SAP PROJECT

SAP R/3 Upgrade - Technical Part

4.0B to 4.6C

Version 1.0

Document Information
Title:

SAP R/3 Upgrade - from 40B to 46C

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Page 2 of 45

Upgrade Project

TYPOGRAPHIC CONVENTIONS.............................................................................................................4

INTRODUCTION .........................................................................................................................................5

SCOPE OF WORK. ......................................................................................................................................5

UPGRADE APPROACH..............................................................................................................................6

4.1
4.2
4.3
4.4
4.5
4.6

PARALLEL SYSTEM LANDSCAPE RUNNING 46C. CURRENT 31H LANDSCAPE KEPT INTACT..........................6
VERSIONS ....................................................................................................................................................7
PRE-PREPARE PHASE.................................................................... ERROR! BOOKMARK NOT DEFINED.
PREPARE SECTION ...............................................................................................................................14
UPGRADE PHASE ........................................................................................................................................21
POST UPGRADE PHASE ...............................................................................................................................32

APPENDIX A DETAILED SPACE REQUIREMENTS ...............................................................................39

5

APPENDIX B IMPORTANT TRANSACTIONS..................................................................................40

APPENDIX C PROFILE MAINTENENCE...........................................................................................41

APPENDIX D CURRENT TRANSPORT LIST.....................................................................................42

APPENDIX E ADD ON DELIVERY VERSIONS ................................................................................43

APPENDIX F PROBLEMS IN PREPARE PHASE .............................................................................44

9.1
9.2

PREPARE PHASE JOB_RADDRCHK.........................................................................................................44

PREPARE PHASE RUN_RDDIT006 ...........................................................................................................44

10

APPENDIX G LARGE TABLES (PREPARE) .....................................................................................44

<SYSTEM SID>.......................................................................................................................................................44
11

APPENDIX H ACT_46C MESSAGES .................................................................................................45

12

APPENDIX I PCON_46C MESSAGES ................................................................................................45

13

APPENDIX J XPRAS MESSAGES......................................................................................................45

14

APPENDIX K - CHK_POSTUP (LONGPOST.LOG).................................................................................

46C46C46C

File: R346C_Upgrade_Runbook.doc

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Upgrade Project

Typographic conventions

This type style

Repesents

Phase header

Activity header

Description

Describes the activity in detail.

Additional info

Describes addiotional info found during the upgrade.

<Variable>

Variable value, must be substituted by the value indicated

between the <>

Notes provide you with additional information

Cautions are there to prevent errors in the next steps.

In the documentation the following numbers 5100xxxx are often used. These numbers refer to a CD or
document with that specific id.

File: R346C_Upgrade_Runbook.doc

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Upgrade Project

Introduction

This document details the proposed approach for upgrading the CUSTOMER SAP R/3 systems, from SAP R/3
release 4.0B, to SAP/R3 release 4.6C, with Service Pack 2 (Appl SP level 33 or higher).
The project cycle is estimated to run from the beginning of June 2002 until the end of September/Oktober 2002.
The time constraints are imposed by other project still running in Customer, which starts immediately post go-live
or running during the upgrade and must be in place by end 2002.

Scope of work.

Requirements

Define the upgrade strategy

Plan the modification adjustment

Obtain the current Notes for the upgrade

Obtain the current Notes for 46C Support Packages and CRT's

Satisfy the software requirements

Satisfy the hardware requirements

Satisfy the space requirements

Preparations

Oracle has already 8.1.7.0

Run PREPARE, fix problems

Satisfy upgrade requirements not supported by PREPARE

Run all pre-upgrade actions - e.g. delete clients, Activity Groups etc.

Backup old R/3 kernel

Offline backup database

Backup filesystems

Upgrade

A_off strategy used to minimise downtime.

Preparation actions - Start R3up (bind transport with SPDD corrections)

During upgrade stop for SPDD - manual actions.

During upgrade apply fixes/transports for problem phases e.g. ACT_46C

Restart R3up - continues to end

SPAU - manual actions.

Enable archiving (dependent on strategy) - run offline backup

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Upgrade Project

Post Processing

Apply Support Packages (ABA, Basis, Appl) up to level 33 or higher.

Import transport with SPDD changes.

Run SAP post upgrade actions

Upgrade R/3 kernel to 46D latest patch level (defined by MegaCentre).

Offline backup

Detailed work involved for the upgrade is described in section Upgrade.

4
4.1

Upgrade approach
Parallel System Landscape running 46C. Current 31H Landscape kept intact.

Plan

Copy SID to SAPSID. SAPSID will run as production support system.

Upgrade original SID system.
Create dry-run production test upgrade system SAPSID
Upgrade SAPSID
Second upgrade SAPSID with functional testing
Upgrade production system SID
Copy production system back to acceptance system.

Advantages

Production environment fully supported up until go-live 46C

Disadvantages
Customer must be aware of all transports going into production.

Production upgrade could take longer due to imports into production

All changes made to 40B development system have to be replicated on the 4.6C test system.

Filename:
R346C_Upgrade_Runbook.doc

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Upgrade Project

4.2

Versions

The following versions are involved in this upgrade.

Current versions
OS
Oracle
SAP (db)
Hot Packs
SAP (kernel)
Add-ons
Add-ons

:
:
:
:
:
:
:

AIX 4.3.3
8.1.7.0
40B
38
40B patch 915

Target versions
OS
Oracle
SAP (db)
Support Packs
SAP (kernel)
Add-ons
Add-ons

:
:
:
:
:
:
:

AIX 4.3.3
8.1.7.0
46C
Appl, ABA, Basis level 33 or higher
46D
PI 1999 46C

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Upgrade Project

4.2.1

Checklist important items for the Upgrade.

4.2.2

Standard checklist complete?

4.2.3

Service Centre change record created and

approvals in place?

Before
starting

4.2.4

Contact list
Sapops involved for weekend monitoring

Before
starting

4.2.5

Hardcopy & Local PC copies of all important

documentation.

