Below the detail briefing of each step in SUM process for ABAP system.

1 Extraction
Phase name Brief details
CHECK4NOTES_TOOL phase: SUM asks to implement some necessary SAP Notes
CHECKPROF_INI phase: SUM checks the system profiles for problems
CHECKSYSSTATUS phase: SUM reads the profiles and checks the state of the running instances
CONFCHK_IMP phase: In this phase SUM checks the Operating System and Database Version
DBCHK_PRE phase: SUM Determines database version and SAP release
DBCONNCHK_INI phase: SUM tests if new tools can connect to the database
DBQUERY_PRE phase: SUM checks the database state and asks database dependent questions
DETMAINMODE phase:  SUM checks the stack xml file and decides about the main program mode
EXTRACTKRN_PRE phase: SUM tests a kernel DVD to install SUM in /usr/sap/<dir>/SUM/abap/exe
INITPUT_PRE phase: SUM reads profiles and initializes knowledge about the system
INSTANCELIST_PRE phase: SUM will gather information about the instances of the system
JOB_RSUPDTEC phase: In this phase a batch job RSUPDTEC will be started. This job resolves inconsistencies in TABART-TABSPACE mapping. Log files: PSUPDTEC.LOG PSUPDTEC.ELG
KX_CPYORG phase: SUM Copies the original kernel to $(PUTPATH)/exe
PROFREAD phase:  SUM reads the profiles and prompts for required passwords
READCVERS_DUMP phase: SUM reads the CVERS table content
READDATA_EXP phase: SUM tests a kernel DVD to install SUM in /usr/sap/<dir>/SUM/abap/exe
SCAN_DOWNLOADDIR phase:  SUM scans the download directory and extracts the packages
TOOLCHECKXML_INI phase: SUM determines and checks the tool versions in SYS (the active SAP kernel directory)
TOOLIMPD phase:  SUM prepares the ABAP dictionary for importing upgrade tools on the standard instance
TOOLVERSXML_UNI phase: SUM checks the tool versions if the system is UNICODE
VALCHK_INI phase: SUM checks if the source and target system is valid for update
VERSCHK_INI phase: SUM checks if the SAP system release
2 Configuration
ADDON_QCALC phase:  SUM calculates the queue for selected add-ons
ADJUSTPRP phase: This phase prepares adjustment calculation: Imports command file flagged in other system, if necessary
EHP_INCLUSION phase: SUM calculates the Enhancement Package (EHP) included into the stack xml file
INITSUBST phase:  In this phase you can configure the SUM tool parameters which influence the update runtime and resource requirements
IS_SELECT phase: During the IS_SELECT phase, you will have to decide how the installed and delivered add-ons are to treated during the upgrade
LANG_SELECT phase: Language handling during the Upgrade
LIST_LOAD phase: SUM retrieves information regarding the tables in the database
SHDINST_DB_PREP phase: SUM checks database-specific settings
SHDINST_OS phase: SUM Performs operating system-specific actions
3 Checks
ACTREF_CHK phase: This phase checks whether activation errors might occur during the installation. Log file: <SUM_DIR>/log/ SAPupConsole.log
BATCHCHK_GEN phase: SUM tests whether background server can access the upgrade directory
CHECK4NOTES_PACKAGES phase: SUM asks to implement some necessary SAP Notes
CHECKS Roadmap Step: In this roadmap step SUM executes various checks: database, kernel, os, space calculation, leftovers from conversions, older upgrades, etc
ENVFILES_CHECK phase:  This phase checks environments of <sid>adm and whether profiles of user <sapsid>adm can be modified
FREECHK phase: This phase checks free space in the file system
JOB_RSAUCHK_DUP phase: This phase checks for double F rules in the table RSUPDINFO
JOB_RSUPGRCHECK_PRE phase: This phase checks consistency of generated repository
LIST_LOAD_SPC phase: In this phase SUM retrieves information regarding the tables in the database
RUN_CHECK_SLT_TRIGGER_PRE phase: SUM will check the switch tables for existing triggers
SPACECHK_INI or SPACECHK_OPT phase: checks the database free space
Syntax errors in CHECKS Roadmap Step: After SUM reaches the CHECKS Roadmap Step,(Step 5.1) Running some transactions, such as BP produces to check syntax error.
TABSPC_PREP phase: calculates which tables are part of import into old tables
TR_GET_SPCREQ_ADD phase: calculates the amount of data in add-on and language requests
