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USER GUIDE | PUBLIC

2018-11-06

SAP Global Trade Services


© 2018 SAP SE or an SAP affiliate company. All rights reserved.

THE BEST RUN


Content

1 SAP Global Trade Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

2 Introduction to Global Trade Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

3 What’s New in SAP GTS 11.0. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12


3.1 What’s New in Support Package 14. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Compliance Management: Export Control. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .12
Risk Management: Preference Processing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Electronic Compliance Reporting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Country Localization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15

4 History of What’s New in SAP GTS 11.0. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21


4.1 What’s New in Support Package 13. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Customs Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Risk Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
System Administration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .23
Country Localization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
4.2 What’s New in Support Package 12. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Customs Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Country Localization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
GTS Content for Business Warehouse. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
4.3 What’s New in Support Package 11. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Customs Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Risk Management: Preference Processing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
4.4 What’s New in Support Package 10. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .40
Customs Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .40
Risk Management: Preference Processing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Country Localization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
4.5 What’s New in Support Package 09. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
Enhancing Customs Offices with a Validity Period. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
Determination of Customs Duty Rates Depending on Additional - and Document Codes. . . . . . . .46
Transfer of Commodity Codes to SAP ERP- and SAP S/4HANA Feeder Systems on the Basis of
Change Indicators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
Annual Request Run for Long-Term Vendor Declarations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
4.6 What’s New in Support Package 08. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
Compliance Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .48
Risk Management - Preference Processing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .49
Country Localization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

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2 PUBLIC Content
4.7 What’s New in Support Package 07. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
Country Localization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
4.8 What’s New in Support Package 06. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Compliance Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .53
Customs Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
Country Localization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54

5 Compliance Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
5.1 Master Data for Compliance Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
Defining Import and Export Control . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
Control Groupings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .62
Peculiarity Codes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .63
Maintaining Projects. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 64
Maintaining Business Partners. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Displaying Country-Country Group Assignments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Displaying Transferred BOMs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
Calculating Product Share Values for Re-Exports. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
5.2 Classification for Compliance Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 72
Settings for Classification Help. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
Using Classification Help. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
Maintaining Import/Export Control Classification Lists Manually. . . . . . . . . . . . . . . . . . . . . . . . 77
Uploading Import/Export Control Classification Numbers . . . . . . . . . . . . . . . . . . . . . . . . . . . . .79
Searching Upload Logs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
Entering Conditions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
Maintaining Number Sets for Classification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
Processing of Product Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .85
Classification with the Worklist. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
Mass Classification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
Using Standard Classification Functions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
Analyzing Product Classification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
Classifying Products with Number Sets. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
Manual Reclassification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
Reclassification by Upload. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
Displaying Transferred BOMs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
Maintaining Projects. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .108
Changing the Data Basis in Classification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
5.3 Sanctioned Party List Screening. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
SPL Screening with the Web UI. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .115
Sanctioned Party List Screening in the Area Menu. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
5.4 Legal Control - Import/Export. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205
Managing Licenses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206
Simulating Business Transactions for Legal Control. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 219

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Content PUBLIC 3
Evaluating Legal Control Results. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220
Releasing Blocked Documents and Payments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .228
Embargo Check. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 232
5.5 Hazardous Substance Check with SAP ERP EH&S. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241
5.6 Displaying Blocked Documents in the Feeder System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242

6 Risk Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .245


6.1 Preference Processing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .245
Starting Preference Processing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248
Master Data for Preference Processing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252
Managing Vendor-Based Long-Term Vendor Declarations. . . . . . . . . . . . . . . . . . . . . . . . . . . . 286
Managing Long-Term Vendor Declarations for Customer's Purposes. . . . . . . . . . . . . . . . . . . . .308
Archiving of Long-Term Vendor Declarations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 319
Preference Determination. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .322
6.2 Letter of Credit Processing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344
Maintaining Master Data for Letter of Credit Processing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .347
Letter of Credit Processing – Export Process. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 355
Letter of Credit Processing – Import Process. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362
Monitoring in Letter of Credit Processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 370
6.3 Restitution. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 374
Master Data - Overview. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .376
Restitution Process. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 409
Restitution Integration in Customs Declarations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
Restitution Calculation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 411
Managing CAP Licenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 415
Securities Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .420
Monitoring. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 424

7 Customs Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 428


7.1 Handling Model Foreign Trade Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 431
Receipt Processes with Customs Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 431
Export Processes with Customs Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 436
7.2 Master Data for Customs Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 441
Product Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 442
Partner Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 466
Organizational Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 473
Authorization and Security Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 477
Geographical Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 489
Default Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 493
Maintaining Exchange Rates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 499
Maintaining Interest Rates for Compensatory Interest. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .500
7.3 Classification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 501

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Product Classification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 503
Classification Master Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 522
Classification Help. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 541
7.4 Document Entry and Maintenance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 544
Creating Documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 546
Maintaining Documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 549
Communicating Documents to the Authorities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 566
Cancelling Documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 570
Creating Supplementary Customs Declarations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 573
Displaying and Maintaining Supplementary Customs Declarations. . . . . . . . . . . . . . . . . . . . . . 575
Postprocessing Customs Declarations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 579
Monitoring Documents and Transactions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 597
7.5 Customs Import Declaration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 606
Customs Waybill. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 610
Customs Invoice. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 612
Pre-Declarations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 614
Customs Declaration Prior to Goods Receipt. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .616
Customs Declarations After Goods Receipt. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 618
Closing Procedures with Supplementary Customs Declarations. . . . . . . . . . . . . . . . . . . . . . . . 623
Integration of Compliance Checks in Customs Management Documents. . . . . . . . . . . . . . . . . 625
Displaying Tax Statements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 626
7.6 Customs Export Declaration. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 629
Closing Procedures with Supplementary Customs Declarations. . . . . . . . . . . . . . . . . . . . . . . . 632
Integration of Compliance Checks in Customs Management Documents. . . . . . . . . . . . . . . . . 633
Document Determination. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 635
Overview Export. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 636
7.7 Inventory-Managed Customs Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 637
European Union. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .638
United States: Foreign-Trade Zone. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 732
China: Processing Trade. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 788
7.8 Transit Procedure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 827
Opening Transit Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 830
Discharging Transit Procedures. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 833
7.9 Presentation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .835
Presentation Document with Item Split. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 836
Temporary Storage. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 837
7.10 Customs Duty Calculation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 838
Customs Duty Calculation for Documents for Import Declarations. . . . . . . . . . . . . . . . . . . . . . 840
Customs Duty Calculation for Import Declarations Prior to Receipt. . . . . . . . . . . . . . . . . . . . . . 841
Customs Duty Calculation for Import Declarations After Receipt. . . . . . . . . . . . . . . . . . . . . . . 843
Customs Duty Calculation for Export Declarations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 846

SAP Global Trade Services


Content PUBLIC 5
Simulating Customs Duty Calculation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 848
7.11 Goods Movements Subject to Excise Duties. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 849
Sending Goods Subject to Excise Duty. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 851
Receiving Goods Subject to Excise Duty. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 853
Monitoring Goods Movements Subject to Excise Duty. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 854
Fallback Procedure for Goods Movements Subject to Excise Duty. . . . . . . . . . . . . . . . . . . . . . . 855
7.12 Document Printing and Communication. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 857
Message Output Monitoring. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 858
Message Determination. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 859
Printer Determination. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 859
Printing Customs Documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 860
Sending Notifications from Documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 861
Partner-Dependent Sending of PPF Messages. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 863
Log Book. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 864
7.13 Logistics Integration of Feeder System and Customs Management. . . . . . . . . . . . . . . . . . . . . . . . 866
Logistics Integration: Purchasing Document. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 867
Logistics Integration: Inbound Delivery. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 868
Logistics Integration: Goods Receipt. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 871
Logistics Integration: Goods issue. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 874
Logistics Integration: Billing documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 875
Logistics Integration: Freight Orders. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 880
7.14 Integration with A Customs Broker. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 881
Scenarios for Import in Free Circulation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 882
Scenario for Export . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 884

