1 Project Planning

27

1.1 Why Upgrade?

27

1.1.1 New Possibilities, Features, and Functionality

28

1.1.2 Outdated SAP Version

28

1.1.3 Release Support and Maintenance Costs

28

1.1.4 Installing Support Packages versus Upgrading

29

1.1.5 To Unicode, or Not to Unicode: That Is the Question

29

1.1.6 SAP HANA

29

1.1.7 Upgrading Is a Normal Activity

30

1.2 Estimating the Effort

30

1.2.1 The Technical Upgrade

30

1.2.2 The Number of SAP Objects Modified

31

1.2.3 Custom Developments

34

1.2.4 ABAP Unicode Syntax Requirements

37

1.2.5 Obsolete Transactions

37

1.2.6 Obsolete Custom-Developed Programs

39

1.2.7 Estimating the Functional Effort

39

1.2.8 Business Example: Upgrade from ECC 5.0 to ECC 6.0 EHP 7

39

1.2.9 Estimating the Technical Upgrade Runtime for the Production System

41

1.3 Pre-Upgrade Considerations

42

1.3.1 What Is the Level of Effort?

42

1.3.2 Which Release to Choose?

42

1.3.3 Where to Start?

43

1.4 Factors Influencing the Complexity of an Upgrade

43

1.4.1 Technology-Related Factors

44

1.4.2 Project-Related Factors

59

1.4.3 Business-Related Factors

63

1.4.4 Forgotten Factors

64

1.5 The Project Team

65

1.5.1 Project Management Team

65

1.5.2 Technical Upgrade Team

66

1.5.3 Functional Work Groups

67

1.5.4 Staffing the Internal versus External Resources

67

1.6 The SAP Upgrade Project: Steps

71

1.6.1 Upgrade Scope

71

1.6.2 Planning Levels

71

1.6.3 Critical Success Factors

72

1.6.4 Scheduling an Upgrade

73

1.7 Outlining the Upgrade Plan

74

1.7.1 Master Project Plan

74

1.7.2 Action Plan

76

1.7.3 Status Reporting

80

1.8 The Testing Phase

81

1.8.1 Test Focus

81

1.8.2 Test Scenarios

82

1.8.3 Test Stages and Test Progression

83

1.8.4 Test Tools

86

1.9 SAP Solution Manager and the SAP Upgrade Roadmap

88

1.10 Summary

89

2 Technical Information and Planning

91

2.1 The SAP NetWeaver Architecture

91

2.1.1 SAP Enterprise Portal/SAPUI5

92

2.1.2 SAP Process Orchestration

93

2.1.3 SAP Business Warehouse

93

2.1.4 Application Platform

93

2.1.5 Classical Database and SAP HANA

94

2.2 An Overview of SAP ERP and SAP Releases

95

2.2.1 SAP ERP

95

2.2.2 Core Releases

98

2.2.3 Support Packages

98

2.2.4 Enhancement Packages

100

2.2.5 The Software Update Manager

101

2.3 The System Switch Upgrade

102

2.4 Upgrade Strategy and Runtime

104

2.5 Database-Specific Aspects

107

2.6 The SAP Landscape during the Upgrade

109

2.6.1 Scenario 1: The Sandbox System

111

2.6.2 Scenario 2: Extra Development and Quality Assurance Systems

113

2.6.3 Scenario 3: Contingency System

114

2.7 Upgrading the Frontend Software

116

2.8 The Application-Specific Upgrade Toolbox

116

2.9 Upgrade of Dual-Stack Systems

117

2.9.1 Dual-Stack Split

119

2.9.2 Upgrade Process of Dual-Stack System

120

2.9.3 Technical Implementation

121

2.10 Upgrades in an MCOD System Landscape

122

2.11 Summary

124

3 Preparing for the Technical Upgrade

125

3.1 Upgrade Documentation

126

3.1.1 The Upgrade Guides

126

3.1.2 The Upgrade Notes

131

3.1.3 Creating Your Own Documentation

133

3.2 Upgrade Services

137

3.2.1 SAP GoingLive Functional Upgrade Check

137

3.2.2 SAP Safeguarding for Upgrade

137

3.2.3 Upgrade Dependency Analyzer (UDA)