TR_GET_SPCREQ_IMP phase: calculates the amount of data from the upgrade requests
4 Pre-processing
ACT_UPG phase and SPDD:
BATCHCHK phase: SUM tests whether background server can access the upgrade directory To do this, the background job RDDIT008 is started on the specified background server. This job writes a test log in subdirectory tmp of the abap subdirectory of the update directory
BIND_PATCH phase In rare cases, you might have to include support packages of certain software components, such as HR packages, because these packages have a shorter release cycle than the complete support package stack. For these cases, in the phase BIND_PATCH, you have the option to add the additional support packages to those that have already been included in the SELSTACKXML phase.
If you answer Yes to the prompt about including support packages, SUM displays a list of support packages in which you can select those that you want to include into the update.
DBCLONE phase: In this phase the target system (shadow system) will be copied from the current system. the Software Update Manager starts a number of background jobs to create copies of the tables required for operating the shadow system. Depending on your system and your hardware, this operation can take several hours. These background jobs are executed on the background server that is configured with the BATCH HOST parameter. The number of jobs is determined by the parameter MAX BATCH PROCESSES. It cannot be higher than nine or the number of background processes configured on the background server. Each table is copied with a single INSERT statement. Therefore, the administrator has to take care that the undo-logs can grow accordingly.
DOWNCONF_DTTRANS phase: SUM executes checks and asks all the questions necessary for entering the downtime
EU_CLONE_CRE_SHDVIEWS phase: In this phase SUM Creates views on Shadow
EU_CLONE_MIG_UT_RUN phase:  In this phase Entries of *UT* group tables are exported from shadow repo and imported to HANA in parallel. R3load pairs are doing the export and import. The first R3 load (part of the shadow kernel) is exporting the data, the second R3load (part of the target kernel) is importing the data into SAP HANA DB.
EU_IMPORT1 or EU_IMPORT2 phases: In this phase (parallel) R3load processes will be started to import data from DVDs to the database. If you chose the preconfiguration mode single system, these phases run during downtime. Log file: SAPup.log <update directory>/log/EU_IMP1.ELG/EU_IMNDB.*
ICNVINIT phase: SUM checks the volumes of the ICNV candidates and initializes successful candidates
ICNVREQ phase: SUM prompts you to start transaction ICNV if there are candidates for the ICNV,but ICNV has not yet been started
JOB_RSVBCHCK2 phase: If there are any outstanding or incomplete updates, the update stops in phases JOB_RSVBCHCK2 (in Preprocessing roadmap) or in JOB_RSVBCHCK_D (Execution roadmap) with a message
PARDIST_SHD phase: SUM starts the distributor on the shadow instance in parallel jobs
PARMVNT_SHD phase: SUM activates nametab entries
REPACHK_CLONE phase: This step is relevant if you perform an enhancement package installation or an SPS update. If you have chosen preconfiguration mode standard or advanced, the Software Update Manager asked you in this phase to confirm the locking of the ABAP Workbench on all SAP instances. In contrast to the release upgrade, the Software Update Manager requires the lock in this phase only. This lock prevents development objects (for example, ABAP reports, table definitions, and so on) from being changed during the update since these modifications would be lost. You can continue to use your SAP system in production operation, even if you confirm that the ABAP Workbench can be locked. However, after you have confirmed the ABAP Workbench lock, no more transports can be made into or out of the SAP system. Some further actions might be blocked that either check for this lock as well or for the running update. This is especially known in the area of Business Intelligence and SAP Solution Manager.
