SAP Upgrade Guide

© Copyright IBM Corporation 2008

IBM Confidential

IBM Global Business Services

SAP Upgrade – Launching Pad for Future Enterprise

Chandra Sekhar Sinha

April 11, 2023


© Copyright IBM Corporation 2008SAP Upgrade | 3-Nov-08| IBM Confidential2

Agenda

Context and Objective - Why Upgrade?- Key Drivers – Factors influencing SAP Upgrade- Key Decision making aspects for an upgrade

IBM’s Approach for SAP Technical Upgrade- How IBM’s addressing SAP Upgrade?- Upgrade from Developer’s perspective



Why Upgrade?

Based on NetWeaver platform, allows hassle-free integration with add-on functionalities.

Consolidation of multiple industry solution portfolios Enhanced user experience and usability

Stability

Access to 300+ new functionalities Opportunities for Business Process Improvement SAP to discontinue support to versions 4.x and earlier Lower maintenance cost and TCO Stable core, supported by Enhancement Packages

Future

Achieve IT Strategy to stay current on SAP functionality Preparation for future projects (ERP Landscape Consolidation) Launching pad for enterprise service oriented architecture (eSOA)

Offerings

Moreover, upgrade is no longer a choice!


© Copyright IBM Corporation 2008SAP Upgrade | 3-Nov-08| IBM Confidential

Business Innovation ,competitive differentiation , collaboration and globalization

Changing legal requirements, IT System stability and Continuous System Maintenance

Continuous Improvement, Process Efficiency & Automation, Process standardization

Reduction in Hardware Costs, Software Costs, Maintenance Costs

BUSINESS STRATEGY INFORMATION TECHNOLOGY

OPERATIONAL EXCELLENCE TOTAL COST OF OWNERSHIP

Factors Influencing SAP Upgrade



Types of SAP Upgrade

Technical Upgrade

Fastest among all approaches

Constant functional perimeter with minor user interface changes

Opportunity to eliminate “not used” modifications and enhancements

No new business functionality

Average Duration : 1 – 5 months

Technical Upgrade

Fastest among all approaches

Constant functional perimeter with minor user interface changes

Opportunity to eliminate “not used” modifications and enhancements

No new business functionality


Functional Upgrade

Is built on technical upgrade

Provides opportunity to implement additional/ new functionalities

Opportunity to reengineer business processes and eliminate unused enhancements


Functional Upgrade

Is built on technical upgrade

Provides opportunity to implement additional/ new functionalities

Opportunity to reengineer business processes and eliminate unused enhancements


Strategic Upgrade

Driven by enterprise SOA

Provides flexibility to business process innovation

Represents significant technology improvements


Strategic Upgrade

Driven by enterprise SOA

Provides flexibility to business process innovation

Represents significant technology improvements


Time line

Bu

sin

es

s

Va

lue

Today

Starting

Point

Technical

Upgrade

Functional

Upgrade

Strategic

Business

Improvement



Key Decision Making Aspects for an Upgrade

Key Decisions

Upgrade Initiative

Type Strategy System Landscape Language Consideration

Technical Upgrade

Functional Upgrade

Strategic Upgrade

Down Time Minimized

Resource Minimized

Satellite system 1st –

Then other systems

As separate projects

All systems together

Unicode

No Unicode

START

Database & OS

Only DB Upgrade

Only OS Upgrade

Both DB & OS Upgrade

NO DB or OS Upgrade


© Copyright IBM Corporation 2008SAP Upgrade | 3-Nov-08| IBM Confidential

Typical Upgrade Infrastructure – Dual Landscape

DEV QAS PRD

DV1 QA1

Existing Landscape

Upgraded Landscape

No transports between two landscapes Changes made in existing DEV must be

manually redone in upgraded DV1

Transports between systems

Manual Changes



How IBM is Addressing SAP Upgrade?