138

3.2.4 Additional Upgrade Services

140

3.3 Hardware and Software Requirements

141

3.3.1 SAP Platform Availability Matrix (PAM)

142

3.3.2 SAP Solution Manager System

143

3.3.3 Capacity Requirements

144

3.3.4 Disk Space Requirements

146

3.3.5 Informix No Longer Supported

148

3.4 The Upgrade Directory

149

3.4.1 ABAP Upgrade Directory: Path, Location, and Subdirectories

149

3.4.2 Java Upgrade Directory: Path, Location, and Subdirectories

152

3.5 The Upgrade Media

154

3.5.1 Packages and Downloads

154

3.5.2 Selecting the Media Needed for the Upgrade

155

3.5.3 File Formats for Downloads

157

3.6 Support and Enhancement Packages

158

3.6.1 The Maintenance Optimizer

158

3.6.2 Selecting and Downloading the SP Stack with the Maintenance Optimizer

159

3.6.3 Stack Configuration Files

164

3.7 The Download Directory

165

3.8 Summary

166

4 A Guided Tour of the Upgrade Tools

167

4.1 Obtaining the SUM

168

4.1.1 Download the Software

168

4.1.2 Download the Documentation

169

4.1.3 The SUM Note

171

4.1.4 Other Guides and Notes

173

4.2 Setting up the SUM

175

4.2.1 Planning Disk Space

175

4.2.2 Software on the Server

178

4.2.3 Software on the Workstation

178

4.2.4 Extraction

179

4.2.5 SUM Roles: Administrator and Observer

180

4.2.6 Giving the SUM a Trial Run

181

4.2.7 Connection between SAP Server and Workstation

189

4.3 Using the SUM

193

4.3.1 The File Menu

193

4.3.2 The User Menu

194

4.3.3 The Alert Menu

195

4.3.4 The Update Menu

196

4.3.5 The ABAP Menu

197

4.3.6 The Java Menu

198

4.3.7 The Help Function

199

4.4 Special Features of the SUM

200

4.4.1 Setting Breakpoints (ABAP)

200

4.4.2 Setting Breakpoints (Java)

202

4.4.3 Reinitializing the Administrator password

203

4.4.4 Starting the GUI on Nondefault Ports

203

4.5 Summary

204

5 Upgrading the ABAP System

205

5.1 Planning the ABAP Upgrade

207

5.2 ABAP Upgrade Timeline

209

5.2.1 Downtime before the Upgrade

209

5.2.2 System Availability during the ABAP Upgrade

210

5.2.3 System Resources and Upgrade Scenarios

212

5.2.4 Near-Zero Downtime Maintenance (nZDM)

214

5.2.5 Backups

215

5.2.6 Downtime after Go-Live

217

5.2.7 Time Schedule during the Technical Upgrade

218

5.3 The Shadow Repository and Shadow Instance

220

5.4 The ABAP Upgrade Directory

220

5.5 SAPup

223

5.6 Starting the ABAP Upgrade

228

5.6.1 Prerequisites

228

5.6.2 Software Update Manager Roadmap Steps

232

5.7 Initialization Roadmap Step

232

5.8 Extraction Roadmap Step

239

5.9 Configuration Roadmap Step

244

5.9.1 Upgrade Strategy

244

5.9.2 Configuring the Downtime-Minimized Strategy

246

5.9.3 Package Inclusion

250

5.9.4 Patch Binding

253

5.9.5 Customer Transport

254

5.9.6 Requests for SPDD and SPAU

255

5.9.7 Shadow Instance

257

5.9.8 List of Upgrade Files

259

5.10 Checks Roadmap Step

259

5.10.1 Saving Variants

259

5.10.2 The ASU Toolbox

260

5.11 Preprocessing Roadmap Step

263

5.11.1 Error Stop for Update Requests

264

5.11.2 Development and Transport Lock

265

5.11.3 Unattended Run to Modification Adjustment Stop

267

5.11.4 Stop for Modification Adjustment

267

5.11.5 The Activation Phase ACT_UPG

270

5.11.6 Activation Errors

272

5.11.7 Incremental Conversion (ICNV)

