SAP GTS - SPL (Sanctioned Party List

Screening)
Sanctioned Party List Screening :
SPL helps business to comply with gov laws that prohibits dealing with parties (individual and organization )
which are sanctioned by gov agencies.
The detail we get from gov agencies and time to time there is addition and deletion to the same and same is
uploaded to GTS
SPL allows screening of all customer , vendor.When ever order or delivery gets created in feeder system they
goes to GTS and their partner are screened against the already uploaded DPL denied party list we also call
it DPL. If a partner is one from the DPL the order get blocked for further processing.This screening can be
synchronous or asynchronous . synchronous means in real time means as soon as the order is created it goes
to GTS and get screened for asynchronous we can do the screening at later time.
In Simple terms SPL is depicted here:

Configuration of Sanctioned Party List Screening:

SPL screening happens at Document and Business partner Level.

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SAP GTS - SPL (Sanctioned Party List Screening)

Document Screening :
The document screening happens by activating the SPL service at item category level.
General Settings->Document Structure ->Activate Item categories for Application Areas
Here you can either chose synchronous or asynchronous screening for any address change on the document .
In synchronous Screening any address change in Feeder System document gets screened
As soon as changes gets pushed to GTS, while if you choose asynchronous for any address change the
document partner is set to block in GTS and will be released with next SPL run either manual or background
this keeps the corresponding document on block till the SPL run.
The document creation on the other hand is always screened synchronously its only for the change of
address on document has option to be set to synchronous or asynchronous SPL check.
Business Partner Screening:
Compliance Management ->Sanctioned Party List screening service->Activate Business Partner at
Business Partner Function Level
Here it is defined which all partner will be screened by SPL service and what time it will be screened .

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SAP GTS - SPL (Sanctioned Party List Screening)

You can choose the time of screening to be synchronous or asynchronous. Synchronous means the SPL
screening will happen with the update of partner in GTS either create or change of partner data while for
asynchronous the screening will happen ( for create and change ) when SPL service is run in GTS either
manually or through background job.
Another thing you can configure here is type of block , These block are relevant only when you select
asynchronous screening, it tell whether you want to interrupt the process in feeder system or not.
I f you choose option 1 GTS put block on the Partner for (create or change) and block the further process in
feeder system until the next SPL check in GTS. If you create a document with this business partner in the
interim, the feeder system blocks this document and interrupts the process in the feeder system.
If you choose option2 GTS keep the Partner free from block and the further process in feeder system I not
interrupted . The next run of SPL will but block on partner if it is found on Denied Party List. If you create a
document with this business partner in the interim, the system does not intervene in the process, and the
document remains released.
Activate Legal Regulations:
Compliance Management ->Sanctioned Party List screening service->Activate Legal Regulation
Legal Regulation of SPL has to be activated for the country for which service is required in case of Export
Legal Regulation has to be activated for the Country from which the product will be shipped and in case of
Import Legal Regulation has to be activated for the country to which product will be shipped .

In addition to Activating the SPL legal regulation a determination procedure hast to be assigned first which will
determine the Legal Regulation of SPL which is active ,this you will do under :
Compliance Management ->Sanctioned Party List screening service->Assign Determination
Procedure for Active Legal Regulations

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SAP GTS - SPL (Sanctioned Party List Screening)

Control Procedure for Address Comparison:

Compliance Management ->Sanctioned Party List screening service->Define Control Procedure for
Address Comparison

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SAP GTS - SPL (Sanctioned Party List Screening)

Here you define a control procedure for SPL checks, and in turn it specifies the matching algorithm.
Search Term Origin: You uses this indicator to define whether the SPL address or the business partner
address is the leading value during the check of original terms.It can be set so that GTS looks for a match
starting with SPL data index or with partner address and use this to look for a match in SPL master index or to
use both.
e.g If search term is maintained as 90% minimum check
SPL Data Name
: Komal international Chemicals Jointcompany
Partner name
: Komale international Chemicalsee

Condition1:
Now if it is set for Start with SPL data all letter of each word matches with partner name that
means 100% match and minimum match for search term is set for 90% ,so 3 out of 4 word

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matches which is 75% and overall %age match is set to 52% so its a hit which means it will block
the partner.