Proven and Scaleable Methodology and Roadmap, that contain activities and deliverables for different types of upgrades

IBM SAP Upgrade Factory Accelerators to size the level of effort, cost, technical approaches, building block of pre-defined unit and integration test scripts, and understanding functionality delta’s

IBM SAP Upgrade Factory Tools for scanning existing system to determine conflicts between different versions of SAP, optimizing performance, tracking and storage of deliverables, and helping to build your business case



People

Process

Knowledge

People

The IBM Approach (Ascendant SAP® Methodology) for Upgrades - our highly successful standard SAP Implementation Method

Upgrade to target environmentAscendant SAP® Methodology

Operatetarget environment

Eva

lua

tion

Pro

jec

tP

rep

aratio

n

Bu

sin

ess

Blu

ep

rint

Rea

lizatio

n

Fin

al

Pre

pa

ration

Go

live

An

dS

up

po

rt

Su

sta

inProject Management and Change Management

Planning, Analysis and Design

Target Operating-Models

Development, Analysis and Upgrade

Unit and Integration Testing

Security

Conversions

Training

KnowledgeTransfer

Support

Operate Old System

Implement and Operate Target System

Going live

Phase 0 Phase 1

BaseAssessment

1. Discuss Customer Situation

2. Show IBM Approach

3. Define next Steps

Business Improvement

Workshop

Functional Workshop

TechnicalWorkshop

1. Analyze customer demand (Cross Brand)

2. High levelproject plan

3. Cost Estimation

4. Resource Definition

UpgradeAssessment

UpgradeProject

Operate TargetEnvironm.

Strategic

Functional

TechnicalGoing live

DB/2

Rational

GBSServices

P-SeriesX-Series

OutsourcingVirtua-lization

Z-Series

Storage

Upgrade to target environmentAscendant SAP® Methodology

Operatetarget environment

Evaluation

Project

Preparation

Business

Blueprint

Realization

FinalP

reparation

Go liveA

ndS

upport

Sustain

Project Management and Change Management

Planning, Analysis and Design

Target Operating-Models

Development, Analysis and Upgrade

Unit and Integration Testing

Security

Conversions

Training

KnowledgeTransfer

Support

Operate Old System

Implement and Operate Target System

Phase 0 Phase 1



IBM’s Upgrade Approach in a nutshell

Phase 0:Evaluation and

Project Preparation

Create Communications

Plan

Create Project Plan

Create Training Plan

Conduct Project Team Delta

Training

Conduct Enterprise Platform Analysis

Analyze Development

Objects

Develop testing strategy

Upgrade Sandbox

Evaluate New Functionality Phase 1:

Technical Upgrade

Integration Test Cycle 3

String & Parallel Cycle 2

Security

Development Object Upgrade

UAT & Regression

Cycle 4Cutover

Communications

Mock Cutover

DeltaTraining

Functional Unit Cycle 1



IBM’s Technical Upgrade Approach – Phase 0

Upgrade Workshop

To access impact on:

• Hardware

• System landscape

• Development objects

• Functionality (Business Processes) Analysis

Presales

Assessment

Upgrade Workshop Details

- Workshops and Interviews - SAP QuickSizer- IBM Insight- IBM SAP Upgrade Explorer Tool

Tools

Complete Upgrade

Assessment

- Timeline

- Cost

Estimate

- Team

Structure

- Impacts

- Risk

Tech upgradeAction

• Analyze SAP R/3 system, modifications, enhancements, and customer developments, security, modules, customer resources

• Create high level project plan for upgrade

• Do cost estimation

• Estimate Resources required by Role



IBM’s Technical Upgrade Approach – Phase 1

This is a Sample plan and can change based on client system landscape complexities, breadth of functionalities and volume of

custom developments

Phase wise IBM Responsibilities/Deliverables

Project Preparation Realization Testing Dry Run & Cut Over Post Go Live

IBM SAP Upgrade factory

Overview Delivery Model Project Organization

Overall Roles and Responsibilities Workflow Governance

KPI Reporting Tools and Accelerators

Typical High Level Project Plan

* Click on hyperlink to get detailed information



System wise activities

Play ground for developers.Get an idea of real system.

Sandbox (Optional)

Modification Adjustments to be done.Unicode Enabling to be done.All development related activities to be done.Unit Testing to be done.

Development System

Delta modifications to be corrected here.Integration Testing to be done here. If Regression box is not available, UAT to be done here.

Quality System

If available, User Acceptance Testing to be done here. Regression (Optional)

Real System to be run for production.Post go-live supports to be done here.

