UPG_IS_E

Component Upgrade GuideComponent Upgrade GuideComponent Upgrade GuideComponent Upgrade Guide

SAPSAPSAPSAP Web Application Web Application Web Application Web Application

Server 6.20: IBMServer 6.20: IBMServer 6.20: IBMServer 6.20: IBMeServer iSerieseServer iSerieseServer iSerieseServer iSeries

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Upgrade to SAP Web Application Server 6.20: IBM eServer iSeries

4 March 2002

Contents

Upgrade to SAP Web Application Server 6.20: IBM eServeriSeries .............................................................................................. 8

Introduction............................................................................................ 9How to Use this Documentation .............................................................................................10New Features in the SAP Web Application Server Upgrade..................................................12Naming Conventions for the SAP Web Application Server Upgrade .....................................14

Upgrade - Step by Step....................................................................... 15SAP Notes for the SAP Web Application Server Upgrade .............. 25Product-Specific Information for the SAP Web ApplicationServer Upgrade.................................................................................... 28

SAP Web Application Server Upgrade: Planning ...................................................................29Upgrade Schedule Planning ................................................................................................30Runtime for the Import of the Substitution Set .....................................................................30Checking Hardware Requirements ......................................................................................31Checking the Source Release of the SAP System ..............................................................31Determining Whether an OS/400 Upgrade Is Necessary ....................................................32

SAP Web Application Server Upgrade: Preparations.............................................................33Making Entries for the Parameter Input Module ..................................................................34

General Upgrade Information............................................................. 35Upgrade Planning ...................................................................................................................36

Time Frame for Upgrading the Frontend Software ..............................................................38System Switch Upgrade.......................................................................................................39Upgrade Strategy Planning ..................................................................................................41Database Backup.................................................................................................................45Database-Specific Aspects ..................................................................................................46Incremental Table Conversion .............................................................................................47Upgrade Schedule Planning ................................................................................................49Runtime for the Import of the Substitution Set .....................................................................51Upgrade in an SAP System Group ......................................................................................52Modification Adjustment Planning ........................................................................................53Checking Structural Requirements ......................................................................................55Checking Hardware Requirements ......................................................................................56Checking Software Requirements........................................................................................56

Checking the Source Release of the SAP System............................................................57Meeting the Requirements for the Upgrade Assistant.......................................................57Determining Whether an OS/400 Upgrade Is Necessary..................................................58Installing the Qshell ...........................................................................................................58

Accessing Documentation Before and During the Upgrade ................................................59Meeting the Requirements for the SAP Internet Solution ....................................................59Importing Additional Languages...........................................................................................61

Upgrade Preparations.............................................................................................................62Determining the Host for the Upgrade Preparations............................................................64Making Preparations for Reading the Upgrade CDs............................................................64Creating the Upgrade Directory............................................................................................65Importing the Latest SPAM Update......................................................................................66


March 2002 5

Checking SAP Programs .....................................................................................................67Starting PREPARE from the CD ..........................................................................................68Starting the Upgrade Assistant Server.................................................................................69Starting the Upgrade Assistant GUI .....................................................................................69Starting the Upgrade Assistant ............................................................................................70Restarting PREPARE from the Upgrade Assistant GUI ......................................................71Resetting PREPARE............................................................................................................72Importing Software After Starting PREPARE.......................................................................72Making Entries During the PREPARE Run..........................................................................73

Making Entries for the Parameter Input Module................................................................74Making Entries for the Import Module................................................................................76Making Entries for the Extension Module ..........................................................................77Making Entries for the Installation Module.........................................................................82

Evaluating the Results of PREPARE ...................................................................................83Making Preparations at the Operating System Level...........................................................86Making Preparations at the Database Level ........................................................................87Making Preparations at the SAP System Level ...................................................................87

Checking the User for the Upgrade ...................................................................................87Checking Requirements for the Modification Adjustment..................................................88Setting the Operation Mode for the Upgrade ....................................................................88

The Upgrade ...........................................................................................................................90Starting the Upgrade ............................................................................................................92Stopping the Upgrade ..........................................................................................................93Restarting the Upgrade ........................................................................................................93Phase INITPUT ....................................................................................................................95Phase PATCH_CHK ............................................................................................................95Phase KEY_CHK .................................................................................................................96Phase INITSUBST ...............................................................................................................96Phase CONFCHK_X............................................................................................................97Phase VIEWCHK1 ...............................................................................................................98Phase REPACHK1...............................................................................................................98Phase JOB_RSVBCHCK2 ...................................................................................................98Phase FREECHK_X.............................................................................................................99Phase LOCKEU_PRE..........................................................................................................99EU_IMPORT Phases .........................................................................................................100Phase REPACHK2.............................................................................................................101Phase CNV_CHK_XT ........................................................................................................101Phase ADJUSTCHK...........................................................................................................102Phase ACT_ .............................................................................................................102Phase VIEWCHK2 .............................................................................................................103Phase MODPROF_TRANS................................................................................................104Phases JOB_RSVBCHCK3 and JOB_RSVBCHCK4 ........................................................105Continuation of the Upgrade After the MODPROFP_UPG Phase ....................................105Phase CHK_POSTUP........................................................................................................106

Post-Upgrade Activities.........................................................................................................107Backing Up the Database...................................................................................................109Distributing SAP Programs ................................................................................................109Checking Profile Parameters with Transaction RZ10 ........................................................110Installing the SAP J2EE Engine .........................................................................................111Reimporting Additional Programs ......................................................................................111Adjusting Repository Objects .............................................................................................111Performing Post-Upgrade Activities for the Applications ...................................................112Rescheduling Background Jobs.........................................................................................113Releasing Held Jobs ..........................................................................................................113Generating ABAP Loads ....................................................................................................114


6 March 2002

Generating BSP Applications.............................................................................................114Performing Actions for the SAP Online Documentation.....................................................115Performing Post-Upgrade Activities in the Authorizations Area.........................................115Importing Support Packages After the Upgrade ................................................................116Transport Management System: Distributing the Configuration ........................................117Performing Post-Upgrade Activities for the Language Transport ......................................118Converting Batch Input Logs..............................................................................................118Evaluating the Upgrade Runtime .......................................................................................119Deleting the Upgrade Library and Directory.......................................................................120

Troubleshooting ................................................................................ 121Upgrade Logs .......................................................................................................................122Evaluating the ELG Log Files ...............................................................................................124Correcting Errors in the RFCCHK Phase .............................................................................125Correcting Entries Made in the INITPUT and INITSUBST Phases ......................................126Correcting Errors in the DBCHK Phase................................................................................127Correcting Errors in the BATCHCHK Phase.........................................................................128Correcting Errors in the INTCHK and INTCHK_SW Phases................................................128Correcting Errors in the JOB Phases....................................................................................129Cleaning Up Terminated Conversions in the DB Conversion Phases .................................130Correcting Errors in the TRBATCHK_XT Phase ..................................................................132Correcting Errors in the RUN_RDDIT006 Phase .................................................................133Correcting Errors in the ACT Phase .....................................................................................134Correcting Lost Field Problems in the PARDIST Phase.......................................................135Correcting Conversion Problems in the PARCONV Phase..................................................136Correcting Errors in the XPRAS Phase ................................................................................137Preparing the Restart of the Upgrade After a System Failure ..............................................139Resetting the Upgrade..........................................................................................................140Restarting the Upgrade in Scroll Mode.................................................................................143Correcting Problems when Processing ABAP Steps............................................................144Correcting Problems when Starting the SAP System...........................................................145Correcting Problems when Copying SAP Programs ............................................................146Providing SAP Support with Information...............................................................................146