REPACHK2 phase: This phase is relevant in release upgrades. This phase displays all the repairs that are still in open transport requests. They are also written to the REPACHK2.LOG file. Release these transport requests so that you can continue; otherwise, the objects contained in these repairs are locked. Note SUM checks in this phase also for inactive development objects. Before you continue, you have to release and confirm all the open repairs; otherwise, the objects in them are locked.
RUN_CHECK_SLT_TRIGGER_DTTRANS phase: SUM will check before downtime the switch tables for existing triggers
RUN_FDC_STRUCT_ANALYZER: SUM analyses structure changes to prepare Fast Data Copy
RUN_FDC4UPG_PREPROC phase:
RUN_FDCT_TRANSFER phase: This phase is executed by SUM in FDC scenario. ast Data Copy (FDC) is a table copy procedure that makes use of (partly database-specific) optimizations to get maximum copy performance. In SUM with the nZDM option switched on it is used to reduce the time needed for copying tables into the shadow.
RUN_RDDIT006 phase: In this phase SUM runs report RDDIT006 The report determines deviations of the current system from the future standard SAP system (objects and modifications that need to be copied)
RUN_RSDROPCDSBAS phase: SUM deletes CDS views
RUN_RSGEN phase:
RUN_RSPTBFIL_TRINIT phase: SUM runs report RSPTBFIL to generate trigger names and to create transports
RUN_RSUMOD10_SPAU_SHD phase: In this phase SUM runs report RSUMOD10 for SPAU preparation on the shadow instance
SCEXEC_ALIAS phase: SUM Creates aliases/views/synonyms
SCEXEC_GRANT phase: SUM Creates grants on shadow tables
SHADOW_IMPORT_INC phase: The shadow import phases are run during the shadow instance. On these phases, data is imported on the shadow tables and on new tables. The shadow import is a feature aimed to reduce the application downtime caused by the import of the Support Packages. The idea behind this feature is to import, activate and convert all objects belonging to the Support Packages into a shadow repository, and at the end of all phases, switch to the new coding. The import of these packages is performed via the transport tools tp and R3trans.
SHADOW_IMPORT* phases: data is imported on the shadow tables and on new tables
SHDUNINST_DB phase:  SUM deletes the shadow schema DB user
SPDD in upgrade:
START_SHDI_FIRST phase: SUM starts the shadow instance the first time
START_SHDI_PREPUT phase: SUM starts the shadow instance the first time
START_SHDI_SHD2 phase:  In this phase SUM starts the shadow instance the second time to execute further actions as replicating changes or running the SGEN on shadow instance.
STOP_SHDI_RES phase: SUM stops the shadow instance if the SUM reset was selected
TABIM_POST_SHD phase: During the TABIM (table import) phase, additional data is loaded in tables that belong to the SAP name range. All SAP table classes S, W, E, C and G are affected by row insertions, modifications and deletions – except for class A, which is protected against row modifications, where only insertions are allowed.
5 Execution
ACT_TRANS phase and SPDD: REMARK: If you selected Downtime-Minimized Update strategy, the activation will be executed in the ACT_UPG phase
EU_CLONE_MIG_DT_RUN phase: SUM migrates data from the source database to the target HANA database
JOB_RSVBCHCK_D phase: If there are any outstanding or incomplete updates, the update stops in phases JOB_RSVBCHCK2 (in Preprocessing roadmap) or in JOB_RSVBCHCK_D (Execution roadmap) with a message.
KX_SWITCH phase: SUM installs the standard instance target release kernel
MODPROF_TRANS or MODPROFP_UPG phase: SUM will modify the system profiles for the upgrade
MVNTAB_UPG phase: SUM Converts application views and activates remaining nametab entries
PARCONV_UPG or PARCONV_UPG_DS or PARCONV_TRANS phase In this phase, the application tables are adjusted to the structure of the target release. Here, several conversion program processes (in the SAP system) and tp processes run simultaneously.
PARDISTPRE_TRANS phase: This phase is executed by SUM if Resource-Minimized Update strategy – Single system preconfiguration mode was selected. SUM starts the distributor in parallel jobs.
PARMVNT_TRANS phase: In this phase SUM activates nametab entries
