Managing Sanctioned Party Lists

Objectives

After completing this lesson, you will be able to:

  • Manage sanctioned party lists in SAP GTS

Sanctioned Party List Entries as Master Data

In SAP GTS, name lists consist of individual master records for each entry. You can create such master records manually. However, due to the large (and still growing) number of list entries, manual maintenance of entire name lists is not possible in practice.

Therefore, various data providers offer these lists in XML format for uploading to SAP GTS for purchase. These offers are a kind of subscription. This means that you first receive entire name lists for the initial upload. Update files are then made available to you at regular intervals. These update files contain either only new or changed entries, or the complete dataset that has been extended to include new entries.

You can display sanctioned party list master data as lists or individually. There are two apps available in the SAP Fiori launchpad:

  • Display of individual list entries (Manage Sanctioned Party List Master)

  • Display of entire lists or selected entries (Display Sanctioned Parties)

You can find both apps in the SAP Fiori launchpad in the Compliance Screening space on the Sanctioned Party Lists page.

Structure of Sanctioned Party List Records

Sanctioned party list master data have a type of header segment from which you can extract higher-level data, such as the legal regulation, the type of list, and the validity dates. Each master record also contains a separate segment for the name, or names, and addresses of the listed person.

If a person appears under different pseudonyms, the names in the master record are linked to each other using a reference type. For example, the reference type AKA stands for "also known as", a link often used in the original entries of the name lists. The Address section lists all known residences for the listed person. Often, however, this area of the master record remains empty because the relevant authorities do not know where the person resides.

You can use the Upload SPL Master Data transaction (transaction code /SAPSLL/SPL_UL01) to upload sanctioned party list entries to your SAP GTS system in XML format. In addition to a legal regulation, you also have to specify the type of sanctioned party list on the initial screen of the transaction.

You define these list types in Customizing for sanctioned party list screening at legal regulation level (menu path: SAP Global Trade Services, edition for SAP HANACompliance ManagementSanctioned Party List ScreeningsControl Settings for Sanctioned Party List Screening). Delivery Customizing provides a sample legal regulation for sanctioned party list screening under the key SPLUS (Sanctioned Party List Screening). A larger number of list types are already assigned to this sample.

The legal regulation SPLUS is tailored to the legal situation in the United States. It therefore makes sense to define your own legal regulations to map the relevant legislation of the countries in which you want to use SAP GTS.

When you configure legal regulations for sanctioned party list screening, you always decide whether, and to what extent, you take embargo measures from other countries into account.

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