TRBAT to communicate with the SAP
System. Entries found in this table by R3up may be the remains of a terminated or running
import or export.
Determine and clean up entries for terminated imports or exports during the upgrade
preparations. Do not delete entries for running imports or exports during production
operation.
First try to process the TRBAT entries from /usr/sap/trans/bin with the following
command:
tp getprots <SAPSID>
Running imports or exports are not affected. You can monitor the tp monitor file with the
following command:
tail -f /usr/sap/trans/log/SLOG<YY><WW>.<SAPSID>
where <YY> is the year (2 digits) and <WW> is the calendar week (2 digits).
tp informs you in this file about any problems during processing.
Use Transaction SM31 to delete any entries in TRBAT that cannot be processed and that are
no longer needed.
You can find more information about the transport control program tp in the SAP Library:
Choose
in Release 3.x:
Help → R/3-Library → BC - Basis →=System Administration →
Transport Control → Transport Control Program tp
in Release 4.x:
Help → SAP Library → BC - Basis Components → Change and Transport System → BC
- Transport Tools → Transport Control Program tp
• The following indexes <number> were read:
Indexes whose names are identical up to the 14th character were found in a table belonging
to the substitution set. The 14th character is an 'X' in one of the two names and is empty in
the other. This is an inconsistency and would result in an error during the import of the
substitution set.
April 2001 91
The index with the 'X' at the 14th position can only have occurred in a Repository Switch or
have been created outside the SAP System. Consult a Basis consultant.
• The following database tables have names that are identical to names
of Basis views. The views will be created in this upgrade. Therefore
...
Delivered views may have names identical to the names of customer tables in the SAP
namespace. You must delete these tables. If you need the table data later, you must first
make a backup.
• Update records still exist - please process
Make sure that you have cleaned up all outstanding updates by the phase JOB_RSVBCHCK3
(during downtime) at the latest.
If you are still in the preparation phase (PREPARE) and therefore in production operation, you
only have to delete the terminated updates.
Terminated or outstanding updates have to be followed up or deleted in all clients.
To determine the terminated or outstanding updates, proceed as follows:
1. Start Transaction SM13.
2. Delete the default values for the client, user and time.
3. Choose all the update requests.
Repeat this check when the system stops operating productively (see Isolating the Central
Instance [Page 202]).
SAP DB
• Insufficient DB parameter MAXLOCKS.
Use the SAP DB tool xcontrol to give MAXLOCKS the correct value.
The changed parameter only becomes active after you have stopped and started the
database.
• DATABASE ERROR: There is an inconsistent index in your
database:
Index SQL<nnnnnnnnnnnnnnn> on table <TABNAME>
The information about the primary index names was lost and was replaced with a name
generated by the database system because the IBM export/import tool was used. These
must be cleaned up before you start the upgrade, since otherwise table or index
modifications could terminate.
To do this, proceed as follows:
1. Log on as user <sapsid>adm.
db2 "alter table sapr3.<TABNAME> drop primary key"
3. Log on to the system as user DDIC and start Transaction SE14.
Reconstruct the primary index (index ID 0) on the database.
92 April 2001
• DATABASE ERROR: The value <old value> of <param> database

configuration parameter is too low.
---> Set the parameter to <new value>.
Certain database parameters are set too low for the upgrade. Set the parameter(s) to the
required value.
Proceed as follows:
1. Log on as db2<sapsid> and start up CLP with db2.
2. Increase <param> with the following command:
update db cfg for <sapsid> using <param> <new value>
3. The parameters do not become effective until the database is restarted.
To do so, shut down the database with stopsap db and start it up again with
startsap db.
April 2001 93
Making Preparations at the Operating System

Level
Backing Up the SAP Kernel
During the upgrade, the SAP Kernel programs are replaced under
/usr/sap/<SAPSID>/SYS/exe/run. Make sure that you can recover the old Kernel if this
becomes necessary. Make a backup copy of these programs to guarantee this.
Backing Up the Scripts for Starting and Stopping the SAP System
During the upgrade, the scripts for starting and stopping the SAP System are substituted so that
they correspond to the new release. If you have modified the standard scripts, you must back up
the scripts before you upgrade, so that you can repeat the modifications after the upgrade.
Making Operating System-Specific Preparations

ReliantUNIX
You must change the instance profiles of all the SAP instances.
These profiles are in the directory /usr/sap/<SAPSID>/SYS/profile and usually stick to the
following naming convention:
<SAPSID>_<instance name><instance number>_<host name>
Insert the following parameters:
1. /install/os_version/Relia=SINIX
2. /install/os_version/ReliantUNIX=SINIX
3. Depending on the operating system setting displayed with the command uname, also insert
one of the following parameters:
/install/os_version/ReliantUNIX-Y=SINIX
(or /install/os_version/ReliantUNIX-M=SINIX)
(or /install/os_version/ReliantUNIX-N=SINIX)
For more information, see the SAP Notes 39473 and 39475.
End of ReliantUNIX
94 April 2001
Making Preparations at the Database Level

Backing Up the Database
Make sure that you can reset the database to the state it had before the upgrade by using an
existing database backup. For a description of the upgrade strategies that you can choose from,
see the section Planning the Upgrade Strategy [Page 20].
SAP DB
We recommend that you make a complete backup of the database before upgrading. You must
back up the log when you isolate the central instance.
Oracle
You can find detailed information about making backups as well as about the programs
brbackup and brarchive in the SAP online documentation on database administration for
Oracle.
As of Source Release 4.0B: Make sure that the statistics are up-to-date for all tables. Out-of-
date statistics can increase the runtime of the upgrade significantly. Proceed as described in the
section Oracle: Actions → Updating Statistics.
End of Oracle
Making Database-Specific Preparations

SAP DB
For the upgrade, change the database parameter MAXUSERTASKS. Change MAXUSERTASKS for
the upgrade so that it is at least 3 larger than the number of started disp+work processes.
Determine the number of started disp+work processes with Transaction SM50.
The changed parameter only becomes active when the database is stopped and started.
User sapr3 needs additional authorizations for updating the statistic values.
Enter the following commands:
grant update on table sysstat.tables to user sapr3
grant update on table sysstat.columns to user sapr3
grant update on table sysstat.indexes to user sapr3
DB2 for OS/390
We recommend that you update the statistics before the upgrade.
The procedure is described in Note 113008.
Oracle
1. Check the value of the parameter shared_pool_size in the file
$ORACLE_HOME/dbs/init<SID>.ora. If the value is lower than 50 MB, increase it to at
least 50 MB and restart the database.
2. Log on as user <sapsid>adm at the operating system level.
April 2001 95
3. Log on to the database as the Oracle user system with sqlplus (default password is
manager).
4. Check the resource quotas of the database user SAPR3:
Oracle error 1536 can occur during the upgrade if the resource quotas of the database
user SAPR3 are limited. Make sure that these quotas are unlimited. Check whether table
DBA_SYS_PRIVS contains one of the following entries:
grantee='SAPR3',privilege='UNLIMITED TABLESPACE',adm='YES'
grantee='SAPR3',privilege='UNLIMITED TABLESPACE',adm='NO'
To do this, enter the following SQLPLUS command:
select * from dba_sys_privs where grantee = 'SAPR3';
If this entry does not exist, enter the SQLPLUS command:
grant unlimited tablespace to sapr3;
5. Log off the database with the command quit.
6. Make sure that the storage parameters MAXEXTENTS and NEXT have the correct values for
certain tables and indexes. Otherwise, they may overflow during the upgrade. Note 201874
contains the tables and the required minimum values.
You can display the current settings with sapdba. The index names are not constant.
However, you can also determine these names with sapdba.
Note 11777 describes how to change the parameters NEXT and MAXEXTENTS.
7. Source Releases 3.0x/3.1x Only:
Make sure that the parameter OPTIMIZER_MODE has the following setting in the Oracle
profile $ORACLE_HOME/dbs/init<SAPSID>.ora:
OPTIMIZER_MODE=RULE
8. For Upgrade Strategy A_on Only:
If you want to leave brarchive running during the upgrade to avoid Archiver Stuck
situations (brarchive -f ...), proceed as follows:
a. Make a temporary copy of brarchive:
cp /usr/sap/<SAPSID>/SYS/exe/run/brarchive /tmp
b. Start brarchive as user ora<sapsid> from the temporary directory:
/tmp/brarchive -f ...
c. After the upgrade, delete the copy of brarchive.
This procedure avoids upgrade errors caused by overwriting the executables during the
upgrade.
9. Check the value of the storage parameter MAXEXTENTS for the tablespace PSAPTEMP. If
you are not sure, execute the script psaptemp.sql as the database administrator. This
script sets the value of MAXEXTENTS for the tablespace PSAPTEMP to UNLIMITED.
The script psaptemp.sql is located in the bin subdirectory of the upgrade directory.
10. If your database version is already higher than the minimum version for the new release, we
recommend that you switch the DBA tools (such as sapdba) for the upgrade.
96 April 2001
The RDBMS CD for the database contains the up-to-date tools that you unpacked on the
current Kernel when you migrated the database. After you execute PREPARE, unpack this
archive again into the subdirectory exe of the upgrade directory.
This overwrites the DBA tools optimized for the minimum required database version with the
tools best suited to your database version.
April 2001 97
Making Preparations at the SAP System Level

As well as the preparations at the operating system level and the database level, you also need
to make preparations at the SAP System level:
• Checking the User for the Upgrade [Page 99]
• Checking Requirements for the Modification Adjustment [Page 100]
• Setting the Operation Mode for the Upgrade [Page 101]
• Processing Batch Input Sessions (Source Release 3.0x/3.1x) [Page 102]
• Converting the Translation Proposal Pool (Source Releases 3.0x/3.1x) [Page 102]
• Backing Up Wage Types in HR (T512W) (HR Customers) [Page 103]
• Printing the Default Values for Document Type and Posting Key (FI Customers) [Page 104]
• Processing Direct Input Error Data (Source Releases 3.0x/3.1x) [Page 105]
98 April 2001
Checking the User for the Upgrade

Prerequisites
You must be able to log on to the system in client 000 as user DDIC. The initial password for
DDIC is 19920706 in a newly installed system.
To perform the modification adjustment, you must log on in the correct client as the user who
performs the modification adjustment using transaction SPDD. This must be a user other than
DDIC. DDIC cannot perform the modification adjustment.
You must perform the modification adjustment during the upgrade in the
ACT_<rel> phase. You cannot use transaction SU01 at this point, because the
system is undefined. This means that you cannot create new users.
User DDIC needs to have the authorization SAP_ALL to be able to perform all the actions
required during the upgrade.
If your system contains the SAP_NEW profile, make sure that the following users are assigned
this profile in addition to their existing profiles:
• DDIC
• SAP*
• The user who performs the modification adjustment with transaction SPDD
If the SAP_NEW profile is not available in your system, we recommend temporarily assigning the
SAP_ALL profile to the user who performs the modification adjustment with transaction SPDD.
Remove this assignment after the upgrade.
Procedure
To make sure that the authorization has been assigned, go to user maintenance.
Choose Tools → Administration → Maintain users → Users, or call transaction SU01.
April 2001 99
Checking Requirements for the Modification Adjustment

If you modified SAP objects in your SAP System, make sure that you meet the requirements for
the modification adjustment.
In particular, make sure that changes to the Repository are allowed in the client in
which you want to perform the modification adjustment. To check this, use
Transaction SCC4.
For more information on the requirements for the modification adjustment, see the documentation
CD for the target release under SAP Library → BC - Basis Components → ABAP Workbench →
BC - Changing the SAP Standard → The Modification Assistant.
If you do not make sure that you have met the requirements for the modification
adjustment, we cannot guarantee complete support during adjustment. In
addition, you might also risk losing the data for ABAP Dictionary objects.
100 April 2001

Setting the Operation Mode for the Upgrade

Use
Various background jobs are started during the upgrade. When you schedule time-dependent
jobs, a check is made to see whether the SAP instance that you want to run them on is defined in
an operation mode. The operation mode specifies which services are offered by the work
processes (dialog, update, background processing, enqueue, spool, and so on).
Prerequisites
No operation modes must contain servers that do not belong to the current system.
Procedure
1. Before starting the upgrade, use Transaction RZ04 to check the definition of your operation
modes. Also check the operation mode DUMMY. In the case of operation mode DUMMY, in
particular, the server name may be entered as <host_name>_<SAPSID>. Change this entry
to <host_name>_<SAPSID>_<instance_number>.
2. Delete the invalid operation modes. If operation modes contain names of servers other than
those belonging to the system, problems may arise in the background interface in some
phases. The jobs may be released, but not set to status active (in theory, this affects all jobs
scheduled to start on a specific server triggered by an event).
3. If the SAP instance on which you want to upgrade the system is not entered in an operation
mode, create the operation mode for the upgrade as follows:
a. Call Transaction RZ04.
b. Choose Operation mode → Create.
Enter a name for the operation mode, for example, Upgrade. Enter a short description and
then save the operation mode.
c. Make sure that the instance required for the upgrade has been started up.
d. Position the cursor on the new operation mode and choose Operation mode → Maintain
instances → Operation mode view.
e. Choose Settings → Based on current status → New instances →=Generate.
All instances and their current configuration appear.
f. Choose Save.
g. Enter the operation mode you have defined as an active operation mode for 24 hours
using Transaction SM63. Select Normal operation (24 hours).
April 2001 101

Processing Batch Input Sessions (Source Releases

3.0x/3.1x)
Use
Due to a change in the data structure, old sessions cannot be processed after the upgrade.
Prerequisites
Your source release is 3.0x or 3.1x.
Procedure
Make sure that you have finished processing all your batch input sessions before the upgrade.
Converting the Translation Proposal Pool (Source

Releases 3.0x/3.1x Only)
Use
If you have a production system for translation in your SAP System, you must convert the
existing proposal pool before upgrading to Release 4.x. If you fail to do so, the existing proposal
pool will be lost.
Prerequisites
Procedure
• Source release lower than 3.1H:
Proceed as described in Note 98752.
• Source release 3.1H:
Use report RSTRMINI for the conversion.
For more information, see the documentation on the report in the system.
102 April 2001

Backing Up Wage Types in HR (T512W) (HR Customers)

Use
We generally recommend backing up wage types table T512W before upgrading. However, in
the following cases, you must back up table T512W:
• You have modified 'technical' wage types, that is wage types beginning with '/' (adjustment of
processing class, evaluation class, and so on).
• You are using SAP model wage types, that is wage types beginning with a letter, and you
have modified these.
• You have defined wage types that are not within the customer name range. To find out if this
applies, check table TRESC by entering T512W as the table name and TABU as the object.
Prerequisites
You use the SAP application component HR (Human Resources).
Procedure
1. Before the upgrade, back up table T512W or selected areas of this table. To do this, use
report RPU12W0S. The documentation on the report includes instructions on how to
proceed.
Table T512W is client-specific. Make sure you back up the data in the correct
client.
2. You can restore your backup copy after the upgrade. To do this, you can use the following
reports:
− RPU12W0C restores selected parts of table T512W. This method is particularly suitable
if you have exact documentation about the wage types you have modified.
− RPU12W0S restores the entire backup or a generically selected area of the table.
April 2001 103

Printing the Default Values for Document Type and

Posting Key (FI Customers)
Use
The default values for document type and posting key, stored for posting transactions with
transaction codes between F-01 and F-99 (such as F-52 Post Incoming Payments), are lost
during the upgrade.
This affects data in the table TSTCP.
Prerequisites
You use the SAP application component FI (Financial Accounting).
Procedure
1. Back up the data before the upgrade by printing out the contents of the table.
To do this, use Transaction SE16. Enter TSTCP as the table name and then choose Enter. In
the field TCODE, enter F-01 to F-99.
2. Reenter the data manually after the upgrade.
To do this, use report RFTSTCP0.
104 April 2001

Processing Direct Input Error Data (Source Releases

3.0x/3.1x)
Use
In Release 4.0 there are changes to the way error data that occurs during the transfer of data by
direct input (material master (industry)) is stored. These changes are primarily intended to ensure
upward compatibility in the future.
As a result, you can no longer use standard functions (direct input administration, program
RMDATINF) to process any error data remaining from a direct input run performed with a 3.x
release. You can display the messages of previous direct input runs after the upgrade to 4.x
using program RMDATINF_3X.
Prerequisites
Procedure
1. Before upgrading to Release 4.x, check if there are any direct input jobs that have terminated
abnormally or that have been completed with logical errors.
2. If jobs of this type exist, recover the errors and run the jobs again.
April 2001 105

The Upgrade
Purpose
The upgrade procedure updates your SAP System from a source release to a target release.
The program R3up controls the complete upgrade from checking that the requirements for the
upgrade are met, right up until the system starts operating productively again. The upgrade
procedure is divided up into a number of different phases with the successful completion of a
phase being in each case a precondition for the success of all subsequent phases. This section
describes all the required user entries and actions, as well as any particularly critical areas. For a
complete list of all phases, see R3up Phase List [Page 225].
In the following, the abbreviation <rel> is used as a synonym for 46C.
Prerequisites
• You must meet the hardware and software requirements, as well as all structural
requirements.
• The program PREPARE has run successfully.
• You have made all manual preparations.
Process Flow
You use the program R3up to upgrade the system. R3up is located on the application server of
the central instance.
If your central instance and database are running on different hosts, you must perform the
actions that affect the database on the database host.
You can use the Upgrade Monitor, the log files and an alert function to monitor the upgrade. The
Upgrade Monitor [Page 242] lets you monitor the upgrade, and helps you recognize any
processes that have exceeded their runtime. R3up logs all actions in the log files [Page 171],
which you can use as the basis of any troubleshooting. You can use the alert function [Page 199]
to gather information if the upgrade has stopped.
Some phases of the upgrade require you to make few user entries, or none at all. User actions
are generally required if problems arise (subdirectories are missing, for example). If an error
occurs, remove the cause of the error and repeat the phase [Page 109] in which it occurred.
Once you have repeated the phase successfully, you can continue the upgrade.
We recommend that you perform the upgrade with the Upgrade Assistant.
During the upgrade, you are prompted to insert a CD when necessary.
An upgrade with R3up requires the following CDs:
• Upgrade CD3 (new Repository)
To avoid having to change CDs, you can enter multiple CD mount points in the phase INITPUT.
This documentation assumes that you only have one CD drive. If you have multiple CD drives,
you can ignore the information on changing CDs.
106 April 2001

Starting the Upgrade

Prerequisites
• This description assumes that you are using the Upgrade Assistant.
If you want or need to use scroll mode, start R3up as described in the section
Executing PREPARE and R3up in Scroll Mode [Page 201].
• You are logged on to the central instance as user <sapsid>adm.
• The server of the Upgrade Assistant is active on the host on which the central instance is
running.
• You have completed the mandatory PREPARE modules.
• No files must have been deleted in the upgrade directory. The deletion of these files could
lead to unpredictable inconsistencies.
• You have made the preparations that are not supported by PREPARE.
Oracle on HP-UX
Depending on whether you have Version HP-UX 10 or HP-UX 11, PREPARE disassembles the
correct SAP Kernel and copies it to the directory put/exe. If you have changed to HP-UX 11
between executing PREPARE and starting the upgrade, then you need to disassemble the SAP
Kernel from the CD again, before you start the upgrade.
Procedure:
1. Mount the CD SAP Kernel.
2. Enter the following command as user <sapsid>adm to switch the directory:
3. Disassemble the SAP Kernel for HP-UX 11 with:
R3up readCD cdpath=<CD mount directory>
End of Oracle on HP-UX
Procedure
1. Start an Upgrade Assistant GUI [Page 68] and log on as administrator.
2. In the main menu, choose Administrator → Start R3up.
R3up displays the initial screen of the upgrade procedure. This screen will appear in each
future restart. It displays the R3up version, the target release, the SAPSID and the database
you use.
3. If the entries are correct, confirm this screen with CONTINUE.
April 2001 107

Stopping the Upgrade

Use
You can stop R3up at the beginning of a specific phase or at the end of a current phase. For
example, you need to do this if a Note tells you to correct a program before you execute it.
Stopping the Upgrade at the End of the Current Phase

• In the main menu of the Upgrade Assistant choose Administrator → Stop R3up after current
phase.
• You can also enter the following command in a second window at the operating system level:
R3up stop
Stopping the Upgrade at the Start of a Phase

Enter the following command in a second window at the operating system level:
R3up stop <phase name>
R3up stop XPRAS_<rel>
108 April 2001

Restarting the Upgrade

Use
Normally, you only need to restart the upgrade if errors occurred or an upgrade phase has
terminated. If a phase terminates, R3up stops and suggests repeating the phase by letting you
choose repeat. If you have exited R3up by choosing exit, other START modes are offered.
You can use the following START modes:
• repeat
When restarting R3up, always use START mode repeat, provided no other procedure is
specified in this guide. Otherwise it is impossible to ensure that all upgrade phases will be
completed correctly.
The START mode repeat leads to the upgrade being continued exactly where it
was terminated. R3up runs through the phase and checks where it needs to
restart. The repeat mode does not necessarily mean that phases are repeated
from the beginning.
• init
If you choose START mode init, the phase in which the upgrade was interrupted is repeated
from the beginning.
• reset
START mode reset enables you to start the upgrade from the beginning again. This is only
possible up to phase SUBSTNT_INS. After this you can restart the upgrade only by resetting
the database.
This mode returns the upgrade to the phase INITPUT. If the system is already in downtime,
it has to be restarted manually once if reset is selected.
Alternatively you can also correct entries with R3up set stdpar or R3up set DDICpwd
(see description of phase INITPUT).
Other START modes can cause errors. SAP must approve their use in each
case.
Prerequisites
• If you restart the upgrade due to an error or a termination during the upgrade, the cause of
the error must be clear and the error must be corrected. For help on analyzing errors, see
Problems and Solutions During the Upgrade. If you are unsure how to proceed, contact SAP
Local Support.
• A password is generally necessary if you want to ignore an error, or jump to a phase other
than the one currently being executed. Before using a password, you should have carried out
a thorough problem analysis and discussed the problems with SAP. Support cannot be
guaranteed if you do not consult SAP. Only in very rare cases does it make sense to bypass
a phase with ignore by entering a password. A large number of cases are known where
ignoring an error resulted in serious inconsistencies, at worst resulting in a database
April 2001 109

recovery. You can ignore errors with repair severe errors in some exceptional cases,
such as in the phases ACT_<rel> and XPRAS_<rel>. Use the Help key in R3up, and the
help offered in Problems and Solutions During the Upgrade to determine the cause of the
error and to correct it.
Procedure if You Have Exited R3up After a Termination

1. After a phase terminates, choose the option repeat.
When you choose repeat, R3up continues the phase at the point at which it terminated. The
system checks if an error can be reproduced. If it cannot be reproduced, the upgrade
continues after the phase is completed. Otherwise the error must be repeated.
2. If an error occurred, choose exit to leave R3up and correct the error.
Procedure if You Have Left R3up by Choosing exit

1. Start the upgrade as described in the section Starting the Upgrade.
2. Choose the START mode repeat.
R3up repeats the terminate phase and continues the upgrade.
110 April 2001

Phase INITPUT
Use
In the Parameter Input PREPARE module you are prompted to enter values for certain system-
specific parameters needed by the upgrade, for example, names, paths and passwords. You can
modify the entries you made in PREPARE in the INITPUT phase.
Activities
At the start of this phase R3up asks you whether you want to change any parameters.
• If you confirm this, you are prompted for all the parameters. If the default values are correct,
confirm with ENTER.
• If you skip this phase and realize in the following phases that you made an incorrect entry,
correct it as described under Correcting Entries from the INITPUT and INITSUBST Phases
[Page 185].
April 2001 111