Upgrade Administration ................................................................... 148Alert Function........................................................................................................................149Determining the Operating System Version and SAP Release............................................150Executing PREPARE and R3up in Scroll Mode ...................................................................150Isolating the Central Instance ...............................................................................................151Handling Journal Receivers During an Upgrade ..................................................................152Deleting Archived Upgrade Logs ..........................................................................................154Using a Different Upgrade Directory and Different Upgrade Libraries .................................155Releasing and Confirming Open Repairs and Requests......................................................156

Upgrade Tools ................................................................................... 157PREPARE.............................................................................................................................158

PREPARE Phase List for the SAP Web Application Server Upgrade ...............................160R3up......................................................................................................................................171

R3up Phase List for the SAP Web Application Server Upgrade........................................172Upgrade Phases: Preparations .......................................................................................173Upgrade Phases: Shadow System..................................................................................179Upgrade Phases: Conversions and Import .....................................................................184


March 2002 7

Upgrade Phases: Post-Upgrade Activities ......................................................................188Upgrade Assistant.................................................................................................................191

Using the Upgrade Assistant..............................................................................................192Upgrade Monitor ...................................................................................................................193

Starting the Upgrade Monitor .............................................................................................195Understanding the Upgrade Monitor Display .....................................................................195

Introduction

8 March 2002

Upgrade to SAP Web ApplicationServer 6.20: IBM eServer iSeriesPurposeThis documentation describes the upgrade from SAP Basis 4.6D and higher to SAP WebApplication Server 6.20. It also contains additional useful information about the upgrade. Theinformation in this documentation is intended for SAP system administrators with operatingsystem, database, and SAP Web Application Server knowledge.

The Upgrade Step by Step [page 15] section is a list of all actions that you must perform toupgrade your system successfully. The actions are placed in chronological order, so that youcan work through them just like a checklist.

The following two parts of this documentation explain the upgrade procedure in detail:

Product-Specific Information for the SAP Web Application Server [page 28]

General Upgrade Information [page 35]

The next three parts of this documentation give you additional information on troubleshooting,the administration tasks you need to perform before and after the upgrade, and the tools thatyou use to upgrade the system:

Troubleshooting [page 121]

Upgrade Administration [page 148]

Upgrade Tools [page 157]

Both the structure of the documentation [page 10] and the upgrade procedure[page 39] itself have changed significantly for SAP Web Application Server6.10.

ConstraintsThis documentation only applies if you are upgrading your SAP system on IBM eServeriSeries.

In addition to this documentation, you require some other information, such as the ReleaseNotes for the applications that you implement, the SAP Implementation Guide (IMG), the SAPNotes [page 25] that are specific to this upgrade, and any other documentation referred to inthis documentation.

Introduction

March 2002 9

IntroductionThis section of the documentation contains general information on:

Using the documentation [page 10]

In SAP Web Application Server 6.10 the structure of the upgrade documentation hasbeen changed from a process flow description with additional information to aninformation pool.

New features in the upgrade procedure [page 12]

The upgrade procedure is continually being enhanced. This section contains the mostimportant changes to the procedure, for both current and previous releases.

Naming conventions [page 14]

This section explains the terminology and abbreviations used in this documentation.

Introduction

10 March 2002

How to Use this DocumentationThe documentation on upgrading the SAP system contains a large amount of information. Itsaim is to give you both the information you need immediately at your fingertips, as well asproviding additional background information when required. Treat the documentation as apool of information.

If you have a lot of experience in upgrading the SAP system, you will probablyonly need the parts Upgrade Step by Step [page 15], Product-SpecificInformation [page 28] and SAP Notes [page 25].

Structure of the Documentation

Product-Specific

Information

Introduction

Upgrade Documentation

Upgrade - Step by Step

Minimum requiredinformation forupgrade

Legend:

General Upgrade

Information

TroubleshootingUpgrade Administration

Upgrade Tools Connected withlinks

Additionalinformation

Austausch-SAP

Notes

The documentation consists of the following parts:

Introduction

The first sections of this documentation are as follows:

New Features [page 12]

Naming Conventions [page 14]

They contain information on new features in the upgrade for the last few releases, and onthe naming conventions used in the documentation.

Upgrade Step by Step [page 15]

This section is the core of the documentation. It is a list of all actions that you mustperform to upgrade your system successfully. The short descriptions of the individualactions give you:

Essential information, such as user entries

Links to a detailed description of the action

Links to any product-specific information about the action

Introduction

March 2002 11

The upgrade actions are listed chronologically. Use the Upgrade Step byStep [page 15] section as a checklist for upgrading the system. This ensuresthat you do not miss important information.Use the links to the general descriptions of the actions and to any additionalproduct-specific information to help you perform the actions.

SAP Notes for the Upgrade [page 25]

This section contains a list of SAP Notes relevant for the upgrade.

Product-Specific Information [page 28]

This part of the documentation contains additional information or restrictions on thedescriptions in General Upgrade Information, which only affect this specific SAP product.The headings of the sections are the same as the corresponding sections in the GeneralUpgrade Information. Each product-specific text contains a link to the general descriptionof the action.

The information in the product-specific sections takes priority over theinformation in the general part of the documentation.

General Upgrade Information [page 35]

This part of the documentation is a general description of the upgrade of an SAP system.It contains procedures and background information about the upgrade process flow andthe individual actions. However, it does not contain all the information you need for theupgrade of your specific SAP product. You can find extra details about the upgrade ofyour product in Product-Specific Information [page 28].

Additional Information

The next three parts of this documentation are as follows:




These sections contain information on troubleshooting, the administration tasks you needto perform before and during the upgrade, and the tools that you use to upgrade thesystem.

Use the links from section Upgrade Step by Step [page 15] to the general descriptions ofthe actions and to any additional product-specific information to help you perform the actions.

Introduction

12 March 2002

New Features in the SAP Web ApplicationServer UpgradeNew Features in the Upgrade to SAP Web Application Server 6.20 Reading the upgrade CDs

The contents of the upgrade CDs are read using a new procedure. You have to install aJava Runtime Environment (JRE) on the host where the upgrade is performed, and youhave to adjust certain environment variables.

New procedure for dealing with add-ons

In the IS_SELECT phase, you can also include SAINT packages in the upgrade thatwhere previously in the transport directory.

Calculating an add-on queue

If you made a decision in the IS_SELECT phase for all add-ons, a new queue calculationis triggered. This calculation checks whether the import prerequisites can be met for theadd-ons, and determines the sequence in which the corresponding requests areimported.

New functions for including Support Packages

To import Support Packages in the BIND_PATCH phase, the following Support Packagelevels are determined and taken into consideration for each component:

a. Minimum required Support Package level

Support Package level that the included add-ons of the target release require as animport prerequisite. The add-on queue calculation determines the minimum requiredSupport Package level.

You are not allowed to select a Support Package level that is lower than theminimum level.

b. Equivalence Support Package level

You can define attributes for the Support Packages of the source release thatdetermine which Support Package in a higher release corresponds to the one in thesource release. This Support Package must be included so that no data is lost in theupgrade.

PREPARE determines this equivalence Support Package level in the PATCHK_EQUIVphase.

The minimum and the equivalence Support Package level for each component aredisplayed on the dialog screen (wizard).