277

5.11.8 Remaining Phases until Downtime

284

5.11.9 Actions before Entering Downtime

284

5.11.10 Start of Downtime

288

5.11.11 Backup Database and SUM Directory

289

5.11.12 Disable Database Archiving

290

5.11.13 Restart the Upgrade

290

5.12 Execution Roadmap Step

291

5.12.1 Logging On to SAP during Downtime

292

5.12.2 Unlock the System to Correct Errors

292

5.12.3 The Switch Phases: EU_SWITCH and KX_SWITCH_1

293

5.12.4 Table Conversion Phase PARCONV_UPG

293

5.12.5 Control Data Import: TABIM_UPG

293

5.12.6 The XPRAS Phases

294

5.12.7 Kernel Update Request for ASCS

296

5.12.8 End of Technical Downtime

297

5.13 Postprocessing and Finalization Roadmap Steps

299

5.13.1 Restore Variants

299

5.13.2 SPAU Information

299

5.13.3 Prepare Evaluation and Save Upgrade Logs

300

5.13.4 Final Upgrade Status

300

5.13.5 End of the Upgrade

304

5.14 Upgrade Postprocessing Activities for ABAP

306

5.14.1 Actions at the Operating System Level

307

5.14.2 Actions at Database Level

308

5.14.3 Actions in the SAP System

309

5.15 After the Upgrade

320

5.16 Troubleshooting

320

5.16.1 Error Stop in the SUM

321

5.16.2 Resetting the Upgrade

323

5.16.3 Troubleshooting Information in the Upgrade Guides

324

5.16.4 Upgrade Logs

324

5.16.5 Reporting the Problem to SAP

325

5.17 Summary

325

6 Upgrading the Java System

327

6.1 Planning and Preparation

328

6.1.1 Free Disk Space

328

6.1.2 Upgrade Timing

330

6.1.3 System Resources

330

6.1.4 Backups

331

6.1.5 Java Virtual Machine versus SAPJVM

331

6.1.6 Java Memory Settings

332

6.1.7 Actions for the SDM

332

6.1.8 Systems with Multiple Instances (SAP NetWeaver 2004)

332

6.1.9 Credentials and Passwords

333

6.2 Starting the Upgrade

333

6.3 Upgrade Process

334

6.3.1 Initialization Roadmap Step

336

6.3.2 Extraction Roadmap Step

342

6.3.3 Configuration Roadmap Step

343

6.3.4 Checks Roadmap Step

352

6.3.5 Preprocessing Roadmap Step

353

6.3.6 Upgrade Reaches Downtime

356

6.3.7 Execution Roadmap Step

358

6.3.8 Postprocessing and Finalization Roadmap Steps

359

6.4 Postprocessing

362

6.4.1 Backup

362

6.4.2 Reinstall Application Servers (Source Release SAP NetWeaver 2004)

362

6.4.3 Activities for Root (UNIX/Linux)

362

6.4.4 System-Specific Postprocessing

363

6.5 Summary

363

7 Modification Adjustment

365

7.1 Modification Adjustment Transactions

365

7.2 Run Transaction SPDD

367

7.2.1 Logging On

368

7.2.2 Enable Development Changes

368

7.2.3 Calling SPDD

369

7.3 The SPDD Object List

370

7.3.1 Hierarchy

371

7.3.2 Modification Status and Adjusting Objects

372

7.4 How to Handle Modifications

376

7.4.1 General Procedure

376

7.4.2 Reset to Original

376

7.4.3 Custom Fields Added to Tables or Structures

377

7.4.4 Field Format Changes

381

7.4.5 Technical Settings for a Table

382

7.4.6 Indexes, Data Elements, and Domains

382

7.5 Post-Modification Steps

386

7.5.1 Registering the SPDD Transport for Later Use

386

7.5.2 Start Activation

387

7.6 Modification Adjustment with SPAU and SPAU_ENH

387

7.7 Summary

388

8 Upgrading SAP Business Warehouse

389

8.1 Software Components

390

8.2 SAP Business Warehouse Architecture

391

8.3 Specific Upgrade Tasks for SAP BW