Phase DBCHK
Use
This phase determines the version of the database and the release of the SAP System. R3up
calls the transport control program tp, which logs on to the database and reads the necessary
information from there. Any problems in this phase are normally due to the database connection
being broken.
Activities
If the error message No information received from the database appears, check the
file SLOG46C in the subdirectory log of the upgrade directory. A frequent source of problems
with tp is an incorrectly configured Change and Transport System.
If this is the case, call Transaction SE06 in the SAP System as user DDIC.
Release 3.x – 4.5B:
1. Go to the initial screen of Transaction SE06, choose New installation as the system status
and select the correct System configuration. Choose Install.
2. Confirm any other dialog boxes with Yes or Continue until the system settings have been
completed. Then exit the transaction.
SE06 is described online. To see the documentation, select Help → Application help in
Transaction SE06. This takes you to the documentation Setting up the Workbench Organizer
and the Transport System. Choose Configuring the Workbench Organizer with Transaction
SE06.
Release 4.6x:
Use Transaction STMS (Transport Management System) to initialize the Change and Transport
System.
For more information, see the TMS online documentation. To access this documentation, choose
Information in Transaction STMS or go to the menu and choose Help → SAP Library → BC -
Basis Components → Change and Transport System → BC - Transport Management System.
112 April 2001

Phase RFCCHK
Use
In this phase, the RFC connection to your SAP System is tested. if you receive an error
message, it may be due to the following reasons:
• Your SAP System has not been started.
• Your SAP System cannot be reached on the gateway you have specified.
Activities
To correct your entries, start R3up again using the following command:
R3up set stdpar
April 2001 113

Phase BATCHCHK
Use
This phase tests whether the background server can access the upgrade directory To do this, the
background job RDDIT008 is started on the specified background server. This job writes a test
log in the tmp subdirectory of the upgrade directory.
Procedure
1. If errors occur, call transaction SM37 to check whether the background job has run.
− If no background job can be started, this is generally due to a problem with the name of
the background server.
i. Check whether the host specified in INITPUT is also in the list with a running
background service.
To do this, perform a test call of the function module TH_SERVER_LIST in
transaction SE37. To display the list, double-click the table parameter LIST after
executing the function module.
ii. Depending on the problem, you either have to change the network configuration or
change the entries made in the INITPUT phase. To change the entries, proceed as
described in Correcting Entries from the INITPUT and INITSUBST Phases [Page
185].
− If the job terminates, use transaction SM21 to check the system log of the SAP System.
− If the job is successfully, however R3up cannot find the log, make sure of the following
i. The file system of the upgrade directory must be mounted on the background server.
ii. The value of the SAP profile parameter DIR_PUT must match the current upgrade
directory.
2. Choose repeat to repeat the phase.
114 April 2001

Phase PATCH_CHK
Use
This phase tests:
• Whether all Support Packages (such as Basis Support Packages) have been confirmed for
the source release Unconfirmed Support Packages are displayed on the screen and in the
PATCHOUT.LOG file in the log subdirectory of the upgrade directory.
• Whether the source release contains Support Packages that are more recent than those in
the delivered target release
The phase PATCH_CHK3 in PREPARE has already made these checks. For more information
about this, see the description of the phase PATCH_CHK3 under Making Entries for the Read CD
Module.
Activities
1. If you still have to confirm Support Packages for the source release, call transaction SPAM
and confirm the Support Packages that are proposed there.
2. If a warning appears that the Support Package version of your source release is too high,
− and you have already included Support Packages in the BIND_PATCH phase of
PREPARE, you can ignore the warning.
− and you have not included any Support Packages in the BIND_PATCH phase of
PREPARE, you will lose data if you continue with the upgrade. In this case, you must
reset the upgrade, repeat PREPARE, and include the necessary Support Packages.
April 2001 115

Phases INTCHK and INTCHK_SW

Use
This phase checks if the inactive nametab is empty An error is returned if it is not empty.
Activities
1. To determine the objects that are affected, display the log file DDXTTCHK.LOG.
2. Activate these objects with Transaction SE11.
The inactive nametab is then empty.
3. Call R3up again using repeat.
Phase KEY_CHK
Use
This phase prompts you for the keyword specified in the current Upgrade Note.
Activities
If you have not already done so, request the most recent Notes now. The Notes are continually
being updated. For a list of the Notes you require for the upgrade, see Notes for the Upgrade
[Page 40].
If you use SAP add-on components in your system (such as IS components), you will also be
prompted for other keywords. SAP Systems which have other software components (add-ons)
installed must wait until the upgrade has been released by the relevant add-on software vendor.
116 April 2001

Phase INITSUBST
Use
You must specify the following in this phase:
• The upgrade strategy
• The number of parallel processes available to import the substitution set
• The number of parallel background processes
• The number of parallel tp processes during the PCON_<rel> phase (DB2 for OS390)
Activities
• Upgrade strategy
Choose one of the strategies described under Planning the Upgrade Strategy: A_switch,
A_on, or A_off.
If you answer the prompt define upgrade stop with yes, you are also asked to specify
the time at which you want to restart production operation of your system. Enter a realistic
value here. At the earliest, you can resume production from the PRODCHK_<rel> phase
once the SAP System has been stopped (see also Planning the Upgrade).
• If you decide to use A_on or A_switch, the system now prompts you to enter your runtime for
the total import of the substitution set.
For information on how to choose the runtime, see Planning the Upgrade Strategy.
DB2 for OS/390
Note that DB2 logging is always activated. Your upgrade strategy does not influence
logging.
• If you decide to use A_off, you are asked for the number of parallel processes for importing
the substitution set.
SAP DB
The number of parallel R3load processes you choose depends on a number of factors. For
the most up-to-date recommendations, see SAP Note 46430.
We recommend three parallel R3load processes.
DB2 for OS/390
We recommend ten parallel R3load processes.
Informix
The number of parallel R3load processes you choose depends on your upgrade strategy
and hardware. We recommend between two and five parallel processes.
Oracle
This prompt does not appear in Oracle and MS SQL Server.
April 2001 117


• The number of parallel background processes
During downtime, the SAP System is started with a modified number of background
processes so that operations can be processed in parallel. The central instance profile is
modified temporarily. For hosts with up to 128 MB choose two background processes, for
hosts with up to 256 MB choose three background processes, and for hosts with more than
256 MB, choose four background processes.
DB2 for OS/390
• Number of parallel tp processes in the NEWTAB_CRE phase
You have the option of specifying the number of tp processes in the NEWTAB_CRE phase.
We recommend ten tp processes.
• The number of parallel tp processes during the PCON_<Rel> phase
You are asked if you want to use multiple parallel tp processes in the PCON_<rel> phase.
This function reduces the runtime in the PCON_<rel> phase.
We recommend six parallel tp processes.
Note that deadlocks may occur if you use multiple tp processes. These deadlocks appear in
the ICLI error log and in the MVS system log, however the upgrade process deals with them
by repeating a follow-up process.
• Creating indexes with the DEFER YES option
In the PCON_REL phase you can create indexes with the DEFER YES option.
Only use this option for indexes on large tables, otherwise you will not improve the runtime.
The upgrade tool sets up the indexes again in the STOPR3_IREL phase. If you want to
create indexes with the DEFER YES option, you are prompted to enter the table size from
which you want to use this option.
If you realize in the following phases that you made an incorrect entry, correct it as described
under Correcting Entries from the INITPUT and INITSUBST Phases [Page 185].
118 April 2001

Phase CONFCHK_X
Use
This target release is released for certain combinations of operating system and database
versions only. This phase checks that the operating system and database versions installed on
your computer satisfy the requirements for the upgrade.
Activities
If the system determines that the operating system must be upgraded to a new version, you can
interrupt R3up at this point.
Do not make any changes in the upgrade directory.
Phase VIEWCHK1
Use
This phase displays conflicts between customer tables in the SAP namespace and views that are
newly delivered. It also writes this information to the VIEWCHK1.LOG file.
Activities
You can ignore the messages at this point. You must, however, rename or delete the tables in
the VIEWCHK2 phase at the latest. First save any data that you need in these tables.
April 2001 119

Phase REPACHK1
Use
This phase displays all repairs and requests containing objects locked by SAP, and writes them
to the file REPACHK1.LOG.
Activities
You can ignore the messages at this point. These objects must be released and the repairs
confirmed at the latest by phase REPACHK2.
Phase JOB_RSVBCHCK2
Use
The upgrade stops in this phase with an error message if there are any outstanding or
incomplete updates.
Activities
If errors occur in this phase and you have not yet resumed production operation, you can bypass
these errors with ignore without entering a password. However, we recommend checking for
outstanding updates and cleaning them up. For more information, see Evaluating the Results of
PREPARE. The PREPARE message is:
Update records still exist - Please process
120 April 2001

Phase JOB_RSVBCHCK3
Use
If there are any outstanding or incomplete updates, the upgrade stops in this phase.
Activities
In this phase you must clear or complete any outstanding updates. Proceed as follows:
1. Make sure that the release for all background jobs was canceled, except for RDDIMPDP.
(See Isolating the Central Instance.)
2. Clear the outstanding updates as described in Analyzing Results from PREPARE.
The PREPARE message is:
Update records still exist - Please process
3. Repeat this phase.
April 2001 121

Phase SPACECHK_ALL
Use
This release requires more space in the database than the previous releases. This phase
compares the freespace currently available in the database with the minimum requirements for
the total amount of data to be imported. If more space is required in the database, this is shown
on screen and in the file DBFPLUSD.LOG.
Activities
The section Evaluating the Results of PREPARE contains a description of the procedure, since
PREPARE already made these checks earlier. The corresponding PREPARE message in
CHECKS.LOG is as follows:
Insufficient freespace in the database as follows
SAP DB
• The database parameter MAXLOCKS is checked for the minimum SAP operational
requirements.
• The connect information ISOLEVEL and TIMEOUT is checked for the value 0.
• You can change these database parameters with the SAP DB tool xcontrol. The changed
parameters only become active when the database has been stopped and started. You can
change the connect information with the SAP DB tool xuser.
As of Release 3.0D, the SAP System cannot be started without the minimum setting of
MAXLOCKS, ISOLEVEL and TIMEOUT.
DB2 for OS/390
The required actions for the SPACECHK phases are described in the section Making Entries for
the Initialization Module.
122 April 2001

Phase FREECHK_X
Use
This phase checks to see if there is enough free space in the upgrade directory for the logs
written during the upgrade. You must have enough free space in the log directory so that the
upgrade can run without errors.
During downtime, the SAP Kernel is switched in the Kernel directory
/usr/sap/<SAPSID>/SYS/exe/run. This phase also compares the free disk space in the
Kernel directory with the space requirements of the new SAP Kernel.
Activities
At this point, make sure that you are able to restore the old Kernel, if this becomes necessary.
All files and subdirectories in /usr/sap/<SAPSID>/SYS/exe/run are

overwritten during the upgrade when the kernel is switched. For more information,
see the PREPARE log CHECKS.LOG.
April 2001 123

Phase LOCKEU_PRE
Use
If you have chosen the upgrade strategy A_switch or A_on, R3up asks you in this phase if you
want the ABAP Workbench to be locked on all SAP instances now or in the phase REPACHK2.
This lock is needed to prevent development objects (for example, ABAP reports, table definitions,
and so on) from being changed during the upgrade, since such modifications would be lost.
Activities
If you have chosen strategy A_switch or A_on, you can continue to use your SAP System
productively. If you want to do this, you must confirm that the ABAP Workbench can be locked.
If you confirm the lock now:
• R3up does not stop in phase REPACHK2 to allow you to confirm the lock on the Workbench.
This increases the time in which R3up does not need user input after the last change of CD
(EU_IMPORT5 phase).
• You may not perform any more transports into or out of the SAP System.
• R3up waits after input until the time entered in the INITPUT phase as the maximum
synchronization time for all the instances has expired (see Phase INITPUT).
124 April 2001

Phase EU_IMPORT0
Use
At the start of this phase, the upgrade control program R3up stops and waits for user input.
Activities
If you have chosen upgrade strategy A_off, you are prompted at the beginning of this phase to
do the following:
• Isolate the central instance. For a description of this, see Isolating the Central Instance.
• Verify that you can recover the database to its current state at this point.
• Disable the ability of the database to continually recover data. See also Changing the
Database Recovery Mode.
If you called transaction ICNV when you prepared the upgrade, R3up checks whether you have
already converted the recommended percentage of the selected data (see Incremental Table
Conversion [Page 30]). R3up informs you if you have not. If you ignore the information from
R3up, the rest of the data is converted in the conventional manner during downtime. For details
on the status of the incremental conversion, call transaction ICNV.
Then confirm that you want to continue with the upgrade.
April 2001 125

Phase EU_IMPORT4
Use
The runtime for this phase is approximately 30 minutes to an hour for upgrade strategy A_off.
For strategies A_on and A_switch, the expected runtime is computed from the total time you
specified for the import less the time computed in EU_IMPORT2.
Phase EU_IMPORT5
Use
At the beginning of the this phase, you are prompted to change the CD. If you
miss this prompt, your time schedule could be seriously disrupted.
The majority of the substitution set is imported directly from CD-ROM into the database during
this phase.
SAP DB and DB2 Universal Database
The statistics for newly imported tables are updated automatically.
The runtime of this phase is approximately 3 to 4 hours for upgrade strategy A_off.
For strategies A_on and A_switch, the expected runtime is made up of the total time you
specified for the import, less the time taken up by EU_IMPORT2, EU_IMPORT3 and
EU_IMPORT4.
126 April 2001

Phase REPACHK2
Use
In this phase, all the repairs and corrections that are not released are displayed on the screen
and written in file REPACHK2.LOG.
Activities
• Before you continue with the upgrade, you have to release and confirm all the open repairs;
otherwise the objects in them are locked. For a description of this procedure, see Releasing
and Confirming Open Repairs and Requests [Page 208].
If you ignore open repairs, you could lose modifications.

Once you have released and confirmed all the open repairs, you must repeat phase
REPACHK2. Any modifications made to SAP objects in your repairs might be overwritten
during the upgrade.
For information on modifications are copied to the new SAP standard during the upgrade,
see the documentation CD for the target release, under: SAP Library →=Basis Components
→ =ABAP Workbench → Changing the SAP Standard →The Modification Assistant.
• Upgrade strategies A_switch or A_on: If you did not confirm locking of the ABAP
Workbench in the phase LOCKEU_PRE, you must do so now.
After confirming locking of the ABAP Workbench, no further transports can enter
or leave the SAP System.
After you have made your entry, R3up waits until the time entered in phase INITPUT as the
maximum synchronization time for all instances has expired (see phase INITPUT).
In this phase, all the repairs which are still in open transport requests are displayed. They are
also written in the file REPACHK2.LOG. To be able to continue, you have to release these
transport requests, otherwise the objects contained in the repairs are locked.
April 2001 127

Phase CNV_CHK_XT
Use
This phase checks if the following still exist:
• Conversion requests that have not yet been processed
• Restart logs
Activities
If you encounter errors, proceed as described under Cleaning Up Terminated Conversions in the
DB Conversion Phases [Page 179].
128 April 2001

Phase TRBATCHK_XT
Use
The tp program uses table TRBAT to communicate with the SAP System. If this table contains
entries, they could be the remains of an import or export that either terminated abnormally or is
still running. PREPARE already made this check.
Activities
For information on cleaning up the table TRBAT, see Analyzing Results from PREPARE. The
PREPARE messages are:
Unresolved request found in TRBAT.
...
TRBAT entry indicates that a batch job is running.
...
TRBAT entry indicates that a batch job has finished.
...
Corrupted TRBAT entry found.
...
April 2001 129

Phase RUN_RDDIT006
Use
This phase determines the set of objects that needs to be copied to the new Repository tables.
This mainly includes generated objects, modified objects that are not delivered, and your own
developments.
Prerequisites
The RUN_RDDIT006 phase ends with an error message stating that the central Basis tables have
been modified. These modifications cannot be retained during the upgrade, since the structure of
these tables must be adjusted to the target release before the SAP System can be started with
the target release for the first time. If the modifications are retained, the SAP System might be
unable to run with the target release.
Procedure
1. You cannot adjust modifications at this stage of the upgrade. Use transaction SE11 to check
which table types are affected.
− If the tables are structures, no data is lost. If necessary, you can adjust and retain the
modifications later in transaction SPDD.
− If the tables are database tables, data might be lost if the table structures were modified.
For more information, see SAP Note 33888. If you have any questions, contact SAP
Local Support.
2. Back up any contents of the table, skip the error message with ignore, and continue with the
upgrade.
You can only skip the error message by choosing ignore. This resets the
modifications to the standard SAP version, at least temporarily.
130 April 2001

Phase ADJUSTCHK
Use
If you chose to copy a request in the ADJUSTPRP phase, the modifications it contains are now
compared with the modifications in the system. The result of this comparison appears.
Activities
You are prompted to confirm the copying of the request. If this request contains all the
modifications found in the system, R3up does not stop before the activation of the ABAP
Dictionary objects. However, you can still specify that you want R3up to stop in this phase.
Phase VIEWCHK2
Use
This phase displays conflicts between customer tables in the SAP name range and views
delivered for the first time. It also makes an entry in the file VIEWCHK2.LOG.
Activities
You have to delete these customer tables now, at the latest. If the tables are transparent, you
can use R3up for this. Pooled or cluster tables must be deleted manually in the SAP System. If
you still need the data in these tables, you have to save it first.
April 2001 131

Phase MODPROF_TRANS
Use
The R3up program stops the SAP System in this phase and modifies the instance profile for the
duration of the upgrade. R3up prompts you to perform several activities, depending on your
database and the upgrade strategy you have chosen.
Activities
If you chose upgrade strategy A_on or A_switch:
• Make sure of the following
− All production work in the SAP System is stopped and no users are logged on to the SAP
System.
− Isolate the central instance as described under Isolating the Central Instance.
− All secondary application servers are shut down.
• If you called transaction ICNV when you prepared the upgrade, R3up checks whether you
have already converted the recommended percentage of the selected data (see Incremental
Table Conversion [Page 30]). R3up informs you if you have not. If you ignore the information
from R3up, the rest of the data is converted in the conventional manner during downtime. For
details on the status of the incremental conversion, call transaction ICNV.
• If you chose the upgrade strategy A_switch, also make sure that you have switched off the
capability of the database to continually restore data.
DB2 for OS/390
If you use DB2 for OS/390, you are not prompted to do this.
So that you can recover your SAP System after errors, perform the following
actions:
Strategy A_switch: Make sure that you can recover the database to its current
state.
All upgrade strategies: Back up the upgrade directory now, so that you can reset
the upgrade to this state at a later point.
Result
Once you have completed and confirmed all the activities, R3up automatically shuts down the
central instance and modifies the instance profile in directory /usr/sap/<SID>/SYS/profile
(UNIX) or \usr\sap\<SAPSID>\SYS\profile (Windows NT) for the duration of the upgrade.
All changes to the profile are written to the ALPXPOOL.LOG file.
If you want to use transaction RZ10 to adjust the instance profile during the
upgrade, start by reimporting the current version of the profile into your system.
If you do not do this, the changes made by the upgrade are reset, which can
cause the upgrade to stop running.
132 April 2001

Phase ENVCHK
Use
This phase tests the environment of the user <sapsid>adm. If you replace the profiles of this
user you also prevent an obsolete user environment from causing problems during the upgrade.
The environment files previously used are copied to <upgrade directory>/exe/INSTALL
before being overwritten.
The following files are changed:
.dbenv_<host name>.csh
.dbenv_<host name>.sh
.sapenv_<host name>.csh
.sapenv_<host name>.sh
startsap_<host name>_<instance number>
stopsap_<host name>_<instance number>
Activities
If you made changes to the environment of the user <sapsid>adm they are no longer active after
the upgrade.
1. Make the changes again if this is the case.
Do not copy back the environment files that were saved to <upgrade
directory>/exe/INSTALL. This can lead to incorrect settings being made.
2. If other application servers exist, copy the files listed above, and the change you have made
to the environment of user <sapsid>adm to these servers.
April 2001 133

Phase ACT_<rel>
Use
Depending on the results of the phase ADJUSTCHK, you may be asked at the beginning of this
phase to adjust your modifications to SAP objects so that they correspond to the new SAP
standard version of the objects.
Activities
Do not attempt to import adjustment transport requests into the system manually
in this phase. This leads to the loss of data in customer fields.
Any requests for automatic adjustment from previous upgrades can be included in
this upgrade in the PREPARE phase ADJUSTPRP only.
You must make adjustments at this point if you have made structural changes to tables,
otherwise data may be lost. Otherwise, data will be lost.
1. In R3up, confirm that you want to temporarily revoke the lock on logging on to the SAP
System to allow a normal user logon for the purposes of modification adjustment.
You cannot create any new users in Transaction SU01 at this point, because the
system is undefined. If you want to create a user for the adjustment at this point,
use the report program UPGADDUSR. You still need the authorization for
creating users.
UPGADDUSER creates the adjustment user upg_tmp_user with the password
init in the client where you run the report. This user is valid for a week.
2. Use Transaction SPDD to determine the ABAP Dictionary objects that need to be adjusted.
For more information on this transaction, see the documentation CD under Help → SAP
Library → Basis Components → ABAP Workbench → BC - Changing the SAP Standard →
The Modification Assistant → Upgrade Procedure/R/3 Support Packages → Adjusting ABAP
Dictionary Objects.
If errors are reported when you activate your own developments after executing this phase, you
can correct these here, since R3up stops when errors occur. However, you also have the option
of choosing ignore to temporarily ignore these errors. You do not need a password to do this. If
you chose ignore here, you have to activate these objects after the upgrade.
If you are prompted for a password anyway, this means that the activation has been terminated
and you must not continue with the next phase. You first have to remove the cause of the
termination.
134 April 2001

Continuing the Upgrade After Phase

PRODCHK_<rel>
Use
Up to the PRODCHK_<rel> phase, R3up does not expect any further user entries unless an error
occurs. After the PRODCHK_<rel> phase, the way the upgrade proceeds depends on the
strategy you have chosen.
Procedure
Strategy A_on
R3up stops the upgrade if you entered the latest time at which you want to start production, and
this time would be exceeded if you executed the next phase. Now you can either enter a new
time at which you want R3up to stop again, or you can switch over to production immediately.
If you decided to start production operation again now, R3up does the following:
• It displays the P errors.
For more information on P errors, see Phase CHK_POSTUP [Page 136].
• It prompts you to switch the database back to recovery mode.
• It recreates the status of the system profiles before the upgrade.
• It starts up the SAP System for the last time.
• It prompts you to start the secondary application servers.
You can then use your SAP System for production again or begin the post-upgrade activities.
If you did not specify a time, the procedure described above occurs in the phases
MODPROFP_<rel>, STARTR3_P<rel> and CHK_POSTUP.
Strategies A_switch and A_off

R3up stops the upgrade if you entered the latest time at which you want to start production, and
this time would be exceeded if you executed the next phase. Now you can either enter a new
time at which you want R3up to stop again, or you can start a database backup immediately so
that you can switch to production operation again afterwards.
In the second case, R3up displays the P errors (see Phase CHK_POSTUP [Page 136]), stops
the system for the last time and recreates the status of the system profiles before the upgrade.
You are prompted to switch the database back to recovery mode and to create a complete
backup of your database. You then have to start the secondary application servers.
You can then use your system for production again or begin the post-upgrade activities.
If you did not specify a time, the procedure described above occurs in the phases
MODPROFP_<rel>, STARTR3_P<rel> and CHK_POSTUP.
April 2001 135