PARMVNT_XCNV phase: In this phase SUM activates nametab entries for external conversions
RUN_CRR_LAST phase: SUM is performing final data transfer of change recording framework.
RUN_RENAME_KONV_AVOID_CONVERS phase: In this phase SUM executes steps to avoid conversion of table “KONV”
RUN_RUTCNVFUNCCRE phase: SUM runs job RUTCNVFUNCCRE which creates necessary DB-functions for DDIC SQL-views
RUN_RUTDDLSCREATE phase: SUM runs job RUTDDLSCREATE which creates CDS Views after the migration
RUN_SYSTEM_SHUTDOWN phase: SUM runs BW related checks before entering to downtime, SPDD in upgrade if Single system mode was selected::
SQLRUNTASK_DROP_CDSBASVIEWS phase: Drop CDS-views on switch tables
START_SHDI_SHD3 phase: SUM starts the shadow sytem (3rd)
STARTSAP_NBAS phase: SUM starts the standard instance after kernel switch with the target kernel
STARTSAP_PUPG or STARTSAP_TBUPG phase: SUM starts the standard instance for postprocessing
STARTSAP_TRANS phase: SUM starts the standard instance before kernel switch with the source release kernel
TABIM_POST_CLONE phase:
TABIM_POST_UPG phase: During the TABIM (table import) phase, additional data is loaded in tables that belong to the SAP name range. All SAP table classes S, W, E, C and G are affected by row insertions, modifications and deletions – except for class A, which is protected against row modifications, where only insertions are allowed.
TABIM_TRANS phase: TABIM_TRANS phase is executed if the Single system.preconfiguration mode was selected
TABIM_UPG phase: During the TABIM (table import) phase, additional data is loaded in tables that belong to the SAP name range. All SAP table classes S, W, E, C and G are affected by row insertions, modifications and deletions – except for class A, which is protected against row modifications, where only insertions are allowed. The TABIM phase is run through tp and R3trans.
XPRAS_TRANS XPRAS_UPG and XPRAS_AIMMRG phases: XPRA or “Report after Put” is an ABAP program or Function Module that is executed during a transport request import sequence, the import of a Support Package and during Upgrades/Enhancement Package installations. The reports that are executed during XPRA are application-related conversions, adjustments, data mergers or alignments for the conversion of release-specific SAP-shipped customizing that need to be adjusted during the upgrade. The runtime of the XPRA phase differs from one application component to another – however XPRAs are used by all SAP modules and applications. The XPRA phase reports are run as one of the last steps of the upgrade. However, due to the fact that table content is adjusted, the XPRA phase needs to be done at application downtime. XPRA can also run as part of the activation of extension sets and IS add-ons.  All XPRAs are executed by a system job, named RDDEXECL
6 Post processing
RUN_RSREGENLOD phase: In the Configuration road map step and Phase INITSUBST the Advanced preconfiguration mode and Expert option 03) – Generate ABAP loads on shadow system during uptime and start asynchronously in post downtime
RUN_RSUPG_ISU_CRR_CLEAN phase: SUM runs cleanup of change recording framework
TOOLIMP_DELETE_ZDM_CRR phase: SUM deletes ZDM, CRR and internal tools

3 thoughts on “SUM process in detail

    1. hi

      you can find detail in file UPGANA.XML. Location of the file will be
      ./SUM/abap/htdoc/UPGANA.XML for SUM 1.0
      ../SUM/abap/doc/analysis/UPGANA.XML for SUM 2.0

      For more details you can refer SAP Note 2517492

  1. Hi,
    Thanks a lot for detailed explanation. I have query on what happens during switch over
    For example: If I am doing an HR support pack update using SUM
    1. During DB_CLONE phase shadow instance is created from original system. Whether all tables are copied or only limited tables are copied with respect to HR tables
    2. During switch over changes done on shadow instance will be copied to original system. what happens to the business transactions of original system?
    3. whether data’s will be copied to shadow system again and return to original system along with the updated HR support pack level

    Thanks & Regards,
    Mithran

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