8 Electronic Compliance Reporting. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 887


8.1 Maintaining Providers of Information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 888
8.2 Entering Default Values for Imports from Worklist. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 890
8.3 Commodity Codes for Products in Intrastat Declarations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 891
Entering Commodity Codes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 892
Classification for Intrastat Declarations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 894
8.4 Using the Worklist. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 916
8.5 Maintaining Intrastat Declarations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 919
Maintaining Data for Intrastat Declarations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .922

9 System Administration for SAP Global Trade Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 927


9.1 Data Transfer from the Feeder System. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 927
Initial Transfer of Master Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 929
Periodic Transfer of Master Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 932
Initial Transfer of Documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 933
Control Settings to Generate Worklist for Vendor-Based LTVDs . . . . . . . . . . . . . . . . . . . . . . . . 935
Transferring Order-Related BOMs for Configurable Materials. . . . . . . . . . . . . . . . . . . . . . . . . . 936

SAP Global Trade Services


6 PUBLIC Content
Transfer Duty-Paid Stock Initially. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 937
Integration Between Financial Accounting in SAP ERP and SAP GTS. . . . . . . . . . . . . . . . . . . . . 939
9.2 Data Archiving in SAP Global Trade Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 939
Prerequisite for Archiving Documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 942
Documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 946
Worklists. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .949
Supplementary Customs Declarations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 957
Sanctioned Party List Screening. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 959
Master Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 967
Preference. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 970
Re-Exports. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 978
Licenses. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 979
Settlement Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .981
Business Function: ILM-Based Deletion of Business Partner Data in SAP Global Trade Services
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 982
Business Partner End Of Purpose (EoP) Check in SAP Global Trade Services. . . . . . . . . . . . . . . 984
9.3 System Monitoring. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 986
Changing the Maintenance Status for Documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 988
Displaying Transfer Logs for Master/Transaction Data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 989
Deleting Application Logs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 991
Modifying the Validity of SPL Entities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 991
Displaying Complete Stock Lists in Background Processing. . . . . . . . . . . . . . . . . . . . . . . . . . . 992
Processing Collected Movements in Logistics Processes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 994
Activating and Monitoring the Fallback Procedure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 999
Synchronizing Customs Documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1004
Transferring Commodity Codes to SAP ERP- and SAP S/4HANA Feeder Systems. . . . . . . . . . .1006
Transferring Control-Relevant Products to the Feeder System. . . . . . . . . . . . . . . . . . . . . . . . 1008
Changing the Data Basis in Classification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1009
Invalidation of Tariff Numbers and Commodity Codes Not in Use as of a Certain Date. . . . . . . . 1014
Checking PPF Actions for Consistency. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1015
Communication Between GTS, EDI Converter, and Customs Authority. . . . . . . . . . . . . . . . . . . 1017
9.4 System Communication and Workflows. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1029
Maintaining User Groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1030
Controlling Notifications for Blocked Documents and Partners. . . . . . . . . . . . . . . . . . . . . . . . 1031
Defining Default Data for Case Management. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1032
Output Monitoring for Spool Requests. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1034
Monitoring the Background Processing of Batch Jobs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1034
Configuring System Connections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1035
Configuring the Port/Partner Connection for System Communication . . . . . . . . . . . . . . . . . . 1037
Monitoring IDocs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1038
9.5 Monitoring of Feeder System Processes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1040

SAP Global Trade Services


Content PUBLIC 7
Monitoring of SAP GTS Intervention in Feeder System Logistics Documents . . . . . . . . . . . . . . 1041
Triggering Automatic Follow-On Functions in the Feeder System. . . . . . . . . . . . . . . . . . . . . . . 1043
Restoring Import/Export Documents in the Feeder System. . . . . . . . . . . . . . . . . . . . . . . . . . 1046
Monitoring Document Synchronization. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1048
Shipment Consolidation for Customs Declarations from Sales Documents. . . . . . . . . . . . . . . 1049
Monitoring of Temporary Storage for Inbound Deliveries. . . . . . . . . . . . . . . . . . . . . . . . . . . . 1050
9.6 Enterprise Services in Global Trade Services. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1052
Customs Processing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1052
Trade Compliance Processing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1058

SAP Global Trade Services


8 PUBLIC Content
1 SAP Global Trade Services

Product Information

Product SAP Global Trade Services

Release 11.0 SP14

Based On SAP NetWeaver 7.40, Support Package Stack 09

Documentation Published November 2018

Use

SAP Global Trade Services helps companies better manage global trade operations, ensure ongoing trade
compliance, and optimize the cross-border supply chain.

The solution delivers automation and comprehensive functionality to speed trade functions and maximize
performance. With direct integration throughout the supply chain, customers can expect reduced costs, fewer
trade penalties and fines, and faster customs clearance, both outbound and inbound. The extensive functions
include the following:

● Export procedures
● Import procedure
● Customs procedures
● Free trade agreements
● Restitution
● Regulation of the international weapons trade (International Traffic in Arms Regulations - ITAR)
● Excise Movement and Control System for goods subject to excise duty (Excise Movement and Control
System (EMCS)
● Sanctioned party list screening

SAP Global Trade Services


SAP Global Trade Services PUBLIC 9
2 Introduction to Global Trade Services

Use

The system for Global Trade Services (GTS) lets you automate your global trade transactions, manage large
numbers of business partners and documents, and ensure that your company always complies with constantly
changing international legal regulations.

This solution supports your global trade activities with the tools you need to participate in the modernized
systems and electronic means of communication used by government agencies and customs authorities. GTS
helps you avoid costly delays and financial risks involved with imports and exports, enabling you to react to
international business opportunities quickly.

Integration

Since it is based on SAP NetWeaver technology, the GTS system can be used with both SAP and non-SAP
systems as feeder systems.

Key Features

 Note

The descriptions for the GTS system in the SAP Library contain paths with which you can execute the
individual functions. If there is no explicit mention of roles or transactions, the paths refer to the GTS area
menu, which you can open with transaction code /SAPSLL/MENU_LEGAL.

The GTS system features functions in the following areas:

Compliance Management [page 57]

● Sanctioned Party List Screening


● Legal control - export
● Legal control - import

Customs Management [page 428]

● Transit procedure
● Customs processing
● Printing trade documents
● Communication with customs authorities

Risk Management [page 245]

SAP Global Trade Services


10 PUBLIC Introduction to Global Trade Services
● Preference processing
● Letter of credit processing
● Restitution

Electronic Compliance Reporting [page 887]

● Intrastat declarations

SAP Global Trade Services


Introduction to Global Trade Services PUBLIC 11
3 What’s New in SAP GTS 11.0

Here you can find an overview of what’s new in SAP Global Trade Services. The system displays delta
information about all new, changed, or deleted features of this product.