Before
starting

4.2.6

Run prepare
Additional disks

Before
starting

4.2.7

Valid OSS userid in place for Basis and developer

key available.

Before
starting

4.2.8

Check availability OSS

Before
starting

4.2.9

Valid OSS userid in place for Development team

and userid communicated to customer ?

Before
starting

4.2.10

Collect all necessary documentation.

Upgrade documentation
Add-on documentation

Print critical OSS notes :

Before
starting

179373 Additional info for upgrade to Rel.4.6C

179376 Additions Upgrade to 46C Oracle
4.2.11

Have DDIC password on client 000

SAP*

Before
prepare

4.2.12

Upgrade userid created in client 000

Before
prepare

4.2.13

Time schedule in place

Before
prepare

4.2.14

Development class Zxxx created before upgrade

Before
prepare

4.2.15

Make transport of Activity Groups or Authorisations

from SID/202 (first dry run)

Before
end of
upgrade
of Q43

4.2.16

Before
starting

4.2.17

If necessary upgrade SAP 40B kernel patch level

915

336496

4.2.18

Delete failed updates (SM13)

Before
prepare

4.2.19

Update excel batchjob schedule

Before
prepare

4.2.20

Oracle Client installed

193616

4.2.21

Increase next extents & max extents of specified

tables.

179376

Availability Reference systems :

Backup server or TSM

4.2.22

PREPARE PHASE
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Upgrade Project

4.2.23

4.2.24

Check Space for upgrade directory.

3.0 Gb needed for temporary storage (/usr/sap/put).
Use more if possible (4.0 Gb: spare of 25%,

Minimal requirement for 4.6C and IS-Oil is 2.5 Gb

Check Db space for upgrade

4.2.25

12-15 GB needed in the database. For disk space needed see

Appendix A.
Archive needs about 4 Gb if using A_SWITCH scenario. (To be
decided)
Check system Health : ACCEPT

4.2.26

4.2.27

Pre-check for Upgrade

th
R3trans must be at least feb 4 1999

Read theStandard Upgrade Guide instructions, Upgrading to

Release 4.6C
Install / check java runtime software for the Upgrade Assistant

4.2.28

Check client and system settings and installed language

(Open & changes allowed).

4.2.29

Check write permissions. Error message on SID:

No write permission for file /usr/sap/SID/SYS/exe/run.

4.2.30

Make backup of /usr/sap/SID/SYS/exe/run (message in

CHECKS.LOG)

4.2.31

Create tablespaces
For the size of the tablespaces after the upgrade got to appendix A.
The following table spaces can be created in advance :
PSAPES46CD
5500 M
PSAPES46CI
2700 M
PSAPEL46CD
1400 M
PSAPEL46CI
200 M
Check with previous upgrades.
SID message from CHECKS.LOG:
Set max extents=900, initial=16K next=20M
Use sapdba .:
su ora<sid>
sapdba
Or create them with :
svrmgrl
connect internal
SVRMGRL> create tablespace <NAME> datafile
/oracle/<SID>/sapdata<x>/esnnXd_1/esnnXd.data1 size 2000M
default storage (initial 16K next 20M minextents 1 maxextents
900) online;
(and a second one of 2000M) if needed

Check the rollback segments ( for Big rollback segments)

Q. How can I check the sizing of the rollbacks?
A. You can look at rollback segment sizing using your unix ora<sid>
> svrmgrrl,
> connect internal
SVRMGRL> select a.name, b.optsize, b.hwmsize
from v$rollname a, v$rollstat b where a.usn = b.usn;

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After
backup

Upgrade Project

(See notes 10146 and 82634 )

or

Svrmgrl

spool rollback.defs
select USN, EXTENTS, RSSIZE, OPTSIZE, HWMSIZE,
AVEACTIVE, STATUS
from v$rollstat;
select * from v$rollname;
select INITIAL_EXTENT, NEXT_EXTENT, MIN_EXTENTS,
MAX_EXTENTS, STATUS,
SEGMENT_NAME, TABLESPACE_NAME
from dba_rollback_segs;
spool off

File: R346C_Upgrade_Runbook.doc

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Upgrade Project

4.2.32

4.2.33

4.2.34

4.2.35

Prepare SAP software : Once-OFF action :can be ignored

Copy software from all CDs to master (?) and convert the filenames
to upper case, otherwise the upgrade tools can not be
found.

Conversion can be done with "IBM_AIX"

cd /export/sapcd/<cd no>
for name in $(find . -name "*[a-z]*");do
printf "mv $name $(echo $name | tr 'a-z' 'A-Z') ... "
mv $name $(echo $name | tr 'a-z' 'A-Z')
echo $?
Done
Warning version.asc and version.ebc must be in lower case.
Create /usr/sap/put 4000 Mb (3 Gb minimum)
create filesystem /usr/sap/put

chown <sid>adm.sapsys /usr/sap/put

chmod 755 /usr/sap/put

Be careful on HACMP or MCSG systems. Filesystem must be

synchronised.
Prepare SAP link if necessary
Create dir /export/sapcd

Export sapsoftware from "source upgrade system"

on target server
Mount :/export/sapcd /export/sapcd
Create SAPkernel exclude file.
During the upgrade, the new R/3 kernel will be installed. All files
and subdirectories in directory /usr/sap/<SID>/SYS/exe/run which
are not used in Release 46C will be removed. Files and
subdirectories can be protected from deletion if they appear in a file
"protect.lst" in the same directory (each protected name in a
separate line).

Create the file protect.lst as <sid>adm in

/usr/sap/<SID>/SYS/exe/run with the
following entries :
backint
backagent
backfm
4.2.36

Install PREPARE from CD

logon as <sid>adm
cd /usr/sap/put chmod 777
/export/sapcd/51014003/UNIX/PREPARE (only for IBM
systems)
After CD files are copied reply [EXIT] at screen prompt.
-----------------------------------------------------------------------------------------

OPTIONAL : In case PREPARE has already done this

Reset prepare ... :

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Upgrade Project

as <sid>adm
cd /usr/sap/put/bin
R3up reset prepare
(output)
Starting resetting PREPARE.
R3up message
R3up> Entries made in the database by PREPARE were
removed.
You still have to empty upgrade directory /usr/sap/put
manually.
Enter <CR> to continue, or "cancel"...
cd /usr/sap/put
rm -fr *

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Upgrade Project

4.2.37

Start the upgrade assistant.