Phase CHK_POSTUP
Use
You can remove some of the problems that occur during an upgrade after you complete the
upgrade. This type of problem is indicated by a P in the second column of the .ELG logs. R3up
displays a complete list of these P-messages in this phase. You must usually remove the cause
of these problems before you start using SAP applications again.
Some of the secondary indexes may not have been created because they were
not unique. Use the ABAP Dictionary tools (Transaction SE14) to create these
indexes in the database.
Activities
To remove errors, proceed as described in the long text of the message.
Any messages that you do not handle immediately need to be handled at the next possible
opportunity.
136 April 2001

Post-Upgrade Activities
Purpose
This section tells you how to complete and check the upgrade. We recommend completing the
actions in the order given.
You can use the System Administration Assistant to help you with the post-
upgrade activities. The System Administration Assistant is a program in the SAP
System that, among other things, lists the post-upgrade activities for each
platform. For certain actions, it only displays documentation. Depending on the
actions, you can start transactions directly from the System Administration
Assistant.
You start the System Administration Assistant by executing Transaction SSAA.
You can get more information online in the system. The prerequisite for this is that you have the
current online documentation installed. Then in the initial screen of the System Administration
Assistant choose System Administration Assistant → Display. In the following screen, click the
help button (? icon) for help on the System Administration Assistant.
Prerequisites
You have reached at least the PRODCHK_<Rel> phase of the upgrade.
Process Flow
You must perform some of the actions before you start operating the system productively again
[Page 138], such as executing the script saproot.sh. Some actions can wait until you have
started operating the system productively [Page 152], or until the next upgrade, such as
subsequent processing of table clusters (for Source Releases 3.0x and 3.1x).
April 2001 137

Actions Before Starting Production Operation

R3up stops at the latest in the phase MODPROFP_<rel> so that you can begin early with the
post-upgrade activities. R3up then executes the last phases and completes the upgrade. At the
same time you can perform the post-upgrade activities specified by R3up. Then perform the
following actions:
• Executing the Script saproot.sh [Page 139]
• SAP DB: Backing Up the Database [Page 141]
• DB2 Universal Database [Page 142]
• DB2 for OS/390: Preparations [Page 145]
• Informix: Preparations [Page 146]
• Oracle: Preparations [Page 147]
• Distributing SAP Programs [Page 149]
• Renaming the Local System Log (For Source Releases 3.0x/3.1x Only) [Page 150]
• Checking the Profile Parameters with Transaction RZ10 [Page 151]
You can start operating the system again productively after these actions.
138 April 2001

Executing the Script saproot.sh

Use
After the upgrade, you need to make a number of adjustments. You need the authorizations of
the user root to do this.
Procedure
DB2 for OS/390, Informix, Oracle, SAP DB
1. Execute the following commands:
su - root
cd <upgrade_directory>/exe
./saproot.sh <SAPSID>
exit
2. Start up the system with stopsap and startsap.
For source releases lower than 4.6A only:
A new user group concept has been introduced in Release 4.6A that makes it easier to separate
user authorizations when you operate multiple SAP Systems on a single host. The old groups
sysadm and sysctrl must be replaced by the new groups db<sapsid>adm and
db<sapsid>ctl.
To do this, create the two new groups db<sapsid>adm and db<sapsid>ctl before you
execute the script saproot.sh, and change the assignments of the following users as follows:
New User Group Concept
Old New
User Primary Group Secondary Primary Group Secondary Group
Group
db2<sapsid> sysadm db<sapsid>ad sysadm
m
<sapsid>adm sapsys sysctrl sapsys db<sapsid>ctl
db2as db2asgrp sysadm db2asgrp db<sapsid>adm-
groups for all
sapsids on the
database host
Change the group access authorizations as follows:

1. Log on to the database server and all application servers as user root.
2. Execute the following command:
April 2001 139

find /db2/<SAPSID> \! -type l -group sysadm -print | xargs chgrp

db<sapsid>adm
3. Execute the script saproot.sh on the database server afterwards, since it needs the new
groups.
For all source releases:
The script saproot.sh performs additional database-specific actions (for example, it adapts the
database manager configuration to the new groups).
The script requires the environment variables of user <sapsid>adm. Proceed as follows:
2. Execute the following command:
su root (not su - root)
3. Execute the following commands:
cd <upgrade_directory>/exe
./saproot.sh <SAPSID>
exit
4. Start up the system with stopsap and startsap.
140 April 2001

SAP DB: Backing Up the Database

SAP DB
Prerequisites
You have not started to operate the system productively.
Procedure
1. Stop the SAP System as user <sapsid>adm with:
stopsap r3
Note that you have to stop and restart the database.

2. Give the database parameter the value it had before the upgrade.
3. This step depends on the chosen upgrade strategy:
a. Strategies A_off and A_switch:
Since the log mode is reset to the original value after the upgrade, you must back up the
database completely (in operating mode COLD) before you can start the system again
productively.
b. Strategy A_on:
We recommend making a complete backup so that you do not have to upgrade all the
logs again in case of a recovery.
Instead of a complete backup, you can perform an incremental online backup (save
updated pages). This type of backup has the advantage that a recovery is significantly
faster.
4. Start the SAP System as user <sapsid>adm with:
startsap r3
End of SAP DB
April 2001 141


Prerequisites
Installing and Updating the DB2 Administration Tools

You can install the administration tools in the following steps:
• Installation of the administration frontend
Install the new administration frontend as described in the BC R/3 Database Guide: DB2
Universal Database.
You can install the frontend either during or after the upgrade. These functions are available
only after you execute the script saproot.sh.
• Creation/update of the administration database
To store administration data (for example for log file handling), data is stored on the database
server under the SAP database instance in the SAP database and in an additional
administration database. The administration database has the name ADM<SAPSID> and is
needed to store data while the SAP database is not available (for example during a backup).
Log on as user <sapsid>adm and change to the user root with su root (not su -
root).
Execute the following command (depending on your source release):
Source Releases 3.0x/3.1x:
sddb6ins -s <SAPSID> -u 31I 46C
Source Release >= 4.0B:
sddb6ins -s <SAPSID> -u <Start-Release> 46C
This creates the database ADM<SAPSID> with standard contents, if it does not yet exist.
Otherwise, the database objects are adjusted to the new release in this database.
sddb6ins exchanges the program userexit that is responsible for saving log files in the
log archive directory. The program userexit logs its actions in the database
ADM<SAPSID>.
As of Release 4.0A, administration tools such as brarchive, brrestore and userexit
do not log their actions at the file system level anymore. Instead, they log the actions in the
database ADM<SAPSID>. This means that after the program userexit is substituted, you
must use the old program brarchive to manually back up all the log files that have been
created up to this point (for source releases smaller than 4.0A).
You can find the old program brarchive on the CD SAP KERNEL under the following
name:
<CD mount directory>/UNIX/AIX_32/BRARCH31
Activating Log Archiving
142 April 2001

If you did not reactivate log archiving for the database with R3up, you must convert the database
parameters LOGRETAIN and USEREXIT.
To do this, enter the following commands in the DB2 command line:
db2 update db cfg using LOGRETAIN ON
db2 update db cfg using USEREXIT ON
You must then perform a complete database backup before DB2 permits new
database connections.
Now back up the database completely.
Deleting Substitution Tablespaces

After the upgrade, a number of tablespaces are no longer used and you can delete them. These
are always the following tablespaces for a Repository switch:
PSAPES<source release>D
PSAPES<source release>I
PSAPEL<source release>D
PSAPEL<source release>I
where <source release> is the source release for the current upgrade.
To delete a tablespace, enter the following command in the operating system:
db2 drop tablespace <Tablespace_name>
DB2 checks if there are still database objects in the specified tablespace before executing this
command. If there are, the command is not executed.
Perform an Update Statistics

Proceed as follows:
1. Log on to the SAP System.
You require the authorizations for database administration and background jobs.
2. Start Transaction DB13 (planning calendar) or choose
Tools → CCMS → DB Administration → DBA scheduling
3. Open the dialog box with the actions which you can schedule by double-clicking on the
current day.
4. Select the action Upd. Statistics + Reorgcheck all tables
5. Choose Start immediately.
Confirm the following dialog boxes to start the job in the background.
Runstat_all has been scheduled for the current day and started immediately.
The time required to update statistics depends on the size of the database. You
need about an hour for a database of 2 GB.
April 2001 143

6. Check the status of the job with the Job logs option for the current day.
Scheduling Update Statistics Jobs

To schedule update statistics jobs:
You require the authorizations for database administration and background jobs.
2. Start Transaction DB13 or choose:
Tools → CCMS → DB Administration → DBA scheduling
3. In the menu, choose Planning → Planning pattern.
Several defined database actions are shown here.
4. Choose the following action:
Check Step, Upd.Statistics + Reorg. check on DBSTATC (daily)
Enter a start time (if possible, when the system is available but the system load is low) and
confirm the subsequent steps.
5. Choose the following action:
Upd. Statistics & Reorgcheck all tables (Sun.weekly)
Enter a start time and confirm the subsequent steps.
End of DB2 Universal Database
144 April 2001

DB2 for OS/390: Preparations

DB2 for OS/390
Prerequisites

Perform a complete backup of the database.
Reorganizing the Database

Reorganizing the database at this point in time is optional. Only reorganize now if you have
enough time. Otherwise reorganize the database according to the usual cycle.
SAP recommends that you reorganize any tablespaces and indexes that you find with the
following SQL statements.
The following two queries specify which tablespaces might need to be reorganized. The first
query checks for overflow conditions or space being filled by dropped tables. The second query
checks for rows that are out of sequence.
SELECT DBNAME, TSNAME, CARD, (NEARINDREF + FARINDREF) * 100 / CARD,
PERCDROP
FROM SYSIBM.SYSTABLEPART
WHERE ((CARD > 0 AND (NEARINDREF + FARINDREF) * 100 / CARD > 10)
OR PERCDROP > 10)
SELECT IXNAME, IXCREATOR, CARD, (NEAROFFPOS + FAROFFPOS) * 100 / CARD
FROM SYSIBM.SYSINDEXPART
WHERE (CARD > 0 AND (NEAROFFPOS + FAROFFPOS) * 100 / CARD > 10)
The following query specifies indexes that might need to be reorganized. It searches for leaf
pages that are not close together. These pages cannot benefit from sequential prefetch.
SELECT IXNAME, IXCREATOR
FROM SYSIBM.SYSINDEXPART
WHERE LEAFDIST > 200;
Performing an Update Statistics (RUNSTATS)

The system does not update statistics automatically. We strongly recommend that you perform
RUNSTATS on all tablespaces. For information on how to update the statistics, see SAP Note
113008.
Switching the ICLI Server

At the start of production operation (at the latest in the MODPROFP_<Rel> phase) you are
prompted to stop the ICLI server of the source release, which uses the port indicated by the
service entry sapdb2<SAPSID>, and replace it with a target release ICLI server.
April 2001 145

Informix: Preparations
Informix
Prerequisites
Deleting dbspaces
The dbspaces psapes<sourcerel> and psapel<sourcerel> (<sourcerel> stands for the source
release for this upgrade) are empty after the upgrade. This means that you can delete them.
Proceed as follows:
1. First check that the dbspaces really are empty. To do this, start dbaccess as user
informix and enter the following SQL command:
select count(*) from systables where dbinfo('DBSPACE',partnum)
= '<dbspace-name>'
and partnum != 0;
count(*) = 0 should be the result.
2. Execute this command for both of the dbspaces that you want to delete.
3. To delete the dbspaces use the database tool onspaces as follows:
onspaces -d <dbspace-name>
Before you can use the space freed by deleting the dbspaces, you must make a
level 0 database backup.
There are two different procedures when you back up the database, depending on whether you
have operated the database during the upgrade with the backup mode activated or deactivated.
Backup: Database Was Operated with Backup Mode Activated
Since the amount of logical log files increased during the upgrade, make another complete offline
or online backup of the database immediately. Otherwise restoring the database may be very
time-consuming.
Backup: Database Was Operated with Backup Mode Deactivated
Reactivate the backup mode, and then create a complete backup of the database. You must
make this backup offline.
End of Informix
146 April 2001

Oracle: Preparations
Oracle
Prerequisites
Creating and Updating the SAPDBA Role

To ensure the security of your system, only the user ora<sapsid> can have DBA authorization
in Release 4.x. You have already performed most of the required manual changes when you
migrated Oracle to Version 8.0 (see the guide Migration/Upgrade to Oracle Version 8.0.x: UNIX).
The upgrade imports additional objects which have to be adjusted. This means that you must
execute the SQL script sapdba_role.sql again.
Proceed as follows:
1. Log on as user ora<sapsid> at the UNIX level.
2. Start the SQL script with:
cd $ORACLE_HOME/dbs
cp /usr/sap/<SAPSID>/SYS/exe/run/sapdba_role.sql sapdba_role.sql
sqlplus internal @sapdba_role <SAPSID> UNIX
You can ignore the following error message, if it appears:

Error accessing PRODUCT_USER_PROFILE
Warning: Product user profile information not loaded!
You may need to run PUBLD.SQL as SYSTEM.
Checking the Environment Variables for the Program sapdba

Using the following information on the documentation CD, check whether all the environment
variables have been set correctly for sapdba at the UNIX level:
SAP Library → Basis Components → Database Interface/Database Platforms → Database
Administration (Oracle) with SAPDBA →=Using SAPDBA → Configuring SAPDBA →
Environment Variables (UNIX).
Adding New Parameters to the Profile init<DBSID>.sap (For Source

Releases Lower than 4.5A)
New parameters are used for in Release 4.5 for creating backups with brbackup, brarchive
and brrestore. If you want to use the new functions of these programs, you must use an editor
to enter these parameters in the profile $ORACLE_HOME/dbs/init<DBSID>.sap.
If you make backups to a remote tape device (backup_dev_type = pipe pipe_auto
pipe_box), replace the parameter read_fifo_cmd (no longer supported as of Release 4.5A)
with the following parameters:
remote_host = <remote_host_name>
remote_user = <remote_user_name>
April 2001 147

For detailed information, see the documentation CD for the target release under SAP Library
→=Basis Components → Database Interface/Database Platforms → Database Administration
(Oracle) with SAPDBA →==New Features in SAP R/3 Release 4.5 → BRBACKUP, BRARCHIVE
and BRRESTORE.
Adding a New Parameter to the Profile init<DBSID>.ora (For Source

Releases Lower than 4.5A)
So that you can use the Oracle Recovery Manager (RMAN) with brbackup, add the following
new parameter to the profile init<DBSID>.ora:
control_file_record_keep_time = 30

The procedure for backing up the database depends on the mode with which you operated the
database during the upgrade.
Backup: Database Was Operated in NOARCHIVELOG Mode
Activate ARCHIVELOG mode again and create a complete backup of the database. This must be
done as an offline backup.
Proceed as follows:
1. Stop your SAP System as user <sapsid>adm with:
stopsap r3
2. Activate ARCHIVELOG mode again with sapdba. You can find instructions on doing this
under Changing the Database Recovery Mode [Page 205]. This stops and starts up the
database again.
3. Start the offline backup of the database with the program brbackup.
4. When you have made the backup, you can start up your SAP System again as
<sapsid>adm with startsap r3 and continue working.
You can find more information about offline backups and brbackup in the SAP online
documentation on database administration for Oracle.
Backup: Database Was Operated in ARCHIVELOG Mode
Since a large number of archives were produced during the upgrade, make a complete offline or
online backup of the database as quickly as possible. Otherwise restoring the database may be
very time-consuming.
End of Oracle
148 April 2001

Distributing SAP Programs

Use
If your SAP System has multiple application servers and you do not use NFS to share the kernel
directory of the central instance, you have to distribute the programs in directory
/usr/sap/<SAPSID>/SYS/exe/run to all servers. You can copy the programs directly from
the CD SAP Kernel to the target directory of the application server with R3up.
Procedure
1. Shut down the application server.
2. Mount the CD.
3. Start R3up directly from CD with:
/<CD mount directory>/UNIX/<OS>/R3UP readkernel
Replace <CD mount directory> with the mount directory of the CD and <OS> with one of
the following: AIX_32, AIX_64, DEC_64, HP10_32, HP11_32, HP11_64, RLX_32, RLX_64,
SUNOS_32 or LINUX_32.
If you use distributed servers, we recommend that you use NFS to share
programs in /usr/sap/<SAPSID>/SYS/exe/run. This avoids inconsistent
programs and having to distribute them manually.
To keep the network load low, you can also save the programs locally on the servers and update
them automatically with the program sapcpe. For more information on using sapcpe see Help
→ SAP Library → BC - Basis Components →=Client Server Technology → System Services →
Setting Up Local Executables on UNIX R/3 Instances.
April 2001 149

Renaming the Local System Log (For Source Releases

3.0x/3.1x Only)
Use
The format of the system log was changed for Release 4.0. The SAP Kernel cannot correctly
interpret entries in the old format. This means that you must have an empty system log when you
start the system with Release 4.x for the first time. You can achieve this easily by renaming the
old system log. If a log does not exist, a new one is created when you start the system.
On the host with the central instance, R3up has already renamed the central and local system
logs.
This is not done automatically on the remote application servers. If you use the SAP System with
multiple application servers then you have to rename the local system log on these remote
servers.
Prerequisites
You had Release 3.0x or 3.1x before the upgrade.
Procedure
Rename the file SLOG<instance_number> in the directory
/usr/sap/<SAPSID>/<instance_name>/log, for example, as
SLOG<instance_number>.old.
150 April 2001

Checking the Profile Parameters with Transaction RZ10

Use
After the upgrade, check the settings in your system profiles with Transaction RZ10. Transaction
RZ10 checks the profiles of all servers.
Procedure
1. Ensure that all active servers (SAP instances) are started.
2. Ensure that you have authorization S_RZL_ADM in the SAP System.
3. Call Transaction RZ10.
4. Choose Utilities → Import profiles → Of active servers.
5. Choose Utilities →Check all profiles → Of active servers.
If parameters are set incorrectly, you receive a warning.
6. Check the parameters whose values differ from the default.
You can display the parameters with their current settings and the default value using
Transaction RZ10.
a. On the initial screen of RZ10, choose Goto → Profile values → Of a server.
b. To display the values, double-click the name of the server you want to display.
Whenever possible, return the parameter values to the default values.

For more information about changing the profile parameters, choose Help → Application Help
from within Transaction RZ10. Alternatively, if you want to read the documentation offline from
the documentation CD for the target release, choose SAP Library → Basis Components →
Computing Center Management System → Computing Center Management System → Profiles.
April 2001 151

Actions During Production Operation

You can perform the following actions while the system is operating productively:
• Importing SAP Support Packages After the Upgrade [Page 153]
• Transport Management System: Distributing the Configuration [Page 153]
• Rescheduling Background Jobs [Page 154]
• Rescheduling Jobs with Transaction DB13 (Source Releases 3.0x/3.1x) [Page 155]
• Adjusting Repository Objects [Page 156]
• Reimporting Additional Programs [Page 156]
• Migrating Matchcodes to Search Help Objects (Source Releases 3.0x/3.1x) [Page 157]
• Performing Post-Upgrade Activities for the Language Transport [Page 158]
• SAP DB: Updating Optimizer Statistics [Page 159]
• DB2 for OS/390: Actions [Page 159]
• Informix: Performing an Update Statistics [Page 160]
• Oracle: Actions [Page 160]
• Generating ABAP Loads [Page 163]
• Converting Batch Input Logs [Page 163]
• Actions for the SAP Online Documentation [Page 164]
• Performing Post-Upgrade Activities in the Authorization Area [Page 164]
• Performing Post-Upgrade Activities for the Application [Page 166]
• Processing Table Clusters After the Upgrade (Source Releases 3.0x/3.1x) [Page 167]
• Installing More Dialog Instances [Page 168]
• Evaluating the Upgrade Runtime [Page 169]
152 April 2001

Importing Support Packages After the Upgrade

Use
To avoid problems with your SAP software, we recommend that you import new Support
Packages into your system as soon as they become available. This is also applies after the
upgrade. This is how you avoid potential problems in your system before they occur.
If have not included all the necessary Support Packages during the upgrade, you can also import
them after the upgrade. This applies to Support Packages that cannot be included, such as the
SPAM updates, Add-On Support Packages and CRTs.
Procedure
Import the newest Support Packages. Always start with the newest SPAM update.
If you want to install additional languages in your SAP System, perform the
language import before you import the Support Packages. The Support
Packages always contain the current language version for text-relevant objects.
For information on importing a language, see Help → SAP Library → Basis Components →
Change and Transport → Language Transport.
Transport Management System: Distributing the

Configuration
Use
After an upgrade, you have to distribute the information about the new release to all systems in
the transport domain.
Procedure
1. Log on to the system that is configured as the domain controller.
2. Call Transaction STMS and choose Overview → Systems.
3. Select the system that has been upgraded and choose SAP System → Update configuration.
4. Choose Extras → Distribute TMS configuration.
April 2001 153

Rescheduling Background Jobs

Use
Use this procedure to release all background jobs that were locked when you isolated the central
instance.
Procedure
For Source Releases up to and including 4.0B only:
1. Log on as user DDIC in client 000.
2. Call Transaction SM37.
3. Find all the relevant jobs.
4. To release the jobs, choose Job → Schedule → Release.
As of Source Release 4.5:
1. Log on as user DDIC in client 000.
2. Execute the report BTCTRNS2.
Result
The jobs are released.
Errors may occur if a background report was changed by the upgrade, since the report variants
will no longer be correct. If this is the case, you have to reschedule the job.
154 April 2001

Rescheduling Jobs with Transaction DB13 (Source

Releases 3.0x/3.1x)
Use
You deleted all scheduled jobs at the start of downtime. You can now schedule them again with
Transaction DB13 (see also Isolating the Central R/3 Instance).
Prerequisites
• Your source release is 3.0x or 3.1x.
• You have already checked that all old DB13 jobs were deleted properly.
Procedure
1. Enter Transaction SM37 in the SAP System.
2. Select the following jobs:
Job name DBA*
User name *
Start date from No entry
Start date to No entry
Only jobs with status scheduled, released, ready, active
3. Delete all the jobs displayed.
4. Enter Transaction DB13 and reschedule your jobs.
April 2001 155

Adjusting Repository Objects

Use
If you have made modifications to programs, screens or interfaces (GUIs), you must adjust these
with Transaction SPAU.
Procedure
For more information on modification adjustment, see the documentation CD for the target
release under Help → SAP Library → Basis Components → ABAP Workbench → BC - Changing
the SAP Standard → The Modification Assistant → Upgrade Procedure/R/3 Support Packages →
Adjusting R/3 Repository Objects.
After you have completed the upgrade you have a maximum of 14 days to
execute Transaction SPAU without a key check (SAP Software Change
Registration) for the objects that you changed.
Reimporting Additional Programs

Use
During the upgrade, the contents of directory /usr/sap/<SAPSID>/SYS/exe/run are
completely deleted before the new SAP kernel is imported. If you installed additional programs
such as the RFC library or the CPIC library, in this directory, you have to install them again from
the CD Presentation.
Procedure
cd /usr/sap/<SAPSID>/SYS/exe/run
/<CD dir>/SDK/UNIX/<OS>/SAPCAR -xvf \
/<CD dir>/SDK/UNIX/<OS>/<additional package>.SAR
Replace <CD directory> with the mount directory of the CD and <OS> with one of the
following:
AIX_32, AIX_64, DEC_64, HP10_32, HP11_32, HP11_64, RLX_32, RLX_64, SUNOS_32 or
LINUX_32.
156 April 2001