● What’s New in Support Package 14 [page 12]


● History of What’s New in SAP GTS 11.0 [page 21]

3.1 What’s New in Support Package 14

Overview of What's New in SAP Global Trade Services in Support Package 14:

● Compliance Management: Export Control [page 12]


● Risk Management: Preference Processing [page 13]
● Electronic Compliance Reporting [page 15]
● Country Localization [page 15]

3.1.1 Compliance Management: Export Control

3.1.1.1 Validity Check for Business Partner in Collective


Export Licenses

You can use this function to enter the validity for each business partner in collective export licenses. This
ensures that the validity for a business partner lies within the overall validity of the license. When you use the
license in documents, the system also checks whether the relevant business partner is valid for the relevant
date for this export.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

SAP Global Trade Services


12 PUBLIC What’s New in SAP GTS 11.0
Related Information

SAP Note 2668906

3.1.1.2 Extended Check for SD Scheduling Agreements in


SAP GTS

You can use this function to transfer schedule lines of SD scheduling agreements to SAP GTS. This lets you
perform legal control at schedule line level of scheduling agreements.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2678775

3.1.2 Risk Management: Preference Processing

3.1.2.1 Incompleteness Check of Long-Term Vendor


Declarations for Customers

You can use this function to specify that only the long-term vendor declarations for customers that are filled
out completely and without errors are issued. This increases the quality and timeliness of the statement on the
preferential origin.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

SAP Global Trade Services


What’s New in SAP GTS 11.0 PUBLIC 13
Related Information

SAP Note 2571517

3.1.2.2 Improved Readability of the Preference Rule


Evaluation

You can use this function to evaluate the agreement-specific preference rule for a product and display it more
clearly. The evaluation results in the statements on preferential origin for in-house production.

Function Is Changed

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2675796

3.1.2.3 UI Harmonization in the Preference Processing Area


Menu

You can use this function to restructure the area menu in the following three subsections:

● Vendor Declaration
● Preference Eligibility
● Master Data

Function Is Changed

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2672554

SAP Global Trade Services


14 PUBLIC What’s New in SAP GTS 11.0
3.1.3 Electronic Compliance Reporting

3.1.3.1 Intrastat

3.1.3.1.1 Performance- and UI Optimization

Optimizing performance and the UI gives you the following advantages:

● Faster runtimes when importing worklists


● Shorter response times when processing Intrastat declarations
● More detailed representation of the imported worklist entries in import logs

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2414568

3.1.4 Country Localization

3.1.4.1 European Union (EU)

SAP Global Trade Services


What’s New in SAP GTS 11.0 PUBLIC 15
3.1.4.1.1 Calculation of Additional Duties in the European
Union

You can use this function to calculate additional duties in the European Union (EU).

Function Is New

Country Dependency Valid for the European Union

Application Component SLL-LEG

Related Information

SAP Note 2697513

3.1.4.1.2 Consideration of Countervailing Duties in the


Customs Value Calculation

You can use this function to take countervailing duties into account in the customs value calculation.

Function Is New

Country Dependency Valid for the European Union

Application Component SLL-LEG

Related Information

SAP Note 2695080

3.1.4.2 Great Britain (GB)

SAP Global Trade Services


16 PUBLIC What’s New in SAP GTS 11.0
3.1.4.2.1 Migration of Import Processing of CHIEF to the
New HMRC System CDS (Customs Declarations
System)

You can use this function to switch import processing to the new Customs Declaration System (CDS) customs
system of British customs. Note that this is only to be done in close cooperation with British customs. For more
information, see also the announcement of a legal change # https://launchpad.support.sap.com/#/
legalchangenotification/detail/GSLCNAASNONGS-51 .

For required details of the procedure, see the SAP Note that describes the conversion of CHIEF to CDS.

Function Is New

Country Dependency Valid for the European Union

Application Component SLL-LEG

Related Information

SAP Note 2676342

3.1.4.3 Austria (AT)

3.1.4.3.1 Inward Processing

You can use this function to map inward processing in Austria.

Function Is New

Country Dependency Valid for the European Union

Application Component SLL-LEG

Related Information

SAP Note 2652201

SAP Global Trade Services


What’s New in SAP GTS 11.0 PUBLIC 17
3.1.4.4 United States of America (USA)

3.1.4.4.1 Post Finished Goods in a Foreign-Trade Zone as


Receipt

You can now use this feature to procure finished products externally and post them in the FTZ. When posting
goods issue of a finished product for a customer in the USA (domestic goods issue), the bill of material is
exploded if a self-made finished product is involved, or the stock is reduced without a bill of material explosion
if the finished product was procured externally.

 Note

If SAP GTS triggers a bill of material , the stock of components used is reduced and the forecast is checked.

This function requires you to make adjustments to the following programs:

● Transfer Stock of a Finished Product to SAP GTS Initially


● Create Stock of Finished Product with or Without BOM Explosion During Migration

Types of additions for finished product:

● Create a regular admission with a finished product, using the worklist before goods receipt (non-direct
delivery scenario)
● Create/Update/Delete a local clearance admission with a finished product when posting the goods receipt
(direct delivery scenario)
● Create an internal documentation document when posting a finished product based on a production order
leading to a receipt posting in Inventory Management
● Process undefined goods movements You can choose whether a finished product is to be posted duty paid
or duty unpaid as a receipt. You can specify a comment giving the reason for your choice. This can be
displayed as an explanation during an audit.

Types of Issues for Finished Product:

● Create customs export declaration with finished product


● Create weekly entry with finished product from the following:
○ Migration document (with/without BOM, duty paid or duty unpaid)
○ Internal documentation document (for production goods receipt)
○ Local clearance admission
○ Regular admission
○ Overage admission

Function Is New

Country Dependency Valid for the USA

SAP Global Trade Services


18 PUBLIC What’s New in SAP GTS 11.0
Application Component SLL-LEG

Related Information

SAP Note 2699391

3.1.4.4.2 Process Undefined Goods Movements

You can use this function to select whether a finished product or a component is to be posted duty paid or duty
unpaid as an inward movement. You can specify a comment on the respective customs status to give a reason
for your choice. You can display this as an explanation, for example, during an audit.

Function Is New

Country Dependency Valid for the USA

Application Component SLL-LEG

Related Information

SAP Note 2699300

3.1.4.4.3 Customs Duty Rate Conditions to Represent Case


Numbers in the Antidumping/Countervailing
Duty Area

You can use this function to specify conditions in a customs duty rate, which control whether certain customs
duty rates can or must be applied. Using customs duty rate conditions facilitates mapping of case numbers in
the United States linking them to customs duty rates. As a result, only those customs duty rates that meet the
conditions stated in the customs declaration are taken into account during the customs value calculation.

The specified case numbers in the form of customs duty rate conditions are also taken into account in
communicating customs duties to the US customs server (CBP).

Function Is New

SAP Global Trade Services


What’s New in SAP GTS 11.0 PUBLIC 19
Country Dependency Valid for the USA

Application Component SLL-LEG

Related Information

SAP Note 2679657

3.1.4.5 China

3.1.4.5.1 Consideration of Countervailing Duties in the


Customs Value Calculation

You can use this function to take countervailing duties into account in the customs value calculation.

Function Is New

Country Dependency Valid for China

Application Component SLL-LEG

Related Information

SAP Note 2695080

SAP Global Trade Services


20 PUBLIC What’s New in SAP GTS 11.0
4 History of What’s New in SAP GTS 11.0

The history of what's new in SAP Global Trade Services provides you with delta information about the following
support packages of this product:

● What’s New in Support Package 13 [page 21]


● What’s New in Support Package 12 [page 28]
● What’s New in Support Package 11 [page 31]
● What’s New in Support Package 10 [page 40]
● What’s New in Support Package 09 [page 45]
● What’s New in Support Package 08 [page 48]
● What’s New in Support Package 07 [page 52]
● What’s New in Support Package 06 [page 53]

4.1 What’s New in Support Package 13

Overview of What's New in SAP Global Trade Services in Support Package 13:

● Customs Management [page 21]


● Risk Management [page 23]
● System Administration [page 23]
● Country Localization [page 24]

4.1.1 Customs Management

4.1.1.1 Integration with Customs Agents - Incompleteness


Checks

You can use the Incompleteness Check for Requesting Customs Export Declarations Business Add-In (BAdI)
and the Incompleteness Check for Requesting Customs Import Declarations BAdI to check outgoing messages
to a customs broker for content and display the result in the incompleteness log of the customs declaration.