Logon as <sid>adm ; cd /usr/sap/put

Start the Upgrade Assistant Server in background.

HP Systems only
at now
/opt/java/bin/jre cp /usr/sap/put/ua/ua.jar UaServer
<ctrl>D

IBM Systems only
If you cannot do at then modify /usr/adm/cron/at.allow , this file
controls the at functionality
at now
jre cp /usr/sap/put/ua/ua.jar UaServer
<ctrl>D
If there are problems you may have to issue the following
alternative command
at now
jre -classpath /usr/jdk_base/lib/classes.zip -cp
/usr/sap/put/ua/ua.jar UaServer
<ctrl>D

4.2.38

4.2.39

CD that will be asked.

During the prepare the following cd mount point must be put
in:

196342

156913
159654

With your Windows IE connect to url

http://<hostname>:4239 and then clic on ua ; this will start the
uagui automatically
http://:4239/ua/UaGui.html
After login immediately change the password of administrator

and observer.

Startup PREPARE
Choose Select to display the list of phases

/export/sapcd/51014003 SR 2:KERNEL:SAP Kernel (startcd)

/export/sapcd/50044431 Presentation 2/2
/export/sapcd/50046053 SR2:MM:R/3 Upgrade 4.6C
/export/sapcd/51013954 SR 2:LANGUAGE(1/4)
/export/sapcd/51016099 PATCH:Hotpackage Collection
/export/sapcd/51014273 PATCH:Support Package Collection
/export/sapcd/51015493 PATCH:Support Package Collection
/export/sapcd/51013952CD1 SR 2:UPGRADE(1/5)
/export/sapcd/51013952CD2 SR 2:UPGRADE(2/5)
/export/sapcd/51013952CD3 SR 2:UPGRADE(3/5)
/export/sapcd/51013952CD4 SR 2:UPGRADE(4/5)
/export/sapcd/51013952CD5 SR 2:UPGRADE(5/5)
4.2.40

Check for indexes on tables specified.

The note is saying that the secondary indexes created by the
customer will be lost. This is with the following tables:
EKBO, MBEW, OBEW, LBEW, QBEW and ECMCC.
You can not do anything , just write the configuration and
continue. The secondary indexes will be lost during the
upgrade to 46C

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310681
(179373)

Upgrade Project

4.3

PREPARE SECTION

During the first steps of the prepare I ran into the following problems:
1

One of the first was the fact that /etc/oratab did not have the right rights. The file permissions must
be on 644. If this is not the case then the prepare can not check the database.

The second mayor problem I had was the fact that tp and R3trans in the directory
/usr/sap/put/preexe needed to be upgraded to a higher patch level. The right files are in the
directory /export/sapcd/46Ckernel_patch. Do : CAR xvf
/export/sapcd/46Ckernel_patch/tp_318.CAR in the /usr/sap/put/preexe directory and the files will
be put there.

The next problem together with number 2 was the fact that this tp could not attach to the database.
The problem was the TNS_ADMIN variable. You need the following files: tnsnames.ora and
sqlnet.ora in the directories /usr/sap/trans and /oracle/<SID>/network/admin.
If you copy the files from /usr/sap/trans to the directory /oracle/<SID>/network/admin then the
process should be able to connect again.

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Upgrade Project

4.3.1

PREPARE : Select and execute Parameter Input

Select this module ONLY. Do NOT select all modules.

Accept default values for parameters where provided.
Oracle 'system' password required (see checklist)
Mount points for directory & contents :
/export/sapcd/51014003 SR 2:KERNEL:SAP Kernel
/export/sapcd/50044431 Presentation 2/2
/export/sapcd/50046053 SR2:MM:R/3 Upgrade 4.6C
/export/sapcd/51013954 SR 2:LANGUAGE(1/4)
/export/sapcd/51016099 PATCH:Hotpackage Collection
/export/sapcd/51014273 PATCH:Support Package Collection
/export/sapcd/51015493 PATCH:Support Package Collection
/export/sapcd/51013952CD1 SR 2:UPGRADE(1/5)
/export/sapcd/51013952CD2 SR 2:UPGRADE(2/5)
/export/sapcd/51013952CD3 SR 2:UPGRADE(3/5)
/export/sapcd/51013952CD4 SR 2:UPGRADE(4/5)
/export/sapcd/51013952CD5 SR 2:UPGRADE(5/5)
At Customer we are having the directory /export/sapcd with all the
above mentioned directories.
DDIC user client 000 required ( see checklist )
# R3trans processes = 3
4.3.2

PREPARE : Select and execute Initialization

Select this module ONLY. Do NOT select all modules.

Tablespaces may require datafiles added:
PSAPDDICD
PSAPDDICI
PSAPSTABI
At this phase we had the problem that the hot-packs in 31H were
not confirmed. If you start SPAM in the system it will show you that
the last hot-pack number 4 is not confirmed. It is only to confirm it
by doing:
Logon to the system
Start SE16 and type PAT03
Click on the square before the hot-pack 04
Now change that entry
You will come in the next screen were you can change the field
confirmed.
Put an X in it and save youre entry
Start SPAM and see that it is confirmed.
4.3.3

STOP and execute the following

193480

cd /usr/sap/put
CAR xvf /export/sapcd/icnv46C.car
This will place files to be used as input during the IMPORT phase
for ICNV table conversion functionality.
4.3.4

PREPARE :