Condition2:
Now if it is set to start with Partner address in that case for first word 5 letter of 6 matches
83.3% and for 2nd words 100% Partner data matches to SPL data and the third word 9 out of 11
matches 81.2% so 1 out of 3 word matches which is 33.3% and overall %age match is set to 52%
so its not hit which means it will not block the partner

Condition 3:
IF both are used then considering above situation system will return hit.
This Detail control has to be looked upon as Logical expression, Address will be checked for
match based on the condition Country AND Name AND (City OR Street Name)

Minimal Similarity:
Search Term: Match each Word by Word of whole e.g. Name
Originating Feature: Match as a Whole
Suppose:
SPL Name: Sameer Kumar
Partner name: Sam Prasad
Search Term: 70%
Originating feature: 51%
Check: Start with Business Partner as Ref

Now based on word by word of whole name

First word: Sameer has got all letter of Sam so 100% match > 70% and Kumar has got 1 letter common to
Prasad 2/6 that is 33% < 70%

Now based on whole name

Out of two words one has passed so result is 50 %< 51% so here the match does not happens it fails as a
whole.
Imp Note:

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SAP GTS - SPL (Sanctioned Party List Screening)

Scenario 1:
Document is transferred to GTS with no manual changes to any business partner.
No SPL screening occurs on transfer. Only a status checks of the SPL status of the entire BPs included in the
document. The entire BPs should already be in GTS with their correct status determined. TCOMA Entries not
considered obviously at this point

Scenario 2;
A document business partner address is edited in the feeder system and the document is transferred to
GTS. The first time the document address is changed, a new address number is generated and SPL check is
performed on the whole address i.e. no fields are excluded by the /SAPSLL/TCOCMA entries which is Is table
for assigned address field?

Scenario 3;
A document business partner address is edited for the second time. This is when the /SAPSLL/TCOCMA
entries are considered and as a result the trigger for SPL check is skipped or performed.
Control Settings for "Sanctioned Party List Screening" Services

SAP Compliance Management ---> Sanctioned Party List screening service--> Control
Settings for "Sanctioned Party List Screening" Service
Here you c assign the Control Procedure defined in previous step, also you assign the Partner group for Import
and Export as applicable. Other setting regarding scope of check, Audit related you have to do here.
Apart from these you Define List type, Reference type, Time zone also

List Type:
Enter the SPL list you want to include in the SPL screening together with a description. When you upload the
SPL master data, the SPL list types from the data provider will be screened against the SPL list types you
maintain in this transaction. This List type has to be maintained prior to the upload of SPL data in system.

Reference Type:
Here you can define each name in an SPL master data record as a reference name (such as "also known as"
or "appears as").

Assign Time Zone to Deadline Type:

You assign Tim zone for the Validity

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SAP GTS - SPL (Sanctioned Party List Screening)

Eg:
SPL Data Name
Partner name

: Komal international Chemicals Jointcompany

: Komale international Chemicalsee

For screening to happen Search term of SPL data has to be 100% present in BP name as in above case 3 out
4 SPL data present in BP name so now the Screening will proceed to next step where it will compare either BP
to SPL or SPL to BP.
Had it been something like below:
SPL Data Name
: Komal international Chemicals Jointcompany
Partner name
: Komlae internatioanl Chemiclas
None of the SPL words are Present in BP name so SPL screening will stop here it will not proceed
further.

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SAP GTS - SPL (Sanctioned Party List Screening)

Pre-Requisite for SPL screening to Happen in GTS

1. Define List Type: List Type has to be defined before you Load SPL data
2. Define MKDATA as Partner with Business Role as SLLDAP
3. Uploading of SPL data from Service Provider: You have to get the Data from Service Provide (viz
MKDATA: mkdenial.com) to your system server, this data comes in XML form. A Background job You can set
up to upload the SPL data or you can upload the data manually
Tcode: /SAPSLL/SPL_UL01: To upload SPL data (Program /SAPSLL/SPL_UPLOAD_IXML)
Index SPL Data after Uploading.

Run these jobs in following order:

1> Reset the Buffer

Transaction: /SAPSLL/SPL_RESET,
Program: /SAPSLL/SPL_CUS_APP_BUFF_RESET

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For demonstration LEGRE has been put as Comparison Procedure and as well SPL Legal Regulation.

2> Generate comparison Term for SPL data

Transaction: /SAPSLL/SPL_ST01
Program: /SAPSLL/SPL_CREATE_SEARCHTERMS
3> Aggregate the Comparison Terms generated in previous step:Distribute to different Application server
Transaction: /SAPSLL/SPL_ID01

Program: /SAPSLL/SPL_INDEX_CREATE

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4> Generate Comparison Term for Business Partner

Transaction: /SAPSLL/SPL_STBP
Program: /SAPSLL/SPL_CREATE_SEARCHTADRC

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5> Run SPL check against the Delta file

Transaction: /SAPSLL/SPL_CHSC1MLO
Program: /SAPSLL/SPL_CHECK_SCEN_C1M_LO

How SPL works with TREX

TREX is a search engine in the SAP NetWeaver integrated technology platform ,TREX supports various kinds
of text search, including exact search, boolean search, wildcard search, linguistic search (grammatical variants
are normalized for the index search) and fuzzy search (input strings that differ by a few letters from an index
term are normalized for the index search).
This is the Flow for screening without TREX, following the Step1 to Step 4

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Now if we activate TREX the flow goes like this for screening

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SAP GTS - SPL (Sanctioned Party List Screening)

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SAP GTS - SPL (Sanctioned Party List Screening)

Over All SPL Configuration

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SAP GTS - SPL (Sanctioned Party List Screening)

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