If the check establishes that the customs declaration is incomplete, the message cannot be sent. You can use
the incompleteness log to determine which data in the customs declaration is still missing.

SAP Global Trade Services


History of What’s New in SAP GTS 11.0 PUBLIC 21
Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2567872

4.1.1.2 Improving the Readability of Change Documents for


Products

With this enhancement, various changes to a product are presented in a clearer form.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2579665

4.1.1.3 New “Partner” Tab Page in the Customs Import


Declaration for Entering Item Partners

You can use the import customs declaration on the new Partner tab page to enter the item partners. This
makes the interface the same as the header partner, and makes entry and overview easier.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

SAP Global Trade Services


22 PUBLIC History of What’s New in SAP GTS 11.0
Related Information

SAP Note 2606944

4.1.2 Risk Management

4.1.2.1 Preference Log Optimized After Changes to


Organizational Data

With this enhancement, changes to organizational data regarding the Plant organizational unit are displayed in
full in the corresponding preference model for the Plant Group or Plant organizational unit.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2581191

4.1.3 System Administration

4.1.3.1 ILM-Based Deletion of Business Partner Data


(Business Function)

In SAP Global Trade Services, the functions of SAP Information Lifecycle Management (ILM) for blocking and
deleting personal data were optimized. With the new /SAPSLL/BUPA_ILM_BF ILM-Based Deletion of Business
Partners business function, you can delete business partner data in SAP Global Trade Services.

SAP Global Trade Services


History of What’s New in SAP GTS 11.0 PUBLIC 23
Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 1825608

4.1.4 Country Localization

4.1.4.1 United States of America

4.1.4.1.1 FTZ Mandatory Transfer of Contact Person in the


Customs Import Declaration

You can use this function to transfer data on contact persons when submitting a customs import declaration
electronically to the U.S. customs system. It deals with the Contact Name and Contact Phone fields in the SE13
record.

Function Is New

Country Dependency Valid for the USA

Application Component SLL-LEG

Related Information

SAP Note 2491442

SAP Global Trade Services


24 PUBLIC History of What’s New in SAP GTS 11.0
4.1.4.1.2 FTZ Stock Differences to the Feeder System

You can use this function to determine differences in quantity between a feeder system and an SAP GTS
system. You can do this by implementing the /SAPSLL/BADI_FTZ_STK_COMPRN Business Add-In.

Function Is New

Country Dependency Valid for the USA

Application Component SLL-LEG

Related Information

SAP Note 2602409

4.1.4.1.3 FTZ Annual Board Report

You can use this feature to create an FTZ Annual Board Report.

Function Is New

Country Dependency Valid for the USA

Application Component SLL-LEG

Related Information

SAP Note 2559436

4.1.4.2 Switzerland

SAP Global Trade Services


History of What’s New in SAP GTS 11.0 PUBLIC 25
4.1.4.2.1 Enhancement of Tax Statement Selections by
Type of Tax Statement

With this function, you can select from different types of statement, depending on the type of statement of the
issuing authority. You can choose, for example, from a customs notice and tax statement.

Function Is Changed

Country Dependency Valid for Switzerland

Application Component SLL-LEG

Related Information

SAP Note 2598037

4.1.4.3 Belgium

4.1.4.3.1 Legal Change to EMCS (Excise Movement and


Control System)

On the key date of February 15, 2018, the Belgian customs authorities switch from EMCS Version 3.20 to EMCS
Version 3.30. All excise duty messages are then to be sent in this version.

Function Is Changed

Country Dependency Valid for Belgium

Application Component SLL-LEG

Related Information

SAP Note 2599651

SAP Global Trade Services


26 PUBLIC History of What’s New in SAP GTS 11.0
4.1.4.4 The Netherlands

4.1.4.4.1 Legal Change to EMCS (Excise Movement and


Control System)

On the key date of February 15, 2018, the Dutch customs authorities switch from EMCS Version 3.20 to EMCS
Version 3.30. All excise duty messages are then to be sent in this version.

Function Is Changed

Country Dependency Valid for Netherlands

Application Component SLL-LEG

Related Information

SAP Note 2589320

4.1.4.5 Cyprus

4.1.4.5.1 Creating Intrastat Declarations for Cyprus

With SAP GTS 11.0 Support Package 13, you can create Intrastat declarations for Cyprus.

Function Is New

Country Dependency Valid for Cyprus

Application Component SLL-LEG

SAP Global Trade Services


History of What’s New in SAP GTS 11.0 PUBLIC 27
Related Information

SAP Note 2578749

4.1.4.6 Germany

4.1.4.6.1 New Applications for Intrastat Declaration Are No


Longer Approved in ASCII Format

For reasons of data security, the Federal Statistics Office (Germany) requires a replacement for declaration
files in ASCII format. New applications for declarations with ASCII files are therefore no longer approved.
However, XML files are accepted from new declarers.

Companies that submitted declarations as ASCII files can continue to do so. The Federal Statistical Office
recommends that all participants in the Intrastat procedure convert to using XML format.

Implement SAP Note 2599782 to send new applications for Intrastat declarations in XML format.

Function Is New

Country Dependency Valid for Germany

Application Component SLL-LEG

Related Information

SAP Note 2599782

4.2 What’s New in Support Package 12

Overview of What's New in SAP Global Trade Services in Support Package 12:

● Customs Management [page 29]


● Country Localization [page 30]
● GTS Content for Business Warehouse [page 31]

SAP Global Trade Services


28 PUBLIC History of What’s New in SAP GTS 11.0
4.2.1 Customs Management

4.2.1.1 Binding Tariff Information

You can use this function to store binding tariff information (BTI) for a classified product. Based on the BTI that
is defined in the product master, the system proposes a document in the customs declaration. The
identification of the document to be declared for a BTI must be controlled in Customizing by using the ‘vZTA’
document classification.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2567822

4.2.1.2 Displaying Customs Duty Rates

You can use this function to display customs duty rates with additional information in an uncluttered list. You
can also display all the customs duty rates stored in the hierarchy of the selected tariff numbers.

You can call the new display customs duty rates transaction (/SAPSLL/TLC_CUSB_03) in the SAP GTS area
menu.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2504355

SAP Global Trade Services


History of What’s New in SAP GTS 11.0 PUBLIC 29
4.2.1.3 Subsequent Split of Customs Export Declarations

You can use this function to split customs export declarations subsequently. Within the document processing
of a customs export declaration, you can now split the document into other documents if the number of items
to be declared exceeds the official limit.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2569578

4.2.2 Country Localization

4.2.2.1 United States

4.2.2.1.1 ACE Migration: Master Data Retrieval in the


Automated Commercial Environment System
(ACE)

You can now retrieve master data from the American customs authorities (CBP) in the Automated Commercial
Environment system (ACE).

Function Is Changed

Country Dependency Valid for all countries

Application Component SLL-LEG

SAP Global Trade Services


30 PUBLIC History of What’s New in SAP GTS 11.0
Related Information

SAP Note 2561336

4.2.3 GTS Content for Business Warehouse

4.2.3.1 BI Content Available as of BW 7.x

You can now perform valuations for SAP Global Trade Services content as of BW release 7.x

Function Is Changed

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2557566

4.3 What’s New in Support Package 11

Overview of What's New in SAP Global Trade Services in Support Package 11:

● Customs Management [page 31]


● Risk Management: Preference Processing [page 33]

4.3.1 Customs Management

SAP Global Trade Services


History of What’s New in SAP GTS 11.0 PUBLIC 31
4.3.1.1 Integration with Customs Brokers for Export

You can use this function to exchange data between your SAP GTS System and a customs broker’s system. A
customs broker completes customs formalities on your behalf. This function supports you in exchanging data
with the customs broker and monitoring performance. Web services are used to communicate with the
customs broker. The exporter and customs broker communicate with each other through the following
integration scenario:

Create a Customs Declaration Request for Customs Brokers (Exporter-Centric Scenario)

Use this scenario to depict the export of community goods based on the export billing document using a
customs broker.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

See Also

To use the function, you must download Support Package 10 for SAP GTS 11.0.

