ProcessSanctioned Party List Screening

 

A sanctioned party list contains a list of persons and companies with whom trade is prohibited by law. These boycott lists are issued by government agencies and can be obtained from data providers. All traders must comply with these lists.

The Sanctioned Party List (SPL) Screening service in SAP GRC Global Trade Services (SAP GRC GTS) lets you check business partners’addresses (such as the consignee) automatically against the sanctioned party lists before goods are exported. It is a system-independent solution that performs and logs the SPL check and is fully integrated into the complete business process.

Prerequisites

You have configured your system and made all the settings necessary for SPL screening in the Implementation Guide (IMG) for SAP Compliance Management. For more information, see the Configuration Guide for SAP Compliance Management at the SAP Service Marketplace, under service.sap.com/swdc   Download   Installation and Upgrades   Entry by Application Group   SAP Application Components   SAP Global Trade Services (GTS)   SAP GTS <Release>   Installation and Upgrade  .

Process

  1. To start the sanctioned party list features, go to the area menu for SAP GRC GTS and choose   SAP Compliance Management   Sanctioned Party List Screening  .

  2. From the main SPL screen, you can perform all the activities related to the screening process. The functions are divided up into tab pages and allow you to work with the following:

    1. Master Data

      Master data including sanctioned party lists, business partners and comparison terms. You can also monitor lists that are due to expire soon and that can be archived.

    2. Logistics

      SPL screening for Logistics

    3. Human Resources

      SPL screening for Human Resources

    4. Financial Accounting

      SPL screening for Financials

    5. Cross-Area Monitoring

      This tab page contains the central access points for internal and external auditors. If you have defined standard reasons for releasing documents and partners in Customizing, you can also analyze which reasons where used to release these blocked objects.

    6. The tab pages for the business areas Logistics, Human Resources, and Financials contain the following:

      1. Asynchronous screening (see Changes to Business Partner Addresses and Changes to Document Partner Addresses).

      2. Periodic Screening of business partners and document partners (in dialog and in the background)

      3. Sanctioned party list screening of business partners with updated sanctioned party lists (in dialog and in the background)

      4. Simulated sanctioned party list screening

      5. Analysis of audit trail data (SPL screening logs)

      6. Monitoring of blocked business partners and documents

      Note Note

      When you edit a customs document for SPL screening of the document address in SAP Compliance Management, and the corresponding logistics document in the feeder system is edited at the same time, the system allows the document to be saved in the feeder system, where it creates an index entry for that document. You have already configured periodic processing of the index in the feeder system for the recovery scenario. When the document is saved in SAP GRC GTS, the system transfers the changes to the logistics document to SAP Compliance Management the next time the index is processed. This circumvents the block of the feeder system document if the corresponding customs document is edited at the same time, and transfers it when the index is processed.

      End of the note.

  3. Once you have entered all the necessary master data, you can begin setting up the screening to suit your needs. You can perform SPL checks on your business partners either using the dialog or in the background (batch).

    1. If you decide on dialog SPL screening, the system performs the screening online as soon as you create a document in the feeder system, for example a purchase order or a sales order. The system returns the screening results immediately. The feeder system waits for the SPL screening results before the items are actually posted. If the results are negative, the process is terminated and the user cannot perform any more business transactions in the backend system. The advantage of the dialog variant is the result the systems displays after performing the SPL screening.

    2. If you decide on SPL screening as batch, the system performs the screening identical to the dialog variant. However, the system performs the screening in the background and does not display the screening results after performing the SPL screening.

    For more information, see Changes to Business Partner Addresses and Changes to Document Partner Addresses.

  4. You can perform periodic checks on a spot check basis, for example, quarterly, to compare your entire business partner and document data with all the SPL data.

  5. You can avoid the system making repeated hits on the same business partner address. You can do this by placing specific business partners on positive or negative lists to prevent the same blocks recurring. In addition, the system automatically recognizes business partners that have been released manually in the Monitoring area of the SPL cockpit.

  6. Provided none of the SPL or business partner master data has been changed, the system remembers that they have been manually released and does not block the same business partner again. For more information, see intelligent sanctioned party list screening.

  7. You can check multiple addresses for business partners against the SPL master data. If you can assign more than one address to a business partner in your feeder system, you require multiple address screening. If a business partner address in a document generates a match, SAP GRC GTS blocks the document for further processing in the feeder system.

  8. You can integrate SPL screening with Logistics (Sales & Distribution and Materials Management).

  9. You can integrate SPL screening with Financial Accounting to prevent international payment transactions taking place with payees who feature on a government agency black list.

  10. You can integrate SPL screening with Human Resources to run checks on potential job candidates and ensure they do not feature on any sanctioned party lists.

  11. You can monitor blocked business partners and documents and use the audit trail to provide the authorities with the relevant proof that screening has taken place.

Result

The screening results depend not only on the SPL data represented by the SPL master data in SAP GRC GTS but also on any sanctioned parties you may have entered manually in addition to the data from the data providers. The results also depend on the rules you created in Customizing for the phonetic matches in SPL screening and on the comparison terms you created for SPL screening.

All SPL screening and all the results of the screening are logged by the system. You can access these logs easily in the various scenarios, to see why the system had blocked specific business partners. The audit trail functions help you comply with customs authorities documentation requirements. The audit trail gives you a detailed analysis of all past screening processes. You can also archive these logs to maintain system performance.