Migrating Matchcodes to Search Help Objects (Source

Releases 3.0x/3.1x)
Use
As of Release 4.0 the ABAP Dictionary objects help views and matchcodes are replaced by the
new ABAP Dictionary object search help. During the upgrade, the matchcodes are migrated
largely automatically to search helps. Only in exceptional cases do you need to perform post-
upgrade activities manually. These exceptions are listed in the Release Note DDIC40_MC_MIGR
Migration of Matchcodes to Search Helps.
Prerequisites
Procedure
Use Release Note Migration of Matchcodes to Search Helps to check if manual post-upgrade
activities are necessary.
You can find this Release Note offline on the documentation CD.
If you have already installed the current online documentation, in the SAP System choose Help
→ Release Notes → Complete list from Rel. 4.0 → 40A → Basis Components → ABAP
Workbench → ABAP Dictionary → Activation Program, Conversion Program, DB Utility, MC,
SPDD → Migration of Matchcodes in Search Helps.
April 2001 157

Performing Post-Upgrade Activities for the Language

Transport
Use
To reduce downtime during the upgrade, some data from the language CDs was only imported
into container tables, and not yet imported into the actual database tables of the system. This
data includes glossary and terminology data. If you want to use a glossary or terminology in your
system, use the following procedure to copy the data from the container tables to the database
tables.
Prerequisites
You have imported a language during the upgrade.
You are using a glossary or terminology in your system.
Procedure
Use the report RSTLAN_AFTER_UPGRADE to copy the data. This report may take a long time
to execute, depending on the number of languages you have imported, so execute it in the
background. There are no input parameters. The report unpacks the contents of the container
tables and copies the data to the corresponding database tables. The contents of the container
tables are then deleted.
158 April 2001

SAP DB: Updating Optimizer Statistics

SAP DB
Use
To improve the response of the database after the upgrade, you must update the optimizer
statistics.
Procedure
2. In the role SAP_BC_DB_ADMIN_SAPDB, call Transaction DB13.
3. Select a day in the Planning Calendar by double-clicking. The menu for scheduling database
actions appears.
4. Select Create new optimizer/space statistics.
Plan this action as soon as possible, to avoid a drop in your system performance.
End of SAP DB
DB2 for OS/390: Actions

DB2 for OS/390
Removing Any Superfluous Database Objects

Check if there are any empty database objects such as tablespaces, databases and stogroups. If
there are, delete them. Do this with the report program RSDB2CLN.
April 2001 159

Informix: Performing an Update Statistics

Informix
Use
To improve the response of the database after the upgrade, you must execute an Update
Statistics as user informix.
Procedure
Enter the following commands as user informix:
su - informix
/usr/sap/<SAPSID>/SYS/exe/run/ sapdba -updstat
End of Informix
Oracle: Actions
Oracle
Deleting Tablespaces
After the upgrade, some tablespaces are empty and are no longer used. You can delete these
tablespaces. This applies to the following tablespaces in a Repository Switch upgrade:
PSAPES<source release>D
PSAPES<source release>I
PSAPEL<source release>D
PSAPEL<source release>I
where <source release> is the source release for the current upgrade.
Use the sapdba program to delete the tablespaces.
The program sapdba checks whether:
1. the tablespace is empty
2. the space is actually released
You may be asked whether you want to wait until Oracle releases the files.
160 April 2001

Delete the tablespaces as follows:

1. Start sapdba at the operating system level as user ora<sapsid>.
2. Choose Tablespace administration.
3. Enter the name of the tablespaces you want to delete.
4. Choose Drop tablespace.
If the tablespace is empty, sapdba executes the Drop command on the database and
deletes the data files at the operating system level.
Actions for Cost-Based Optimizer Mode

The following text only describes the actions for the database optimizer that you need to perform
directly after the upgrade. For background information on this subject, see the following
documentation on the documentation CD for the target release under:
• SAP Library → BC - Basis Components → Database Interface/Database Platforms →
Database Administration (Oracle) with SAPDBA → Using SAPDBA
Read about the following topics there:
− Support for the Cost-Based Optimizer
− SAPDBA Command Options
• SAP Library → Basis Components → Computing Center Management System → Database
Administration in CCMS → SAP/Oracle DBA in CCMS → CCMS Support for the Cost-Based
Optimizer: Oracle
Switching the Optimizer Mode (For Source Releases 3.0x/3.1x)
You must switch the database optimizer to cost-based mode after the upgrade. You can make
this switch during production operation.
When you run the database in rule-based mode you significantly reduce the
performance of the system.
SAP no longer supports the parameter setting optimizer_mode = rule after
the upgrade to 4.x.
Proceed as follows:
1. The cost-based optimizer requires table statistics to be created.
If the user system does not have the default password manager you need to
append the following command options to the end of the sapdba calls:
-u system/<password>
Call the sapdba program with the following command:
sapdba -analyze DBSTATCO
You can do this during production operation. The runtime depends strongly on the size of
your database and can take several hours. System performance is reduced considerably
during this time.
Check the success of the action with one of the following options:
April 2001 161

− In the SAP System, make sure that the return code is either 0 or 1 by choosing:
Tools → CCMS → DB Administration → Operations Monitor
− Check the logs in the file system if necessary.
$ORACLE_HOME/sapcheck/*.aly or *.opt
If there are errors, you can analyze the cause by double-clicking the log line and pushbutton
SAPDBA Detail Log in the menu above. If you cannot solve the problem yourself, send a
problem message and the log file to SAP.
Correctly created optimizer statistics are essential for the performance of your system.
2. The Optimizer must be set to cost-based mode.
Make sure that the following parameters are set in the file
$ORACLE_HOME/dbs/init<SAPSID>.ora:
optimizer_mode = choose
db_file_multiblock_read_count = 8
3. Restart the database to activate the parameters.
Updating the Statistics (For Source Release 4.x)
If you had Release 4.x before the upgrade, your database is already running in cost-based
optimizer mode. After the upgrade you only need to update the statistics.
If the user system does not have the default password manager you need to
append the following command options to the end of the sapdba calls:
-u system/<password>
Call the sapdba program with the following command:
sapdba -analyze DBSTATCO
You can do this during production operation. System performance is reduced considerably during
this time.
Scheduling Periodic Statistics Updates (For All Source Releases)
Make sure that the statistics are updated at regular intervals. Schedule the following two phases
periodically once the database has been in operation for one day following the upgrade:
Phase I (for example, Friday/Saturday night): sapdba -checkopt PSAP%
Phase II (for example, Saturday/Sunday night): sapdba -analyze DBSTATCO
You can schedule these actions with transaction DB13. For more information on DB13, see the
online documentation under Help → Application help.
End of Oracle
162 April 2001

Generating ABAP Loads

Use
The most important ABAP loads for the Basis system are upgraded with the new release.
However, there are not yet any generated ABAP loads for all the transactions from the different
SAP application areas. When you call a program, a load is automatically generated, if it does not
already exist. This may, however, reduce production system performance. To avoid this, you can
use transaction SGEN to generate the missing loads.
Transaction SGEN offers the following functions:
• Selection of predefined generation tasks. Choose Regenerate after an SAP System upgrade.
• Selection of software components to restrict the amount of objects being generated
(SAP_ABA, SAP_BASIS and so on)
• Generating in the background
• Job Monitor for checking the progress of the generation in the background
Procedure
If possible, generate the loads directly after the upgrade.
For a detailed description of the features, see the online documentation in transaction SGEN by
choosing Information on the SAP Load Generator, or in the Job Monitor by choosing Job Monitor.
For more information on the free space requirements in the load tables, see SAP Note 186066.
Converting Batch Input Logs

Use
Release 4.6C only supports the new batch input log procedure. All old batch input logs must be
converted with the program RSBDCLCH in all clients, otherwise the system will no longer be able
to read them. The old log files are deleted after a successful conversion.
Prerequisites
Your source release is lower than 4.6A, or you have not yet converted your logs in Releases
4.6A or 4.6B.
Procedure
For an exact procedure and other information, see Note 175596 in SAPNet – R/3 Frontend.
April 2001 163

Actions for the SAP Online Documentation

Process Flow
Certain actions are necessary before you can display the online documentation (SAP Library) in
your SAP System:
1. Installation of the online documentation
2. Only for help type PlainHtmlHttp: Set up the Web server
3. Maintain the settings variants for the Online Help in the IMG
4. Installation of a Web browser/viewer
For instructions, see the guide Installing the SAP Library.
Performing Post-Upgrade Activities in the

Authorizations Area
Procedure
Adjusting the Assignments Between Check Flags and Transactions
Transaction SU24 was introduced in Release 3.1G. You can use it to:
• Deactivate checks within a transaction
• Define proposals for the profile generator for activated checks
Both the check flags and the proposed values are based on SAP default values. You can change
these values with Transaction SU24.
For source releases before 3.1G:
To copy the SAP default values, use Transaction SU25 (step 1).
For source releases as of 3.1G:
To copy the latest SAP default values while retaining your own modifications, use Transaction
SU25 (steps 2 and 3). This transaction
• displays the differences between your own check flags or authorization proposals and the
new SAP default values for all the changes by SAP
• defines all the roles which will have to be generated later on using the profile generator in
order to generate authorizations for all the current checks
For more detailed information, see the online documentation for Transaction SU25.
164 April 2001

For Source Release 3.0D Only: New Authorization Check when Starting all
Transactions
For security reasons, Release 3.0E contains a new authorization check against authorization
object S_TCODE when starting all transactions.
Ensure that all the users have authorization profile SAP_NEW so that they can still start
transactions. If this is not the case, you can temporarily enter the profile SAP_NEW for all users
with Transaction SU01. To do this, choose Environment → Mass changes.
In a later phase you can begin to assign special profiles with exactly the transactions to be
executed by the users.
Upwards Compatibility for Authorization Checks

There are functions that are protected in more detail by new authorization objects in the new
release, than was previously the case. The authorizations for these new objects are in the single
profiles SAP_NEW_<rel> , where <rel> is the release for which the new authorization check was
delivered. The composite profile SAP_NEW contains all single profiles SAP_NEW_<Rel> (as of
Release 4.6A, the naming convention S_NEW_<rel><number> is valid).
Composite profile SAP_NEW contains all the individual SAP_NEW_<Rel>

profiles since Release 2.1C. This is how the composite profile is also given the
overall authorization for the check S_TCODE (exists since Release 3.1E).
Every user should have the profile SAP_NEW in his or her master record. This guarantees that
users can continue to carry out those functions after an upgrade, which they were able to carry
out previously without an authorization check. Before this, delete all the individual profiles from
SAP_NEW that refer to releases that are lower than the source release for the upgrade.
After the upgrade the user administrator should go through the profile SAP_NEW and decide for
each authorization object, into which customer profile the authorizations should be copied. This
defines which users can continue to carry out the corresponding actions.
Empty and activate the profile SAP_NEW after finishing the analysis and maintenance. To do
this, remove the single profile SAP_NEW_<rel> from the composite profile SAP_NEW. Keep the
single profiles SAP_NEW_<rel>, so that you can find out later which authorization appeared in
which release.
The profile SAP_NEW does not contain the authorizations for functions delivered
in the upgrade. It contains the authorizations only for new checks in functions that
were already delivered.
For Source Release 3.0D Only: User SAPCPIC Must Be Assigned the
Profile S_A.CPIC
New authorization checks were introduced in the interface from the SAP System to the operating
system. This has made it necessary to assign new authorizations (see Release Note
BC_30E_AUTHORITY).
This also has an effect on user SAPCPIC, which is used for internal purposes and which in the
past did not need any authorizations. Assign user SAPCPIC (in the clients in which it exists)
profile S_A.CPIC . To do this, go to Transaction SU01 and enter the user SAPCPIC. Choose
User names → Change. Enter the authorization profile S_A.CPIC and save.
April 2001 165

Handling Problems with User Buffers

If the user master records were already very large before the upgrade, the predefined buffer size
might not be large enough for the newly delivered profiles. If you encounter authorization
problems after the upgrade where authorizations are missing for users although these are
contained in the master record, see Note 10187.
Performing Post-Upgrade Activities for the Application

Use
Some applications require specific post-upgrade activities without which the application cannot
execute.
Procedure
These actions are described in the Release Notes for the particular application.
Also check to see if you have to adapt your Customizing. You can create a release-specific view
of a Customizing project by choosing the activities for delta or upgrade Customizing. To do this
call Transaction SPRO_ADMIN or choose Tools → AcceleratedSAP →Customizing →Project
Administration. You can make the necessary Customizing settings in the release-specific
Customizing project by calling Transaction SPRO.
HR Customers Only: Restoring Table T512W (Wage Types in HR)

If you saved table T512W before the upgrade, reload it now. The precise procedure is described
in the section Backing Up Wage Types in HR (T512W) [Page 103].
For SAP Retail Customers Only: Replacing Short Texts

You are advised to replace short texts for some languages. For more information, see the Online
Documentation under Help → SAP Library → Logistics → SAP Retail → Basic Principles →
Retail Terminology.
166 April 2001

Processing Table Clusters After the Upgrade (Source

Release 3.0x/3.1x)
Use
After the upgrade, the table clusters EDIDOC and CDCLS are converted from Release 3.x to
Release 4.x. Since there is often a large amount of data to handle, you can use transaction ICNV
to convert the table clusters during production operation of the system. This considerably
reduces the downtime during the upgrade.
The time when you process the table clusters is not critical, but it must be done
before you begin the next upgrade. If you have not, PREPARE warns you about
any outstanding conversions. You will not be able to start the upgrade.
Prerequisites
Procedure
1. Call transaction ICNV.
Read the online documentation. For more information on the individual fields, choose the
function button F1.
Directly after the upgrade, the tables EDIDOC and CDCLS must have the status Conversion.
If they do not, create a problem message under the component BC-UPG-TLS.
2. To start the data transfer, choose Control → Data transfer → Start.
3. Monitor the progress of the action. After a while, the estimated time for the remaining data
transfer appears automatically.
4. When at least 95% of the data has been converted, switch to the new tables.
To do this, choose Control → Switch (STRG+F2). You now have the option of selecting tables
and starting the process in the background. Any data that has not yet been transferred is
included in the process.
5. End the conversion.
As soon as the tables have the status Done, you can delete them from the list. To do this,
choose Control → Delete entry. You can then select the tables you want to delete and
remove them from the list.
You must complete step 5 before you start the next upgrade.
April 2001 167

Installing More Dialog Instances

Use
You can use the SAP tool R3SETUP to install more dialog instances in an SAP System.
Procedure
Proceed as described in Note 137478 Installing a Dialog Instance/Gateway - 4.5B.
168 April 2001

Evaluating the Upgrade Runtime

Use
You can use the report RSUPGSUM to display the upgrade runtime. If you keep the default
settings, only those phases which have a significant effect on the runtime are displayed. The
times are displayed in the file R3up.RTS in the subdirectory log of the upgrade directory which
R3up automatically creates after the upgrade.
Prerequisites
You are logged on to the SAP System.
Procedure
1. Execute the program RSUPGSUM using Transaction SE38.
2. Enter the relevant information, for example, database size.
3. Enter the time required for modification adjustments.
4. Choose Program → Execute and print.
Result
The report writes data into a log file and generates a list approximately two pages long.
Send the results of the report to SAP for further analysis. If you have a connection to the SAPNet
- R/3 Frontend, you can send this data electronically. The procedure is very simple:
1. Check if the SAPNet - R/3 Frontend connection exists.
2. Call Transaction SCUI. The data was formatted previously using RSUPGSUM.
Choose Customizing and select that at least the option Run time results of
completed upgrades and return to the previous screen.
3. To display the data to be transferred, choose Display data.
4. Choose Transfer data.
If you do not yet have a link to the SAPNet - R/3 Frontend, you can fax the RSUPGSUM list to us
at:
SAP AG
Software Logistics department
Fax number + 49 6227/7 46495
April 2001 169

Troubleshooting
• Logs
− Upgrade Logs [Page 171]
− Analyzing the ELG Log Files [Page 173]
• Correcting Errors After Phases
− Correcting Errors in the ACT Phase [Page 175]
− Correcting Errors in the ADOIM Phase [Page 176]
− Correcting Errors in the XPRAS Phase [Page 177]
− Cleaning Up Terminated Conversions in the DB Conversion Phases [Page 179]
− Correcting Lost Fields Problems in the PCON Phase [Page 182]
− Correcting Conversion Errors in the PCON Phase [Page 183]
− Correcting Errors in the Job Phases [Page 184]
− Correcting Entries from the INITPUT and INITSUBST Phases [Page 185]
• General Problems
− Preparing the Restart of the Upgrade After a System Failure [Page 186]
− Resetting the Upgrade [Page 187]
− Scroll Mode: Restart [Page 191]
− Correcting Problems when Processing ABAP Steps [Page 192]
− Correcting Problems when Starting the SAP System [Page 193]
− Correcting Problems when Copying SAP Programs [Page 194]
− Correcting Administrator Profile Problems on Application Servers [Page 195]
− Providing SAP Local Support with Information [Page 196]
As well as the problems listed here, also read the SAPNet - R/3 Frontend Notes. Request the
Notes [Page 40] that are relevant to this upgrade.
170 April 2001

Upgrade Logs
Use
R3up logs all actions in log files. You can use these log files to monitor your upgrade. If you
encounter any errors you can analyze them to help you find a solution.
Functions
R3up records all actions in the log file R3up.log in the subdirectory log of the upgrade
directory.
The tp steps are also listed in the file SLOG46C in the subdirectory log of the upgrade directory.
Additional detailed logs are usually written for these tp steps.
A simple method of monitoring the progress of all tp-driven phases is to observe the SLOG log
using tail. To do this, open another terminal window and execute the following command:
tail -f <upgrade directory>/log/SLOG46C
Each tp-driven phase is divided up into a number of different steps whose start and end times
are noted in the SLOG log. The start and end of a phase are indicated by the lines START put
and STOP put. The section in the SLOG relating to phase ACT_46C looks like this:
START put Q1A 19940905200903 q1aadm hs0102

START tpsetstopm Q1A 19940905200903 q1aadm hs0102
STOP tpsetstopm Q1A 19940905200903 q1aadm hs0102
START tplock_eu Q1A ( 19940905200903 q1aadm hs0102
STOP tplock_eu Q1A ( 19940905200904 q1aadm hs0102
START tpsapstart Q1A 3 19940905200904 q1aadm hs0102
STOP tpsapstart Q1A 3 19940905200935 q1aadm hs0102
START DD ACTIVAT Q1A A 19940905200936 q1aadm hs0102
START tp_getprot Q1A 19940905200936 q1aadm hs0102
STOP tp_getprot Q1A 19940905202559 q1aadm hs0102
STOP DD ACTIVAT Q1A A 19940905202559 q1aadm hs0102
START locksysX Q1A { 19940905202559 q1aadm hs0102
STOP locksysX Q1A { 19940905202559 q1aadm hs0102
START tpsapstart Q1A 3 19940905202600 q1aadm hs0102
STOP tpsapstart Q1A 3 19940905202631 q1aadm hs0102
START locksys Q1A | 19940905202631 q1aadm hs0102
STOP locksys Q1A | 19940905202631 q1aadm hs0102
START tpdequeue Q1A 19940905202631 q1aadm hs0102
STOP tpdequeue Q1A 19940905202632 q1aadm hs0102
STOP put Q1A 0000 19940905202632 q1aadm hs0102
Additional detailed logs are also written for most steps. These are in the tmp subdirectory of the
upgrade directory, where you can also monitor them with tail -f. After the various steps of the
April 2001 171

phase have been completed, tp moves the individual logs to the subdirectory log of the
upgrade directory.
The table below contains the most important steps, their log names, and specifies which
programs carried out the steps:
Step Log name Program executing
the step
SHADOW_IMPORT SAPK??????.<SAPSID> R3trans
DD IMPORT (H) SAPH??????.<SAPSID> R3trans
DD ACTIVATION (A) SAPA??????.<SAPSID> ABAP program
(RDDMASGL)
DISTRIBUTION OF DD OBJECTS (S) DS<DATE>.<SAPSID> ABAP program
(RDDDIS0L)
TBATG CONVERSION OF DD N<DATE>.<SAPSID> ABAP program
OBJECTS (N) (RDDGEN0L)
tpmvntabs P<DATE>.<SAPSID> tp
PA<DATE>.<SAPSID>
PD<DATE>.<SAPSID>
PL<DATE>.<SAPSID>
MAIN IMPORT (I) SAPI??????.<SAPSID> R3trans
tpmvkernel (C) C<DATE>.<SAPSID> tp
TBATG CONVERSION OF MC N<DATE>.<SAPSID> ABAP program
OBJECTS (N) (RDDGEN0L)
IMPORT OF SELFDEFINED SAPD??????.<SAPSID> ABAP program
OBJECTS (D) (RDDDIC1L)
VERSION UPDATE (V) SAPV??????.<SAPSID> ABAP program
(RDDVERSL)
EXECUTION OF REPORTS AFTER SAPR??????.<SAPSID> ABAP program
PUT (R) (RDDEXECL)
Once the logs are located in the subdirectory log of the upgrade directory, you can also display
them in the SAP System. You can do this by executing program RDDPROTT with Transaction
SE38. RDDPROTT works based on transport requests, which means, it displays all the logs for a
specific transport request. In the field Transport request, enter the name of the transport request
(for example, SAPK46CD01) and then choose Execute.
A brief overview of all the logs existing for this transport request is displayed. If you double click
one of the lines, you branch to the log display for the step in question. The logs are broken down
into several levels. At level 1 only the return code for the step is displayed. You should check at
least level 2 to display any error messages this level may contain. When you double click an
error line, a description of the error is displayed.
After completing each tp-driven phase, R3up creates a summary of all individual logs in this
phase. The names of the summaries usually comprise the phase name (without the underscore)
and the extension .ELG (for example, DDIC46C.ELG). The summary contains the names of the
individual logs, any errors which occurred and the return codes. If no errors occurred, you only
need to check these summaries.
172 April 2001

Analyzing the ELG Log Files

Use
The <PHASE>.ELG log files are summary log files that contain a list of all the errors that occurred
during a specific phase of the upgrade. From these files, you can call up detailed log files that
contain more information. When errors are detected during a phase, R3up displays an
appropriate message and prompts you to repeat that phase. First check the <PHASE>.ELG log to
find out why the phase terminated:
No errors have occurred if a return code less than 8 appears in the log at the end of a step, and
no error messages appear for that step.
Errors have occurred if the return code is equal to 8 and preceded by error messages or if the
return code is higher than 8.
Procedure
1. Analyze the errors, using the detailed log file if necessary. The name of this log is listed in the
header of each phase step. If a return code is greater than or equal to 12, then tp or a
program called by tp has terminated.
2. Determine when the program terminated from the last two lines of the SLOG log. If tp or
R3trans have terminated, analyze the last log that was written. For a chronological list of
the files in both log directories, enter the following commands:
ls -ltr <upgrade directory>/log
ls -ltr <upgrade directory>/tmp