Production System



SAP Upgrade: Role of Developers

Roles:

Identification of development objects target for upgrade

Create documentations for developments and corrections

Modifications due to upgrade

Technical upgrade of custom developments and interfaces

Program coding and Unit testing

Development’s issue identification and resolution

Resolution of development related test defects



SAP Upgrade: Responsibilities of Developer

Dimensions

BASIS

Security

Functionality

ALV / Report

BAdi

ScreenSAP Script

Smart Form

Function ModuleBAPI

Data Dictionary

ALE / IDoc

Menu Painter

Transp

ort R

equestDEV

Unit TestingQA

IT Phase1

IT Phase2

UAT

Post Go-Live Support

REG

Production

ABAP



Scopes

What is included in SAP and what is outside SAP space

What is included in SAP

All Standard and Customized SAP DDIC objects

All Standard and Customized SAP Repository object

All Functional and ALE related Configuration (Functional Team)

All Basis activities for making underlying system ready for ECC 6.

All Security and authorization issues (Security Team)

What is not included in SAP

All Non-SAP Legacy systems EDI Configurations with Non-SAP systems BW/APO/XI systems (Scope dependent)

In S

cop

eO

ut o

f S

cop

e



Steps of SAP Upgrade

Development System

Upgrade front-end software of project work-stations & end-users (if possible)

Prepare the hardware of new Development server

Install Operating System

System Copy from Source Version Development / Production System

Execute Pre-Upgrade Script “Prepare”

Analyze results of Prepare in CHECKS.LOG file in upgrade directory.

Release open transport requests and repairs.

Inconsistent function groups to be corrected via transaction SE80

Add space to file-system/database as per logs with a 10-20% overhead.

Confirm open support packages via transaction SPAM in client 000.

Complete Outstanding updates / unresolved requests

Rename data dictionary objects (data elements, domains, structures) that will be modified/dropped and are currently in use in custom tables.

Execute Upgrade Routines



Development System

Stop in SPDD phase to adjust / accept changes to modified standard SAP DD Objects

No need to process programs via transaction SPAU during upgrade.

After upgrade, modify / accept changes to standard SAP Programs via SPAU

Record SPDD & SPAU changes in a single transport request

Execute transaction SAMT to perform syntax check on custom Programs

Execute UCCHECK to determine Unicode relevant syntax errors (optional)

Fix all errors as reported in SAMT & UCCHECK.

Test programs as per project plan or earlier assessment.

Make Security & Role Modifications

For old SAP systems, convert authorization profiles to roles

Execute transaction SU25 steps to identify roles, authorization objects that have been impacted

Add/modify/delete authorization objects/values.

Check password / login instance profile parameters.

Steps of SAP Upgrade



PREPARE Tools

Prepare Prepare Upgrade P-MSG …….

Productive operation Follow up activities

Time

PREPARE: The PREPARE program uses a series of checks to support the preparation of the upgrade without affecting productive operation.

Benefits of PREPARE

Extend checks during upgrade preparation

Extended and improved database space check

Display of objects to be adjusted (SPDD/SPAU)

Forecast of the amount of database conversion

Correction and modification analysis



Modification Adjustments:Different modified objects require different transaction adjustment.SPDD: Transaction SPDD is used to perform modification adjustments to certain ABAP Dictionary objects such as domains, data elements, table structures, transparent tables, pooled tables, cluster tables and table’s technical setting. Not performing modification adjustment for these objects would cause data loss.

AdjustmentsAdopt Modifications: Keeps old release (with customer modifications/applied notes) remains unchanged.Reset to Original: Accept original version (i.e. - Imported into the SAP System during the last upgrade).

Traffic Signals:



SPDD:



SPDD: Step1

Execute the transaction SPDD in ECC system. After analyzing select the object and follow the screenshot. Here we have chosen a Domain.

Click on “RESET TO ORIGINAL” and a pop-up appears.



SPDD: Step2

Click on the long text for more information



SPDD: Step3

Click on the Tick mark and a warning pop-up appears informing the actual activity of making it ‘Reset to Original’.



SPDD: Step4.

Click on the Tick mark and a warning pop-up appears informing to make changes only if required.



SPDD: Step5

Click on “OWN REQUESTS” and select the corresponding Workbench Request and Task no.



SPDD: Step6

Select the corresponding task with your USER ID



SPDD: Step7A pop-up with the request no and description appears. Click on the Green tick mark.



SPDD: Step8Clicking on the tick mark this object is now Reset to Original.

Now Double-click on the icon appearing on the left of this domain



SPDD: Step9

.

A Pop-up appears confirming for the agent. Choose the AGENT and continue by clicking on the COPY.



SPDD: Step10

A pop-up appears requesting for confirmation. Confirm it by clicking on the CONFIRM.