Select and execute Import

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Upgrade Project

Select this module ONLY. Do NOT select all modules

Please ensure NO transports are executed during this module
Log on to the R/3 System, and use Transaction BAOV to check
whether none of the plug-in components PI, PI-A is installed. (If
Transaction BAOV does not exist use Transaction SE16 to check
the contents of table AVERS. All installed add-on components are
registered there.) If PI 99 is not present do the following :
As user <sid>adm.
cd /usr/sap/trans/cofiles
cp p /export/sapcd/51009821/PRE_PI/ KINDX91.SAP .
cd /usr/sap/trans/data
cp p /export/sapcd/51009821/PRE_PI/RINDX91.SAP .
cd /usr/sap/trans/bin
tp addtobuffer SAPKINDX91 SID
tp import SAPKINDX91 SID
This will place a dummy entry for PI so that an upgrade can be
done for PI 99. This plug-in is required for all addons although it is
not used by IS-Oil or CA-JVA

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193616

214502

Upgrade Project

4.3.5

STOP and execute the following

Apply transport from IS-Oil upgrade CD 51010280. See page 3-4 of
IS-Oil Upgrade guide.
cd /usr/sap/put/bin
CAR -xvf
/export/sapcd/51010280/FIXES/JVA_UPG/JVAUPG46.CAR
cd /usr/sap/put
CAR -xvf /export/sapcd/51010280/FIXES/KIO46UC.CAR
cd /usr/sap/put/bin
tp addtobuffer SAPKIO46UC SID u1
Unknown parameter : MVNTAB_LIST_FAILED
Nothing in OSS.
Upgrade kernel next time?
tp r3i SAPKIO46UC SID

If you forget to Import these transports refer to OSS

note 303935. And do not continue!

4.3.6

PREPARE :

Select and execute Read CD

Phase IS_CHK:Check the PI_1999_1_46C and IS-OIL in IS_CHK

phase, if some of them are missing from the list refer to OSS note
214555.
You should see

Year2000 Year 2000 Check

IS-OIL 31H US:_2.0.D/DS:_1.0.D

1999_1_46 Plug-In:dummy entry for upgrade

214555

Phase IS_READ: CA-JVA, UPG-IS-OIL, and PI_1999_1_46C

CDs must be mounted. Confirm the corresponding query with CD
mounted. Then reply
Nothing else

The following add-on products need to be updated,

YEAR2000,IS-OIL,PI,CA-JVA
Select each in turn and reply
CD available

When only YEAR2000 remains, reply

No more CDs
No password

Continue

Phase BIND_PATCH: we have to import SAPKB46C16SAPKB46C27, SAPKA46C16- SAPKA46C27, SAPKH46C16SAPKH46C27 during the upgrade. Refer to Upgrade Guide page 78
how to set Support Packages in this phase.
YOU NEED A PACKAGE KEY (note 119738) : 286470
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119738

Upgrade Project

It is important to uncompress (CAR) the files from

/export/sapcd/fixes/support_packs to the EPS directory and then
disassemble them to /usr/sap/trans/data and cofiles directories
using RSSPDASS to avoid errors later in phase PATCH_STATUS
see OSS note 208509

208509
(199738)

To distribute the files do the following:

Logon to the SAP system
Start transaction SA38. This report transaction
Type the program: RSSPDASS
Now a new screen will appear where you can type the number
of the hot-pack you want to disassemble.
Type the number and press To transport dir.
When we continued with the process it could not find the files in
/usr/sap/put/data. I copied the corresponding hot-pack files (9 in
total) from /usr/sap/trans/data to /usr/sap/put/data. This also allied
for the cofiles in both directories.
The process could now find them and applied them to the upgrade.
???"Include support packs of the next release - upper patch
number=3 R/ support"???????
REPEAT THREE TIMES ONCE FOR EACH SUPPORT PACKAGE
TYPE!
Check that all nine patches have been attatched. See OSS note
313305 for details on how to check (PATCHINT.LOG)
Phase Adjust_PRP: This phase requests the spdd/spau transport
which exists in the umodauto.lst file from the last upgrade. If you
haven't already copied this file and the transport into /usr/sap/trans
you must do so now, and then add them into this phase. If you do
not wish to include a transport from the last upgrade select no
transport.
Phase ISC_IMP: If you havent included the PI upgrade CD, this
phase stops with the corresponding error message. Refer to OSS
notes 214555 and 214502.
Phase ICNVREQ_PRP: You are requested to call and run ICNV or
you will receive a message informing you ICNV is not necessay.
(SEE 4.4.18)

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214502

Upgrade Project

4.3.7

PREPARE :

Select and execute General Checks

Resolve any failures and rerun as necessary

e.g. RSVBCHCK.<SID> may give information regarding failed
updates. If nothing is displayed in SM13, check tables
VBDATA, VBHDR and VBERROR which may need to be
truncated.
Desc sapr3.vbdata
Truncate table sapr3.vbdata
There were still open repairs in production - client 888 which no
longer exists - release and rerun phase General checks. These
have been released in the real production environment.
More Tablespacesneed to be extended in this phase :
Psappoold add 1Gb
Psappooli - add 250Mb
Check /usr/sap/SID/SYS/exe for files without write permission and
ownership (SIDadm:sapsys)
The upgrade does not like links so I had to remove them. The
following links must be created again:
In /usr/sap/SID/SYS/exe/run
backint -> /usr/tivoli/tsm/tdp_r3/backint
backfm -> /usr/tivoli/tsm/tdp_r3/backfm
backagent -> /usr/tivoli/tsm/tdp_r3/backagent
4.3.8

PREPARE :

Select and execute Activation Checks

1. Before module Activation Check see OSS note 133017 and

import 2 x transports TM1K000286 and EWSK000116 otherwise
you get an error with SQLRTAB and need to rerun the module.
Resolve any failures and rerun as necessary
4.3.9

133017

PREPARE :
Select and execute modules Necessary
checks for conversions, Optional checks for
conversions, Modification support, Preprocessing.
Resolve any failures and rerun as necessary

Step

Activity

File: R346C_Upgrade_Runbook.doc

Note

Page 19 of 45

Duration
(min)

Who

Upgrade Project

Step

Activity

Note

4.3.10

Check optimisation of large tables.