You can not implement this function by means of SAP Notes.

4.3.1.2 Performance Improvement for Number Upload

The performance of the Number Upload function was improved.

Upload of customs content (tariff numbers, commodity codes, export list numbers, FDA product codes,
conditions) is now substantially faster.

Function Is Changed

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2531448

SAP Global Trade Services


32 PUBLIC History of What’s New in SAP GTS 11.0
4.3.1.3 Show Custom Fields in Tax Statement

You can use this function to display custom fields when creating a tax statement using an inbound message.

Function Is Changed

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2511922

4.3.2 Risk Management: Preference Processing

4.3.2.1 Mass Processing of Customs Preference


Statements in the Product Master

You can use the Process Products transaction (transaction code/SAPSLL/PROD_PREF_02) to create and
change customs preference statements on a large scale (mass processing) on the "Preference" tab page.

If you click the "Create Data " function, a dialog box appears, in which you can enter the preference statements
for each preference model. You can freely choose the "Valid To " date. Only those preference agreements that
currently have no valid customs preference statement in the product master are displayed. In the product
master, you can only create entries manually if a customs preference statement was entered in the dialog box
beforehand.

The "Change Preference Statement " function was improved. You can now select and change multiple entries in
the product master simultaneously. The statements (and the corresponding agreements) must be assigned to
the same preference indicator scheme.

Note that during mass change, the preferential country of origin entered cannot be transferred under certain
circumstances for all statements. An example reason for this is that the country does not participate in one of
the agreements, or that the country does not fit the plant group. In this case, we recommend that you make
changes individually in the set.

Function Is Changed

SAP Global Trade Services


History of What’s New in SAP GTS 11.0 PUBLIC 33
Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2515249

4.3.2.2 Monitoring Requested Long-Term Vendor


Declarations

You can use the new Monitor Requested Vendor Declarations transaction (transaction code /SAPSLL/
PRE_VDI_211) to monitor the requested long-term vendor declarations.

You get an overview of your requested vendor declarations and can identify overdue requested vendor
declarations.

Based on predefined key indicators, the function offers you the option to decide which requested vendor
declarations are overdue.

The corresponding contact information of the vendor and contact person is available to you to make any
follow-up simpler. You can enter the current status of your follow-up in a note in the requested vendor
declaration.

To display the contact data for the contact person, the person responsible for the preference for the vendor
must be defined in the Business Partner transaction (transaction code BP).

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2480979

SAP Global Trade Services


34 PUBLIC History of What’s New in SAP GTS 11.0
4.3.2.3 Reissue of Requested and Customer-Based Long
Term Vendor Declarations

You can use this function to reissue requested and customer-based long-term vendor declarations in
accordance with the exchange mode. In monitoring of preference processing, the following functions are
available to you:

● Reissue for each partner (Monitoring of Customer-Based Long-Term Vendor Declarations)


● Reissue (Monitoring of Vendor-Based Long-Term Vendor Declarations)

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2513567

4.3.2.4 EU: Preference: UCC: Revision of Preference Law


(L/149 of 13.06.2017)

You can use this function to implement the revision of the preference law (L/149 of 13.06.2017).

For the implementing provision (EU) 2015/2447 (UZK-IA) of the Union Customs Code (CCC) for vendor
declarations in the European Union, valid since 1 May 2016, a revision is implemented in Article 62 with effect
from 14 June 2017 (Official Journal of the European Union No. L/149 of 13.06.2017).

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2494490

SAP Global Trade Services


History of What’s New in SAP GTS 11.0 PUBLIC 35
4.3.2.5 Country Localization

4.3.2.5.1 United States

4.3.2.5.1.1 Compulsory Transmission of Contact Person in the


Import Customs Declarations

You can use this function to implement the notification (CSMS #17-000258) of the US American Customs.

The notification states that data on the contact person (name and telephone number) in the import customs
declaration must always be transmitted.

Function Is New

Country Dependency Valid for the USA

Application Component SLL-LEG

Related Information

SAP Note 2491442

4.3.2.5.1.2 US AES: Report Original Internal Transaction


Number (ITN)

You can use this function to implement the notification of the US American Customs.

The notification states that the information for the "Original ITN" is to be transmitted for certain export
processes. This function meets this request.

Function Is New

Country Dependency Valid for the USA

SAP Global Trade Services


36 PUBLIC History of What’s New in SAP GTS 11.0
Application Component SLL-LEG

Related Information

SAP Note 2504693

4.3.2.5.1.3 US AES: Transmission of PGA Data

You can use this function to send data in an export declaration to the US AES system.

The US-American Customs Authority works together with other authorities, the "Partner Government
Agencies" (PGA). SAP GTS already supports the declaration of data for other authorities in import customs
declarations. Some US authorities now require the transfer of additional data for export customs
declarations. This function enables you to send this data in an export declaration to the US AES system.

 Note

Note that further adjustments that are not provided in the GTS standard delivery are required for
transmitting authority-specific data.

Function Is New

Country Dependency Valid for the USA

Application Component SLL-LEG

Related Information

SAP Note 2504876

4.3.2.5.2 Belgium

4.3.2.5.2.1 DV1 Data in Import Customs Declarations

You can use this function to declare DV1 data in import customs declarations.

SAP Global Trade Services


History of What’s New in SAP GTS 11.0 PUBLIC 37
With the introduction of the XML schema V0_27 (Sad_XML_Import_DV1_v1 schema), the Belgian Customs
requires the specification of customs value data (DV1 data).

Function Is New

Country Dependency Valid for Belgium

Application Component SLL-LEG

Related Information

SAP Note 2500225

4.3.2.5.3 Austria

4.3.2.5.3.1 Item Aggregation for Export Declarations

You can use this function to reduce the number of reported items by aggregating them.

You register your exports from SAP GTS to the Austrian e-zoll customs system. You can reduce the number of
reported items for the export customs declaration in the normal procedure.

Function Is New

Country Dependency Valid for Austria

Application Component SLL-LEG

Related Information

SAP Note 2497567

4.3.2.5.4 France

SAP Global Trade Services


38 PUBLIC History of What’s New in SAP GTS 11.0
4.3.2.5.4.1 Transfer of Special Duty Information (Pre-Calc
<codeport>)

You register your exports from SAP GTS to the French DELTA customs system. You can use this function
enhancement to transfer self-calculated duties using the <LignePrecalc> data group including the <codeport>
message field to DELTA in a customs declaration.

Function Is New

Country Dependency Valid for France

Application Component SLL-LEG

Related Information

SAP Note 2487867

4.3.2.5.5 United Kingdom

4.3.2.5.5.1 New Code List for Customs Control Results

You register your exports from SAP GTS to the British CHIEF customs system. For CHIEF, new code list values
for the status of a customs declaration ("Customs status of entry") were published. These are depicted in SAP
GTS using the "Control Result” customs code list.

Function Is New

Country Dependency Valid for the United Kingdom

Application Component SLL-LEG

Related Information

SAP Note 2500167

SAP Global Trade Services


History of What’s New in SAP GTS 11.0 PUBLIC 39
4.4 What’s New in Support Package 10

Overview of What's New in SAP Global Trade Services in Support Package 10:

● Customs Management [page 40]


● Risk Management: Preference Processing [page 41]
● Country Localization [page 43]

4.4.1 Customs Management

4.4.1.1 Integration with Customs Brokers

You can use this function to exchange data between your SAP GTS System and a customs broker’s system. A
customs broker completes customs formalities on your behalf. This function supports you in exchanging data
with the customs broker and monitoring performance. Web services are used to communicate with the
customs broker. Communication between the importer and the customs broker offers two integration
scenarios, which differ by who initiates the process.