SPDD: Step11

Now the object is become as ECC (Reset to Original).

*Select for Transport Option



Modification Adjustments- SPAU:

SPAU: After activating the new repository, transaction SPAU is used to perform modification adjustments to certain ABAP dictionary objects (lock objects, views), all other repository objects (Module pools, ABAP Programs, Function Modules, Menus, Screens etc.)

Adjustments

Adopt Modifications: Keeps old release (with customer modifications/applied notes) remains unchanged.

Reset to Original: Accept original version (i.e. - Imported into the SAP System during the last upgrade).



Modification Adjustments - SPAU:Usually 3 types of objects need adjustments which are Notes, Objects modified With Modification Adjustment, and Objects modified Without Modification Adjustment.



Modification Adjustments - SPAU:



SPAU –OSS notes Correction:



SPAU –OSS notes Correction contd…







Clicking on “Calculate” will start the process “Determine Adjustment modes” either in background or foreground. Once this process is finished, the adjustment mode for the Note in question would change to either of the Examples 1 or 2. Following action should be taken considering the adjustment mode calculated.






With Modification Adjustments - SPAU:





















Without Modification Adjustments - SPAU:



Without Modification Adjustments - SPAU:



SPAU: Reset To Original

Accept original version (i.e. - Imported into the SAP System during the last upgrade).



SPAU- Reset to Original: Step1Execute the Transaction SPAU in ECC system.

After Analyzing select the object and follow the screenshot.



SPAU-Reset to Original: Step2

Click on “RESET TO ORIGINAL” and a pop-up appears




Click on the long text for more information




Continue by clicking on the green tick and the following pop-up appears




A warning pop-up appears informing to make changes only if required. Click on the Tick mark




A pop-up appears for the REQUEST NUMBER. Confirm the request no




Select the agent/agents and click on the COPY button




The object is now Reset to Original

Make refresh the screen, this object disappears from the list.



SPAU-Adopt Modifications: Step1

After Analyzing select the object and follow the screenshot.




The following warning pop up appears




A pop up asking for the Workbench Request. Choose OWN REQUESTS button.

Continue by clicking on to the green tick. The changes have been adopted, but the object would not active. So in ECC system, open the corresponding object and activate. If it is within 14 days of the system installation, access key for object is not required. Otherwise a pop asking for the access key when we try to activate.




Continue and the modifications are now completed.



Unicode Enabling

Tools for Unicode Enabling:

SAP has provided with some transactions to check the ABAP source code for Unicode compliance:

1. Transaction UCCHECK – Reports the static errors in the ABAP source code. 2. Transaction SCOV – Runtime coverage analyzer.

Here We are going to discuss the UCCHECK Phase In Upgrade.

UCCHECK In Upgrade:

Transaction UCCHECK is used to examine an Unicode program set for syntax errors without having to set the program attribute "Unicode checks active" for every individual program.

If you want to use UCCHECK to process program objects that have already set the Unicode attribute, then it can be done by un-checking the corresponding checkbox of UCCHECK selection screen.



Unicode Enabling contd..

Execute Transaction UCCHECK. Bellow screen appears:



Selection Screen FieldsSelection Screen Fields

Object Type

PROGReport ProgramsCLAS ClassesFUGR Function GroupsFUGX Function Groups (with Customer include and Customer area)FUGS Function Groups (with Customer include and SAP are)LDBA Logical DatabaseCNTX ContextTYPE Type PoolINTF Interface

1

Check Boxes

Include only Objects with Object Repository Entry (TADIR): By activating this option those objects can be excluded which are not present in TADIR table.

Exclude $* Packages: By activating this option, local objects can be excluded.

Check modified SAP objects also: By activating this option, SAP standard objects which were modified in customer section can be included.

Display lines that can not be analyzed statically: By checking this option, an overview of those portion which can not be checked statically for Unicode Syntax Error also included.

Show also Location Hidden with ”#EC*: By checking this, hide the warning using the pseudo comment ("#EC *).

View Maintenance: Parts of the view maintenance generated in older releases are not Unicode-compatible.

Obsolete Function Modules (UPLOAD/DOWNLOAD): The function modules UPLOAD, DOWNLOAD or WS_UPLOAD and WS_DOWNLOAD are obsolete and cannot run under Unicode.

2

Unicode Enabling contd…



1

2

Unicode Enabling contd…



Unicode Enabling Contd…

The system found no Unicode syntax errors for the object. Unicode flag can be set without changing the program.