Conflict check

To check whether the add-on requests and CRTs are complete, PREPARE triggers aconflict check. You are then prompted to include the corresponding CRTs for the includedadd-ons, if necessary.

Introduction

March 2002 13

Modifications

Modifications cannot be recovered during the upgrade. A consistent SAP system withoutmodifications is available to you after the upgrade. You can recover any necessarymodifications by using the modification adjustment (transaction SPAU or SPDD).

This new procedure may cause more objects to be offered in the modification adjustmentthan was previously the case. Customer objects are not affected by this change and areretained as usual.

Introduction

14 March 2002

Naming Conventions for the SAP WebApplication Server UpgradeSAP Basis and SAP Web Application ServerRelease 6.10 renames the SAP Basis Component as the SAP Web Application Server. Inthis documentation, the term SAP Basis (or the abbreviation Basis) is used when referring toRelease 4.6D and lower, and the term SAP Web Application Server (or the abbreviation SAPWeb AS) is used when referring to Release 6.10 and higher.

ReleaseUnless otherwise specified, the term release is used in the product-specific part of thisdocumentation to refer to the release of the SAP Web Application Server System.

In the general part of this documentation, release is used to refer to the release of the Basisor SAP Web Application Server System.

SAP Web Application Server System and SAP SystemIn this documentation, the term SAP system is the same as SAP Web Application ServerSystem. SAP is also used as a synonym for SAP Web Application Server in terms such asSAP start profile or SAP system language.

SAP System IDIn this documentation, the SAP system ID is abbreviated as SID or sid. If is used, yourSAP system ID must be in lowercase letters, for example "prd". If is used, you mustwrite in uppercase letters, for example "PRD".

ID for the SAP Web Application Server ReleaseIn this documentation, stands for the relevant SAP Web Application Server release,without a decimal point, such as 620.

Archiving and JournalingIn this documentation, the term archiving is used as a synonym for journaling database filechanges.

IBM eServer iSeries and IBM AS/400In previous versions of this documentation, IBM eServer iSeries was referred to as IBMAS/400. In this documentation, the short form iSeries is used for IBM eServer iSeries.

DB2 Universal Database for iSeries and DB2 Universal Database forAS/400In previous versions of this documentation, DB2 Universal Database for iSeries was referredto as DB2 Universal Database for AS/400 or DB2/400. In this documentation, the short formDB2 UDB for iSeries is used for DB2 Universal Database for iSeries.


March 2002 15

Upgrade - Step by StepPurpose

If you have a lot of experience in upgrading the SAP system, you will probablyonly need the parts Upgrade Step by Step, Product-Specific Information[page 28] and SAP Notes [page 25]. All other sections contain additionalinformation on the upgrade, troubleshooting, and administration tasks.

This section is constructed as a checklist and contains all the actions you need to:

Find SAP Notes [page 25]

Plan the upgrade (SAP Web Application Server-specific [page 29] / general [page 36])

Prepare for the upgrade (SAP Web Application Server-specific [page 33] / general [page62])

Upgrade the SAP system [page 90]

Perform post-upgrade activities [page 107]

The actions are placed in chronological order. So that you can work through them just like achecklist. Use the links to the general descriptions of the actions and to any additionalproduct-specific information to help you perform the actions.

The following three sections contain information on how to proceed with errors, and on howto use the upgrade tools:




Process Flow

SAP Notes for the UpgradeThis upgrade documentation is enhanced and updated by SAP Notes in SAPNet R/3Frontend. These SAP Notes are an important source of information when you plan andprepare your upgrade, and also help you perform the actual upgrade.

Action

You request the current SAP Notes for the upgrade [page 25]. You require at least thefollowing SAP Notes:

General Upgrade Note 484876

The database-specific SAP Note 500297


16 March 2002

Upgrade PlanningBefore you start the actual upgrade, you must plan it carefully so that downtime is reduced toa minimum, and the upgrade runs as efficiently as possible.

The Upgrade Planning part of this documentation contains additional SAP Web ApplicationServer-specific [page 29] and general [page 36] information.

Action

You can upgrade the front end software [page 38] as soon as you receive the softwarepackage.

You familiarize yourself with the features of the System Switch Upgrade [page 39] and itseffect on the way you upgrade the system.

You decide on the upgrade strategy [page 41], taking into account your operating systemand database upgrade.

You define an archiving strategy [page 45] for your database.

Before you start the upgrade, you check the database-specific aspects [page 46] andinclude them in your upgrade schedule, if necessary.

You plan the incremental table conversion [page 47], if necessary.

You plan the upgrade schedule (SAP Web Application Server-specific [page 30] / general[page 49]).

Depending on your chosen upgrade strategy, you plan the runtime for the import of thesubstitution set (SAP Web Application Server-specific [page 30] / general [page 51]).

You decide on the sequence of upgrades in your SAP system group [page 52].

You plan the modification adjustment [page 53], if necessary.

You check the structural requirements [page 55]:

You call transaction RZ10 to check the values of the profile parameters rsdisp/mshostand rsdisp/wp_no_vb.

You check the hardware requirements (SAP Web Application Server-specific [page 31] /general [page 56]):

CPU, main storage and unprotected temporary storage in the SAP Service Marketplaceat: service.sap.com/quicksizing

Space requirements in the database:

Temporarily 20 GB disk space in ASP1

For the database DB2 UDB for iSeries: 20 GB disk space (13 GB assignedpermanently)


March 2002 17

You check the software requirements [page 56]:

Source release of the SAP system (SAP Web Application Server-specific [page 31] /general [page 57]):

SAP Basis 4.6D

SAP Web Application Server 6.10

Upgrade Assistant [page 57]:

iSeries: AS/400 Developer Kit for Java (installed license program 5722JV1), option30 of the OS/400 Qshell Interpreter (license program 5722SS1)

Java Virtual Machine (at least Version 1.1x if you use the standard procedure forreading the upgrade CDs, you need Version 1.3)

Operating system (SAP Web Application Server-specific [page 32] / general [page 58]):

At least OS/400 operating system Release V5R1M0

Qshell [page 58]

You meet the requirements for installing the online documentation [page 59] as describedin the documentation Installing the SAP Library.

You meet the requirements for the SAP Internet Transaction Server and the SAP@WebStudio [page 59] as described in the SAP@Web Installation Guide, if necessary.

You meet the requirements for importing additional languages [page 61], if necessary.

Upgrade PreparationsYou can prepare for the upgrade while the system is in production operation. The PREPAREprogram supports you here by making most of the necessary checks automatically. StartPREPARE as soon as possible before the upgrade so that you can initiate or perform thenecessary preparations in time.

The Upgrade Preparations part of this documentation contains additional SAP WebApplication Server-specific [page 33] and general [page 62] information.


18 March 2002

Preparations for PREPARE

Action

You choose the host [page 64] for PREPARE and the Upgrade Assistant.

You make preparations for reading the upgrade CDs [page 64].

You create an empty upgrade directory [page 65] on the host with the central instance:

DIR_PUT has the value in the instance profile of the centralinstance.

With SID as owner

If you have made a lot of your own developments, include 20% extra space in the filesystem. 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 75 MBof memory in the file system for each language.

You import the latest SPAM update [page 66].

You check the versions of the individual SAP programs [page 67].

Actions for Starting PREPARE

Action

When you start PREPARE for the first time, you must start it from the CD.

