Need of Upgrade : Enhancements,  Functionalities, Introducing new modules and SAP is going to stop the support to the older versions

If the client or customer is not going for any other new modules or new functionalities. No need of Upgradation

  1. The need for an Upgrade
  2. Upgrade documentation
  3. Upgrade tools
  4. Phases of PREPARE
  5. Modification adjustment
  6. Phases of the Upgrade
  7. Troubleshooting
  8. Upgrade strategy
  9. Shadow instance
  10. Incremental conversion
  11. Support Packages and Add-On’s
  12. Upgrade Planning & Preparation
  13. Customer- Based Upgrade
  14. SAP Upgrade offerings
  15. Appendix: Deltas in Upgrades
  16. Appendix: Java Upgrade
  17. Unicode conversions

First we need to download the Upgrade Master Guide from Service .SAP.com.

Component Upgrade Guide Structure:

  1. SAP Notes for the Upgrade
  2. Step by Step
  3. Planning
  4. Preparation
  5. Upgrade process
  6. Fallow-Up activities
    1. Troubleshooting
    2. Upgrade Administration
    3. Upgrade Tools

Upgrade Tools:

  1. SGEN
  2. ICNV (

PREPARE:  It is divided into  four levels:

  1. Can be started at any time
  2. It is performed only once
  3. Includes all checks requiring short run times
  4. Including long running jobs:
  • Calculate modification adjustments
  • Calculate future inconsistencies in the ABAP Dictionary
  • Run an extended free check

Dump the Upgrade software in the local system.

It will be in 7 directories

  1. 501 –683
  2. xxxxx_1
  3. xxxxx-2
  4. Patches


  • Upgrade Assistant
  • Upgrade Monitor
  • ABAP load generator (SGEN)

Before starting PREPARE Stage. We need to create one directory called PUT in /usr/sap.

Get into the first directory Master Upgrade software directory 501—683

Select the file Prepare.bat
It will Extract the some files. To extract it will ask the directory

By that time we need to give /usr/sap/put

After extracting the UA and UAGUI directories will be created in  /usr/sap/put directory.

Ua.jar & UaGui.jar files are created in Ua and UaGui directories

To Start the UA Server:

/usr/sap/put/Ua> Java –cp Ua.jar UaServer (letters are casesensitive)

It will give three options 1, Server 2. Memory. 3. Status. We need to give Server. It will give ready message.Here it will open the Port 4240 on CI.

Minimise the screen.

Note: It opens the port 4241 on UA Server & Through web browser http:// <Hostname>: 4239

Port 4239 opens on web browser on UA Server.

Here login to Server at SAP level. Change Parameter called DIR_PUT  to <Hostname>/usr/sap/put in RZ11.

/usr/sap/put/UaGui/UaGui.jar UaGui

It will lead to Ua Tool.

It will ask Host name

Click on Ok

It will ask User name & PSWD.

Enter User Name & Pswd ( for administrator/admin  , Observer/observer)

Port number automatically come.

Now in Ua tool -à click on administrator in menu barà Select Start Prepare

Click on continue. à It will ask for Mount points  give the directories path which are dump of upgradation   at least two. Click on OK. It will lead to modules screen check the boxes which ever you want check.

Click on OK

Check execute and click on OK

Here it will extract the mount points and shows the errors. If any file doesn’t  exist in put directory for upgrade. It will give the SAP Note number. This note will give the link for missed file software download it from Service.sap.com. store it in put directory.

Close the error message and check retry and click on OK.

It may ask for SAPup Keyword.  This will be available in SAP Note which is given in error message in service market place.
It leads to check SAP & DB server details and it will asks DDIC Password & asks for confirmation. And also Batch Host.

à Max uptime processesà 2* CPUs

à R3trans processesà 2*CPUs but it should not greater than MUP.

à Max sync time 120.

Here it will ask OS PSWD

Here it will ask for Solution Manager Key. We need to provide it.

Ua tool checks all modules in the server gives the information.

If any SPDD & SPAU objects needs to adjust it will check and give you the information.

For SPDD you need to take the help from ABAPers. SPAU you skip or ignore it. SPAU will run in upgradation phases other wise you can execute it after upgradation.

We can check the Ua logs in /usr/sap/put/log/check.log.

And we need to select Upgrade method ( Downtime minimize/ Resource minimize).

Ask for archive log needs to be on/off for shadow instance. Ask for instance number. We need to give instance number which is not available with any other application server.

Here everything is Ok it will give the message as Shadow instance created.

This shadow is created in Production it self but there will not be  physical instance.

This total PREPARE phase run in 367 phases. It will take time 4 hrs to 2 days that is depending on your database size.

Till here PREPARE Phase completed.

Here you take the backup of PUT directory.

After PREPARE phase one directory will be created in PUT directory called HTDOC.( which is attached to the mail as zip file)

In this directory there will be a link called Phases list.

If you click on this. It will all phases which will run in upgrade process & for each particular phase give the which log file & note number(if available) needs to check when you get the error.

All log files will be created in /usr/sap/put/log.

ICNV: ( Not Mandatory)

It is Incremental conversion of large tables. We use it for to minimize the downtime. ICNV is a transaction code. If you have any large size tables we use it. We will execute it in CI after PREPARE phase. It will show the all table large to small. We can select the tables and execute it. ICNV will copy the data from CI to Shadow but end users can work on CI.

Once ICNV copy the each record CI Table to Shadow Table. End users can modify existed records or insert the new records in those tables. At this time Modified records will one flag called “X”. Inserted records will be empty. Now the ICNV will start copying from CI Tables to Shadow Tables. But this time it will read only the records which having flags & newly inserted records. It will not read already copied records.

It will continue till downtime started.

Now the actual upgrade will start.

Now the shadow instance is having  total structure of CI.

We can login to the shadow instance using DDIC user & PSWD of CI.

Here we need to create the New user id by copying the DDIC authorizations in 000 client.

Now logout from DDIC user. Anything you want to do in shadow instance you should use new user id which is created earlier.

Now go to UaGui

Click on Administrator in Menu bar  -> Click on SAPup

Here upgrade will start.

It will run in 468 Phases. Ua tool will give you the full information. If any background jobs needs to run in shadow system. Any tables need adjustments. If you get any errors you can check in HTDOC/Phases list. There go to particular phase check which log file or Note needs to check. Check those things follow as per logs. Then continue upgrade process.

Some particular phase downtime will be started at the phase it will ask you take the full backup. You need take the backup of database as well as PUT directory.

You need to down the CI manually automatically Ua tool will do every thing.

In the downtime total database will copied to Shadow instance. Automatically instance will up after completion of copying. Now the shadow instance will be disabled. If you login to CI. It will show ECC 6 screen.

After successfully completion of 468 steps it will give message as “Upgrade successfully completed”.

Post Upgrade steps.

After upgrade EXE folder will be created in PUT directory. You need to replace this EXE directory with RUN directory ( Kernal).

  • Upgrade Application servers.
  • Configuring TMS
  • Uploading Deltas.
  • Execute SGEN.



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