3. If a background step in the SAP System terminates, you must analyze the job log in the SAP
System to determine the cause of the error. Log on as user DDIC and call transaction SM37.
Enter the job name as the name of the report that usually processes the terminated step
(RDDMASGL for DD ACTIVATION, for example).
4. Make sure that the date in the SM37 input screen is correct and that an asterisk (*) appears
in the Start after event field. The job overview normally displays one canceled job and one
background job that completed normally.
Double-click the canceled job to display the log.
Double-click the error line to display the long text for the error.
If you use a user ID other than DDIC to log on to the SAP system and correct the
error, the SAP System may block the logon.
In this case, proceed as follows:
Enter the following commands to unlock the SAP system:
cd /usr/sap/put/bin
..exe/tp unlocksys <SAPSID>
..exe/tp unlock_eu <SAPSID>
Log on to the SAP system and correct the error.
Enter the following commands to lock the SAP System again:
cd /usr/sap/put/bin
..exe/tp locksys <SAPSID>
April 2001 173

../exe/tp lock_eu <SAPSID>

5. Once you have found and corrected the error, repeat the phase by selecting repeat in R3up.
The repeated phase is usually completed quickly, since the transport control program tp
automatically starts from the point at which it terminated.
Result
In some exceptional cases, you can choose ignore in R3up to continue with the upgrade and
avoid repeating the failed phase. Generally, you must always remove the cause of the error.
When you choose ignore, R3up prompts you to enter a password if the errors are serious. In this
case, you must get approval to ignore the error from SAP Local Support. SAP Local Support also
gives you the password that you need to correct the error. A return code of 8 indicates that some
errors have occurred, otherwise the phase is complete. In this case, R3up does not require a
password.
A return code of 8 indicates that some individual objects have not been
processed or not been processed completely.
Remove all errors to avoid the risk of follow-on errors. If you are not sure how to proceed, contact
SAP Local Support.
174 April 2001

Correcting Errors in the ACT Phase

Use
If your SAP System has been modified, error messages with return code 8 might occur during the
ACT_<Rel> phase. This procedure tells you how to remove these errors.
Prerequisites
Before you can correct ABAP Dictionary objects that cannot be activated, you might need to
unlock the SAP System. Proceed as follows:
cd <upgrade directory>/bin
..exe/tp unlocksys <SAPSID>
Procedure
1. Log on to the SAP System as user DDIC.
2. Call Transaction SE03.
3. Choose
Release 3.x:
Expert tools → ...for setting the system → Set System Change Option → All objects (w.
Workbench Organizer)
Release 4.x:
Administration → Set System Change Option → Global setting... → Modifiable
4. Log off the SAP System. The user DDIC cannot make any changes to the SAP System.
5. Log on as a user other than DDIC.
6. Make the required corrections.
7. Return the system change option to its previous value.
8. If you had to unlock the SAP System, as described under Prerequisites, lock it again with the
following command.
cd <upgrade_directory>/bin..exe/tp locksys <SAPSID>
Result
When you have manually corrected all the error situations displayed for the objects, you can
proceed with the upgrade where it terminated in the ACT_<rel> phases by selecting repeat in
R3up.
If you choose ignore severe errors, all error messages with return code 8 are ignored.
April 2001 175

Correcting Errors in the ADOIM Phase

Use
If your SAP System has been modified, error messages with return code 8 may occur during the
ADOIM_<rel> phase.
If you choose ignore, R3up gives you two options for continuing the upgrade:
• repair severe errors
• ignore all errors
Procedure
Choose repair severe errors.
You require a password for ignore all errors. Before you can choose ignore, you must have
approval from SAP Local Support.
Result
• If you choose repair severe errors, R3up repeats the phase and ignores all error messages
with return value 8 (eight). The objects with errors are not imported into the SAP System. The
errors must be removed after the upgrade.
• If you choose ignore all errors, R3up goes to the next phase without dealing with the rest of
the objects.
176 April 2001

Correcting Errors in the XPRAS Phase

Use
If errors occur during the execution of XPRA reports in the XPRAS_<rel> phase, R3up stops
and informs you that all errors which occurred have been recorded in the XPRAS_<rel>.ELG
log. This file contains error messages with the following header:
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
XPRA ERRORS and RETURN CODE in <file name>
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
If this header is followed by lines other than the return code, then errors have occurred while the
reports were being executed. In addition to the actual error lines, a separate line indicates the
names of the reports that generated the preceding error messages.
You can display a detailed help text for each of these error messages in the SAP System. These
texts usually contain all the information you need to correct the error.
Procedure
Finding Help Texts for Error Messages
1. In the log XPRAS<Rel>.ELG look for the file name <file name> displayed in the heading.
The file name <file_name> given in the heading of the XPRAS_<rel>.ELG file
is important for finding help. The file name always has the following format:
SAPR<ID>.<SAPSID>
where <ID> can be any string of six characters.
The name of the relevant transport request can be derived from the two names.
Replace the ‘R’ with a ‘K’ and delete the period and all characters that follow it.
You now have SAPK<ID> as the name of the transport request.
3. Call transaction SE09.
4. Choose Request/task → Display individually and enter the name of the transport request.
5. To display the individual transport logs, choose Goto → Transport logs.
6. To navigate to the log display for this step, double-click the line Exec after put.
You can expand the log to view it in more detail. The error messages will generally be visible
as of the second level.
To display a help text, position the cursor on the error message and choose Long text.
Correcting Errors
1. Follow the instructions in the help text precisely. The help text helps you correct the error.
2. When you have corrected all the errors, repeat the upgrade phase with R3up.
3. If you need more information, or if the report still results in errors after repeating the
XPRAS_<rel> phase, see the documentation on the report. To access this information, log
April 2001 177

on to the SAP System. Call transaction SE38 and display the documentation for the report
that is named in the error log. This documentation is always available in English and
German.
4. If you choose ignore, R3up gives you two options for continuing the upgrade:
• repair severe errors
• ignore all errors
Choose repair severe errors. R3up repeats the phase and ignores all error messages with
return code 8. The objects with errors are not imported into the SAP System. The errors must
be removed after the upgrade.
You require a password for ignore all errors. R3up then continues with the next phase,
without executing the following XPRAs. Before you can choose ignore, you must have
approval from SAP Local Support.
Correcting Errors After the Upgrade

We recommend correcting errors as soon as they are detected. However, you can correct some
errors that occur during the execution of XPRA reports after you have completed the upgrade.
This option makes sense, for example, when special measures in the SAP application areas are
necessary to correct the errors, and the corresponding specialists are not available right now. To
do this, you must suppress the execution of the corresponding report before you repeat the
upgrade phase. After the upgrade, correct the error and run the report manually using transaction
SE38.
For technical instructions on skipping an XPRA, see SAP Note 122597.
Only skip an XPRA report program if you are sure you can execute it later (for
example, if an SAP Note tells you that this is allowed).
If you cannot execute an XPRA later and still want to skip it, contact SAP.
178 April 2001

Cleaning Up Terminated Conversions in the DB

Conversion Phases
Use
These errors are indicated by the following PREPARE and R3up error messages:
• Restart logs of DB conversions found
• Outstanding DB conversions found
These errors can occur in the phases CNV_CHK_GEN, CNV_CHK_IMP, CNV_CHK_XT and
CNV_CHK_SW.
If both messages appear, process the message Restart logs of DB

conversions found first.
Procedure for Restart Logs of DB Conversions Found
To clean up terminated conversions indicated by the message Restart logs of DB
conversions found, proceed as follows:
1. Start up the database utility (Transaction SE14) and choose DB requests → Terminated.
A list of the terminated conversions appears. You can see the detailed display for a particular
table by double-clicking.
2. Check the meaning and status of the table.
Find out if the table is still needed. Sometimes there are test tables which are no longer
needed. Ask the last person who changed a table or to the table owner to find out its status.
If the table is no longer needed, choose the function Cancel adjustment in the detailed
display (Unlock table as of Release 4.5A). This prevents the conversion being continued
automatically. The table itself does not return to a consistent status. Any data which is still in
the temporary table is lost during the next conversion.
In some cases, however, the table was already corrected without the reset log being deleted.
The function Cancel adjustment (Unlock table as of Release 4.5A) is harmless in this case.
You can determine the status of the table with the function Check → Database object and
Check → Runtime object. Also check if the table contains the data you expect. You can do
this with Transaction SE16, for example. If the data does not exist, it could still be in the
temporary table. Contact your Basis consultant or SAP Local Support for assistance with
saving this data.
3. Determine the cause of the error.
If you find out that the table is still needed, choose Object log.
Look for error messages that explain the cause of the termination. You could encounter the
following problems here:
a. You cannot find a log because it was deleted at some time in the past. Continue with
step 4 (Continuing the conversion to the end).
b. The log does not contain an error message, but ends abruptly. This shows that the
conversion process was stopped by an external event. You can now use Transaction
April 2001 179

SM21 to read the system log to find out the approximate time of termination, and to look
for the cause of the error.
However, if the log clearly gives a reason for the error, you must correct it.
4. Continue the conversion to the end.
In the detailed display, execute the function Continue adjustment. Since you do not know
how long this will take, choose the processing type Background.
You now have two possibilities:
a. The conversion finished successfully. You can see this because the error message
disappears, the Check function does not display any further problems, and there is a
success message in the object log.
b. The conversion terminates again. A log now exists. Repeat the analysis from step 3
(Determining the cause of the error).
If, after several attempts, you still cannot complete the conversion, contact a Basis
consultant or SAP Local Support.
Procedure for Outstanding DB conversions found

To clean up terminated conversions indicated by the message Outstanding DB
conversions found, proceed as follows, proceed as follows:
Process this message after you have processed the message Restart logs
of DB conversions found.
1. Determine the objects that are affected.
a. Start up the database utility (Transaction SE14) and choose DB requests → Mass
processing.
b. Choose the function All requests.
You now see the worklist of the conversion program. This worklist was generated by
developments or modifications in your SAP System, but has not yet been processed.
c. Choose DB requests → Created with import.
This displays the worklist that was not processed correctly during the last upgrade.
2. Check the meaning and status of the requests.
In contrast to the procedure for the message Restart logs of DB conversions
found, this procedure can also include requests for indexes, views and matchcode objects.
The requests which are found do not always have to be terminated. They might not even
have been started.
a. Ask the last person who changed the object if the request should still be processed.
b. If the user does not want this, select the request and choose the function Delete
selected.
The objects are thus removed from the work list of the conversion program.
Do not remove requests from the last upgrade.
3. Process the outstanding requests.
180 April 2001

You can select the requests from the list of mass processing requests and schedule a job for
execution with the function Schedule selections.
a. Go to the detailed display of the object by double-clicking it in the list of requests created
by the import.
b. Schedule the request, or continue it. Since you do not know how long this will take,
choose the processing type Background.
April 2001 181

Correcting Lost Field Problems in the PCON

Phase
Use
Transaction SPDD cannot find all the modifications to the standard and make the relevant
decisions. The transaction does not recognize any modifications that were already made without
the correction system. For this reason, a further check is made in phase PCON_<rel>.
The log therefore might contain the following message:
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
Lost fields, tables that cannot be converted and RETURN CODE in FDSAVPRT....
~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
2WETG450 Table <name> is losing customer fields, although it did not appear in
SPDD
In this case, customer extensions to the standard are lost and indexes or views can become
inconsistent. In addition, conversions could take a very long time. Also read Note 73999.
If table BSEG is specified, do not choose suppress, since conversion is only

possible on database systems that allow a table to contain more than 254 fields.
Normally, table BSEG is so large that you should avoid converting it.
Recommendation: Insert the lost fields in the identical positions before
continuing. Also read Note 24864.
Procedure
1. Analyze the log FDSAVPRT.<SID>.
2. Read the information in Note 73999.
a. If you want to keep the fields named in the log, you must insert them in the ABAP
Dictionary. Then activate the corresponding table.
b. If you do not want to keep the fields name in the log, continue the upgrade with do not
repeat check.
182 April 2001

Correcting Conversion Problems in the PCON

Phase
Use
This procedure enables you to correct problems that occur in phase PCON_<rel>. The errors
can roughly be divided into two classes:
• Technical problems on the database
You can recognize these in the SysLog (Transaction SM21) since they are marked with SQL-
ERROR followed by an abbreviation with an error number. Often it concerns insufficient disk
space.
• Logical errors in the object definition
These could also appear in the form of SQL errors. Some of them, however, are already
detected by the system before a command can be given to the database.
This type of error frequently occurs if you decide to revert to the SAP standard during
Transaction SPDD (ACT_<rel> phase).
A field was added to an SAP table. This field was also used in an index or view.
In phase ACT_<rel>, however, you decided to return to the standard definition of
the table (using Transaction SPDD) and this additional field was removed. The
index or view definition, however, is incorrect since the relevant table field is
missing. If the index definition is not corrected, and the ACT_<REL> phase was
completed with ignore, there will be errors when the objects are created.
Procedure
1. Analyze the log PCON_<rel>.ELG.
2. Remove the cause of the error.
a. Technical problems on the database
Read the documentation in the database system about how to correct the error. If
necessary, extend, for example, tablespaces or dbspaces.
b. Logical errors in the object definition
Correct the objects. To do this, you can use Transaction SE11. In the above example, you
could, for example, remove the deleted field from the index or view definition or re-insert the
deleted field into the table. Also check whether the objects which are not contained in the
standard and which are now incorrect can be deleted completely.
3. Repeat phase PCON_<rel>.
For more information on alternative procedures, see Note 177680.
April 2001 183

Correcting Errors in the Job Phases

Use
A job phase starts a background job in the SAP System and waits for it to end.
The naming convention for the job phases is JOB_<Name>, where <Name> is the
name of the job or report.
Procedure
To analyze problems with a job phase, start by checking if a background job was started at all.
Proceed as follows:
1. Log on to the SAP System as user DDIC.
2. Enter Transaction SM37 and narrow down the start time and start date as far as possible.
If no background job was started, this is generally due to a syntax error in the calling
program. If there is no Note explaining this error, call SAP Local Support.
If the background job was started, there are two possible cases:
• The job was abnormally terminated.
Check if the error can be reproduced by selecting repeat in R3up. If the error occurs
again, contact SAP Local Support. In this case, proceed as described in Providing SAP
Local Support with Information.
• The job was terminated normally, but with error messages.
These error messages can sometimes be ignored. In this case R3up does not require a
password if you choose ignore. If you are unsure how to proceed, contact SAP Local
Support.
184 April 2001

Correcting Entries from the INITPUT and

INITSUBST Phases
Use
If in later phases you find that entries you made in the INITPUT and INITSUBST phases were
incorrect, you can correct them.
Frequently, the password of user DDIC is changed during the upgrade. This is the reason why
background jobs could not be started in the JOB_<name> phases. So that you do not have to
reconfirm all the entries you made in the INITPUT phase, you have the option of only changing
the password of the DDIC user.
Procedure
If you are using the Upgrade Assistant:
1. In the main menu of the Upgrade Assistant, choose Administrator → Start R3up with option.
2. If you need to correct entries made in INITPUT, enter the following command:
set stdpar
To change the password of the user DDIC, enter the following command:
set DDICpwd
3. If you need to correct entries made in INITSUBST , enter the following command:
set rswpar
4. Choose exit to exit R3up and then restart the upgrade as described under Restarting the
Upgrade [Page 109]. To do this, use the start mode init.
If you are using scroll mode:

1. If you need to correct entries made in INITPUT, enter the following command:
R3up set stdpar
To change the password of the user DDIC, enter the following command:
R3up set DDICpwd
2. If you need to correct entries made in INITSUBST , enter the following command:
R3up set rswpar
3. Restart R3up. To start the current phase, use the start mode init.
April 2001 185

Preparing the Restart of the Upgrade After a

System Failure
Use
If the system fails (due to power failure, for example) R3up, tp, and R3trans are no longer able
to perform certain debugging operations. Before restarting the upgrade after a system failure, you
must ensure that a number of requirements for successful restarting of the upgrade are met:
Procedure
1. Start the SAP System.
2. Log on to the SAP System as user DDIC and delete all the entries from table TRBAT using
Transaction SM31.
3. Using Transaction SM37, delete all the released background jobs related to the processing of
a phase with the exception of RDDIMPDP.
4. To change the status of all the current or active background jobs to 'terminated', run the
report RSBTCRPR, and then delete these jobs using Transaction SM37.
5. Cancel any background jobs that have already been restarted using Transaction SM50.
6. Move all the logs contained in the subdirectory tmp of the upgrade directory into the
subdirectory log of the upgrade directory.
Use the following commands to copy a log to a new location. This ensures that if
there are identical names, the logs from the subdirectory tmp of the upgrade
directory are added to the logs in the subdirectory log and no logs are
overwritten.
cd <upgrade directory>/tmp
cat <log name> >> ../log/<log name>
rm <log name>
7. Restart the upgrade as described under Restarting the Upgrade [Page 109].
186 April 2001

Resetting the Upgrade

Use
You need to take different measures to reset the upgrade (because of hardware problems, for
example), depending on what stage the upgrade has reached. In addition to resetting the
database, you might also have to reset the SAP Kernel and the SAP profiles.
You need to distinguish between two cases:
• Database failure without loss of the upgrade directory
• Loss of the upgrade directory
The actions you need to take are listed in the following section depending on the selected
upgrade strategy and the progress of the upgrade. Some of the actions are listed in italics. To
perform these actions, see the end of this section under Detailed Description of the Individual
Actions. For information on the progress of the upgrade, see the log file R3up.log.
For additional information on resetting an upgrade, see SAP Note 158358. If you
have any questions, contact SAP Local Support.
It could be necessary to downgrade these software components after upgrading

the operating system and/or database system in order to restart the production
system. For downgrading options, see the vendor’s specifications. The safest
method is to reload a complete backup of the whole system, including the
operating system.
Procedure After Database Failure
Depending on the upgrade strategy you have chosen and the stage of the upgrade reached, you
need to perform various actions. These actions are listed in the tables below: The actions are
explained in more detail later.
Upgrade Strategy A_off

1. Reset the database to the state it had before the SAP upgrade.
2. Also perform one or more of the following actions, depending on the progress of the upgrade:
If the phase has already been completed
MODPROF_TRANS Reset the SAP profiles
ENVCHK Reset the user profiles
KX_SWITCH Reset the SAP Kernel
3. Delete the upgrade directory.
4. Restart the upgrade with PREPARE.
April 2001 187

Upgrade Strategy A_switch

1. Reset the database.
• If the MODPROF_TRANS phase has not yet been completed, perform a point-in-time-
recovery to the last state of the database.
• If the MODPROF_TRANS phase has already been completed, reset the database to the
state it had when the central instance was isolated.
2. Also perform one or more of the following actions, depending on the progress of the upgrade:
MODPROF_TRANS Reset the upgrade directory
3. Restart the upgrade.
• If the MODPROF_TRANS phase has not yet been completed, restart where it terminated.
• If the MODPROF_TRANS phase has already been completed, restart in MODPROF_TRANS.
Upgrade Strategy A_on

1. Recover the database up to the point at which the upgrade was interrupted.
2. Restart the upgrade at the point at which it was interrupted.
Procedure After Loss of the Upgrade Directory

If the upgrade directory is affected by the hardware problem, you must also recover it, so that it
corresponds to the state of the database. Before you delete the upgrade directory, back up all
data from this directory that can be recovered.
Upgrade Strategy A_off

If the upgrade directory has been destroyed, proceed exactly as described in the Database
Failure section above. Since the database and the upgrade directory match only at the beginning
of the upgrade, it is irrelevant whether the database, the upgrade directory or both are destroyed.
Upgrade Strategies A_switch and A_on

This procedure depends on whether the system is operating productively, or whether it is in
downtime. Downtime begins at the MODPROF_TRANS phase.
If the MODPROF_TRANS phase has not yet been completed, proceed as follows:
1. Recover the last state of the database (if the database is affected).
2. Delete the upgrade directory and restart the upgrade with PREPARE.
If the substitution tables have already been created on the database, the SPACECHK
phases tell you that there is not enough free space. In this case, skip the phase by
entering a password (which you can get from SAP Local Support). R3up deletes these
substitution tables at the start of the EU_IMPORT phases before re-importing the data.
There is then enough space.
188 April 2001

Oracle
For Oracle, we recommend that you delete the tables manually, before you
restart the upgrade. Delete all the tables in the tablespaces PSAPES<target
release>D, PSAPES<target release>I, PSAPEL<target release>D and
PSAPEL<target release>I and then join the free space segments together
with the following SQL command (available as of Oracle version 7.3):
alter tablespace <name> coalesce;
If you let R3up delete the tables, the fragmentation of the free space segments
leads to an increase in required space of up to 10% of the entire of the
tablespace.
If the MODPROF_TRANS phase has already been completed, (which means that you have already
isolated the central instance, see Isolating the Central Instance [Page 202]), proceed as follows:
1. Reset the database to the state it had when the central instance was isolated. Do this
even if the database has not been corrupted. This is the only way to restore consistency
with the upgrade directory. For strategy A_on, a point-in-time recovery is necessary.
2. Recover the upgrade directory as described in Reset the upgrade directory.
3. Also perform one or more of the following actions, depending on the progress of the
upgrade:
4. Restart the upgrade in the MODPROF_TRANS phase.
If you cannot recover the upgrade directory, contact SAP for help with choosing the jump
option.
Detailed Description of the Individual Actions

Reset the SAP profiles
After phase MODPROF_TRANS (or EU_IMPORT0 for upgrade strategy A_off), the instance
profile and the default profile of the SAP System are changed by R3up. If this phase has
been completed, you must retrieve these two files from the sapnames subdirectory of the
upgrade directory. The instance profile is saved in PROFX.BCK, the default profile in
DEFPROF.BCK.
Reset the user profiles
The new user profiles are normally also valid for the old SAP System version. Try to start,
stop and log on to the system as user <sapsid>adm. Only recover the old user profile if
problems occur when you do this.
The following files are affected here:
.cshrc
.login
.kshrc
April 2001 189

.profile
startsap_<host name>_<instance number>
stopsap_<host name>_<instance number>
.dbenv_<host name>.csh
.dbenv_<host name>.sh
All the files are in the home directory of user <sapsid>adm.
These profiles have the latest state after the ENVCHK phase. The old files are in <upgrade
directory>/exe/INSTALL.
Reset the SAP Kernel
The new Kernel is active after the KX_SWITCH phase. You must reimport the old Kernel
when you make the recovery. You can recover the Kernel directory from a backup created
before the upgrade or from the Kernel CD of the source release. You must unpack the
packages SAPEXE.SAR and SAPEXEDB.SAR from the CD.
Delete the upgrade directory
We recommend that you archive all the subdirectories before you delete the contents of the
upgrade directory. Then delete the contents of the upgrade directory.
You can exclude the data directory if you have space problems.
Reset the upgrade directory
You must recover the whole upgrade directory with all its subdirectories. You must have
backed up the upgrade directory when you isolated the central instance if you want to do this
(see Isolating the Central Instance [Page 202]).
190 April 2001

Scroll Mode: Restart

Prerequisites
You are upgrading the system in scroll mode from a PC or X Terminal and the terminal
connection has broken.
Procedure
1. Check whether R3up is running in the background on the host. If it is, use the command
kill to stop R3up.
2. Check whether a tp process still exists. If so, note the process number.
If the transport control program was active when R3up terminated, it keeps running
independently of the upgrade.
3. Restart the upgrade as described under Restarting the Upgrade [Page 109].
R3up logs any processes it has started, both in the SAP System, and at the operating system
level. When you restart R3up, a check is made to see if any of the processes you noted are
still running. If so, R3up must wait until these processes have ended. R3up does not need to
wait if the processes found are of a different type.
You must prevent R3up from starting two processes of the same type.
April 2001 191