392

8.3.1 Checking Connections to the Backend Systems

393

8.3.2 Checking the Logical System Name

393

8.3.3 Checking Number Ranges

394

8.3.4 Checking Inconsistent InfoObjects

395

8.3.5 Converting Data Classes of InfoCubes

397

8.3.6 Migrating InfoPackage Groups to Process Chains

399

8.3.7 Migrating to the New Reporting Authorization Concept

400

8.3.8 Checking for Incompatibilities with Source Release SAP BW 3.5

400

8.3.9 Creating and Running Reports for Open Hub

401

8.3.10 Applying Corrections to Prevent the Loss of Function Groups

401

8.3.11 Checking for Discontinued Query Features

401

8.3.12 Preparing the System for Change Data Type for Characteristics

402

8.3.13 Executing Automated Housekeeping Tasks

403

8.3.14 Executing Automated Before-Upgrade Tasks

404

8.4 The Preparation and Upgrade Process for SAP Business Warehouse

406

8.4.1 During Preparation

406

8.4.2 During the Upgrade

408

8.5 Upgrade Postprocessing for SAP Business Warehouse

409

8.5.1 Overview of SAP BW Postprocessing Actions

409

8.5.2 Installing the Java Components

410

8.5.3 Postprocessing Activities for BI Java

410

8.6 Summary

412

9 Upgrading SAP SCM

413

9.1 SAP APO Components

414

9.1.1 Upgrade of liveCache and Optimizer

415

9.1.2 Integration with SAP ERP

415

9.2 SAP SCM Architecture

416

9.2.1 Platform Support for liveCache and Optimizer

416

9.2.2 Virtualization

418

9.3 Dependencies between SAP SCM and Backend Systems

419

9.4 Functional Aspects during the Technical Upgrade

420

9.5 Technical Upgrade Preparation, Documentation, and Media

421

9.5.1 Additional Documents and Notes

422

9.5.2 Additional Upgrade Media

422

9.6 The Technical Upgrade Process for SAP SCM

423

9.7 /SAPAPO/OM_LC_UPGRADE_70 Section A

427

9.7.1 Delete Downloaded Table and Logs (Action A1)

428

9.7.2 Delete Superfluous Planning Versions (A2)

428

9.7.3 Consistency Check (A3)

428

9.7.4 Consistency Check for Activities Data (A4)

429

9.7.5 liveCache/LCA Build Checks (A5)

429

9.7.6 Consistency Checks for DP/SNP Time Series (A6)

429

9.7.7 Consistency Check for Time Streams (A7)

430

9.7.8 Resume the Upgrade

430

9.8 Entering Downtime

431

9.9 /SAPAPO/OM_LC_UPGRADE_70 Section B

431

9.9.1 Repeat Consistency Checks

431

9.9.2 Check Space in the Database

432

9.9.3 Download liveCache Data (B1)

432

9.9.4 Stop liveCache (B2)

433

9.9.5 Complete Backup (B3)

433

9.10 Upgrade Downtime Phases

433

9.11 liveCache Upgrade

434

9.11.1 Upgrade the Management GUI

435

9.11.2 Obtain User Access on the liveCache Server

435

9.11.3 Stop Other liveCache and SAP MaxDB Instances on the Server

436

9.11.4 Execute the Upgrade Script

436

9.11.5 Install the liveCache Client Software

437

9.11.6 Start/Stop Test

438

9.11.7 Adapt liveCache Parameters

438

9.11.8 Parameter Check

439

9.11.9 Final Actions

441

9.12 Optimizer Upgrade

441

9.13 /SAPAPO/OM_LC_UPGRADE_70 Section C

445

9.13.1 Maintain Logical Database Connection (C1)

446

9.13.2 Refresh Database Statistics (C2)

446

9.13.3 Load Master Data (C3)

446

9.13.4 Upload liveCache Data (C4)

446

9.13.5 Compare liveCache with Download (C5)

447

9.13.6 Convert Transport Requests (C6)

447

9.13.7 liveCache/LCA Build Checks (C7)