76431

The checks.log will show which tables of the R/3 System are very
large. They can be reduced in size to minimize the conversion time
during the upgrade. Carry out the actions recommended in OSS
Note 76431 and related Notes to reduce the downtime of the
upgrade.
See appendix for large tables. For Production.
4.3.11

4.3.12

Run transaction DB02, do refresh and check status of tables

and indices
database table without indices: ?
database <-> datadictionary consistency
sap kernel <-> datadictionary consistency: no errors
Delete all unnecessary clients

4.3.13

Save SAP kernel executables before upgrade (old release 31I)

Dont create this directory under /sapmnt/<SID>/exe else it will be
deleted during the upgrade.

4.3.14

Let this action be done by D2D.

Copy the kernel as <sid>adm :

Cd /usr/sap/put
mkdir kernel40b.sve
cd sapmnt/<SID>/exe
cp pR * /usr/sap/put/ kernel40b.sve

Check Oracle database; logon as SYSTEM

check that user SAPR3 has unlimited tablespace set with :

select * from dba_sys_privs where grantee = SAPR3;

check max_extents (min200) and next_extent (min 500.000b) of

table/indices of TERCL and TERCL3
with :
select segment_name,extents,max_extents, next_extent from
dba_segments where segment_name like 'TERCL%';

check that optimizer_mode is set to rule (file

/oracle/<SID>/dbs/init<SID>.ora)

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Not for
Custom
er
Not
necces.

Duration
(min)

Who

Upgrade Project

4.3.15

Additional user authorisation

Check in client 000 that DDIC, SAP*,UPGRADE, have the
authorisations SAP_ALL and SAP_NEW. Confirm the passwords of
all three userids by logging on to client 000
Also in PROD.Client and client 002.

4.3.16

Create new operation mode for UPGRADE

4.3.17

Define plenty of Batch processes (6)

SAP profile settings / changes

4.3.18

Timeout for DIA processes etc (0)

Rdisp/max_wprun_time
At Customer it was at 300 and we did not experience any problems
Check/download the most recent versions from the OSS note
from the Upgrade to 46C

Check OSS notes

(You cannot do this too many times)

4.3.19

Delete ZAA index on CATSPS & CATSPM

Not
Custom
er

4.3.20

Delete append YTAKOMG (duplicate field KUNWE in table

KOMG)

Not
Custom
er

4.3.21

Problems during the prepare

We ahd the problem that a number range was not correct. Note
379769 shows the solution to this problem.

4.4
Step

Upgrade phase
Activity

File: R346C_Upgrade_Runbook.doc

Note

Page 21 of 45

Duration
(min)

Who

Upgrade Project

Step

Activity

4.4.1

Run An offline backup

4.4.2

Note

http://<hostname>:4239/ua/UaGui.html
Choose administrator
Start R3up.
Note : shift insert to copy data into fields for R3up.

4.4.3

4.4.4

INITPUT
specify parameters (default)
specify passwords Oracle user system
KEY_CHK

enter passwords
R3up 46C keyword

101902

4.4.5

INITSUBST (strategy)
enter parameters
Select upgrade strategy : A_off (TO BE DECIDED)
Select : do not stop
Select : Continue
Batch Processes : >6

4.4.6

FRONTREQ
Confirm / Continue

ICNV
Confirm / Continue

4.4.7
4.4.8

FREECHK_X
Confirm / Continue

4.4.9

EU_IMPORT2

4.4.10

Strategy : Confirm / Continue

Apps Server Shutdown: Confirm / Continue

Central Instance : Confirm / Continue

Logmode : Toggle if necessary and Confirm / Continue

Check archive log list.
EU_IMPORT4
During the upgrade of the SID there was a problem with the import of
Table D010S. Not the table itself but the index "D010S___4G" had a
problem creating the initial size.
I changed the size in file
/export/sapcd/51013952CD4/TPLPACK/EX000015.EXT.
I restarted the R3up (jre on Unix also) and when the phase asked
what to do I choose init.

4.4.11

This should not happen in the other upgrades because I changed a

file which was on the cds. Copied cds to /export/sapcd
NEWTAB_CRE
179376

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Duration
(min)

Who

Upgrade Project

Step

Activity

Note

After this phase is complete, adjust the MAX_EXTENT and

NEXT_EXTENT values of tables (T5UTO) and indexes as
described in OSS note 179376 to avoid problems later in phase
TABIM_46C. Set the value to 9999 for both. Do not set it to
unlimited.

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Duration
(min)

Who

Upgrade Project

Step

Activity

4.4.12

Deschedule Background Jobs

4.4.13

Note

SM37, select all jobs, job->schedule->cancel

Keep the RDDIMPDP : you will need it during the Upgrade.

Manual pre upgrade tasks.

4.4.14

Special lock users :

This script is required to run, in order to lock current users,
after the upgrade and unlock users !
SQL> !cat create_lock_script.sql
set pagesize 0
set heading off
set termout off
spool lock_script.sql
select 'update sapr3.usr02 set uflag=''' ||uflag|| ''' where mandt='''
||mandt|| ''' and bname=''' ||bname|| ''';'
from usr02 where uflag <> '0' order by mandt,bname;
spool off
set termout on
set heading on
SQL>@ create_lock_script.sql

Lock users ...

connect internal ;

update sapr3.usr02 set uflag=64

where bname not in ('SAP*','DDIC',''UPGRADE ',) ?????
and uflag=0 ;
( and mandt='XXX'; )
Prior to backup : delete last update records.
Prior to backup : check/extended 3 tablespaces > 90%.
Checked sm35 batch input
Change zcsa/system_language to E
Make the OFFLINE backup : changed to ONLINE ???????
Save and deactivate crontab
crontab l > /local/etc/sapadm/crontab.root.<date>
crontab -r
Run last backup_logs.ksh
Lock printers with :
SVRMGR> connect internal
SVRMGR> update sapr3. tsp03 set pastatus = '2';
SVRMGR> commit;
(For reference : (unlock = 0)
Make backup of /usr/sap/put
Set archive mode to no and disable crontab (dependent on
strategy)
sappfpar check pf=<instance profile>
stopsap R3
Disable archive mode with sapdba
su - ora<sid>

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Duration
(min)

Who

Upgrade Project

Step

Activity

Note

sapdba
choose option f
choose Toggle database log mode
instance will be stopped and started.