Correcting Problems when Processing ABAP

Steps
Use
Some of the ABAP steps are performed in the SAP System. These are:
• Dictionary activation (A)
• Distributing Dictionary objects (S)
• Table conversion (N)
• Matchcode activation (M)
• Importing application objects (D)
• Updating version management (U)
• Executing XPRAs (R)
The interface between the transport control program tp and the SAP System is formed by table
TRBAT. To trigger an ABAP step, tp writes control information into this table.
In phase JOB_RDDNEWPP the background job RDDIMPDP is scheduled to run when certain
events occur to process the entries in table TRBAT.
Procedure
If you encounter problems when editing the ABAP steps, proceed as follows:
1. Check that the SAP System was started correctly. Log on as user DDIC in client 000.
2. Enter Transaction SM37 and check if background job RDDIMPDP has been scheduled.
Enter an asterisk (*) in the field or after event, so that event-driven jobs are also displayed.
Check when RDDIMPDP last ran and if it ran without errors.
3. Check if the control information in table TRBAT has been entered correctly. The table must
have one HEADER entry and should contain one entry for each transport request. During
distribution of the Dictionary objects (S) and table conversion (N), table TRBAT may contain
only one HEADER entry, as these steps are not carried out by transport request.
4. Use Transactions SM37 and SM50 to check if RDDIMPDP has already started the actual
background job for editing the ABAP step.
Result
For more information on the transport control program and on communication between tp and
the SAP System, see the documentation Transport Control Program tp.
To access this documentation:
In Release 3.x:
Choose Help → R/3 Library → BC Basis → System Administration → Transport Control →
Transport Control Program tp.
In Release 4.x:
Choose Help → SAP Library → Basis Components → Change and Transport System → BC -
Transport Tools → Transport Control Program tp.
192 April 2001

Correcting Problems when Starting the SAP

System
Use
In the course of the various phases, transport control program tp restarts the SAP System
automatically several times. If the SAP System is not successfully started up and the next step
requires processing to take place within the SAP System (table conversion, for example), tp
waits without success for this step to end.
Procedure
1. Using the SLOG log (SLOG46C), check whether the SAP System is supposed to be started
up or shut down at this point. Starting at the end of the log, search upwards for the latest
entry marked tpsapstop or tpsapstart.
2. If, according to SLOG, the SAP System should have been started up, but you are unable to
log on as user DDIC, shut down any SAP processes that may be running with the command:
stopsap r3
3. Check whether all processes of the SAP System were actually stopped. You can do this with
the command:
ps –fu <sapsid>adm
The output should consist only of database processes, R3up, tp, and some shells.
4. Try to start up the SAP System with the command:
startsap r3
If you cannot start up the system manually, this is probably caused by changes to the SAP profile
made in the phases MODPROF_TRANS, MODPROF_BAS and MODPROFP_<rel> or by SAP
programs being exchanged in the KX_SWITCH phase. In both cases, increased demands on
computer resources may have caused the problems. If this is the case, try to run the SAP
System with fewer dialog processes
April 2001 193

Correcting Problems when Copying SAP

Programs
Use
In the phase KX_SWITCH, the SAP programs in the directory
/usr/sap/<SAPSID>/SYS/exe/run are replaced. Do not start the SAP System during this
period, otherwise, it cannot overwrite the old files.
Procedure
1. Analyze the log of the copy process. It is located in the subdirectory log of the upgrade
directory and is called C<DATE>.<SAPSID>.
2. Repeat the phase or copy the program manually from subdirectory exe of the upgrade
directory to directory /usr/sap/<SAPSID>/SYS/exe/run.
194 April 2001

Correcting Administrator Profile Problems on

Application Servers
Use
During the upgrade, the UNIX user profiles, and also the scripts for starting and stopping the
system, are automatically adjusted on the host with the central instance. The profiles on the
secondary application servers only need to be adjusted if the <sapsid>adm users do not have
the same home directory.
However, if necessary you can use R3up to update these profiles as well.
Procedure
1. Log on to the application server.
2. Mount the upgrade directory from the host with the central instance:
mount <host_name>:<upgrade_directory> /<new directory name>
3. Enter the following commands as user <sapsid>adm:
cd /<new directory name>
./R3up update_user
R3up displays every <sapsid>adm profile and asks you whether you want to replace it.
The templates for the new profiles are in the subdirectory exe/INSTALL of the upgrade
directory.
4. Confirm the update for the relevant profiles.
R3up replaces the placeholders in the templates and writes the result to the home directory
of <sapsid>adm.
April 2001 195

Providing SAP Local Support with Information

Use
If none of the measures described in Problems and Solutions During the Upgrade solves your
problem, contact your SAP Local Support. To enable us to help you as quickly and effectively as
possible, follow the procedure given here.
Procedure
If you encounter problems that are specific to the upgrade, create an error message in the
SAPNet – R/3 Frontend and assign it to the component BC-UPG. Answer the following questions
and put these answers in your SAPNet - R/3 Frontend customer message:
1. For which SAP component do you want to perform the upgrade?
2. Which release are you upgrading from? Which release are you upgrading to?
3. Which operating system version are you using?
4. What was the original release of your SAP System?
5. In which R3up phase does the error occur?
This information is listed at the end of the of the R3up.log file located in the upgrade
directory.
6. Did you have problems with the SAP System before upgrading?
Also provide us with the following logs (if they exist in the upgrade directory) using ftp on the SAP
support server that is closest to you (sapserv<x>) or by fax:
• R3up.log
• <name of the phase with errors>.ELG or the last file written with the .ELG suffix
and the detailed log file that contains the error message
• For the phases JOB_<name> or RUN_<name>, we also require
− Last job log of user DDIC written in client 000 (use transaction SM37 to find it)
− Last lines written in the system log of the SAP System (use transaction SM21 to find
them)
− Last short dump written to the system log at the time in question, if one exists (use
transaction ST22 to find this out).
• For transport phases we also require SLOG46D.
For more information about using the SAP support server to transfer files, see SAP Note 40024.
If you are certain that the problem is not an upgrade-specific one but a product-specific one,
assign your error message to the appropriate product-specific component. The following table
gives you information on the different components to which you can assign your message in
SAPNet - R/3 Frontend.
196 April 2001

SAP Product Component in SAPNet – R/3 Frontend

Index Management Server BC-SRV-TRX
OLTP R/3 System BC-UPG
R/3 Standalone Gateway BC-UPG
SAP Add-On BC-UPG-ADDON
SAP Advanced Planner & Optimizer APO-BAS
SAP Business Connector BC-MID-BUS
SAP Business Information Warehouse BW-SYS
SAP Business-to-Business Procurement BBP-SAD
SAP Customer Relationship Management
- Communication and Development Station CRM-MW
- CRM Server BC-MID-INT-SRV
- Internet Pricing and Configurator (IPC) CRM-MT-IU-SPE
- Mobile Client CRM-WBT-IU
- R/3 BC-UPG
SAP DrFuzzy Search Engine BC-SRV-TRX
SAP Frontend BC-INS
SAP Internet Transaction Server BC-FES-ITS
SAP Knowledge Management KM-KW
SAP R/3 Enterprise BC-UPG
SAP Strategic Enterprise Management BC-UPG-ADDON
SAP Web Application Server BC-UPG
SAP Workplace Server BC-UPG
SMART Installation BC-UPG
April 2001 197

Upgrade Administration
This section contains additional information on the various administrative tasks which are
necessary before and during the SAP upgrade.
• Using the Alert Function [Page 199]
• Determining the Operating System Version, Database Version and the SAP Release [Page
200]
• Executing PREPARE and R3up in Scroll Mode [Page 201]
• Isolating the Central Instance [Page 202]
• Changing the Database Recovery Mode [Page 205]
• Deleting Archived Upgrade Logs [Page 206]
• Using a Different Upgrade Directory [Page 207]
• Releasing and Confirming Open Repairs and Requests [Page 208]
• Reducing Upgrade Runtime in Modified Systems [Page 210]
198 April 2001

Alert Function
Use
Use the alert function to inform yourself if the upgrade waits for a long time, of if the upgrade
terminates (for example, due to an error).
Functions
• Alert file
An appropriate message appears on the screen if the upgrade stops. An alert file upalert.log
is also created in the sub-directory tmp of the upgrade directory, to indicate that action is
necessary. You can use this to notify the system administrator, for example by telephone,
and minimize downtime. This alert file is deleted when the upgrade is continued.
• Alert Function of the Upgrade Assistant
When you use the Upgrade Assistant for your upgrade, you can use an alert function, instead
of analyzing the alert file. You can then be informed if the control program R3up waits longer
than a predefined period of time for input. As with the alert file, you must also provide the
external software for starting a communication service.
Activities
To activate the alert functions of the Upgrade Assistant, go to the main menu of the Upgrade
Assistant and choose Administrator → Set Alert. You see the following screen:
You can get more information online in the Upgrade Assistant. Go to the main menu and choose
Help → Introduction, then go to the section ‘Set Alert’ window.
April 2001 199

Determining Versions
Determining the Operating System Version
At the UNIX level enter the following command:
uname -a
Determining the Database Version

SAP DB
Execute the following operating system command:
x_cons <SAPSID> show version
Informix
With the database running, enter the following command as user informix:
onstat -
Oracle
Execute the following SQL command:
SELECT BANNER FROM V$VERSION;
The first line of the output contains the Oracle server release.
Determining the SAP Release

You can determine the SAP Release by selecting System → Status in the SAP main menu.
200 April 2001

Executing PREPARE and R3up in Scroll Mode

Use
You can execute PREPARE and R3up in scroll mode. You need to do this if there is some reason
why you cannot use the Upgrade Assistant, or do not want to.
Executing PREPARE in Scroll Mode

To execute PREPARE in scroll mode, respond to the prompt for the display after you start
PREPARE with SCROLL. The commands for starting PREPARE for the first time [Page 66] are the
same for display mode Server (Upgrade Assistant) and display mode Scroll, since PREPARE is
started from the CD.
When you restart PREPARE you need to proceed as follows:
./PREPARE
When you are prompted for the display mode, enter SCROLL for the line-oriented mode.
Executing R3up in Scroll Mode

If you want to execute R3up in scroll mode, start the program as follows:
2. To run R3up, enter the following command:
./R3up [gt=SCROLL]
When you are prompted for the display mode, enter SCROLL for the line-oriented mode.
April 2001 201

Isolating the Central Instance

Use
You need to isolate the central instance so that only the upgrade program can work with the
system during downtime. This means that you can use the central instance exclusively for the
upgrade. R3up asks you to isolate the central instance when downtime begins.
During downtime, all users must be logged off the system. You can use Transaction SM02 to
inform the users logged on to the system.
Procedure
1. Stop and delete saposcol as user root:
./saposcol –d
./saposcol –d
Collector> leave
rm saposcol
2. The SAProuter in the directory /usr/sap/<SAPSID>/SYS/exe/run must not be active
while the new SAP Kernel is being imported. You have two options:
a. Stop the SAProuter now and restart it after the upgrade.
b. If you need the SAProuter during the upgrade, you can rename it as follows:
mv saprouter saprouter.busy
Delete saprouter.busy after you have started up the new SAProuter.
To get more information about the SAProuter :
− Enter saprouter at the operating system level. A list of all the parameters is displayed.
− See the documentation CD for the target release (SAP Library → Basis Components →
Kernel Components → BC SAProuter).
3. Make sure that no CRON job is scheduled that affects the system, such as starting and
stopping the SAP System, backing up the database or similar actions. This could affect
R3up's control of the system.
4. AIX
Check the restrictions for cpu, fsize and core for user <sapsid>adm. Enter the command
lsuser as user root.
These must have the following values:
cpu=-1
fsize=4194302
core=100000
202 April 2001

If this is not the case, change them with the command chuser (Entry: chuser cpu=-1
<sapsid>adm) and correspondingly for fsize and core.
These changes only take effect for user <sapsid>adm when you have logged on again as
<sapsid>adm.
Then start up the SAP System with stopsap and startsap.
End of AIX
5. For Source Releases 3.0x/3.1x Only: Delete scheduled actions in Transaction DB13.
As of Release 4.0B, Transaction DB13 uses different internal job formats. Since the old job
formats can no longer be read by Transaction DB13 after the upgrade, you must delete all
future schedules.
Proceed as follows:
a. Start Transaction DB13.
b. Double-click on the corresponding day in the header line in order to see the job overview
for this day.
c. Position the cursor on the job that you want to delete and choose Delete.
d. Execute b) and c) until all jobs that were not yet executed have been deleted.
6. No background job other than RDDIMPDP may be active during the upgrade.
As of Source Release 4.5B, these jobs are automatically descheduled by R3up .
For all other source releases, you have to cancel the release of all background jobs except
RDDIMPDP before the upgrade. You must do this in every client.
To do this:
a. Log on as user DDIC in the relevant client.
b. Call Transaction SM37.
c. Determine the jobs involved.
Fill in the necessary information on the screen Select background jobs as described in
the example below. In the field Start date, check that the from date is in the past. The To
date must be far enough in the future that you can display the background jobs which
could become active during the upgrade.
d. Choose Execute.
e. Cancel the release by choosing: Job → Schedule Job → Cancel.
f. Special feature in client 000
The background job RDDIMPDP must be scheduled in client 000. If this is not the case,
schedule it by executing the report RDDNEWPP (Transaction SE38).
The upgrade is not affected if RDDIMPDP is also scheduled in other clients.
7. Make sure that no change of operation mode is defined on the central instance during the
upgrade. If this is the case in normal operation, use Transaction SM63 to either choose a
single operation mode for all time spans or delete all the assignments.
8. Clean up all outstanding updates as described in Evaluating Results from PREPARE [Page
87] when the message Update records still exist - Please process appears.
April 2001 203

9. Shut down all application servers, if there are any (secondary SAP instances).
10. Make sure that you can recover the database to its current state.
11. Back up your upgrade directory now if you chose strategy A_switch or A_on.
If a hardware problem occurs during downtime, you may have to reset the upgrade to its
status when the system was isolated. So that R3up has the correct control information, the
upgrade directory must have the same status as at the beginning of the phase
MODPROF_TRANS.
12. You can lock the database against remote access. Contact the database administrator.
Make sure that no transport requests are imported into the system during
downtime. Otherwise you may lose data. For example, by manually importing
requests for the automatic adjustment, you may lose all your modifications to the
SAP standard.
13. DB2 for OS/390
For Source Releases up to and including 4.0.B only: Partitioning of tables VBDATA,
VBDHR and VBMOD
If you want to partition the tables VBDATA, VBDHR and VBMOD as described in Note
122599, then you must reset the partitioning of these tables now and recreate them in
segmented tablespaces. These tables are now empty. To reset the partitioning, delete the
corresponding tablespace and recreate the table with Transaction SE14.
This only applies to these three basis tables. Application tables remain
partitioned.
204 April 2001

Changing the Database Recovery Mode

Use
If you use the upgrade strategies A_switch and A_off, you need to change the recovery mode of
the database at the beginning and end of downtime.
Procedure
SAP DB
The recovery mode is changed automatically by R3up.
When you set LOGRETAIN and USEREXIT to OFF, make sure that you can restore the current
state of the database. If the last full backup was a long time ago and the number of archives
collected up to that point is large, SAP recommends performing a full backup before setting the
parameters to OFF.
Informix
Ensure that the current state of the database can be restored when backup mode is deactivated.
If the last complete backup was some time ago and a large amount of logical log files has been
created since, make a complete backup of the current database state before deactivating the
backup mode.
Deactivate the backup mode as follows:
1. Stop the database as user informix with:
onmode -yuk
2. Edit the file $INFORMIXDIR/etc/$ONCONFIG as user informix and change the parameter
LTAPEDEV to /dev/null.
3. Start the database as user informix with:
oninit
Oracle
When you deactivate database archiving, you must make sure that the current state of the
database can be recovered. If the last complete backup was some time ago and a large set of
archives has since been collected, we recommend a complete backup of the current status of the
database before deactivating archiving.
Deactivate the archiving as follows:
1. Log on as user ora<sapsid>.
2. Start the program sapdba and use the option Archive Mode → Toggle Database log mode.
In the same way as when you deactivate the archiving, you can reactivate it as user ora<sapsid>
with the program sapdba.
April 2001 205

Deleting Archived Upgrade Logs

Use
You can make more space by deleting archived logs from earlier upgrades that you no longer
need.
Procedure
To do this, delete the subdirectories <target_release> along with their contents:
/usr/sap/trans/upgrade/<SAPSID>/<target_release>
If you no longer need the logs of the upgrades to 3.0D and 3.0F, then you can
delete the subdirectories 30D and 30F:
/usr/sap/trans/upgrade/P11/30D
/usr/sap/trans/upgrade/P11/30F
/usr/sap/trans/upgrade/P11/30I
.....
/usr/sap/trans/upgrade/T11/30D
/usr/sap/trans/upgrade/T11/30F
/usr/sap/trans/upgrade/P11/30I
.....
206 April 2001

Using a Different Upgrade Directory

Use
You can use an upgrade directory other than /usr/sap/put/. This is useful if you have several
SAP Systems on a single host and you want to upgrade them all to a new release.
The name of the directory must include put, for example /usr/sap/put_C11/ or
/free/PRD_put/.
Prerequisites
In the instance profile of the SAP System, you have to set the parameter DIR_PUT to the
upgrade directory that you want to use:
DIR_PUT = <upgrade_directory>
R3up checks at startup if the entry in the instance profile matches the specified upgrade
directory.
Procedure
Call PREPARE or R3up with the following parameter:
PREPARE upgdir=<upgrade_directory>
R3up upgdir=<upgrade_directory>
You must specify the parameter upgdir each time you call PREPARE or R3up, otherwise the
default value /usr/sap/put is used.
If you want to use another upgrade directory, make sure that no /usr/sap/put/
directory exists on this host.
April 2001 207

Releasing and Confirming Open Repairs and

Requests
Use
Before starting to upgrade, release and confirm all open repairs and requests that conflict with
the SAP delivery. PREPARE determines a list of these repairs and requests. If you ignore open
repairs, you could lose modifications.
To release and confirm open repairs, you must log on to the system as the owner of the repairs.
You can find the user names of the owners in CHECKS.LOG.
Procedure in Release 3.x:

1. Log on to the SAP System as the owner of an open repair.
2. Enter Transaction SE01.
3. Choose Find.
You can also release the repairs from the Workbench Organizer (Transaction
SE09).
4. Make sure that the field User name contains the correct name.
5. Enter REPA in the field Type.
Leave all the other default values unchanged.
6. Choose Execute.
A list of all the open repairs for this owner appears.
7. Select the repair that you want to release.
8. Choose Repair → Release repair.
9. If the repair is assigned to a higher-level transport request, this transport request must also
be released.
If you are unable to log on with a specific user ID, you can change the owner of
the repair in Transaction SE01.
1. In the list of open repairs, position the cursor on the repair.
2. Choose Edit → Change owner.
To be able to change an owner in Transaction SE01, you need project
authorization for the Workbench Organizer (S_CTS_PROJEC).
208 April 2001

Procedure in Release 4.x:

1. Log on as the owner of the open repair.
If you are unable to log on with a specific user ID, you can change the owner of a
repair as follows using Transaction SE09:
In the list of open repairs, position the cursor on the repair.
Choose Change owner.
To be able to change an owner in Transaction SE09, you need project
authorization for the Workbench Organizer (S_CTS_PROJEC).
2. Enter Transaction SE09.
3. Choose Request/task → Find requests…
4. Choose as the Request type only the task Repair.
5. For Request status, select everything except Released.
6. Choose Execute.
A list of all open repairs for the selected user appears.
7. Position the cursor on the request that you want to release.
8. Choose Release.
9. The repair must be confirmed. If it is not confirmed, choose Request/task → Confirm repair.
10. Release the request to which the repair is assigned.
April 2001 209

Reducing Upgrade Runtime in Modified Systems

Use
Under certain conditions, the Repository Switch automatically copies objects from the SAP
namespace to the new Repository.
• You modified the object, however, there are no conflicts with changes made by SAP.
• You created the object as a new object.
The Repository Switch detects these objects using the requests with which they were created or
changed. If many objects were at one time modified in your system, but now are no longer
classed as modified, then you can speed up the upgrade. To do this, you need to specify that
R3up excludes any objects that no longer count as modified from being copied to the Repository.
This alternative is based on the modification status of the objects, administered by the
Modification Assistant as of Release 4.5A.
Prerequisites
You must have at least Source Release 4.5A.
You cannot have finished the PREPARE preparation phase.
Procedure
1. Use Transaction SE95 (Modification Browser) to display all objects that have been modified
in your system, and check whether the list is complete.
Do not use this runtime optimization option if you are not sure whether the list is
complete. Only those objects are copied that appear here.
2. If PREPARE is still active, exit it by choosing exit.
3. Enter the following commands at the operating system level as user <sapsid>adm:
R3up set sapmodi
4. Choose Yes to confirm that you want to restrict the objects copied to those displayed in
Transaction SE95.
5. Restart PREPARE.
The change now takes affect.
6. Use the PREPARE module Modification support to check that the amount of objects copied
has been restricted.
This module writes the object list SAPKCCR<target release>. The corresponding log is
called CUSTEXP.<SAPSID>.
210 April 2001

Upgrade Tools
The following tools support you in upgrading the SAP System:
• PREPARE
• R3up
• Upgrade Assistant
• Upgrade Monitor
April 2001 211

PREPARE
Use
Use the PREPARE program to prepare your SAP System for the upgrade.
• You can execute this program while the system is running.
• It checks the requirements for the upgrade and provides further information when executing
the optional module.
• Import a number of tools into your database.
• It copies data and programs to the upgrade directory.
PREPARE performs the majority of the required checks automatically. Afterwards, you must also
check the operating system, database and SAP System manually as well.
Integration
When the upgrade is started, R3up assumes that the mandatory modules have run through
successfully. R3up then repeats a number of the checks (not all of them), since production
operation could have created a new situation.
Prerequisites
You must meet a number of requirements before you run the PREPARE program. These are
described in the section User Actions Before Starting PREPARE.
Functions
All the actions performed by PREPARE execute in phases. These phases are combined into
PREPARE modules. A complete list of the modules and the phases which execute in these
modules can be found in the phase list for PREPARE.
The PREPARE modules have the following features:
• They can be mandatory or optional.
• They can have predecessors which must first be executed. For example, the analysis tools
must be imported before they can be executed.
• There are PREPARE modules which you must only execute once and those which you can
execute as often as you require.
• PREPARE modules can be executed individually.
The following graphic gives an overview of all the PREPARE modules and their predecessors.
212 April 2001

Parameter
entry
Initialization
Import
CD Read
Optional
General Activation Required checks Modification Preliminary
checks for
checks checks for conversions support execution
conversions
For more information about the contents and features of the PREPARE modules, see the online
help for PREPARE. You can find it easily by choosing Help when selecting the modules.
Results of PREPARE
PREPARE writes the results for the modules that you selected for execution to the file
CHECKS.LOG. This file is in the subdirectory log of the upgrade directory.
Look at this file and carry out the necessary measures based on the information it contains. To
be sure that all the requirements are met, you can choose certain PREPARE modules more than
once. If the file CHECKS.LOG already exists, it is overwritten each time a module is executed
again. Its contents are saved in file CHECKS.SAV.
Activities
• Start PREPARE as soon as possible before the upgrade so that you can initiate or perform the
necessary preparations in time.
• After you start PREPARE, you may need to import software, such as SAP Support Packages,
languages, or add-ons (and add-on updates). For more information, see Importing Software
after Starting PREPARE.
April 2001 213

