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SAP Compliance Management - Sanctioned Party List Screening (Enhanced) ( RELN/SAPSLL/CORE_LEGAL )

SAP Compliance Management - Sanctioned Party List Screening (Enhanced) ( RELN/SAPSLL/CORE_LEGAL )

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SAP Compliance Management - Sanctioned Party List Screening (Enhanced)

Use

As of SAP Global Trade Services (SAP GTS) 7.0, the following new functions are available to reduce manual maintenance and improve system performance in the 'Sanctioned Party List Screening' (SPL) service:

Authorizations (Enhanced)

Currently, user authorizations are provided at transaction level and at authorization profile level. The authorizations are based on legal regulations and, therefore, determine whether a user is allowed to execute SPL functions or not. In addition, there are authorizations for customs documents at organizational unit level (foreign trade organization and legal unit).

As of SAP GTS 7.0, you can assign user authorizations at country and country group level. The reason for this is data protection, which is particularly sensitive in some countries in terms of the new integration with Human Resources, for example. The following SPL functions benefit from the new authorization assignments:

  • Scenario A1, B1, C1, and S1: Business Partner Master Data
  • Scenario A2, B2, C2, and S2: Customs Document
  • SPL Audit Trail for business partners and customs documents
  • Lists of blocked business partner
  • Lists of blocked customs document
  • Lists of customs documents for manual release lists
  • Lists of existing customs document

Validity of SPL Entities (New)

Currently, business partner addresses are not only checked against valid SPL entries in the SPL list, but also against archived and deleted SPL entries in the 'SPL Screening' service. This is due to the fact that the validity period of the technical data record is not necessarily the same as the validity period of the actual SPL entry (the legal validity period issued by the customs authorities and data providers). The technical data record is generally set to expire in the year 9999.

As of SAP GTS 7.0, you can adjust the validity period of the technical data records to match the validity period of the actual SPL entities, thereby reducing the number of SPL hits by eliminating the matches between business partner addresses and expired SPL entities.

Note: You can make a setting in Customizing for the 'SPL Screening' service to determine whether the system should take data records that are flagged for deletion or archiving into account in the SPL screening.

The new function adopts the validity period of the actual SPL entry (legal validity period) as the validity period of the technical data record. The prerequisite is that the SPL validity period is smaller than the technical validity period.

You require the same authorization for copying the SPL validity period to the technical validity period as you do when you delete the SPL entity manually.

This function is available in the following areas of the 'SPL Screening' service:

  • SPL Upload
    When you upload SPL data from the data provider and posts this SPL data, then the system executes the function in the background automatically.
  • SPL List Maintenance
    When you post the SPL master data in the SPL list maintenance transaction, then the system executes the function in the background automatically.
  • 'SPL Screening' Service Cockpit
    You can call the function and execute a report in the cockpit manually.
  • 'SPL Screening' Specialist Role
    If you have the role SPL specialist, you can call the function and execute a report manually from the role in the SAP Easy Access Menu.

Recheck Blocked Business Partners in SPL Screening (New)

Note: This new function is only relevant to master data and not transaction data scenarios.

Currently, in Scenario C1: SPL Screening When the SPL Master Data is Changed, the system checks the entire business partner master data against the new or updated data in the SPL master data update. However, the system does not check whether blocked business partners could be released due to the validity period of SPL entries having expired.

As of SAP GTS 7.0, you can recheck blocked business partners once SPL master data has been updated. The following existing SPL screening scenarios are the starting point for the new recheck function:

Scenario B1: Periodic Check

Currently, if you set the indicator Blocked Partners Only in the periodic check function of SPL screening, then the system only checks blocked business partners against the new or updated SPL data. However, if you have not set the indicator Include Master Records Flagged for Deletion in the IMG activity Control for Sanctioned Party List Screening, then the system does not take account of any SPL entries whose technical validity periods have expired. The result is that a previously blocked business partner is released as soon as the SPL entry is either deleted or expires. The new recheck function enables you to avoid releasing blocked business partners inadvertently.

Scenario C1: SPL Screening When Master Data is Changed

Currently, the system checks all business partners that have not been blocked against new or changed SPL entries only. This means that some business partners may be blocked due to changes in the SPL master data.

With the new recheck function, the system releases blocked business partners and blocks other business partners in accordance with updates to SPL master data.