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Duration
(min)

Who

Upgrade Project

Step

Activity

Note

4.4.15

MODPROF_TRANS : STOP For A_SWITCH ?????Automatic

phase using A_off
Continue with r3up :
confirm that Archive Mode is disabled ( sapdba : etc..

Outside of r3up activate the BIG rollback segment :

su ora<sid>
svrmgrl
connect internal
alter rollback segment PRS_BIG1 online;
quit ;

SVRMGR> select * from dba_rollback_segs ;

run as ora<sid>

with ksh

num=1
while [ $num -le 26 ];do
svrmgrl <<END
connect internal
alter rollback segment PRS_$num offline;
END
((num+=1))
done
SKIP this part : slow method (OLD)
connect internal
alter rollback segment PRS_1 offline;
alter rollback segment PRS_2 offline;
..
alter rollback segment PRS_XX offline;
alter rollback segment PRS_BIG1 online;

Continue with r3up ......<SID> : confirm A_switch strategy

stop SAP R/3 on application servers
script shuts down central application server
confirm that Archive Mode is disabled
confirm backup of /usr/sap/put .

For PROD : Mode will be A_switch

4.4.16

SHADOW_IMPORT phase

File: R346C_Upgrade_Runbook.doc

197714
Page 26 of 45

Duration
(min)

Who

Upgrade Project

Step

Activity

Note

May end in error, update R3trans with version

4.6C - 18.07.00
Repeat Phase

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Duration
(min)

Who

Upgrade Project

Step

Activity

Note

4.4.17

ACT_46C phase

44802

SPDD handled by CUSTOMER Development team.

Phase may fail - Fix errors with CUSTOMER, and then rerun
See Logs for errors;
The following errors were detected by HOST.

"NO_REQUIREMENTS" could not be activated

"NO_SCHEDULING" could not be activated
1EEDO516X"Index" "VBFA" "Z1" could not be activated
1EEDO519 "Table" "ZPS8TIER" could not be activated
1EEDO519 "Table" "ZRPS8TIER_PAY" could not be activated
Create the data elements as follows:
1. Unlock the SAP System as described in the section on
'eliminating errors in the ACT phase' in the upgrade guide and
perform the actions described up to point 5.
2. Start transaction SE11.
3. Select 'data type', enter 'NO_REQUIREMENTS' in the input field
and select 'Create'.
4. In the display frame, select 'data element', then 'Continue' and
confirm any possible warnings.
5. Enter 'dummy' as a short text.
6. Select 'Basic Category' and 'Implemented Category' on the title
element 'Definition' as the data type and enter the data type 'CHAR
with the length 1.
7. Enter 'dummy' (with length 5) for the field label in each of the
field label tabs.
8. Save the data element, assign the development class 'VA' to the
data element.
9. When you have successfully saved the data element, select 'Data
element' -> 'Test' to check the consistency of the data element that
you have just created.
10. When you have successfully checked the consistency of the
data element, select 'Back' and repeat steps 3 - 9 for the
'NO_SCHEDULING' data element.
11. Lock the SAP System again as described from point 7 onwards
in the section on 'eliminating errors in the ACT phase' in the
upgrade guide.
Repeat the activation phase by selecting REPEAT in the R3up.
You can repeat the process again. When you get the same
message about the tables ZPS8TIER and ZRPS8TIER_PAY you
can continue with ignore.
4.4.18

PCON_46C phase
Ignore errors after initial check
Select 'do not repeat check'
Repeat PCON_46C phase
Couldnt ignore:

File: R346C_Upgrade_Runbook.doc

73999

Page 28 of 45

Duration
(min)

Who

SSI/
FG

Upgrade Project

Step

Activity

Note

 activated OICD+M_OICD, also run transaction: $sync

Ensure big enough free space fragments in PSAPCLUD >250Mb

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Duration
(min)

Who

Upgrade Project

Step

Activity

4.4.19

ADOIM_46C

Note

Matchcode VMVL requires activation (Log : ADOIM46C.ELG)

SE11 -> Utilities -> Other Dictionary Objects -> Matchcode object
(enter VMVL) -> Activate
Repeat phase
During the upgrade of the Customer systems we ran into a
problem with this phase. The error message was :

The error is Next the job RDDDIC1L is

complaining about "LOAD_PROGRAM_NOT found .
4.4.20

XPRAS_46C
Activity Group migration/conversion runs > 24hrs if all activity
groups are included, otherwise 2-3 hours.

4.4.21
4.4.22

Ignore errors regarding conversion of T156S entries.

Reply ignore then repair severe errors
Lang_imp2
SWITCH ARCHIVE MODE AND MAKE OFFLINE BACKUP
Message:
Create correct sapdba role
cd /oracle/<SID>/dbs
cp -p /upgradennX/fixes/note.0134592/sapdba_role.sql ./
chmod 640 sapdba_role.sql
chown ora<sid>.dba sapdba_role.sql

4.4.23

su - ora<sid>
cd dbs
sqlplus internal @sapdba_role <SID> UNIX
Switch mode
Add parameter to initSID.ora (control_file_record_keep_time = 30)
enable archive mode with sapdba
CHK_POSTUP

4.4.24

Check
Choose revision completed after checking the
LONGPOST.LOG (SEE APPENDIX K)

Send LONGPOST.LOG to ACC

SPAUINFO
Message:
Info concerning SPAU
There are xxx development objects that have been imported by the
upgrade, that you have also modified previously in your system
<SID>.
Please continue with <cr> for further instructions.