1. You start PREPARE from the SAP kernel CD [page 68] as user QSECOFR on the hostwith the central instance.

2. You start the Upgrade Assistant server [page 69].

3. You start the GUI of the Upgrade Assistant [page 69].

4. You start the Upgrade Assistant [page 70].

If you want to restart [page 71] PREPARE, for example, if the results from its first run makeyou want to repeat some checks, you can execute it directly.

You can reset [page 72] PREPARE at any time.

If you need extra software after starting PREPARE, you import it now [page 72].

PREPARE needs certain information from you so that it can run the modules. If possible,default values appear that you can confirm or change. For a complete list of all PREPAREmodules and phases, see PREPARE Phase List [page 160].


March 2002 19

User Actions During PREPARE

Action

You make the required entries during the PREPARE run [page 73].

You make the entries for the Parameter Input module (SAP Web Application Server-specific [page 34] / general [page 74]). This includes entering CD mount directories. Yourequire the following CDs for PREPARE:

CD SAP Kernel, Upgrade CD 1, language CD(s), any add-on CD(s)

You make the entries for the Import module [page 76].

You make the entries for the Extension module [page 77], such as including SupportPackages.

You make the entries for the Installation module [page 82], such as the instance numberand port numbers for the shadow system.

Checks Not Supported by PREPARE

Action

You evaluate the results of PREPARE [page 83] in the log file CHECKS.LOG.

You make preparations at the operating system level [page 86]:

You make a backup copy of the old SAP kernel.

You make preparations at the database level [page 87]:

You make sure that you can recover the database to the state it had before the upgrade.

You check the disk space usage in your ASPs.

You make preparations at the SAP system level:

You make sure that user DDIC [page 87] can log on to client 000.

You make sure that the requirements for the modification adjustment [page 88] havebeen met.

You call transaction RZ04 to set the operation mode [page 88] for the upgrade.

You import the new front end software [page 38], if necessary.


20 March 2002

The UpgradeThe part of the documentation on actually performing the upgrade [page 90] containsadditional information.

Action

You check the General Upgrade Note and your database-specific SAP Note [page 25] fornew information and changes.

You choose the host for the upgrade [page 64].

You get the following CDs [page 34] ready, if you have not already mounted them:

CD SAP Kernel, Upgrade CDs 1-2, any language CD(s)

You start R3up [page 92] from the central instance as user OFR.

If errors occur, you can stop [page 93] and restart [page 93] the upgrade.

Phase INITPUT [page 95]:

You enter system-specific parameters.

Phase PATCH_CHK [page 95]:

You confirm any unconfirmed Support Packages.

Phase KEY_CHK [page 96]:

You enter the key word from the current Upgrade Note 484876.

Phase INITSUBST [page 96]:

You choose your upgrade strategy. If you choose strategy downtime-minimized, youdetermine the runtime for the import of the substitution set (approximately 10 hours).

If you choose strategy resource-minimized, you determine the number of parallelprocesses for importing the substitution set.

You choose the time when you want database archiving to be switched off.

You determine the number of parallel background processes.

You enter the number of parallel tp processes in the PARCONV_UPG phase.

Phase CONFCHK_X [page 97]:

You update your operating system of database to the required version now at the latest, orimport any software you still need.

Phase REPACHK1 [page 98]:

You release the locked objects and confirm repairs. You must do this in the REPACHK2phase at the latest.

Phase JOB_RSVBCHCK2 [page 98]:

You clean up outstanding updates. You must do this in the JOB_RSVBCHK3 phase at thelatest.

Phase FREECHK_X [page 99]:

You make sure that you can recover the old kernel if this becomes necessary.


March 2002 21

Phase LOCKEU_PRE [page 99]:

For downtime-minimized: You lock the ABAP Workbench. You must do this in theREPACHK2 phase at the latest.

Phase EU_IMPORT1 [page 100]:

For resource-minimized: You isolate the central instance, stop the application servers andswitch off the database feature permitting you to restore the data continuously, ifnecessary.

Phases EU_IMPORT4 and EU_IMPORT5 [page 100]:

If the relevant CD is not in one of the specified mount directories, you are prompted tochange the CD.

Phase REPACHK2 [page 101]:

You release and confirm all open repairs in this phase at the latest.

For downtime-minimized: You lock the ABAP Workbench in this phase at the latest.

Phase CNV_CHK_XT [page 101]:

You process any uncompleted conversion requests and restart logs.

Phase ADJUSTCHK [page 102]:

Modifications: You confirm the request, if necessary.

Phase START_SHDI_FIRST:

As of this phase you can only log on with the new front end software [page 38].

Phase ACT_ [page 102]:

Modifications: You adjust modified SAP objects with the SAP standard versions.

Phase VIEWCHK2 [page 103]:

You remove conflicts between customer tables and new views by deleting the customertables in this phase at the latest.

Phase MODPROF_TRANS [page 104]:

For downtime-minimized: You isolate the central instance, stop the application serversand switch off the database feature permitting you to restore the data continuously, ifnecessary. Also make sure that you can recover the database to its current state.

You back up the upgrade directory.

You check the percentage of tables converted in transaction ICNV, if necessary.

Phases JOB_RSVBCHCK3 and JOB_RSVBCHCK4 [page 105]:

You clean up outstanding updates in this phase at the latest.


22 March 2002

Phase MODPROFP_UPG [page 105]:

In the phases MODPROFP_UPG, STARTR3_PUPG, and CHK_POSTUP

You back up the database

You determine P errors

You switch off the database feature permitting you to restore the data continuously, ifnecessary

You start the secondary application servers

Phase CHK_POSTUP [page 106]:

You remove the P errors before you resume production operation of the system.

Post-Upgrade ActivitiesThe Post-Upgrade Activities [page 107] part of this documentation contains additionalinformation.

R3up stops at the latest in the MODPROFP_UPG phase and prompts you to start the post-upgrade activities. R3up then executes the last phases and completes the upgrade. At the same timeyou can perform the post-upgrade activities specified by R3up.

Actions Before Restarting Production Operation

Action

You back up the database [page 109].

If there is no central software storage point: You distribute the SAP programs [page 109].

You call transaction RZ10 to check the profile parameters [page 110] and reset them totheir default values, if necessary.

You install the SAP J2EE Engine [page 111]. This action is not optional.

You reimport additional programs [page 111] such as RFC-SDK or CPIC-SDK from thePresentation CD.

You call transaction SPAU to adjust modifications to Repository objects [page 111], ifnecessary.

You perform application-specific post-upgrade activities [page 112].


March 2002 23

You can perform the following post-upgrade activities during limited production operation[page 107] of the system.

Actions After Restarting Limited Production Operation

Action

You reschedule background jobs [page 113] whose release you reset when you isolatedthe central instance.

You release held jobs [page 113].

You call transaction SGEN to generate ABAP loads [page 114].

You call transaction SGEN to generate the BSP applications [page 114], if necessary.

You perform actions for the online documentation [page 115] as described in thedocumentation Installing the SAP Library.

You install the SAP Internet Transaction Server [page 59] and the SAP@Web Studio asdescribed in the documentation SAP@Web Installation, if necessary.

You perform post-upgrade authorizations activities [page 115]:

You adjust the assignments between check flags and transactions.

Upward compatibility for authorization checks: You adjust SAP_NEW.

You handle problems with user buffers.

You can perform the following post-upgrade activities during normal production operation ofthe system.

Actions After Restarting Production Operation

Action

You import Support Packages [page 116], if necessary.

If you want to install additional languages, you import them before you import the SupportPackages as described in the language transport documentation.

Transport Management System (TMS) [page 117]: You distribute the configuration to allsystems in the transport domain.