PREPARE Phase List

PREPARE Module Parameter Input
Phase Actions Taken by Log User Actions
PREPARE
BEGIN_PRE Checks upgrade
directory
INITPUT_PRE Initialize R3up Enter parameters
DB2 Universal DB2 Universal DB2 Universal
Database Database Database
Update database DB6RUNST.LOG Choose MEDIUM
statistics or HIGH
DB2 for OS/390 DB2 for OS/390
Tests JCL Test JCL
submission submission
Start second ICLI
server
DBCHK_PRE Determines DB and
SAP version
INIT_CBU_REQ_READ ---
NOTE
CHECKGROUP_END End of module
PREPARE Module Initialization

PREPARE
DBCHK_INI Determines DB and
SAP version
RFCCHK_INI Tests the RFC RFCCHK_INI.LOG
connection
VERSCHK_INI Checks SAP version Upgrade to a valid
source release, if
necessary
VALCHK_INI Tests target system: VALCHK.LOG
is it a preliminary
version? (Cannot
upgrade the system)
CLNT_CHK_INI Checks whether CLNTOUT.LOG Unlock clients for
clients are locked for EXECCT.LOG SAP upgrade, if
SAP upgrade necessary
214 April 2001

PATCH_CHK1 Determines non- PATCHOUT.LOG Use transaction

confirmed Support EXECPT.LOG SPAM to confirm
Packages and any unconfirmed
displays results Support Packages
INTCHK_INI Check whether the
inactive nametab is
empty
SPACECHK_INI Check free space in DBFPREP.LOG Extend free disk
DB space, if necessary
KRN_CHK_INI Checks the version of KRN_CHK.LST Import current
the SAP Kernel downward-
compatible Kernel,
if necessary
DBPREP_CHK ---
PREPARE Module Import

PREPARE
REQIMPORT Displays prompt Confirm execution
of Import module
READDATA0 Reads data files for Mount Upgrade
Source Releases CD1
3.0D or 3.0F and
data files required for
all source releases
from Upgrade CD1
READDATA1 Source Releases Source Releases
3.1H, 3.1I or 4.0B: 3.1H, 3.1I or 4.0B:
reads data files from Mount Upgrade
Upgrade CD2 CD2
READDATA2 Source Releases For Source
4.5B, 4.6A or 4.6B: Releases 4.5B,
reads data files from 4.6A or 4.6B:
Upgrade CD3 Mount Upgrade
CD3
CPYFIL0_CBU ---
EXEC_CPYFIL1_CBU ---
INFO_STORE_READ ---
CONFCHK_IMP Tests operating If necessary,
system and database upgrade OS or DB
April 2001 215

version to required version

CNV_CHK_IMP Determines Make conversions
outstanding (after discussion
conversions and with Basis
restart logs of consultant), if
terminated necessary
conversions
ICNVCHK_IMP Checks whether ICNVCHK.LOG Complete
incremental ICNVLIST.LOG incremental
conversion from ICNVCOUNT.LOG conversion with
previous upgrade has ICNVEX.LOG transaction ICNV, if
finished necessary
SCRIPT_CHK_TOOL3 Source Release 3.x: CNVTST.LOG
Avoids critical CLCNVTST.LOG
conversions in tool SCRIPTCHK.LOG
import CLCNVTAB.LOG
SCRIPT_CHK_TOOL4 Source Release 4.x: CNVTST.LOG
Avoids critical CLCNVTST.LOG
conversions in tool SCRIPTCHK.LOG
import CLCNVTAB.LOG
TRBATCHK_IMP Checks whether table Perform any
TRBAT is empty actions specified by
R3up
CLNT_CHK_IMP Checks whether CLNTOUT.LOG Unlock clients for
INTCHK_IMP Check whether the
inactive nametab is
empty
SPACECHK_IMP Check free space in DBFPREP.LOG Extend free disk
PATCH_CHK2 Determines non- PATCHOUT.LOG Use transaction
displays results Support Packages
NTHISTCRE Creates tables for NTABHIST.LOG
nametab
administration so that
new tools have
access
ALTER_TO Deletes tables that ALTER_TO.LOG
describe the delivery
TOOLIMPD1 Source releases 3.0x TOOLIMPD.ELG
and 3.1x: Prepares
ABAP Dictionary for
216 April 2001

upgrade tools
TOOLIMPD2 For source release TOOLIMPD.ELG
4.0B, prepares ABAP
Dictionary for
upgrade tools
TOOLIMPD3 For source release TOOLIMPD.ELG
4.5B, prepares ABAP
Dictionary for
upgrade tools
MVNTAB_TOOL Activates nametabs MVNTTOOL.LOG
for upgrade tools MVNTTOOL.ELG
TOOLIMPI Imports tools for SAP TOOLIMPI.ELG
upgrade
TOOLIMPM Imports tools for SAP TOOLIMPM.ELG
upgrade
NPREPCRE0 Imports tables that PREPIMP.ELG
from Upgrade CD1
NPREPCRE1 Imports tables that DDYIMP.ELG
from Upgrade CD1
UVERS_INIT Writes entry in table UVERSINI.LOG
UVERS
UVERS_CHK_IMP Checks consistency UVERSCHK_IMP.
of table UVERS LOG
BATCHCHK_IMP Tests whether BATCHCHK_IMP.
background server LOG
can access the
upgrade directory
JOB_RSCVINIT Initializes table PSCVINIT.LOG
CVERS PSCVINIT.ELG
READPUTTB Reads table PUTTB RDPUTTB.LOG
and store in file
system
JOB_RDDGENRS Generates tool RDDGENRS.LOG
reports
RUN_RDDITCUG Generate CUAs PDDITCUG.LOG
PDDITCUG.ELG
RUN_RSINCGEN_IMP Adapts ABAP include PSINCGEN.LOG
RSTABINC to the PSINCGEN.ELG
system
PRE_IMPORT0 ---
April 2001 217

PRE_IMPORT1 ---
PREPARE Module Read CD

PREPARE
ADDSPAREQ_0 Prepare space
check on DB
JOB_CBUIFCHK ---
EXECIS Determines add-ons EXECIS.LOG
IS_CHK Displays installed ISOUT.LOG Add add-ons
add-ons manually, if
necessary, or
confirm with
nothing else
IS_READ Copies data for add- Mount add-on CDs,
ons to the upgrade if necessary
directory
PATCH_CHK3 Determines PATCHOUT.LOG Use transaction
unconfirmed Support EXECPT.LOG SPAM to confirm
checks if the source Support Packages
release contains
If necessary, check
Support Packages
using Note 73510 if
that are more recent
upgrade can be
than the version of
performed or which
the target release.
Support Packages
are equivalent in
the target release.
BIND_PATCH Includes Support PATCHINT.LOG Include Support
Packages for the Packages in the
target release upgrade, if
necessary
EXECLANG Determines installed EXECLG.LOG
languages
LANG_CHK Checks whether the LANGOUT.LOG Delay upgrade until
new release supports next release, if
the installed necessary
languages
Source release
Source release 3.0D: 3.0D: enter
determines language language area, if
area necessary
218 April 2001

LANG_SELECT Copies data for LANGSEL.LOG Mount language

language import to LANGSEL.ELG CDs. Confirm
the upgrade directory PEVALLAN.<SID> language selection,
if necessary.
TR_CMDIMPORT_ Imports piece lists for PCMDIMP.LOG
PATCH included Support PCMDIMP.ELG
Packages
TR_TODIR_MERGE_ Merges included
PATCH Support Packages
with the delivery
directory
GETSPAREQ_N Determines DBFINTEQ.LOG
freespace needed for
the language data on
the database
ADDSPAREQ_N Prepare space check
on DB
ADDSPAREQ_T Prepare space check
on DB
ADJUSTPRP Prepares adjustment ADJUSTPRP.ELG If necessary, select
calculation: if command file
necessary, imports
command file marked
in another system
ISC_IMP Imports command ISC_IMP.ELG
files for add-ons
IS_MERGE Evaluates command
files imported in
ISC_IMP
JOB_RDDIT021 Merges add-ons with PDDIT021.LOG
the delivery directory PDDIT021.ELG
TR_TRK2HEAP_ADDON Places add-on TPSHBUF.LOG
upgrade requests in
the R3up buffer
INTEG_PATCH Selects Support INTGPTCH.LOG
Package integration
file and includes the
contained requests
TR_HYP2HEAP_ICNV Writes ICNV add-on TRICVNBUF.LOG
candidates to the
R3up buffer
ICNV_CND_IMP Imports the ICNV ICNVCNDI.ELG
add-on candidates
ICNVXRQ Checks the ICNVXRQ.LOG
April 2001 219

prerequisites for ICNVXRQ.ELG

ICNV and filters DDICNV.LOG
candidates for ICNV
ICNVINIT Checks the volumes ICNVINIT.LOG
of the candidates, ICNVINIT.ELG
initializes ICNV tables DDICNV.LOG
with the successful
candidates
ICNVREQ_PRP Prompts you to call ICNVREQP.LOG Call transaction
transaction ICNV ICNVREQP.ELG ICNV, if necessary
after candidates have ICNVCAND.LOG
been written to the DDICNV.LOG
ICNV tables
UVERS_UP_T Changes status in
table UVERS
PREPARE Module General Checks

PREPARE
CONFCHK Tests operating If necessary,
system and update OS or DB
database version to required
version
SPACECHK_GEN Check free space in DBFPLUSD.LOG Extend free disk
FREECHK Checks disk space Increase disk
for logs and Kernel space, if necessary
Checks whether the If necessary, check
SAP Kernel can be write authorizations
overwritten. for SAP Kernel.
REPACHK Determines SAP REPACHK.LOG Release repairs
objects locked in and requests, if
repairs or requests necessary
CNV_CHK_GEN Determines Make conversions
outstanding (after discussion
conversions and with Basis
restart logs of consultant), if
terminated necessary
conversions
TRBATCHK_GEN Checks whether Perform any
table TRBAT is actions specified by
empty R3up
220 April 2001

CLNT_CHK_GEN Checks whether CLNTOUT.LOG Unlock clients for

JOB_RS_NAMT_CL ---
NTACT_CHK Checks the NTCHK.ELG Perform any
consistency of the NTCHK.LOG actions specified by
nametab entries R3up
INTCHK_GEN Check whether the
inactive nametab is
empty
SINXCHK Checks the Delete indexes, if
consistency of the necessary
indexes in the
substitution tables
VIEWCHK Checks collisions VIEWCHK.LOG Delete tables, if
between customer necessary
tables in the SAP
namespace and
delivered views
ENVCHK_PRE Checks whether If necessary assign
profile of user write authorization
<sapsid>adm can to the user profile
be modified
FRONTREQ_PRE Displays information Upgrade the
about the upgrade of frontend software, if
the frontend software necessary
UVERS_CHK_GEN Checks consistency UVERSCHK_GEN.
of table UVERS LOG
BATCHCHK_GEN Tests whether BATCHCHK_GEN.LOG
background server
can access the
upgrade directory
PROFCHK Checks if the profile PROFCHK.LOG Correct entries with
names specified in R3up set
INITPUT correspond stdpar, if
to the names used necessary
by the system
JOB_RXPRECHK_PRE Preliminary checks PXPRECHK.LOG
for XPRA PXPRECHK.ELG
RLXPRA40
JOB_RSVBCHCK1 Checks whether PSVBCHCK.LOG Delete any
outstanding updates PSVBCHCK.ELG terminated updates
exist
April 2001 221

PREPARE Module Activation Checks

PREPARE
JOB_RADDRCHK Prepares for PADDRCHK.LOG Correct name
renaming the data PADDRCHK.ELG conflicts as
elements described in Note
96905
ACTREF_CHK Checks whether RSTODIRX.LOG Remove references
activation errors RSTODIRX.ELG to SAP data
could occur during elements and
the upgrade domains
PREPARE Module Necessary Checks for Conversions

PREPARE
CNV_AVOID Finds tables that can RSUPGTAA.LOG If necessary reduce
be reduced in size RSUPGTAA.ELG size of tables as
before the upgrade to described in Note
speed up the 76431
conversion
JOB_RSCNVADR Prepares for the PSCNVADR.LOG If necessary, start
address data PSCNVADR.ELG report for preparing
conversion the address data
conversion as
described in Note
82167
PREPARE Module Optional Checks for Conversions

PREPARE
CNV_LIST Determines tables TABCONV.LST
that are converted RSUPGTAL.LOG
during the upgrade RSUPGTAL.ELG
(known to SAP) and
writes them to a file
for information
purposes
ADDSPAREQ_AD Totals results of all
space checks
222 April 2001

DYNSPCADD Checks space DYNSPC.LOG

requirements in the
database
dynamically:
1. Space needed
temporarily for
conversion
2. Space for new
secondary
indexes
SPACECHK_OPT Check free space in DBFPLUSD.LOG Extend free disk
PREPARE Module Modification Support

PREPARE
RUN_RDDIT006_PRE Determines collision DIFFCALC.LOG Contact SAP to get
with central Basis DIFFCALC.ELG modifications to
objects central Basis
objects, if
necessary
ADJUSTCHK_PRE Determines objects to ADJUSTCK.LOG Use transaction
be adjusted ADJUSTCK.ELG SPDD or SPAU to
(preparation for ADJUSTMT.INF display
SPDD and SPAU) modifications
PREPARE Module Pre-Processing

PREPARE
RUN_RSWBO230_ Deletes SAP PSWBO230.LOG
PRE requests from PSWBO230.ELG
previous upgrades
April 2001 223

R3up
Use
R3up controls the entire upgrade process for an SAP System, from checking the requirements, to
importing the necessary programs, to restarting production operation. This occurs sequentially in
phases where one phase must end successfully before the next one can begin. For a complete
list of all phases, refer to the following Phase Lists for R3up.
At the beginning of its run, R3up repeats all essential checks made by PREPARE. During the
checks, you can still use the SAP System productively. When downtime begins and how long it
lasts depends on the strategy you choose. The upgrade strategies are differentiated by the type
of backup, the disk space requirements, and when production operation stops.
In the individual phases, R3up starts various tools, checks the results and creates a series of
logs. These logs are stored in the log subdirectory of the upgrade directory. There you can also
find the main log file R3up.log.
The Upgrade Monitor lets you follow the upgrade as it occurs, and helps you recognize frozen
processes.
Prerequisites
The mandatory PREPARE modules have run successfully.
Activities
• You start R3up. You can find a list of all R3up phases under Phase List for R3up.
• You can stop R3up at the beginning of a specific phase or at the beginning of the next
phase.
For example, you need to do this if a Note tells you to correct a program before you execute
it.
• You can continue the upgrade by restarting R3up. Normally, you only need to restart the
upgrade if errors occurred or an upgrade phase has terminated. In this case, R3up stops and
gives you several modes for restarting the upgrade. If you choose the default value repeat,
R3up makes the necessary checks and then starts at the point in the phase where the
program terminated.
224 April 2001

R3up Phase List

Explanations of the columns:
• Duration (percentage)
This phase takes up this percentage of the total runtime of R3up. This is based on the
upgrade from 3.x to 4.6C. Some phases are considerably shorter when you upgrade from 4.x
to 4.6C.
1)
If a phase is marked with comment , the runtime depends to a great extent on your own
data. The percentage duration of these phases can be very different in your upgrade.
The runtime depends on the following criteria:
− Amount of customer data
− Number of SAP applications used
− Amount and type of modifications and customer developments
− Number of clients
• Log
2)
If a phase name has comment , not all the logs can be specified in this column. If you have
a problem, also read the section Logs under Troubleshooting.
• User Actions
If nothing is entered here, R3up does not require an operator at this point, otherwise R3up
requests that you make the entries described.
The following assumptions are made:
− Only one CD drive is used.
− You have not specified a latest time at which you want to go live (query define
upgrade stop in the INITSUBST phase).
R3up Upgrade Phases

Phase Duration Actions Taken by Log User Actions
(percent R3up
age)
BEGIN <1% Checks upgrade
directory
INITPUT --- Initialize R3up Enter parameters
DB2 DB2 Universal DB2 Universal DB2 Universal
UDB Database Database Database
1% Update database DB6RUNST.LOG Choose MEDIUM or
statistics HIGH
DB2 for OS/390
Checks parameters,
April 2001 225

ICLI server and JCL

submission service
DBCHK <1% Determines DB and
SAP version
VERSCHK <1% Checks SAP version Upgrade to a valid
source release, if
necessary
UVERS_CHK <1% Checks consistency of UVERSCHK.LOG
table UVERS
BATCHCHK <1% Tests whether BATCHCHK.LOG
background server can
access the upgrade
directory
PATCH_CHK <1% Determines non- PATCHOUT.LOG Use transaction
Packages and displays any unconfirmed
results Support Packages
CLNT_CHK <1% Checks whether CLNTOUT.LOG Unlock clients for
INTCHK <1% Check whether the
inactive nametab is
empty
KEY_CHK --- Queries keyword from Enter keyword for
Note the upgrade
If necessary, asks for Enter password for
keyword for industry industry solution, if
solution necessary
INITSUBST --- Initializes for Enter parameters
Repository Switch
CONFCHK_X <1% Tests operating If necessary,
system and database upgrade OS or DB to
version required version
VIEWCHK1 <1% Determines collisions VIEWCHK1.LOG Delete tables, if
between delivered necessary
views and customer
tables in the SAP
namespace - used
only for information
REPACHK1 <1% Determines SAP REPACHK1.LOG
objects locked in
repairs or requests
FRONTREQ --- Informs users that they Confirm
must import a new
226 April 2001

version of the SAPGUI

JOB_RSVBCHCK2 <1% Checks whether PSVBCHCK2.LOG Delete any
outstanding updates PSVBCHCK2.ELG terminated updates
exist
RUN_RSWBO230 <1% Deletes SAP requests PSWBO230.LOG
from previous PSWBO230.ELG
upgrades
JOB_RXPRECHK <1% As in PREPARE PXPRECHK.LOG
PXPRECHK.ELG
ICNVREQ <1% Prompts you to start ICNVREQ.LOG Call transaction
ICNV if there are ICNVREQ.ELG ICNV, if necessary
candidates for the ICNVCAND.LOG
ICNV, but ICNV has
not yet been started
JOB_RDDPURI2 <1% Deletes incorrect PDDPURI2.LOG
templates for Create PDDPURI2.ELG
Table statements
SPACECHK_ALL <1% Checks freespace in DBFPLUSD.LOG Extend the
the database database, if
necessary
SAP DB
SAP DB
Checks database
parameter MAXLOCKS Raise the MAXLOCKS
parameter to the
minimum value, if
necessary
FREECHK_X <1% Checks freespace in Confirm
file system
Enlarge the file
system, if necessary
JOB_BTCTRNS0 <1% As of Source Release BTCTRNS1.LOG
4.5B: Deschedules BTCTRNS1.ELG
background jobs
LOCKEU_PRE <1% For strategies LOCKEUPR.LOG For strategies
A_switch and A_on: A_switch and A_on:
Prompts time when Respond to prompt
ABAP Workbench for lock time
should be locked
EU_IMPORT0 <1% If necessary, stops EU_IMP0.LOG For strategy A_off,

system. EU_IMP0.ELG isolate the central
instance and stop all
Imports information on
application servers
code page conversion
from Upgrade CD3 Mount CD Upgrade
into shadow area CD3
April 2001 227

EU_IMPORT1 <1% Creates substitution EU_IMP1.LOG Mount CD Upgrade

tables for ABAP loads EU_IMP1.ELG CD3
EU_IMPORT2 <1% Creates ABAP tables EU_IMP2.LOG Mount CD Upgrade
EU_IMP2.ELG CD3
DB2 for OS/390
Edit RUNSTATS
jobs, if necessary
EU_IMPORT3 2% Imports substitution EU_IMP3.LOG Mount CD Upgrade
set from Upgrade CD3 EU_IMP3.ELG CD3
into the shadow tables


EUVIEWIMP <1% Imports views of ALTER34V.LOG

shadow tables
STARTR3_IMP <1% Starts system if it was
stopped during
EU_IMPORT0
REPACHK2 <1% Determines SAP REPACHK2.LOG Confirm locks for
objects locked in ABAP Workbench if
repairs or requests not yet done in
LOCKEU_PRE
CNV_CHK_XT <1% Determines Make conversions
outstanding (after discussion with
conversions and Basis consultant), if
restart logs of necessary
terminated
conversions
TRBATCHK_XT <1% Checks whether table Perform any actions
TRBAT is empty specified by R3up
TR_BUF2HEAP_ <1% Puts upgrade requests TPSHBUF.LOG
INSTIMP of the buffer TRB2H.LOG
INSTIMP.BUF into the
R3up buffer
TR_BUF2HEAP_ <1% Puts upgrade requests TPSHBUF.LOG
TABULONG of the buffer TRB2H.LOG
TABULONG.BUF into
the R3up buffer
TR_APPENDBUF_ <1% Copies upgrade TRAPPB.LOG
228 April 2001

UPG requests from the

R3up buffer to the
hyperbuffer
TR_CMDIMPORT_ <1% Command file import TRCMDUPG.ELG
UPG of upgrade requests TRCMDUPG.LOG
NEWTAB_CHK <1% Determines which NEWTABCK.LOG
tables are new in this
release
NEWTAB_CRE 2% Creates tables that are NEWTABCR.LOG
new in this release
LIST_LOAD <1% Creates list of LISTLOAD.LOG
programs to generate
after upgrade
JOB_RDDTAXIT <1% Selects generated SYSPREP.LOG
objects SYSPREP.ELG
SUBSTNT_INS <1% Creates nametab STBNTINS.LOG
entries for the new
substitution tables
RUN_RSINCGEN <1% Generates include PSINCGEN.LOG
program for access to PSINCGEN.ELG
the substitution tables
RUN_RDDIT0061) 1% Determines deviations DIFFCALC.LOG
of the current system DIFFCALC.ELG
from the future SAP
standard (objects and
modifications that have
to be copied)
ADJUSTCHK1) <1% Determines DDIC ADJUSTCK.LOG Confirm R3up
objects to be adjusted ADJUSTCK.ELG message, if
ADJUSTMT.INF necessary
SHADOW_CAND_SEL <1% Determines candidates SHDTSEL.LOG
for shadow import SHDTTABS.LOG
SHDTTABS.ELG
SHADOW_PUTTB_ <1% Generates entries in SHDTABU.LOG
FILL PUTTB for shadow SHDTABU.ELG
import
SHADOW_NTACT_CP <1% Generates nametabs NTSHDCP.ELG
of the shadow tables in NTSHDCP.LOG
the shadow nametab PN*.SID
PREPPCON_INIT <1% Prepares parallel DDL PREPCON.LOG
processing in PCON XTTSIZE0.LOG
RUN_RDDNT4MD <1% Adjusts structural PDDNT4MD.LOG
changes to the source PDDNT4MD.ELG
release
April 2001 229