Creating a Customs Declaration Request for Customs Brokers (Importer-Centric Scenario)

Use this scenario to exchange as complete a customs declaration request as possible with the customs broker.
The customs broker can enhance missing data; existing data should not be changed.

Letting the Customs Broker Create the Customs Declaration (Customs-Broker-Centric Scenario)

Use this scenario if the customs broker is to create a complete customs declaration on the basis of goods
accompanying documents. After successful customs clearance, the customs broker sends the customs
declaration to you, the importer. On the system side, a replica customs declaration is created. To make it
simpler for the customs broker to issue a correct customs declaration, you can transfer product master data
from SAP GTS in advance.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

See also

To use the function, you must download Support Package 10 for SAP GTS 11.0.

You can not implement this function by means of SAP Notes.

SAP Global Trade Services


40 PUBLIC History of What’s New in SAP GTS 11.0
4.4.1.2 Second Customs Quantity

You can use this function to specify a second customs amount.

In Imports, particular tariff numbers require the specification of two customs quantities in addition to the
specified item quantities. The customs import declaration is enhanced. In Customizing, the second customs
quantity can be hidden by using a display schema.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2472818

4.4.2 Risk Management: Preference Processing

4.4.2.1 Managing Long-Term Vendor Declarations

In the new transaction for managing long-term vendor declarations, usability has been improved substantially
and is more user-friendly.

The new transaction contains all the functions of the previous transactions and has been enhanced by the
following points:

Improved Overview:

The LTVDs to be managed are represented in an hierarchical tree structure. You can change the tree structure
according to use case so you can find the LTVDs more quickly. Click on a node in the tree to display the
associated LTVDs in the ALV grid, ready for processing. Additionally, the entire screen area is in use.

Fast and Transparent Mass Maintenance:

Mass maintenance is now a function within the transaction and can be used flexibly for selected LTVDs.

Creating New LTVDs:

It is now possible to create a new LTVD without request directly in the processing transaction.

Add and delete products to/from an LTVD.

SAP Global Trade Services


History of What’s New in SAP GTS 11.0 PUBLIC 41
Similar to creating a completely new LTVD, products can be added to an existing LTVD. Additionally, requested
products that are not relevant for aggregation can be deleted from an LTVD.

Revoking LTVDs:

An LTVD revoked by the vendor can be depicted quickly in the transaction. It is sufficient to select the revoked
LTVD and enter the revocation date to split the LTVD.

Adjusting the Validity Period for Requested LTVDs:

The validity period of requested LTVDs can now be adjusted quickly in the transaction.

Managing Attachments and Notes:

For each LTVD number, you can now simply upload/display/delete attachments and define notes.

You can call the new transaction by using transaction code /SAPSLL/PRE_VDI_201N and continue to use the
old transaction as before.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2482638

4.4.2.2 E-Mail Dispatch

You can use this function to dispatch long-term vendor declarations as e-mails with attachment (PDF).

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2399045

SAP Global Trade Services


42 PUBLIC History of What’s New in SAP GTS 11.0
4.4.3 Country Localization

4.4.3.1 Germany

4.4.3.1.1 Export with ATLAS AES 2.4 Certification

You can use this certification to switch over communication with German customs authorities in the Export
customs procedure from AES 2.3 to AES 2.4.

In AES 2.4, the EDIFACT format has been replaced by the XML format for incoming and outgoing messages .

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2432205

4.4.3.1.2 Outward Processing: Authorization for Finished


Products

You can use this enhanced function to specify a list of finished products with commodity codes and
descriptions in the authorization for outward processing.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

SAP Global Trade Services


History of What’s New in SAP GTS 11.0 PUBLIC 43
Related Information

SAP Note 2448505

4.4.3.2 United States

4.4.3.2.1 Disclaimer for Partner Governmental Agencies


(PGA)

For many tariff numbers, additional information is requested by the authorities (Partner Governmental
Agencies). If you decide that the product that you want to declare does not come under these conditions, you
must send the authorities a suitable declaration (disclaimer) to send additional information.

You can use this function to send standard disclaimers, provided that you have selected the corresponding
authority code as "not relevant".

The standard disclaimer includes the minimum requirement fields demanded by the respective authority, that
is the Disclaimer, Agency Code and Program Code fields.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2450302

4.4.3.2.2 Entering PGA Codes and Information

You can use this function to enter PGA codes and information for a product or in an import customs
declaration, even if these have not been defined as master data for a customs tariff number.

Function Is New

SAP Global Trade Services


44 PUBLIC History of What’s New in SAP GTS 11.0
Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2283932

4.4.3.3 Switzerland

4.4.3.3.1 Non-Customs Law Obligations (NZE)

You can use this function to enter PGA codes and information for a product or in an import customs
declaration, even if these have not been defined as master data for a customs tariff number.

4.5 What’s New in Support Package 09

Overview of What's New in SAP Global Trade Services in Support Package 09:

● Enhancing Customs Offices with a Validity Period [page 45]


● Determination of Customs Duty Rates Depending on Additional - and Document Codes [page 46]
● Transfer of Commodity Codes to SAP ERP- and SAP S/4HANA Feeder Systems on the Basis of Change
Indicators [page 47]
● Annual Request Run for Long-Term Vendor Declarations [page 47]

4.5.1 Enhancing Customs Offices with a Validity Period

You can use this function to manage customs offices dependent on validity periods. The validity information for
a customs office ensures that you only use valid customs offices in customs declarations.

You can automatically flag for archiving customs offices not in the current file.

SAP Global Trade Services


History of What’s New in SAP GTS 11.0 PUBLIC 45
Technical Data
Function Is Changed

Country Dependency Valid for all countries

Application Component SLL-LEG

Effects on Data Transfer

Your data provider must provide the upload file of customs offices with the corresponding validity periods.

Related Information

SAP Note 2381994

4.5.2 Determination of Customs Duty Rates Depending on


Additional - and Document Codes

You can use this function to determine customs duty rates dependent on an additional code or document code
when calculating the customs value of the customs declaration. This only affects particular customs
declaration processes for imports with third-country duty and suspension of duty types of customs duty rates.
If these customs duty rates refer to a document code or an additional code, you can now store these as
conditional customs duty rates in the master data.

 Note

As a result, pharmaceutical customs duty rates are dropped and are represented by conditional third-
country duties.

Technical Data
Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Effects on Data Transfer

A prerequisite for automatic upload is that the data supplier already supports the format for conditional
customs duty rates in the available upload files for customs duty rates

SAP Global Trade Services


46 PUBLIC History of What’s New in SAP GTS 11.0
Related Information

SAP Note 2400675

4.5.3 Transfer of Commodity Codes to SAP ERP- and SAP S/


4HANA Feeder Systems on the Basis of Change
Indicators

You can use this function to transfer commodity codes based on change indicators from your SAP GTS-System
to your SAP ERP- and SAP S/4HANA feeder systems.

This has the advantage that you no longer need to update commodity codes manually in your feeder system.
The SAP GTS-System selects products and assigned commodity codes, and transfers them to the
corresponding feeder systems.

Once you have made initial distribution, you can in future distribute this information periodically. On the basis
of change indicators, the SAP GTS System selects only the products relevant for distribution.

Technical Data
Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2422429

4.5.4 Annual Request Run for Long-Term Vendor Declarations

Document-Related Annual Request Run for Long-Term Vendor Declarations

You can use this function to restrict annual request runs for long-term vendor declarations to cases that
contain documents.

Taking Positive Preference Indicators in the Annual Request Run into Account

You can use this function to specify that the annual request run only takes into account the products of the
current long-term vendor declaration for which at least one positive preference statement was made.