Language transport [page 118]: You copy glossary and terminology data from containertables to database tables.

You convert old batch input logs [page 118] to the new procedure in all clients, ifnecessary.

There are some post-upgrade activities that you do not need to perform directly after theupgrade. You can leave these activities until later.

Evaluating the Upgrade Runtime

Action

You use report RSUPGSUM to evaluate the runtime of the upgrade [page 119] and sendthe list to SAP with your SAPNet R/3-Frontend connection.


24 March 2002

Actions Before the Next Upgrade

Action

You delete the upgrade library and directory [page 120].

SAP Notes for the SAP Web Application Server Upgrade

March 2002 25

SAP Notes for the SAP Web ApplicationServer UpgradeDefinitionTo prepare and perform the upgrade of your SAP system, you require some additionalinformation, not included in the documentation. This information is in a range of SAP Notes inSAPNet R/3 Frontend. You must read the general Upgrade Note 484876. This SAP Notecontains current cross-platform information on preparing the upgrade. For database-specificinformation, see SAP Note 500297. When you actually upgrade the SAP system, you needinformation from some additional SAP Notes. These SAP Notes are named at the appropriateplaces in this documentation.

SAP Notes for Preparing the UpgradeYou must request the general Upgrade Note and the database-specific SAP Note fromSAPNet R/3 Frontend before you start your upgrade. Since these SAP Notes are updatedregularly, make sure you always use the newest version. The following list contains the SAPNotes you need to prepare for the upgrade:

SAP NoteNumber

Description SAP Note Type

484876 Additional Information: Upgrade to SAP Web AS6.20

Specific to thisupgrade

500297 Additional Information: Upgrade to SAP Web AS6.20 (iSeries)

Specific to thisupgrade

Keyword for the UpgradeWhen you start the upgrade, you are asked to enter a keyword, which you can get from thecurrent general Upgrade Note 484876. You cannot start the upgrade until you have enteredthe keyword.

Other SAP NotesAs well as the SAP Notes you need for preparing the upgrade, this documentation also refersyou to other SAP Notes, which give you additional information, if necessary. The followinglists contain these SAP Notes:

Cross-Platform SAP Notes

SAP NoteNumber


26417 SAP GUI resources: Hardware and Software Frontend/SAP GUI

86985 Release SAP Releases for SAP add-ons (IS) IS-specific

76431 Measures for optimizing upgrade runtime 4.x Upgrade to Release4.x

83458 Downloading Support Packages from the SAPService Marketplace

SAP SupportPackages


26 March 2002

125971 Service connection in Upgrade Assistant inSAPNet R/3 Frontend

Remote support forupgrade

33888 Central Basis objects are modified General upgrade

62519 Correction locks do not belong to system Workbench Organizer

51046 Copying the modification adjustment without acentral transport directory

Change and TransportSystem

96905 Error message TG063 in the JOB_RADDRCHKphase

ABAP Dictionary

97032 Conversion of address tables, runtime Address management

82167 Conversion of address tables, runtime Address management

24864 No conversion of table BSEG ABAP Dictionary /phasePARCONV_

10187 User buffer too small User administration

197746 Maintenance strategy Internet TransactionServer (IST)

SAP@Web

399578 Publishing IAC objects on the IST after theupgrade

SAP@Web

86627 Transaction types: Customizing for releaseupgrades

Customizing

98752 Migration of the proposal pool Translation tools

482462 Current SAP Note on the 6.20 language import Language transport

352941 Language import and Support Packages Language transport

322982 Install language during upgrade Language transport

485741 Dealing with customer translations in theupgrade

Language transport

73999 Upgrade phase PARDIST_SHD: TG450 toTG453

General upgrade

177680 Correcting conversion problems in thePARCONV_UPG phase

General upgrade

40024 Transferring customer files to sapservusing ftp

General upgrade

417670 Additional information about resetting theupgrade

General upgrade

39473 Locale and TCPOC General upgrade

186066 Increased free space requirements during theupgrade

General upgrade

493387 Potential effects of changes to tables/structures Activation

490788 ICNV in the upgrade to SAP Web AS 6.20 ICNV


March 2002 27

48550 CD problems in the PREPARE and LANG_REQphases

General upgrade

94998 Requesting a license key or a system General upgrade

iSeries-Specific SAP Notes

SAP NoteNumber


139326 Memory Management in releases from 4.6A System administration

99792 NLS National LanguageSupport

410783 Released operating systems for SAP Kernel 6.x(iSeries)

Release planning

66985 SQL catalog points to wrong library iSeries installation

49701 Information and recommendations: Kernellibraries

iSeries installation

53760 Procedure for journal receivers during anupgrade

iSeries upgrade

71258 Problems in system cross-reference files External error

161699 Upgrade Assistant iSeries upgrade

Product-Specific Information for the SAP Web Application Server Upgrade

28 March 2002

Product-Specific Information for theSAP Web Application Server UpgradeThis part of the documentation describes the information and restrictions specific to anupgrade of the SAP Web Application Server System.Among other things, this includes SAP Web Application Server System upgrade-specificdirectory sizes, database and operating system versions, as well as restrictions on andadditions to the general upgrade procedure.

The information in the product-specific sections takes priority over theinformation in the general part of the documentation.

This part of the documentation has a similar structure to the General UpgradeInformation [page 35]. The same section headings contain comments,additional information or restrictions on the upgrade. Each product-specifictext contains a link to the description of the procedure in the general part ofthe documentation.

The following parts of the documentation contain additional information::

SAP Web Application Server Upgrade: Planning [page 29]

SAP Web Application Server Upgrade: Preparations [page 33]


March 2002 29

SAP Web Application Server Upgrade:PlanningThis part of the documentation gives you SAP-Web-Application-Server-specific informationon planning the upgrade. The following sections include additional information, or restrictionsplaced on the general procedures:

Upgrade Schedule Planning [page 30]

Runtime for the Import of the Substitution Set [page 30]

Checking Hardware Requirements [page 31]

Checking the Source Release of the SAP System [page 31]

Determining Whether an OS/400 Upgrade is Necessary [page 32]

Start planning your upgrade at least two to three weeks before you want tostart.

See also:Upgrade Planning (General Information) [page 36]


30 March 2002

Upgrade Schedule PlanningWhen planning your upgrade schedule, you must consider the following:

Upgrade preparations (see step 1 in the general description [page 49])

Start your preparations for the upgrade at the latest one week before you upgrade yoursystem.

Starting the upgrade (see step 2 in the general description [page 49])

If you decide to use upgrade strategy resource-minimized, start the upgrade on the lastday of production operation with the old release. If you decide to use upgrade strategydowntime-minimized, start the upgrade on the next-to-last day of production operationwith the old release.

At the start of the phases EU_IMPORT1, EU_IMPORT4 and EU_IMPORT5, youare prompted to change the CD. The runtime of the EU_IMPORT4 phase isapproximately 30 minutes, the runtime of the EU_IMPORT5 phase isapproximately 1.5 hours. If you miss this prompt, your time schedule could beseriously disrupted.

The minimum runtime of the import in the SHADOW_IMPORT_ALL phase increases withevery Support Package, add-on, and language that is included. Each language that youimport increases the minimum duration of the import by about 30 minutes.

See also:Upgrade Schedule Planning (General Information) [page 49]

Runtime for the Import of the Substitution SetThe import of the substitution set takes about 2 hours, depending on your hardware.