447

9.13.8 Activate Logging (C8)

447

9.13.9 Complete Backup (C9)

448

9.13.10 Start CIF Queues (C10)

448

9.14 Final Upgrade Phases

448

9.15 Prepare for Return to Production

448

9.16 /SAPAPO/OM_LC_UPGRADE_70 Section D

449

9.17 Summary

449

10 Upgrading SAP CRM

451

10.1 SAP CRM Architecture

451

10.1.1 SAP CRM Server

451

10.1.2 SAP CRM Mobile Client Component

454

10.1.3 SAP NetWeaver Search and Classification

455

10.2 SAP CRM Specific Tasks

455

10.2.1 Connections to Backend Systems

455

10.2.2 Dependency of SAP CRM on Other SAP Applications

456

10.2.3 SAP CRM Java Components

456

10.3 The Preparation and Upgrade Process for SAP CRM

457

10.3.1 During Preparation

457

10.3.2 During the Upgrade

457

10.4 Upgrade Postprocessing for SAP CRM

462

10.4.1 Internet Pricing and Configurator

462

10.4.2 Follow-Up Activities for the Middleware

463

10.4.3 Reregistering Inbound Queues

465

10.4.4 Rereleasing Replication and Realignment Queues

465

10.4.5 Other Upgrade Postprocessing Steps

465

10.4.6 SAP CRM Java Components

466

10.5 Upgrading SAP CRM Mobile Client Components

467

10.6 Summary

468

11 Upgrading SAP SRM

469

11.1 SAP SRM Architecture

469

11.1.1 SAP SRM Server

470

11.1.2 SAP ERP

471

11.1.3 SAP BW

472

11.1.4 SAP NetWeaver Search and Classification

472

11.1.5 SAP NetWeaver Master Data Management

472

11.2 Specific Tasks for SAP SRM

473

11.2.1 Connections to Backend Systems

473

11.2.2 Dependency of SAP SRM on Other SAP Applications

473

11.2.3 Preparation

475

11.2.4 During the Upgrade

475

11.2.5 Upgrade Postprocessing

478

11.2.6 SAP SRM Java Components

481

11.3 Summary

483

12 Upgrading the SAP Enterprise Portal

485

12.1 SAP Enterprise Portal Architecture

485

12.1.1 SAP Enterprise Portal Add-Ons

487

12.1.2 SAP Enterprise Portal Services

488

12.1.3 SAP Enterprise Portal Standalone Engines

489

12.2 SAP Enterprise Portal Upgrade Approach

490

12.3 Upgrade Preparation and Process

492

12.3.1 Dual-Stack Split

492

12.3.2 Revert to Default Desktop

492

12.3.3 The Universal Worklist

493

12.3.4 Wiki and Forums

493

12.3.5 Knowledge Management and Collaboration

494

12.4 Upgrade Postprocessing for the SAP Enterprise Portal

495

12.4.1 The Universal Worklist

495

12.4.2 Knowledge Management and Collaboration

495

12.4.3 Migrating Portal Applications

496

12.5 Summary

496

13 Upgrading SAP Process Integration and SAP Process Orchestration

497

13.1 SAP Process Integration versus SAP Process Orchestration

498

13.2 In-Place Upgrade versus Side-by-Side Migration

500

13.2.1 Decision Factors

500

13.2.2 Advantages/Disadvantages

502

13.3 Side-by-Side Deployment

504

13.3.1 Migration Plan

504

13.3.2 Directory Content Migration Tool

505

13.4 In-Place Upgrade

507

13.4.1 Preparation Activities

507

13.4.2 Follow-Up Activities

510

13.5 Summary

513

14 Upgrading SAP Solution Manager

515

14.1 SAP Solution Manager 7.1 Infrastructure

516

14.1.1 System Landscape Database

516

14.1.2 Landscape Management Database

517

14.1.3 SAP Host and Diagnostic Agents

518

14.1.4 CA Wily Introscope

518

14.2 Upgrade Approach

518

14.2.1 System Architecture

518

14.2.2 Upgrade versus New Installation

519

14.2.3 The Upgrade Planning Tool

519

14.2.4 The SAP Landscape during the Upgrade

522

14.3 The Preparation and Upgrade Process for SAP Solution Manager

523

14.3.1 How to Upgrade SAP Solution Manager

523

14.3.2 Updating the SLD Content to the Latest Version

523

14.3.3 Upgrade to SAP Solution Manager 7.1

524

14.3.4 Set End-to-End Root-Cause Analysis in Maintenance Mode

524

14.3.5 Upgrade CA Wily Introscope Enterprise Manager

527

14.3.6 Upgrade the SAP Host and Diagnostics Agents on All Managed Systems

527

14.3.7 SAP Solution Manager Add-Ons

529

14.4 Post-Upgrade Activities

530

14.4.1 Perform Delta Configuration of SAP Solution Manager and Managed Systems

530

14.4.2 Repeat Managed Systems Configuration (Only for SAP PI/PO Systems)

531

14.5 Summary

532

Appendices

533

A SAP Releases and Upgrade Paths

535

A.1 SAP NetWeaver and SAP Basis Releases

535

A.2 SAP ERP Releases

537

B Database Transaction Log Modes

541

C SAP Notes

543

D References

549

D.1 SAP Service Marketplace

549

D.2 SAP Installation and Documentation Manuals

549

D.3 SAP NetWeaver How-To Guides

551

E SAP NetWeaver Search and Classification (TREX)

553

F Single Code Pages

555

G The Authors

557