RUN_RDDNT4DL <1% Prepares nametabs in PDDNT4DL.LOG

the shadow tables for PDDNT4DL.ELG
the new tables
JOB_RSPUSCAD1) <1% Export documentation PSPUSCA4.LOG
created/modified by PSPUSCA4.ELG
the customer
DIFFEXPADD <1% Copies objects for DIFFEXPA.ELG
add-ons to the shadow DIFFEXPA.LOG
tables
DIFFEXPGEN1) 2% Copies generated DIFFEXPG.LOG
objects to the shadow DIFFEXPG.ELG
tables
DIFFEXPMOD1) <1% Transfers unsent DIFFEXPR.LOG
modified objects to the DIFFEXPR.ELG
shadow tables
DIFFEXPCUST1) <1% Copies customer DIFFEXPC.LOG
developments to the DIFFEXPC.ELG
shadow tables
DIFFEXPDDIV <1% Exports inactive DDIC DIFFEXPD.LOG
versions DIFFEXPD.ELG
DIFFEXPDOCU1) <1% Exports customer DIFFEXPO.LOG
extensions to DIFFEXPO.ELG
documentation on SAP
objects
DIFFEXPCDOC1) <1% Exports the DIFFEXCO.LOG
documentation on DIFFEXCO.ELG
customer objects
DIFFEXPMDOC1) <1% Exports modifications DIFFEXMO.LOG
to documents DIFFEXMO.ELG
DIFFEXPTSAP1) <1% Exports local private DIFFEXPT.LOG
objects and tests DIFFEXPT.ELG
objects in SAP
namespace
SHADOW_IMPORT_ <5% Imports upgrade data SHDALLIMP.ELG
ALL and language data into
the shadow tables and
the new tables
SHADOW_IMPORT_ <5% Imports Support SHDREPIMP.ELG
REP Package data and
add-on data into the
shadow tables
JOB_RDDSAVTE <1% Copies technical PDDSAVTE.LOG
settings in DDIC PDDSAVTE.ELG
RUN_RDDCP4TB <1% Copies TADIR entries PDDCP4TB.LOG
230 April 2001

that have not been PDDCP4TB.ELG

delivered to the
shadow tables
RUN_RDDDL4TB <1% Deletes entries of PDDDL4TB.LOG
objects to be deleted PDDDL4TB.ELG
in the TADIR shadow
table
RUN_RSTRESNC <1% Copies namespace RSTRESNC.LOG
reservations to the RSTRESNC.ELG
shadow tables
NTACT_PREMV <1% Copies nametabs to NTMOVPRE.LOG
the shadow tables NTMOVPRE.ELG
VIEWCHK2 <1% Determines conflicts VIEWCHK2.LOG Delete tables, if
between delivered necessary
views and customer
tables in the SAP
name range
MODPROF_TRANS <1% Stops system and ALPXPOOL.LOG For strategies
changes profiles ALPXDEF.LOG A_switch and A_on,
isolate the central
instance and stop all
application servers
CONFCHK_BAS <1% Tests operating
system and database
version
STARTR3_TRANS <1% Starts system
JOB_BTCTRNS1 <1% As of Source Release BTCTRNS1.LOG
4.5B: Deschedules BTCTRNS1.ELG
background jobs
JOB_RDDPURIF <1% Deletes inconsistent PDDPURIF.LOG
values from tables PDDPURIF.ELG
SUBSTNT_DEL <1% Deletes nametab STBNTDEL.LOG
entries created in
SUBSTNT_INS
SHADOW_NTACT_ <1% Deletes nametabs of NTSHDDEL.LOG
DEL the shadow tables in NTSHDDEL.ELG
the shadow nametab
CNV_CHK_SW <1% Determines
conversions that
stopped
TRBATCHK_SW <1% Checks whether table
TRBAT is empty
INTCHK_SW <1% Check whether the
inactive nametab is
April 2001 231

empty
RUN_RDDYT2NT <1% Prepares conversion PDDYT2NT.LOG
of Basis tables PDDYT2NT.ELG
PRUN_RADISWTC <1% Completes incremental PADISWTC.LOG
conversion PADISWTC.ELG
CNV_CHK_ICC <1% Determines halted
conversions of the
incremental
conversion
NTACT_MV <1% Copies nametabs to NTMOVFIN.LOG
the shadow tables NTMOVFIN.ELG
NTACT_DEL 1% Adjusts nametabs of NTDELFIN.LOG
structures NTDELFIN.ELG
BASDDIMPORT2) <1% Imports DDIC source BASDDIMP.ELG
for tables relevant to
Basis
UVERS_UP_B <1% Changes status in
table UVERS
JOB_RSVBCHCK3 <1% Checks whether PSVBCHCK3.LOG Clear all outstanding
outstanding updates PSVBCHCK3.ELG updates
exist
JOB_RDDINDPR <1% Determines all INXPREP.LOG
secondary indexes INXPREP.ELG
JOB_RDDINDDL <1% Deletes inconsistent INXDEL.LOG
secondary index INXDEL.ELG
definitions for tables
relevant to Basis
JOB_CLTAF1 <1% Deletes table TATAF RDCLTAF1.LOG
RDCLTAF1.ELG
PORT_IMP2) <1% Imports requests for PORT_IMP.ELG
porting-dependent
modifications
STOPR3_DIST <1% Stops system
STARTR3_DIST <1% Starts system
RUN_PRELDIST <1% Prepares distribution DISTBPRE.LOG
run for the tables DISTBPRE.ELG
relevant for Basis
JOB_RDDGENBB <1% Distributor run for DISTBAS.LOG
tables relevant for DISTBAS.ELG
Basis
DUMP_CNV 1% Writes table contents DUMP_CNV.LOG
for external conversion DUMP_CNV.ELG
232 April 2001

to file system
DEL_CNV <1% Deletes table contents DEL_CNV.LOG
written to the file DEL_CNV.ELG
system from the
system
CNV_SUBMIT2) 1% Converts tables CNV_SUB.LOG
relevant to Basis CNV_SUB.ELG
STOPR3_BAS <1% Stops system
XTERN_CNV 2% Converts tables XTERN_CNV.LOG
externally and writes XTERN_CNV.ELG
contents into system XTERN_CNV.LST
ALTER_TAF <1% Special handling of ALTERTF.LOG
table TATAF
EU_SWITCH <1% Switches to new EUSWITCH.LOG
Repository
LOADCRE <1% Creates new ABAP LOADCRE.LOG
load tables LOADCRE.ELG
NTACT_RWR <1% Adjusts substituted NTRWR40.LOG
nametab entries for NTRWR40.ELG
DB objects to the
target system
NTACT_NOBD <1% Deletes inactive NTNOBD.LOG
nametabs of non- NTNOBD.ELG
database objects
UVERS_UP_S <1% Changes status in
table UVERS
ALTER_VBDAT <1% Creates table VBDATA ALTERVB.LOG
on the database
ALTER_D4V <1% Deletes views of the ALTERD4V.LOG
shadow tables
EXEC_SMOFF <1% Deactivates Session EXECSMF.LOG
Manager for the
upgrade
VIEWPRP <1% Cleans up conflicts VIEWPRP.LOG
between delivered
views and tables
delivered previously
VIEWIMP_BAS <1% Creates Basis views VIEWIMP.LOG
VIEWIMP.ELG
MODPROF_BAS2) <1% Stops system and ALPX.LOG
changes profiles ALPXDP.LOG
ENVCHK <1% Tests/switches
environment of the
April 2001 233

user <sapsid>adm
KX_SWITCH <1% Switches SAP Kernel KX_SW.LOG
TABUIMP_BAS2) <1% Imports (a few) table TABUIMP.ELG
entries needed to start
the system with the
new SAP Kernel
ALTER_DLG <1% Creates table DDLOG ALTERDLG.LOG
TABUIMP_WBO2) <1% Imports standard TABUWBO.ELG
transport layers
AREA_SET <1% Source Release 3.0D: LANGAREA.LOG
Sets table for the
language area
STARTR3_NBAS <1% Starts system
JOB_CLTAF2 <1% Deletes table TATAF RDCLTAF2.LOG
RDCLTAF2.ELG
JOB_RSWBOUP1 <1% Initializes and adjusts RSWBOUP1.LOG
tables for Workbench RSWBOUP1.ELG
Organizer
JOB_RDDNEWPP <1% Reschedules RDDNEWPP.LOG
RDDIMPDP RDDNEWPP.ELG
JOB_RSUMOD03 <1% Initializes new RSUMOD03.LOG
administration of RSUMOD03.ELG
customer modifications
JOB_RPU510Q2 <1% Clears defective RPU510Q2.LOG
records in table T510Q RPU510Q2.ELG
JOB_RDDMCMRG <1% Adjusts matchcodes PDDMCMRG.LOG
automatically PDDMCMRG.ELG
ADDTOBUF_MCM <1% Marks matchcodes for ADDMCM.LOG
activation ADDMCM.ELG
APPENDBUF_ <1% Appends shadow
UPGRADE import in upgrade
APPENDBUF46C <1% No actions
PORT_IM22) <1% Imports requests for PORT_IM2.ELG
porting-dependent
modifications
JOB_DL4TA_46C <1% Deletes TADIR entries PDDDL4TA.LOG
of temporarily PDDDL4TA.ELG
generated objects
DDIC_46C2) <1% If necessary, imports DDIC46C.ELG
the result of
transaction SPDD from
a development system
234 April 2001

SVERSCHK_46C <1% Checks table SVERS

to see whether the
new SAP version was
created successfully
RUN_DREXE_46C <1% Renames data PADDREXE.LOG
elements with naming PADDREXE.LOG
conflict in customer
namespace
JOB_RUTTYREP <1% Checks and repairs
entries in the table
DDTYPES
JOB_UMOD20_46C <1% Adjusts structure of PSUMOD20.ELG
tables to DB PSUMOD20.LOG
ACT_46C1)2) 2% Activates DDIC ACT46C.ELG Use SPDD to adjust
customer objects ABAP Dictionary
objects, if necessary
RUN_INDC_46C <1% Checks secondary INDEXCHK.LOG
indexes INDEXCHK.ELG
JOB_MVSUB_46C <1% Removes table TMF18 PDDMVSUB.ELG
from the set of PDDMVSUB.LOG
substituted tables
ALTER_VID <1% Deletes inconsistent ALTERVID.LOG
views
JOB_RSDB2XTT <1% DB2 for OS/390 PSDB2XTT.ELG
PSDB2XTT.LOG
Generates control
entries for parallel
conversion
JOB_RSDB4XTT <1% No actions
PREPPCON_INX <1% Prepares parallel DDL XTTSIZEI.LOG
processing in PCON, PREPCON.LOG
selects tables that get
an index
PCON_46C1)2) 7% Converts application PCON46C.ELG
tables and activates PCON46C.LOG
their nametab entries
STOPR3_I46C <1% Stops system
TMPLDINV <1% Validates ABAP loads TMPLDINV.LOG
created since the SQLLDINV.LOG
STARTR3_NBAS phase
was generated
PMVNTAB_46C 3% Converts application PMVNT46C.ELG
views and activates PMVNT46C.LOG
remaining nametab
April 2001 235

entries
STARTR3_I46C <1% Starts system
JOB_DCXTF_46C <1% Deletes and recreates PSDCDDXT.LOG
table DDXTF PSDCDDXT.ELG
JOB_LDINV_46C <1% Deletes temporary PDDLDINV.LOG
loads again PDDLDINV.ELG
STOPR3_L46C <1% Stops system
LD_SWITCH_46C <1% Switches to new ABAP LDSWITCH.LOG
loads
VIEWIMP_46C <1% Creates Basis views VIEWIM46C.LOG
(DROP/CREATE) VIEWIM46C.ELG
STARTR3_NL46C <1% Starts system
JOB_DBDIF_46C <1% Clears table DBDIFF PADDBDIF.LOG
on the database PADDBDIF.ELG
TABIM_46C2) 12% Imports entries to the TABIM46C.ELG
control tables
ALTER_TABIMUPD <1% Updates statistics for TABIMERR.LOG
some tables
STARTR3_TB46C <1% Starts system
JOB_RSWBOUP2 <1% Initializes and adjusts PSWBOUP2.LOG
tables for Workbench PSWBOUP2.ELG
Organizer
ADOIM_46C1)2) 9% Imports ADOs ADOIM46C.ELG
Converts matchcodes
Activates lock objects
Automatically repeats
phase once if an error
occurs
XPRAS_46C1)2) 11% Executes XPRAs XPRAS46C.ELG
Automatically repeats
phase once if an error
occurs
UEXP_46C <1% If necessary, exports UEXP46C.ELG
adjusted DDIC objects
REIMPDDN_46C <1% Re-imports inactive REIMPDDN.LOG
DDIC versions REIMPDDN.ELG
REIMPDOC1) <1% Reimports customer REIMPDOC.LOG
extensions to SAP REIMPDOC.ELG
object documentation
REIMPCDOC1) <1% Re-imports REIMPCDOC_LOG
236 April 2001

documentation on REIMPCDOC.ELG
customer objects
REIMPMDOC1) <1% Reimports REIMPMDOC.LOG
modifications to REIMPMDOC.ELG
documents
STARTR3_46C <1% If necessary, starts
system
JOB_RSTLANUPG <1% Sets the status of the JOB_RSTLANUPG
installed languages .LOG
JOB_RSTLANUPG
.ELG
TR_PATCH_STATUS <1% Updates status
_UPGRADE information for Support
Packages that have
been included
JOB_RUTTYREP1 <1% Checks and repairs PUTTYREP1.
entries in the table LOG
DDTYPES PUTTYREP1.
ELG
JOB_DBPROD_46C1) <1% Executes DB-specific PSDBPROD.ELG
operations for PSDBPROD.LOG
restarting the system
PRODCHK_46C <1% Checks requirements
for production
operation
JOB_RDDIT022 <1% Updates table AVERS RDDIT022.LOG
RDDIT022.ELG
JOB_RSMODACU <1% Activates CMOD
enhancements
DBCLEAN_46C1) <1% Cleans up database DBCLEAN46C.
LOG
JOB_RSDLDSEQ <1% Cleans up screen PSDLDSEQ.LOG
sequence control PSDLDSEQ.ELG
JOB_RDDNTPUR <1% Cleans up nametab PDDNTPUR.LOG
PDDNTPUR.ELG
EXEC_SMON <1% Reactivates Session EXECSMN.LOG
Manager
MODPROFP_46C <1% Stops system and ALPXP.LOG Confirm
resets profiles
SAP DB
SAP DB
Back up the
Strategies A_on or database and
A_switch: Prompts you confirm
to back up the
April 2001 237

database
STARTR3_P46C <1% Starts system
REQJOBRES <1% As of Source Release
4.5B: Prompts you to
schedule background
jobs
EWIMPORT_46C <1% Imports authorizations EWTCH066.ELG
into client 066
(EarlyWatch)
END <1% ---
ENDCHK <1% Tests target version
UVERS_UP_END <1% Changes status in
table UVERS
JOB_RDDDBSTA <1% Updates DB table PDDDBSTA.LOG
statistics PDDDBSTA.ELG
JOB_UPGEND_46C <1% Sets installation status PSUPGEND.LOG
to OK PSUPGEND.ELG
JOB_DRDOC_46C 2% Adjusts documentation PADDRDOC.LOG
for renamed data PADDRDOC.ELG
elements (executes
report RADDRDOC)
REQGENLD --- Prompts start of Confirm
transaction SGEN
CHK_POSTUP --- Displays P errors Correct P errors
before restarting
production operation
SPAUINFO --- Displays information Confirm
for adjusting objects
with transaction SPAU
UEXPSPAU <1% If necessary, exports UEXPSPAU.ELG
objects adjusted with
transaction SPAU
JOB_UPGDELPROG <1% ---
SAVELOGS <1% Copies upgrade logs SAVELOGS.LOG Choose between:
to /usr/sap/
normal (only
trans/upgrade
important)
all
none
EXITINFO --- Displays Notes on Confirm
post-upgrade activities
EXIT <1% Ends R3up
238 April 2001

Upgrade Assistant
Use
The Upgrade Assistant is the frontend for the upgrade process. It provides one or more graphic
user interfaces (GUIs) for controlling and monitoring the upgrade. The Upgrade Assistant
simplifies the upgrade procedure.
Integration
The Upgrade Assistant is a distributed program consisting of a server component and several
GUI components. Only one person can control the upgrade from the GUI components.
• Server component
The server ensures communications between the upgrade control program R3up and the
GUIs of the Upgrade Assistant. It must be started on the host on which you want the upgrade
process to run.
• GUI components
The GUI components can be executed on any other hosts. You can log on to the server as
the observer or the administrator. The observer role only authorizes you to monitor an
upgrade. An administrator is authorized to take actions affecting the progress of the upgrade,
for example an administrator can start or stop the upgrade and can enter any necessary
commands. Only one GUI can assume the role of administrator. However, the GUI with this
role can change in the course of the upgrade.
The graphic below illustrates the architecture of the Upgrade Assistant and the interaction between
the Upgrade Assistant and the R3up upgrade control program.
Upgrade Assistant
GUI
GUI
(Observer)
(Observer) Central Instance
GUI
GUI Server
Server R3up
R3up
(Administrator)
(Administrator)
GUI
GUI
(Observer)
(Observer)
Functions
• You can control and monitor the progress of the upgrade from a number of different places.
April 2001 239

• Frontend and upgrade process are divided into separate components so that the entire
upgrade does not terminate if a connection fails.
This provides optimal support for a remote upgrade.
• You have an alert mechanism that lets you start an external program.
• Provided you have access to the Internet, you can access the SAP Notes database in the
SAP Service Marketplace from a GUI.
The Upgrade Assistant is implemented in Java. A scroll mode is provided for the upgrade for
platforms not supporting Java. We recommend using the Upgrade Assistant, since scroll mode
does not provide the above features.
240 April 2001

Using the Upgrade Assistant

Use
The Upgrade Assistant offers you a number of functions. You can change the passwords for the
roles, change roles, use and monitor PREPARE, or look for Notes.
Changing the Passwords

The passwords for the two roles can only be changed from the administrator GUI. In the main
menu choose Administrator →Change passwords.
Changing the Role

By choosing File → Change role you can change role dynamically. The following dialog box
appears:
If, for example, you are in the role of the observer and enter the password for the administrator
you change to the administrator role. If an administrator already exists at this time then the
administrator role is taken away from them.
If you only want to change the User name or the Phone number, then enter the password of the
role you are in. In this case only the entered data is updated.
Searching for Notes from the GUI

If you have an Internet connection, you can access SAP Notes in SAPNet using the GUI. In the
main menu, choose Services → SAP Notes Search.
More Information on the Upgrade Assistant

To display a description of the Upgrade Assistant with all its functions, choose Help →
Introduction in the main menu.
April 2001 241

Upgrade Monitor
Use
The Upgrade Monitor lets you monitor the upgrade, and helps you recognize any processes that
have stopped.
Functions
The monitor estimates the time when the upgrade ends, as well as other important stages
(milestones).
These estimates are based on SAP reference times and the runtimes of upgrade phases that
have already completed. The output of the monitor is updated every 60 seconds. The more
advanced the progress of the upgrade is, the more precise the estimates are. If possible, the
runtime estimate also includes any runtime that is lengthened for systematic reasons, however
this is subject to restrictions. Systematic fluctuations can also occur if the upgrade phases run
more quickly than expected. This means that the end of the upgrade cannot be estimated
precisely.
The data appears on the screen, but the way it is displayed depends on if you are upgrading the
system with the Upgrade Assistant or in scroll mode.
Graphical Display in the Upgrade Assistant
242 April 2001

The total runtime of the upgrade and the runtime of the next milestone appear as bar graphs. As
long as the runtime has not been exceeded, the bar appears in green. If the runtime has been
exceeded, the bars appear first in yellow and then in red.
An animated graphic displays the activity of the upgrade processes. If the graphic is not moving,
one of the upgrade processes is stopped. This may be the Upgrade Monitor, the Upgrade
Assistant or the R3up program.
The upgrade processes that are running appear under Current activities. The monitor does not
recognize any subprocesses of these processes, and therefore cannot display them. Note that
the process bar is updated only every 60 seconds.
Numerical Display in Scroll Mode

No graphics are displayed in scroll mode, so the progress of the upgrade and the estimated
runtime until the next milestone are shown in numerals.
The upgrade processes that are running appear under Current activities.
Starting the Upgrade Monitor

Procedure
Procedure in the Upgrade Assistant:
Go to the main menu and start the Monitor by choosing Services → Upgrade Monitor.
Procedure in Scroll Mode:
1. Open another window at the operating system level.
2. Enter the following commands in the new window:
./R3up gt=SCROLL Monitor
April 2001 243

Understanding the Upgrade Monitor Display

Use
The following Upgrade Monitor display indicates that you may have to intervene.
• One of the bars showing the progress of the upgrade is red.
• The graphic that displays the activity of the upgrade processes is not moving. This means
that the upgrade processes are hanging.
Procedure for Status Red

1. Check the database and CPU activity.
2. If you can still detect activity, then either runtime has been exceeded significantly, or the
upgrade is in an endless loop.
If this is the case, do not terminate the upgrade; instead, try and find out why the runtime is
so long. If you are unsure how to proceed, contact SAP Local Support.
Procedure for Upgrade Processes that Are Frozen

1. First, restart the Upgrade Assistant GUI only.
2. If step one is not successful, restart the Upgrade Assistant server.
3. If the previous steps are not successful, restart R3up.
When R3up is restarted, any processes that are still running are displayed. The restarted
R3up must wait for these processes before the upgrade can continue with any other actions.
244 April 2001

Upg46c Sr2 Unix

Hochgeladen von

Dokumentinformationen

Originalbeschreibung:

Copyright

Verfügbare Formate

Dieses Dokument teilen

Dokument teilen oder einbetten

Freigabeoptionen

Stufen Sie dieses Dokument als nützlich ein?

Sind diese Inhalte unangemessen?

Copyright:

Verfügbare Formate

Upg46c Sr2 Unix

Hochgeladen von

Copyright:

Verfügbare Formate

Upgrading to 4.

Release 4.6C SR2

ORACLE® is a registered trademark of ORACLE Corporation, California, USA.

Documentation in the SAP Service Marketplace

Type Style Represents

Upgrading to 4.6C Support Release 2: UNIX ................................. 8

Making Entries for the Read CD Module ................................................................................82

Phase CHK_POSTUP ..........................................................................................................136

Correcting Problems when Starting the SAP System...........................................................193

Upgrading to 4.6C Support Release 2:

New Features in 4.6C Support Release 1:

New Features in Release 4.6C

New Features in Release 4.6B

New Features in Release 4.6A

• As of Source Release 4.5B: Automatic scheduling and descheduling of background jobs

R/3 System and SAP System

DB2, DB2 for OS/390 and DB2 Universal Database

SAP DB and ADABAS

Support Packages and Patches

Checklist for the Upgrade

Planning the Upgrade

Preparations for PREPARE

User Actions During PREPARE

Checks Not Supported by PREPARE

Analyze the results of PREPARE

Execute the script saproot.sh

Actions After Starting Production Operation

Actions Before the Next Upgrade

Evaluating the Upgrade Runtime

Planning the Upgrade

We recommend testing the upgrade in a development system.

Planning the Upgrade Strategy

SAP Upgrade Strategies

• Imports the substitution set during production operation.

• Imports the substitution set during production operation.

• Production operation ends before the substitution set is imported.

Comparing the Strategies

Upgrade Process Flow

A_switch A_on A_off

Comparison of the Archives in GB

A_switch A_on A_off

Guideline for the Duration of Production Operation During the Upgrade

When to Restart Production Operation

When selecting this time, pay attention to the following:

Runtime for the Import of the Substitution Set

• Database backup at the end of the upgrade

Incremental Table Conversion

What to look for:

Drawing Up an Upgrade Schedule

Examples of Upgrade Scheduling

Example Schedule for Strategy A_switch

Day Time Actions

Example Schedule for Strategy A_on

Day Time Actions

Thursday 19:00 Insert the last CD (title:

Example Schedule for Strategy A_off

Day Time Actions

Upgrading in an SAP System Group

Planning the Modification Adjustment

Adjusting Modifications in Subsequent Systems

Time Frame for Upgrading the Frontend Software

Time Frame for Upgrading the Frontend Software

Production operation Downtime Production op.