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91423

134592

197886

Duration
(min)

Who

Upgrade Project

Step

Activity

Note

Besides the adjustment in transaction SPAU your upgrade is

completed now and productive operation is possible. All SPAU
activities can be performed without SSCR for a period of 14 days
after you first entered in this phase.
Do not continue with R3up if you plan to use the result of the
adjustment for any subsequent R3 system. Exit now and restart
R3up, after SPAU has been finished.

Choose continue

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Duration
(min)

Who

Upgrade Project

Step

Activity

4.4.25

SAVELOGS

Note

Message:
Please decide which log files will be saved now (check size) :
/usr/sap/trans/upgrade/<SID>/nnX

4.4.26

choose all

EXIT - Upgrade Complete

4.4.27

Rename the local R/3 system log

on ALL application servers su to <sid>adm and goto directory :
(done automatically on central instance)
cd /usr/sap/<SID>/<instance>/log
mv SLOG<id> SLOG<id>.old

4.4.28

Check ORACLE parameters

4.4.29

Check / set the System Changes Option with transaction se06

4.4.30

Analyse Upgrade Runtime (program RSUPGSUM)

execute program RSUPGSUM

4.4.31

can be found in /usr/sap/put/log/R3up.RTS

Configure STMS

4.4.32

R3 Online documentation
Reference in SAP-parameter

4.4.33

Schedule Cost Base Optimizer Job with transaction DB13

As user <userid> in client 002.

4.4.34

Save R3up.RTS

4.4.35

Copy file /usr/sap/put/log/R3up.RTS to

/usr/sap/trans/upgrade/<SID>/nnX
the file R3up.RTS is used for the report RSUPGSUM. However it
is only created after all log files are copied to the above
mentioned directory by the iupgrade scripts. The file will be lost
with the implementation of IS-OIL, as the directory
/usr/sap/put/log will be cleaned.
Offline backup

Skip this step, because its already done in MOD_PROF.

Start backup_logs.ksh (crontab)

4.4.36

4.5

Post upgrade phase

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Duration
(min)

Who

Upgrade Project

4.5.1

Apply hot-packs 28-33

The following list schedule was applied (follow this as we had no
errors with this list:
SAP_BASIS
28 30
after this
31 33
SAP_ABA
28 33
SAP_APPL
28 33
After the upgrade we need to apply all the hot-packs from 28 to 33.
In this step we found a problem that the latest spam update was not
applied and that all the requests were in the queue.
What you need to do is to remove all entries from the table
sapr3.tepsin . You need to remove with the following command:
The SAPKD00040 is the sapm update. After this command you first
have apply the spam update before you read the queue again.
SVRMGR> delete from tepsin where epssubject='SAPKD00040';
1 row processed.
SVRMGR> commit
Statement processed.
SVRMGR> delete from tepsin where epssubject like '%46C28';
3 rows processed.
SVRMGR> delete from tepsin where epssubject like '%46C29';
3 rows processed.
SVRMGR> delete from tepsin where epssubject like '%46C30';
3 rows processed.
SVRMGR> delete from tepsin where epssubject like '%46C31';
3 rows processed.
SVRMGR> delete from tepsin where epssubject like '%46C32';
3 rows processed.
SVRMGR> delete from tepsin where epssubject like '%46C33';
3 rows processed
SVRMGR> commit
Statement processed.

4.5.2

4.5.3

This should solve the problem.

Check groups :
Sapsys = 650
Dba = 699
Oper = 651

SSI

Schedule next db backup (after Hot packages).

Online backup, unless no previous offline backup was made.

On the development system I executed a offline backup.

4.5.4

Install Kernel 4.6d

First stop SASP, Oracle, the Oracle Listener and SAPOSCOL
Check the kernel with megacentre

4.5.5

Check SAP PROFILES, import in RZ10.

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Upgrade Project

4.5.6

Reset the client settings (APPENDIX L)

: Client 202
No changes allowed
No changes to Rep/client indep customising objects
Protection against overwrite by copying
Starting of CATT proceses allowed
: Client 002
Automatic recording of changes
Changes to repository and cross-client customising allowed
: Client 800
Changes without automatic recording of changes
Changes to repository and cross-client customising allowed
Protection level 1 - no overwriting
Allows CATT processes to be started
: Client 002
Automatic recording of changes
Changes to repository and cross-client customising allowed
Protection level 0 - No restriction

4.5.7
4.5.8

Set mount usr/sap/trans to permanent shared

Use rev trac tool for TRANSPORTS

4.5.9
4.5.10

Check the RDDIMPDP "released" for target client

Check the log file.

Background CUSTOMER jobs

Run Oracle Update Statictics (phase 1)

load latest DBSTATC entries with :

su ora<sid>
cd /export/46CnnX/fixes/note.0102590
svrmgrl
connect sapr3/<password>
@dbstatc.sql

Check if NLS_LANG is set to AMERICAN_AMERICA.US7ASCII.

(sidadm and orasid users)
If not then change .cshrc and add
if ( -e $HOME/.dbenv_`hostname`.csh ) source
$HOME/.dbenv_`hostname`.csh

run sapdba -u / -analyze DBSTATCO with :

As ora<sid>
echo 'sapdba -u system/<password> -analyze DBSTATCO' |
at now
(SID : in the background : runs about 8 hours.)

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Upgrade Project

Check the result in file : /oracle/<SID>/sapcheck/<file>.aly

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Upgrade Project

4.5.11

Run Oracle Next extents

run /local/bin/sapadm/scripts/sapadm_sapdba -next

Also in crontab : Note only one SAPDBA should run at the time.