SAP Global Trade Services


History of What’s New in SAP GTS 11.0 PUBLIC 47
Technical Data

Function Is Changed

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2356599

4.6 What’s New in Support Package 08

Overview of What's New in SAP Global Trade Services in Support Package 08:

● Compliance Management [page 48]


● Risk Management - Preference Processing [page 49]
● Country Localization [page 49]

4.6.1 Compliance Management

4.6.1.1 Enhancements in the Product Catalog for Legal


Control

You can use this function in the area of the product catalog; amongst other things, additional usability
enhancements have been introduced and performance optimizations offered.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

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48 PUBLIC History of What’s New in SAP GTS 11.0
Related Information

SAP Note 2354671

4.6.2 Risk Management - Preference Processing

4.6.2.1 Improved Response Times During Analysis of the


LTVD Request Relevance

You can use this function to achieve improved response times during analysis of the LTVD request relevance.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2356230

4.6.3 Country Localization

4.6.3.1 United States of America (USA)

SAP Global Trade Services


History of What’s New in SAP GTS 11.0 PUBLIC 49
4.6.3.1.1 Registrations for Importer Security Filing (ISF) in
ACE Format

For import processing in the USA using the Automated Commercial Environment (ACE ) customs system,
various adjustments are required. This note enhances the programs provided with SAP Note 2272469 and the
customizing settings from SAP Note 2208433.

The U.S. customs authority has given the information that the contents of the messages for importer security
filing (ISF) as part of the transition of ACS to ACE remain unchanged and only the technical records at the
beginning and at the end of each message (A-, B-, Y-, Z- record) need to be adjusted.

After implementing the note, the ISF messages are sent in the format required for customs system ACE. It is no
longer possible to send messages in the previous ACS format.

Note that more notes are relevant to use the functionality to the full.

After the customs authorities’ revised schedule date of 11.01.2017, also pay particular attention to SAP Note
2414965.

Function Is New

Country Dependency Valid for the USA

Application Component SLL-LEG

Related Information

SAP Note 2403892

4.6.3.1.2 Disposition Codes for Document Templates and


Manual Postprocessing

After you have sent a customs import declaration to the U.S. customs system ACE, you receive response
messages whose status fields ("Disposition Codes”) indicate that special processing is required. The customs
authorities request template documents, for example, with disposition codes 1, 2, or 3 in the UC message for
registration (“Entry Summary Status Notification”). At a later point, the customs authority can send a UC
message that confirms receipt of the documents and therefore completes the document template.

The note provides the functions to post the disposition codes transferred by the customs authority during
IDOC inbound processing so that the corresponding customs declaration gets the corresponding status.

In addition, the status is set to Completed as soon as the customs authority sends a UC message with
disposition code 7.

It is also possible to set the status for the document request and the status for manual postprocessing to
Completed.

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50 PUBLIC History of What’s New in SAP GTS 11.0
Function Is New

Country Dependency Valid for the USA

Application Component SLL-LEG

Related Information

SAP Note 2388595

4.6.3.1.3 Material Transfer Posting of FTZ Inventory to


Non-FTZ Inventory

You can use this function in SAP GTS to transfer postings from a FTZ-relevant storage location to a non-FTZ
storage location for components, semifinished products, and finished products.

Function Is New

Country Dependency Valid for the USA

Application Component SLL-LEG

Related Information

SAP Note 2336131


SAP Note 2335124

4.6.3.1.4 FTZ Forecast Can Be Sent As Electronic Message

Previously, you could only print the forecast that you have to submit for goods issues from the foreign-trade
zone you want to register in free circulation. You can now use this function to transfer the forecast in an
electronic message to the U.S. customs system CBP.

Function Is New

Country Dependency Valid for the USA

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History of What’s New in SAP GTS 11.0 PUBLIC 51
Application Component SLL-LEG

Related Information

SAP Note 2365061

4.7 What’s New in Support Package 07

Overview of What's New in SAP Global Trade Services in Support Package 07:

● Country Localization [page 52]

4.7.1 Country Localization

4.7.1.1 Greece

4.7.1.1.1 Intrastat Greece

You can use this function to create an Intrastat declaration for Greece.

Function Is New

Country Dependency Valid for the USA

Application Component SLL-LEG

Related Information

SAP Note 2341309

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52 PUBLIC History of What’s New in SAP GTS 11.0
4.8 What’s New in Support Package 06

Overview of What's New in SAP Global Trade Services in Support Package 06:

● Compliance Management [page 53]


● Customs Management [page 54]
● Country Localization [page 54]

4.8.1 Compliance Management

4.8.1.1 Extended Check of Legal Control for Intercompany


Billing

As part of this SAP Note, within the framework of intercompany billing, SAP GTS also supports the legal control
check of imports and the domestic check if the sales organization and customer are located in the same
country.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2272445

4.8.1.2 Optimized Audit Trail for Sanctioned Party List


Screening

You can use this enhancement to benefit from the following:

● Exclusion of the address information from the audit trail table and a related significant saving in storage
area
● Optimized audit trail generation

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History of What’s New in SAP GTS 11.0 PUBLIC 53
● The option of entering a reason for release

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2261730

4.8.2 Customs Management

4.8.2.1 Enhancement of Classification Transfer to ERP

You can use this enhancement to transfer classification data in an SAP feeder system even if one of the
purchasing or sales material master views are missing.

Function Is New

Country Dependency Valid for all countries

Application Component SLL-LEG

Related Information

SAP Note 2311824

4.8.3 Country Localization

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54 PUBLIC History of What’s New in SAP GTS 11.0
4.8.3.1 United States of America (USA)

4.8.3.1.1 PGA Functionality

The US customs authorities work with other agencies. SAP GTS supported the notification of data for other
authorities. In particular, FDA, DOT, and FCC, whose data was maintained under the term Other Government
Agencies (OGA).

With the conversion of the customs system to ACE, data still needs to be sent to other authorities. You do this
under the term Partner Government Agencies (PGA).

To make the changeover, some changes in programs and data structures in SAP GTS are necessary.

It is required that you implement changes according to the SAP Notes you find in this note as a reference.

Since the customs system is subject to continuous changes, you can expect that these are to be implemented
accordingly in SAP GTS. The necessary changes are provided in other SAP Notes, based on current changes.

Function Is New

Country Dependency Valid for the USA

Application Component SLL-LEG

Related Information

SAP Note 2295090

4.8.3.1.2 Confirmation Code for “Census Warning”

You send an entry summary (technically, EA) to the U.S. customs system ACE. The customs system responds
with a warning message ("Census Warning" or *CENSUS*). To confirm that the values are correct, you can
send confirmation codes ("Census Overwrite Codes”).

The system uses this function (see note below) to enhance the function for sending confirmation codes
("Census Overwrite Codes”) in the entry summary message.

Function Is New

Country Dependency Valid for the USA

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History of What’s New in SAP GTS 11.0 PUBLIC 55
Application Component SLL-LEG

Related Information

SAP Note 2309199

4.8.3.2 European Union (EU)

4.8.3.2.1 Reversal of Withdrawals from the Customs


Warehouse

You can use this function to reverse withdrawals from the customs warehouse as part of customs export
declarations.

Function Is New

Country Dependency Valid for the European Union

Application Component SLL-LEG

Related Information

SAP Note 2314662

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56 PUBLIC History of What’s New in SAP GTS 11.0
5 Compliance Management

Use

Compliance Management helps ensure your compliance with international trade regulations in three main
areas:

● Sanctioned Party List Screening


● Legal control - export (including embargo checking and license management)
● Legal control - import (including embargo checking and license management)

Compliance Management helps you rationalize your extended logistics chain and automate the complicated
processes that are involved with international trade compliance issues, a primary prerequisite for successful
international trading activities. This minimizes the risk of having to pay penalties and fines. Your company can
considerably improve their sales by global sourcing and selling initiatives and owing to the higher customer
satisfaction the competitiveness of your organization can be facilitated.