The new recheck function is called Scenario C1BL: Blocked Business Partner Screening When Master Data is Changed. The recheck of blocked business partners following an update of SPL master data is performed as follows:

  1. Determination of relevant blocked business partners
    Every time a name or address in the SPL master data is updated and an SPL entry is changed or deleted as a result, the system checks for each blocked business partner whether the relevant SPL data was:
    1. Changed by the last update
    2. Flagged for deletion or actually deleted since the last SPL update

      If there are several new or changed SPL names or addresses in the update, then it is sufficient for one of those SPL names or addresses to have been changed or deleted to trigger a SPL check against the entire SPL master data.
  2. Check partner addresses against all SPL master data
    If one of the above criteria (a or b) has been fulfilled to trigger a SPL check of the blocked business partner against the entire SPL master data, then Scenario B1: Periodic Check takes effect. If neither of the above criteria (a or b) have been fulfilled, the blocked business partner is neither checked again nor released.
  3. Results output of SPL screening
    The system outputs the results of the SPL check in accordance with the processing mode selection you made.
  4. Posting of results and audit trail
    The system logs the results of the SPL check and stores the results in the audit trail for monitoring purposes.

Multiple-Address Check in SPL Screening (New)

As of SAP GTS 7.0, it is possible to perform SPL checks on business partners for whom several addresses are available in the business partner master data. However, you also have the option of making a setting in Customizing for the 'SPL Screening' service to determine whether a match between one of several addresses and an SPL entry is sufficient to cause a block or whether there must be matches between the SPL entry and more than one of the business partner addresses. You can also determine which of the addresses you want the system to check in the 'SPL Screening' service. Once the system outputs the results of the multiple-address check, you can monitor which of the addresses resulted in a positive match between the SPL data and the business partner data.

SPL Selection Options for External Partner Numbers (New)

Currently, you can only select business partners for SPL checks by entering the internally issued business partner numbers by way of restricting the range of data. As of SAP GTS7.0, you can select business partners for the SPL checks using their external numbers.

Aggregation of SPL Comparison Indexes on Several Application Servers (New)

Currently, generated comparison indexes for the 'SPL Screening' service are aggregated on an application server shared buffer. If you have several application servers assigned to SAP GTS, then the program that aggregates the generated comparison indexes has to be run on each of the relevant servers individually.

However, as of SAP GTS7.0, the generated comparison indexes are aggregated automatically on the shared buffer of all the relevant application servers so the program does not have to be executed on each server individually.

Adoption of Commentary in Mass Release of SPL Blocked Documents (New)

Currently, when you release blocked documents manually without a recheck in the 'SPL Screening' service, you have the option of creating a comment detailing the reason for the release and the system writes this comment to the audit trail. However, if you select several blocked documents, you must enter a separate comment for each document you want to release.

As of SAP GTS 7.0, you can enter a comment that the system adopts for all the blocked documents you want to release manually.

Archiving SPL Master Data and Audit Trail Data (New)

Currently, you can archive SPL master data and audit trail data in the 'SPL Screening' service. You cannot separate the archived business partner data and the archived document data.

As of SAP GTS 7.0, you can separate the two by selecting either the business partners or the documents you want to archive in the selection screen. In addition, since SAP GTS writes all changes to business partners and documents to the audit trail, you can archive data depending on the status of business partners or documents that may have been blocked by SPL checks and were released then manually, for example.

Positive/Negative Partner List (New)

Currently, there was no option for setting business partners on a negative list (permanent blocked status) or on a positive list (permanent released status).

As of SAP GTS 7.0 you can place business partners on negative or positive lists, thereby reducing the system workload and performance times, as you are excluding specific business partners from the SPL check.

  • Positive List
    If the SPL check results in a specific business partner being blocked erroneously due to a similarity between the name or address and the SPL entry, you may want to place a business partner on a positive list. This saves you having to release the same business partner manually after each SPL check. By placing the business partner on the positive list, the system ignores that business partner in all future SPL checks.
  • Negative List
    If the system blocks a business partner due to a positive match between a name or address and an SPL entry, you can decide whether you would like to exclude any contact with this business partner. You can do this by placing the business partner on the negative list, which means the system no longer takes that business partner into account in future SPL checks. Regardless of whether the validity period of the SPL entry has expired, for example, the business partner cannot be released.

You can implement the positive and negative list options in the following:

  • Business partner maintenance transaction
  • List of blocked business partners
  • Results screen of the SPL check

Note: You can perform checks as a batch job in the background on those business partners that appear in either the negative or the positive list. Technically, this is Scenario B1: Periodic Check, although in this enhanced version, the system checks the negative and positive lists only.

Effects on Existing Data

Effects on Data Transfer

Effects on System Administration

Effects on Customizing

Further Information






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