4.5.12

4.5.13

Check the result in file : /oracle/<SID>/sapcheck/<file>.nxt

Run Oracle Update Statictics (phase 2)

run sapdba -u / -checkopt PSAP% -method EI :

Only one SAPDBA should run at the time.
As ora<sid>
echo 'sapdba -u system/<password> -checkopt PSAP% method EI' | at now

Check the result in file : /oracle/<SID>/sapcheck/<file>.opt

Trigger the conversion of the tables EDIDOC and CDCLS

(transaction ICNV)

this can be done after the IS-Oil upgrade during

productive use, CDCLS can take a long time, they will be done in
sequence.
NOTE tablespaces PSAPCLUD /CLUI are growing.
There are some problems with some tables wich grow very fast:
CDCLS including the indexes should be maintained.
CDHDR including the indexes should be maintained.
Icnv (Prod client)

Goto se38 : nrows

nrows (execute) : for cdcls, qcm1cdcls, edidoc, edid4
qcm1cdcls should become 0, as well as edidoc !

START : use
Control : data transfer start
Control : data transfer Optimise

Do not change until 100% completed!

Increase of Space for PSAPCLUD/CLUI, >> D2D

Also let them check cdcls -settings. extent size to ??
Size of PSAPCLUD ca. add. 3 Gb

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95719

173330

150

Upgrade Project

Check with Utilities ; Compute completion ..., should be 100%

Check the option :

SE38
Nrows (execute) : for cdcls, qcm1cdcls, edidoc, edid4
Qcm1cdcls must be 0, as well as edidoc !
ICNV
Next you should be able to change ... the TABLES.
Control, switch entry, select CDCLS
Utilities, Compute completion
Delete entry, Select CDCLS

Repeat for : edidoc.

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4.5.14

UNLOCK users : check with Functional people

Func. People will unlock users as needed for testing.

Check with Funct. people : whether to unlock all other users

update sapr3.usr02 set uflag=0 ;
where bname not in
('SAP*','DDIC','SNFVA7','SNMVOB','UPGRADEnnX',
' SNPWOB','SNAVL0',.)
and uflag=0 ;
P61 ...
SQL> !cat lock_script.sql
SQL> @ lock_script.sql

4.5.15

Kernel switch prior to SGEN

4.5.16

Run Transaction SGEN for generating abaps. (The Selection of

generation objects needs to be refined. We choose only the object in
REPLIST, but this does not generate all required abaps. A refined list
needs to be made.

4.5.17

SAVE your log files : Copy Installation logs (IS-oil add-ons )

Copy all logs in /usr/sap/put/log to
/usr/sap/trans/upgrade/<SID>/ISOIL

4.5.18

Backgound housekeeping Jobs

4.5.19

Adapt User Profiles

Import Auke's transport, new profiles and authorisations.

4.5.20

DB13 & scheduling needs additional authorisation SAPADM1

4.5.21

Check DB02

4.5.22

Copy new SAP Profile parameters over.

4.5.23

Check operation modes

4.5.24

Check parameter installed-languages (+N)

4.5.25

Create logical systemnames.

Naming convention:
XxxclientnumberNAM like DEV190CUSTOMER for client 190 in the
SID
Drop SAP tablespaces of old release
drop tablespaces PSAP40BEL/ES

4.5.26

4.5.27

Configure new Profile Settings in SAP (see AppendixC)

4.5.28

Run Accept to check the new 4.6 environment - profile settings etc

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Upgrade Project

Appendix A Detailed space requirements

Additional tablespace space requirements:

Tablespace 46C Upgrade Standard

See above in creating the additional tablespaces.
Use this list as a complete reference.
Table Space

Total Size 46C

Used 46C

Used 31H

Additional 46C 31H

PSAPBTABD

19435520

17396440

17237568

159872

PSAPBTABI

18882560

15957416

15854368

103148

PSAPCLUD

3235840

1444176

1671968

PSAPCLUI

921600

335296

377712

PSAPDDICD

1024000

573584

157160

PSAPDDICI

665600

314440

123408

191032

PSAPDOCUD

102400

74184

68752

5432

PSAPDOCUI

102400

15952

12736

3216

PSAPEL46CD

2048000

714832

PSAPEL46CI

307200

15736

PSAPES46CD

4648960

3549936

PSAPES46CI

2048000

1403576

PSAPEL31HD

2104320

1626360

PSAPEL31HI

512000

30440

PSAPES31HD

3481600

2240664

PSAPES31HI

1536000

771888

PSAPLOADD

30270

4016

4016

PSAPLOADI

30270

3256

3272

-16

PSAPPOOLD

3061760

2338360

1884320

454040

PSAPPOOLI

2099200

1665416

1370448

294968

PSAPPROTD

16009216

13362304

14491176

PSAPPROTI

346112

112208

253832

PSAPROLL

6758400

4465872

4353232

112640

PSAPSOURCED

174080

21456

12544

8912

PSAPSOURCEI

97280

8728

3736

4992

PSAPSTABD

23572480

20071064

19728448

342616

PSAPSTABI

17459200

13905016

13054200

850816

PSAPTEMP

8192000

110240

PSAPUSER1D

5120

2368

2352

16

PSAPUSER1I

5120

1976

1976

SYSTEM

512000

369600

232528

137072

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Upgrade Project

Appendix B Important transactions

Transaction

Description

BAOV

Check add on releases

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Appendix C Profile Maintenence

SAP Profiles to be modified;

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Appendix D Current Transport List

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Appendix E Add on delivery versions

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Upgrade Project

9.1

Appendix F Problems in Prepare phase

Prepare Phase JOB_RADDRCHK

OSS 133017 Colin imported 2 transports TM1K000286 and EWSK000116 (also see 4.4.25)

9.2

Prepare Phase RUN_RDDIT006

10 Appendix G Large tables (PREPARE)

The following tables of your R/3 System are very large.
They can be reduced in size to minimize the conversion time during the
upgrade. Please carry out the actions recommended in OSS Note 76431 and
related Notes to reduce the downtime of the upgrade.

<System SID>

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11 Appendix H ACT_46C Messages

Contains messages from ACT and their subsequent actions and/or decisions.
Apply transport SIDK900015 to get ride of erro field KUNWE in table KOMG is specified twiceand MTART in
table MCEKPO is specified twice.

12 Appendix I PCON_46C Messages

Contains messages from ACT and their subsequent actions and/or decisions.

<System SID>

13 Appendix J XPRAS Messages

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