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.

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 .

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

Control Procedure for Address Comparison:

Compliance Management ->Sanctioned Party List screening service->Define Control

Procedure for Address Comparison
 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

Conditio
n1:

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
matches which is 75% and overall %age match is set to 52% so it’s 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 it’s 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:

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
Typ
e:
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 typesfrom 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

E
g
:
SPL Data Name : Komal international
Chemicals Jointcompany
Partner name : 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 word’s are Present in BP name so SPL screening will stop here it will not
proceed further.

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

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
4> Generate Comparison Term for Business Partner
Transaction: /SAPSLL/SPL_STBP

Program: /SAPSLL/SPL_CREATE_SEARCHTADRC

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
Now if we activate TREX the flow goes like this for screening
Over All SPL Configuration