The System found warnings for the object; it can be removed or ignored before making it Unicode enabled.

The System found errors for the objects; it must be corrected before making the program Unicode enabled.

The Exception column of the report displayed with Red,Green and yellow traffic light Icon for each of the program.

Handling the object with green traffic:

Select a record from the list which displayed with green traffic. Then click on



SAMT

Transaction SAMT allows us to perform tests on sets of associated inactive programs.

There are a set of tasks which can be performed through SAMT.

if you want to do a syntax check, select “Syntax Check” from the Short text for task and double click.

If you want to Extended Program Check (important tests), then select “Extended Program Check (important tests)”.

Generally SAMT used for Non-Unicode “Syntax Check” in upgrade for custom developments.



SAMTTransaction SAMT allows us to perform number of tasks according to the requirements.



SAMT

After execution, all errors appear. By double clicking one can navigate each object and make them correct.



ABAP TAC – SPDD Process Flow

Meth

od

Ph

ase

Communication & Coordination (all teams)

1. Get the SPDD list from Basis

- comes up during system

preparation phase

Clien

t

RealizationBusiness Blueprint

11.Document all the changes

made and share with

Customer

Legend

Task with Deliverable

Task withoutDeliverable

Process checkpoint

Sign off andKnowledge Transfer Handoff

AB

AP

TA

C

Final Preparation

Go Live

12. Complete Knowledge management with Lessons Learnt and update methods .

2. Decide Delivery Cell

5. Analyze the difference between

two systems

7. Modify as perCustomer

requirement 8. Save all the changes in one

transport

Ongoing Issue Resolution (all teams)

9. QA Review

6. Send the details to Customer’s

Business Analysts to take a call on

the change

10. Mark the transport

as released

* This step requires a remote version comparison between existing prod and upgraded dev systems

3. Estimate

4. Assign Work



ABAP TAC – SPAU Process Flow

Meth

od

Ph

ase


1. Get the SPAU List from Basis

- comes up during system

preparation phase

Clien

t



made and share with

Customer

Legend



Process checkpoint


AB

AP

TA

C

Final Preparation

Go Live



5. Analyze the difference between

two systems

7. Modify as perCustomer

requirement 8. Save all the changes in one

transport


9. QA Review

6. Send the details to Customer’s

Business Analysts to take a call on

the change


as released

* This step requires a remote version comparison between existing prod and upgraded dev systems

3. Estimate

4. Assign Work



ABAP TAC – ABAP Custom Development Correction Process Flow

Meth

od

Ph

ase


1. Get the SUET Output List (Exclude any objects

or application not in scope per the customer)

Clien

t

11.Test ( Functional,Integration and User

Acceptance )


as released


12 TPR


made and share with

Customer

Legend



Process checkpoint


AB

AP

TA

C

Final Preparation

Go Live



3. Run SAMT/UCCHECK for all in scope objects

and get the impacted object list

4. Prioritize the impacted object list

5. Run Auto upgrade tool for T1 object

types based on the prioritized object list

to fix the errors

6 Again run UCCHECK for all in scope objects

and get the revised impacted object list

7. Adjust the revised impacted

list manually


8. QA Review

13 Technical support during

customer onsite testing


made and share with

Customer

14. QA Review ofthe analysis and modifications (If

any)3. Estimate

4. Assign Work



# Phase Template Purpose

1Realization

SPDD Correction Log SPAU Correction Log

These document contain the list of objects appeared and required adjustments during that particular upgrade phase along with the difference found between the two systems for that object, SAP proposal for the change, decision from the customer on that change and the action taken for each impacted objects.

2 RealizationABAP Correction Log

This document contains the list of Custom objects having syntax errors or execution errors, the details of the error, action taken on the error, transport number used for making the changes and current status of the object.

3Realization

Upgrade CDF

SAP Upgrade Review Checklist

SAP Upgrade checklist is used for reviewing themodification made by other and also it contains some general guidelines that should be followed for any upgrade.

Used to estimate Technical Upgrade efforts Realization4

SAP Upgrade Review Checklist

Upgrade ABAP Code Review Chceklist V1.0

Please visit : http://w3.tap.ibm.com/w3ki2/display/ABAPTAC/1+-+Technical+Upgrade+TAC+Templates+and+Standards



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Documents

SAP Upgrade Guide