Upgrade strategy downtime-minimized prompts you to specify a total runtime for the import ofthe substitution set. Set the time required for the import so that it ends at least 5 hours beforethe planned shutdown of production operation. Depending on the start time of the upgrade,specify total runtimes of about 10 hours.

See also:Runtime for the Import of the Substitution Set (General Information) [page 51]


March 2002 31

Checking Hardware RequirementsCPU, Main Storage and Unprotected Temporary StorageExact information about sizing the SAP Web Application Server does not exist at themoment. For information about the minimum requirements, see the SAP Notes aboutdatabase and operating systems in the SAP Service Marketplace at:service.sap.com/platforms

Space Requirements in the DatabaseFor the upgrade, you temporarily need 20 GB disk space in ASP 1. 20 GB are required forDB2 UDB for iSeries for the upgrade. 13 GB are assigned permanently. If you have largeamounts of customer data, you might require more disk space.

The PREPARE program also informs you of the amount of free space required in thedatabase.

See also:Checking Hardware Requirements (General Information) [page 56]

Checking the Source Release of the SAP SystemBefore the upgrade, your system must have one of the following source releases, which havebeen released for this upgrade:

Release 4.6D of SAP Basis

Release 6.10 of the SAP Web Application Server

See also:Checking the Source Release of the SAP System (General Information) [page 57]


32 March 2002

Determining Whether an OS/400 Upgrade IsNecessaryUseProduction operation of the SAP source release is only possible with released operatingsystem releases. For the upgrade to SAP Web Application Server 6.20 you need at leastOS/400 operating system release V5R1M0.

If your current operating system version is not supported for your target SAP release, youhave to upgrade OS/400 before upgrading the SAP system.For information about the upgrade path you have to follow to move from your source releaseto your target SAP or OS/400 release, see SAP Note 68440.

Procedure1. Determine your present configuration. This consists of an operating system version (OS)

and an SAP release.

2. To find out whether your current operating system version is supported for your targetSAP release, refer to SAP Note 410783.You can find more information in the SAP Service Marketplace at:

service.sap.com/platforms.

ResultIf you have to upgrade to a new operating system version before the upgrade, check theOS/400 system values again afterwards.

For information about adjusting the system values, see Checking and Adjusting iSeriesSystem Values in the documentation SAP System Installation: IBM eServer iSeries (andAS/400).

See also:Determining Whether an OS/400 Upgrade Is Necessary (General Information) [page 58]


March 2002 33

SAP Web Application Server Upgrade:PreparationsThis part of the documentation gives you SAP-Web-Application-Server-specific informationon preparing for the upgrade. The following section includes additional information, orrestrictions placed on the general procedure:

Making Entries for the Parameter Input Module [page 34]

See also:Upgrade Preparations (General Information) [page 62]


34 March 2002

Making Entries for the Parameter Input ModuleWhen you make entries for the Parameter Input module, note that you require the followingCDs in addition to the SAP Kernel CD under Mount Directories for CDs:

CDs Required by PREPARE

CD Title Contents

SAP Kernel Programs and configuration files for the upgrade

Upgrade CD1 Transport requests imported during the upgrade

Language Disc Standard languages English and German

CDs Required by R3up

CD Title Contents

SAP Kernel Programs and configuration files for the upgrade



Language Disc Standard languages English and German

Optional CDs for the Upgrade

CD Title Contents

Language Disc(s) forthe languages youwant to install

Languages other than English and German

For the exact contents, see the README file on the CD.

Add-On CDs Add-ons

See also:Making Entries for the Parameter Input Module (General Information) [page 74]

General Upgrade Information

March 2002 35


This part of the documentation does not contain all the information that youneed to upgrade your specific SAP product. You must also read the Product-Specific Information part. This part contains additional product-specificupgrade information under the same headings.The two parts are integrated in Upgrade Step by Step. This overviewcontains links to both the general descriptions of upgrade procedures, and toany additional product-specific information.

The following four parts of the documentation describe the accepted procedure for upgradingyour SAP system:

Upgrade Planning [page 36]

Upgrade Preparations [page 62]

The Upgrade [page 90]

Post-Upgrade Activities [page 107]

In this documentation, the release names such as Release 4.x or Release 6.xrefer to the Basis or SAP Web AS release of the SAP system. The releasesin the product-specific part of this documentation refer to the product, if notstated otherwise.


36 March 2002

Upgrade PlanningGeneral InformationThis part of the documentation contains general information on planning your upgrade.

For any additional information, see the product-specific part of thisdocumentation.

Before you begin the actual upgrade, you must first plan it carefully. This includes requestingall the SAP Notes you need. Careful planning is a prerequisite for a successful SAP systemupgrade.

The following information helps you plan your upgrade so that downtime is reduced to aminimum, and the upgrade runs as efficiently as possible.

TeamSAP offers the free upgrade service SAP GoingLive Functional UpgradeCheck. A team of experts checks the parameter settings of your system inone session before the upgrade, and gives you detailed recommendations onthe configuration. After the upgrade, the parameters and the entire systemstatus are checked again in a second session. For information on services,see the SAP Service Marketplace under Services Consulting Services SAP GoingLive Functional Upgrade Check. Your SAP Support is your contactfor ordering this service.

When you plan your upgrade, note the following information in addition to the information inUpgrade Step by Step:

All the times specified in this documentation are based on hardware with mediumperformance levels.

Do not perform any additional actions during the upgrade that could cause it to run lesssmoothly.

Start planning your upgrade in good time.

To make sure that all requirements are met, run the PREPARE [page 158] program assoon as possible. You can reset and repeat the program as often as you need before youstart the actual upgrade. The successful execution of PREPARE is a prerequisite forstarting the upgrade.

If you are upgrading a modified system where changes have been made to the standardsystem, you must start by upgrading a development or quality assurance system that hasthe same SAP system release (including Support Package level), and contains the samemodifications. The adjustments you perform manually for the new standard in this systemcan be automatically exported to the global transport directory and are integrated into theproduction system upgrade from there. This procedure eliminates the need for time-consuming adjustments to the production system.

If it is technically possible, or unless otherwise specified, we recommend that youupgrade the operating/database system and your SAP system at different times.

Before you start the upgrade, check the upgrade strategy of the add-on producer for theadd-ons that exist for your source release. You must do this to make sure that theinstalled add-ons are compatible with your upgrade.


March 2002 37

ActionsThe following sections are important for planning the upgrade:

Time Frame for Upgrading the Front End Software [page 38]

System Switch Upgrade [page 39]

Upgrade Strategy Planning [page 41]

Database Backup [page 45]

Database-Specific Aspects [page 46]

Incremental Table Conversion [page 47]

Upgrade Schedule Planning [page 49]

Runtime for the Import of the Substitution Set [page 51]

Upgrade in an SAP System Group [page 52]

Modification Adjustment Planning [page 53]

Checking Structural Requirements [page 55]

Checking Hardware Requirements [page 56]

Checking Software Requirements [page 56]

Checking the Source Release of the SAP System [page 57]

Meeting the Requirements for the Upgrade Assistant [page 57]

Determining Whether an OS/400 Upgrade Is Necessary [page 58]

Installing Qshell [page 58]

Accessing the Online Documentation Before and During the Upgrade [page 59]

Meeting the Requirements for the SAP Internet Solution [page 59]

Importing Additional Languages [page 61]


38 March 2002

Time Frame for Upgrading the Front-End SoftwareThe new SAP release cannot run until the new version of the front-end software (SAP GUI)has been installed. You can import the front-end software as soon as you receive thesoftware package. The latest possible time for the upgrade is before you start the shadowsystem for the first time in the START_SHDI_FIRST phase. This graphic shows the timeperiod during which you can upgrade the front-end software:

Time Frame for Upgrading the Front-End Software

Preparation Upgrade Post-Upgrade

PhaseSTART_SHDI_FIRST

Downtime

Installation of newfront-end software

Log on with new front-end software only

Downtime

Installation of newfront-end software

Log on with new front-end software only

Resource-minimized

Downtime-minimized

The front-end software is upgraded directly from CD or from a file server. For moreinformation, see the SAP Front-End Installation Guide.


March 2002 39

System Switch UpgradeProcedureSystems are upgraded to SAP Web Application Server 6.10 and higher with the new SystemSwitch Upgrade procedure. This procedure installs an instance of the target release, theshadow system, in parallel with the current source release system in the same database.This parallel system contains all the software of the target release and is used to integrateSupport Packages that are included in the upgrade, add-ons, and customer modifications intothe target release.

In the production database, the tables of the target release that contain both the descriptionsof the ABAP Dictionary (DDIC) and the ABAP programs are imported as shadow tables underan alternative name. The shadow system enables you to access these tables. If you choosethe upgrade strategy downtime-minimized, you can perform upgrade actions beforedowntime starts, which previously had to be performed during downtime.

During the EU_SWITCH phase in downtime, the switch is made to the new system, and anyremaining data is imported. Any parts of the source release system that are no longer neededare deleted.

Process Flow of a System Switch Upgrade

6.10

DATA

DATA

Data Conversion

DATA 4.x

4.x

6.10Shadow System Installation

4.x 6.10DATA

4.x 6.10SPDD

Import

XPRA

Original System withSource Release Shadow System Activation

New System with TargetRelease


40 March 2002

Characteristics of the Procedure Planning the Upgrade

No precise guidelines can be given for the duration of an upgrade. The duration of theindividual actions depends to a great extent on the individual system, the number ofmodifications, and the number of included Support Packages and add-ons.

Increased space and resource requirements

Operating two instances in parallel places increased demands on free space in the filesystem, in the database, and, according to the upgrade strategy, on the systemresources. If necessary, some parameters in the production system might need to beadjusted to enable you to operate the production and the shadow systems in parallel.

Extended free space check

The PREPARE program also checks the free space needed for tables created in theshadow system.

Creating the shadow system

The PREPARE program has a new Installation module, which is used to prepare for theshadow instance. PREPARE first creates profiles, directories, programs and files neededby the shadow instance, as well as an extra database user. All tables of the SAP WebApplication Server are needed as shadow tables to operate the shadow system. As wellas all substitution tables already imported, and the newly created tables, the R3upprogram also creates all remaining SAP Web Application Server tables and fills them.

When all the required tables are in the shadow system, aliases, synonyms or views arecreated for them. Additional table contents are copied into the shadow system to enableadjustment, activation and distribution functions in the shadow system.

Operating the shadow system

You can now use the shadow system to perform the modification adjustment of the ABAPDictionary objects and activate and distribute the requests included in the upgrade. Afteryou have operated the shadow system, you have a consistent inactive nametab with thedescriptions of the table structures of the target release, including Support Packages andadd-ons.

While it is running, the shadow system writes to a number of tables whose contents arerequired for the remainder of the upgrade, and for operating the system afterwards.These tables are renamed with their original names in the EU_SWITCH phase.

Table conversion

All tables of the SAP Web Application Server whose contents need to be copied from theshadow system, can be copied to the target release structure during production operationin the shadow system. Even the tables into which control data is imported in the shadowsystem exist and only need to be renamed. The tables that need to be converted arethose for which the original versions of the SAP Web Application Server will continue tobe used. These tables can be converted during production operation by being copied tothe shadow system, or converted externally.

External conversion no longer needs the ABAP conversion program of the sourcerelease, which means that the activation and conversion of the SAP Web ApplicationServer only uses target release tools. This removes the restrictions of the previousprocedure, such as no modifications to the SAP Web Application Server in SupportPackages and add-ons.


March 2002 41

As before, the application tables are converted during downtime in the PARCONV_UPGphase. They can be distributed during production operation. If you use the ICNV, thetables are converted during production operation.

After operating the shadow system

Any tables that receive entries, are created as copies with new formats in the shadowsystem. The upgrade then performs the shadow import. Modifications to the contents ofthe original tables are indicated by triggers. These tables must be copied and importedduring downtime.

During downtime

After R3up has converted the data and made all preparations, it completes the copyimport action during downtime for all tables with triggers set. The EU_SWITCH phasecompletes the switch to the new system. All tables prepared in the shadow system arecopied to the target release. The KX_SWITCH phase switches the kernel. ThePARCONV_UPG phase converts the application table and the phase TABIM_UPG importsthe remaining data. Finally, the XPRAS_UPG phase starts the XPRAs required by thesystem.

Upgrade Strategy PlanningPurposeIf you are upgrading with the System Switch Upgrade procedure, SAP provides you with twoupgrade strategies: the downtime-minimized strategy and resource-minimized strategy.Choose the strategy that is best suited to your SAP system and to your requirementsconcerning system availability. Your decision depends on two factors:

Maximum permitted downtime

System resources

Upgrade Strategies

Downtime-Minimized Parallel operation of production system and shadow system

Higher demand on system resources

Shorter downtime

Import of the substitution set into the shadow tables during production operation

Modification adjustment of the ABAP Dictionary objects during production operation

Activation and distribution during production operation


42 March 2002

Resource-Minimized Operation of production and shadow system only possible independently of each other

Production operation stops before import of substitution set into shadow tables or, at thelatest, before shadow instance is started for first time

Longer downtime

No ICNV

Benefits of the System Switch UpgradeIf you choose the downtime-minimized strategy, the new System Switch Upgrade procedureoffers you the following benefits:

Modification adjustment during production operation

The modification adjustment of the ABAP Dictionary objects is performed beforedowntime. This is possible since the complete version management is available in theshadow system.

Activation and distribution during production operation

You need to activate and distribute all ABAP Dictionary objects (including their dependentobjects) that Support Packages modify in the delivered release, as well as objects thatare modified or created by the customer. Where a large number of included SupportPackages or add-ons are concerned, or where systems have been modified greatly, thisprocedure may take several hours.

Specific use of the incremental table conversion function (transaction ICNV)

You can also increase the number of candidates for transaction ICNV, since the amountand target structure is calculated at the customer site. Transaction ICNV can therefore beused for tables modified by customers, add-ons, and Support Packages. This isparticularly noticeable in the shorter downtime for upgrades that include one or more add-ons.

Since these processes occur during production operation, some phases are considerablyshorter during downtime. This mainly affects the phases DDIC_, ACT_,PARCONV_UPG and TABIM_UPG. This means that downtime is independent of the number ofmodifications, Support Packages, and add-ons.

Other benefits of the System Switch Upgrade for both upgrade strategies include:

Use of target release tools for the upgrade

To upgrade from the source release structure to the target release structure, activationand distribution actions need to be specified and executed. This is now done by tools inthe target release. This removes restrictions caused by using source release tools.

Extended shadow import

The shadow system is used to calculate the target release state of a table beforedowntime starts. Because the shadow tables are created in their final structure duringproduction operation, the amount of tables into which data can be imported in advancecan be increased. Until now, this was only possible for new tables and substituted tables.


March 2002 43

Comparison of Upgrade Strategies

Strategy Advantages Disadvantages

downtime-minimized

Short downtime

Medium amount of space required ifyou need to recover the database

Increased demand on systemresources due to parallel operationof production and shadow system

Offline backup required afterupgrade if archiving deactivated atsome stage

Disk capacity for a possibledatabase recovery is monitored

resource-minimized

No additional system resourcesduring upgrade

No additional space required if youneed to recover the database

Disk capacity for a possible databaserecovery is not monitored

Longest downtime

Offline backup required afterupgrade

The upgrade strategy is one of the main factors in determining the runtime of the upgradeand how much downtime is involved.

The following graphic shows the course of the upgrade for the various strategies. It does notshow the differences in the duration of the upgrade. The upgrade is divided into phases.EU_IMPORT1 and MODPROF_TRANS are important phases, since they mark the start ofdowntime (depending on the chosen strategy).

The course of the upgrade is identical in all strategies up to the EU_IMPORT1 phase. For theresource-minimized strategy, downtime begins in the EU_IMPORT1 phase. For the downtime-minimized strategy, downtime begins in the MODPROF_TRANS phase.


44 March 2002

Course of the Upgrade

Resource-minimized

Import substitution set

Upgrade

Downtime-minimized

Distribution, activation

Import substitution set

Distribution, activation

Preparations

Upgrade

Post-upgrade activities

BackupBackup

Backup

ICNV

SPDD

BackupPreparations

Post-upgrade activities

Legend:

Actions byPREPAREor R3up

Useractions

Downtime

Productionoperation

Downtimedepending onarchivingstrategy anddatabase

StartPREPARE

StartR3up

Phase EU_IMPORT1

Phase MODPROF_TRANS

End ofR3up

SPDD

Shadow

Supp. packs., add-onsSupp. packs., add-ons

System

Upgrade RuntimeThe following factors influence the total runtime of R3up:

Hardware used

Import runtime for the substitution set

Languages installed

Number of clients

Major customer developments

Modifications to standard SAP tables

Add-on software

Integration of Support Packages

The downtime depends on the upgrade strategy you choose and the hardware. The size ofyour database influences the runtime of the upgrade. Your source release can influence theruntime and downtime of the upgrade by up to approximately 25%.


March 2002 45

Database BackupDatabase ArchivingThe archiving strategy determines the time intervals in which database mechanisms saveactions to the database, and how journal receivers are deleted (by the user or the system).This determines whether the database system can recover lost data.

Normally, the user manages the journal receivers. The actions performed include backing upand deleting journal receivers. This mode is referred to as archiving on.

In the following, archiving is deactivated means that the journal receivers areautomatically deleted by the system. Journaling is not switched off during theupgrade.

When archiving is deactivated, the system manages the journal receivers. Receivers aredeleted without being backed up. Recovery of the database is not possible. Therefore, youmust run a full database backup before you switch to this mode.

The R3up program prompts you in the INITSUBST phase to select when you want todeactivate archiving.

The following options are available:

Archiving Strategy Downtime-Minimized Resource-Minimized

Archiving is activated during theentire upgrade.

possible possible

Archiving is deactivated in theEU_IMPORT1 phase.

--- recommended

Archiving is deactivated before youstart the shadow instance for thefirst time.

possible possible

Archiving is deactivated in theMODPROF_TRANS phase.

recommended ---

The archiving strategies that are marked as possible are only useful in certaincases. Only the recommended archiving strategies are described here.

At the selected time, you are then prompted by R3up to deactivate archiving. After you havedeactivated archiving, you can no longer use your system in production operation.

Full BackupIf you deactivate archiving at some stage during the upgrade, you have to make a full backupof the database before you switch to the archiving on mode.

If you choose the downtime-minimized upgrade strategy, the full backup is made duringdowntime, before the MODPROF_TRANS phase at the latest.

If you choose the resource-minimized upgrade strategy, the full backup is made duringproduction operation before the substitution set is imported.

At the same time, make a backup of the upgrade directory and itssubdirectories.


46 March 2002

After the upgrade you need to make another backup of the database.

For more information about performing a full backup, see the documentation SAP WebApplication Server Installation: IBM eServer iSeries (and AS/400), section Performing a FullBackup.

Database-Specific AspectsAt the beginning of downtime, (we recommend [page 45] that you start this in theMODPROF_TRANS phase for strategy downtime-minimized and in the EU_IMPORT1 phase forstrategy resource-minimized), you are prompted to stop all work in the SAP system and toconfirm that journal receivers will be automatically deleted by the system.

You must be able to recover the database to the state it has at this point intime. Therefore, you must now make a full backup of your database so that, incase of recovery, you need not apply all journal changes created so far,including those written during the previous import. You can choose betweenan online backup, which you must perform before you stop the centralinstance, and an offline backup, which you must perform before you confirmthat journal receivers will be deleted by the system.Back up the upgrade directory as well.

R3up waits for your confirmation before it stops the central instance. Proceed as follows:

1. If you have opted for an online backup, perform it before you stop the central instance.

2. Confirm that you want to stop the central instance.

3. If you have opted for an offline backup, perform it before the journal receivers will bedeleted by the system.

4. Delete the journal receivers.

For more information, see Handling Journal Receivers During an Upgrade [page 152].

5. Confirm the R3up prompt about deleting the journal receivers.

6. Back up the upgrade directory now at the latest.

7. Confirm the R3up prompt about backing up the upgrade directory.


March 2002 47

Incremental Table ConversionUse

You can use incremental table conversion only if you use the upgradestrategy downtime-minimized.

The structure of some of the tables in your database changes each time you upgrade yoursystem to a new release. In some cases you need to convert these tables. This involvescompletely restructuring them and converting each individual data record. These conversionsare usually made during the upgrade downtime (phase PARCONV_UPG).

The incremental conversion function enables many of these tables to be converted before theupgrade. The data is converted during production operation of the system.

This approach has the following benefits:

Reduced downtime during the upgrade, especially for systems with one or more add-ons

Simple return to the SAP standard for modified tables

PrerequisitesThe System Switch Upgrade only determines the candidates for transaction ICNV after thetarget structure of the tables has been defined. The candidates are determined in theICNVREQ phase. R3up checks whether the system contains tables for which an incrementalconversion is an advantage. These include tables that need to be converted, and that containlarge volumes of data, and therefore would increase the downtime significantly during aconversion. The System Switch Upgrade also enables you to use transaction ICNV for tablesthat have been modified by Support Packages, add-ons, or customer developments.

If the above applies, R3up prompts you to start the incremental conversion.

Use of the incremental conversion function is optional. If you do not want to use incrementalconversion, the tables are converted during downtime.

FeaturesIncremental conversion is performed using transaction ICNV. This transaction offers thefollowing functions:

Displays the tables determined by R3up (candidates for transaction ICNV)

Decides which candidates should be converted incrementally

Starts the conversion

Monitors the conversion

Estimates the runtime of the conversion

For up-to-date information, see SAP Note 490788. For more information, call transactionICNV and choose F1 or Information.


48 March 2002

Note the following:

Transaction ICNV makes modifications to the database tables that you want to convertduring the Initialization step. You cannot reset these modifications by resetting theupgrade. In particular, you cannot directly upgrade these modifications.

If you use incremental table conversion, do not start an SAP archiving program for thesetables at the same time, since this can lead to performance bottlenecks. Therefore,archive as much data as possible before you start the conversion.

After the incremental conversion starts, you

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