 Note

To ensure end-to-end documentation of transactions for your own purposes and official controls, you can
archive objects from Compliance Management (see Data Archiving in SAP Global Trade Services [page
939]), at the same time reducing the demands on your technical system infrastructure.

Prerequisites

You have configured Compliance Management based on the descriptions in the Configuration Guide for
Compliance Management. The Configuration Guide is available on the SAP Help Portal under http://
help.sap.com/gts.

Process

Sanctioned Party List Screening

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Compliance Management PUBLIC 57
1. You create a sales document or document for materials management in the feeder system.
2. The system for compliance checks in Global Trade Services (GTS) starts sanctioned party list screening
automatically. Based on the rules that you configured during implementation, the address data in the
business documents is checked against the available sanctioned party lists in the GTS system. You can
obtain these lists in XML format from external data providers and upload them to your GTS system. You
can also create your own lists.
3. The monitoring features in the GTS system let you easily keep track of all checked addresses.
4. An employee with the appropriate authorizations can use the monitoring capabilities to release blocked
documents for further processing.
5. Periodic checks can be set up to check the current available master data. You can configure the sequence
that is used for checking the master data. It makes sense to set up the system so that all the master data is
checked automatically after every update of the sanctioned party lists.
6. All activities are logged in the area of sanctioned party list screening and can be archived for legal purposes
with the SPL audit trail function.

Export/import control and embargo check

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58 PUBLIC Compliance Management
1. You create or change business document in the feeder system.
2. The GTS system starts the export/import control automatically. It checks whether an import or export
license is required to import or export the product, based on the settings configured in Customizing for the
GTS system.
3. If a license is required, the system assigns the appropriate license automatically to the business
transaction.

 Note

If the applicable combination of export control classification number and country of destination is not
permitted, the business transaction is blocked automatically.

Import and export controls are based on a combination of the following parameters:
○ Export control classification number
○ Destination country
○ Country groups
○ Single products
○ Special customers
○ Quantities
○ Values
The license itself contains information about the allowed imports and exports, particularly quantities
and/or values. When the business document is posted in the feeder system, the GTS system updates the
values and/or quantities in the license.

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Compliance Management PUBLIC 59
4. In addition, the GTS system performs an embargo check for the specific business transaction. The check is
based on the combination of the country of departure and the country of destination (or groups of
countries). If the system detects an embargo situation, the document is blocked for further processing.

Monitoring

You can use the reporting functions in the GTS system to monitor all transactions throughout your process
chain, for example, by selecting blocked documents or displaying assigned licenses. You have an overview of
the entire process and full control over the individual transactions, and can ensure absolute transparency.

5.1 Master Data for Compliance Management

Purpose

Master data is available locally in SAP Global Trade Services (SAP GTS). You can integrate SAP GTS fully in your
logistics processes, for example, the functions in Sales & Distribution, Materials Management, Customer
Relationship Management, and Financial Accounting. Therefore, SAP GTS also requires master data from your
feeder system(s). To do so, you first have to carry out an initial transfer of the master data. Following an initial
master data transfer and regular transfers to SAP GTS using the reports available, you can create and change
master data in SAP GTS manually. You must ensure that the following compliance-specific master data is
complete and up-to-date before you can automate the compliance checks in your overall import and export
processes:

● Business partners
○ Customers
○ Vendors
○ Data providers
○ Customs offices
○ Financial services providers
○ Employees
○ Organizational units
○ Government agencies
● Country groups (assignment of country of departure and country of destination to country groups created
in Customizing)
● Products
● Control groupings to group together products for the purposes of legal control checks
● Customs list numbers
○ Import control classification numbers
○ Export control classification numbers (ECCNs)
● Licenses for import and export
● Sanctioned party lists

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60 PUBLIC Compliance Management
Prerequisites

You have executed an initial master data transfer from your feeder system(s) to SAP GTS and ensured that any
changes to the master data in your feeder system are replicated on a regular basis in SAP GTS. For more
information, see Data Replication in the Configuration Guide for Compliance Management at 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 .

5.1.1 Defining Import and Export Control

Purpose

You need to define groupings to customize the legal control process to your needs. You use control groupings
later, when you assign licenses in the application for importing and exporting products. You can create
groupings of products that are subject to the same import or export management process, for example. You
must also observe the respective legal regulations.

The system uses the grouping, which you assign to the product later in the product master, to determine the
correct type of license during import and export legal control. You also need to define import/export control
classification numbers, which the relevant authorities in your country provide you with, to control the import
and export of products.

Prerequisites

● You have completed the following activities in the Implementation Guide (IMG) for SAP Global Trade
Services:
○ You have defined legal regulations for SAP Compliance Management.
○ You have defined numbering schemes for the import and export control classification numbers.
For more information about the settings, see the Configuration Guide for Compliance Management at
the SAP Service Marketplace at 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 .
● If you upload the import and export control classification numbers as XML files from a data provider, you
have also defined the data provider as a business partner.

Process Flow

1. Create control groupings [page 62]


2. Maintain import/export control classification lists manually [page 77]

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Compliance Management PUBLIC 61
3. Upload import/export control classification lists from a data provider [page 79]
4. Monitor system uploads [page 80]

5.1.2 Control Groupings

Use

This function enables you to define, under specific legal regulations, different groupings of products with a
description for each grouping. You can then assign individual products to the groupings. These groupings
reduce the workload for import and export legal control and the license determination service. The system uses
control groupings, for example, to determine which license types can be used for importing and exporting
specific products that belong to a specific control grouping.

Prerequisites

● You have created and activated the legal regulations under which you trade globally in the Implementation
Guide (IMG) for SAP Global Trade Services (SAP GTS). For more information about maintaining legal
regulations, see the Configuration Guide for Compliance Management at 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 .
● You have set the Control Grouping Active indicator to activate control groupings for the Legal Control
service, under the following path in Customizing for SAP GTS: Compliance Management Legal Control
Control Settings for Legal Control .

Activities

● To define control groupings, choose Compliance Management Classification/Master Data Import


Control Definitions or Export Control Definitions Change Control Grouping for Products .
● To create new control groupings, choose New Entries.
● In the input screen, you can enter the legal regulation and the grouping together with a description. You can
define any name and description you like for the grouping.
● The grouping controls the legal control process and the assignment of licenses to a product depending on
the legal regulation. You can group products with different control classes into one group if they require the
same export or import management process. As the export and import regulations for a product are not
based directly on the product or the assigned control class, the grouping you assign to the product in the
product master is used in legal control to determine the type of license.

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62 PUBLIC Compliance Management
5.1.3 Peculiarity Codes

Use

Customs authorities can assign peculiarity codes to import and export transactions, to classify products more
precisely. You can assign these peculiarity codes to products in the product masters and create them as
attributes of import licenses, export licenses, and agreements in license masters.

Prerequisites

You have set the flag for peculiarity codes in Customizing for SAP Global Trade Services under SAP Global
Trade Services Compliance Management "Legal Control" Service Control Settings for "Legal Control"
Service .

For more information, see the Configuration Guide for Compliance Management at SAP Service Marketplace
under service.sap.com/swdc Download Installations and Upgrades Entry by Application Group SAP
Application Components SAP Global Trade Services (GTS) SAP GTS <Release> Installation and
Upgrade .

Activities

● If some of your products require some kind of unique identifier in the control class, the customs authorities
may provide you with a peculiarity code to make it easier to identify your product.
● You can create peculiarity codes for legal control in the SAP GTS area menu under Compliance
Management Classification / Master Data Import Control Definitions or Export Control Definitions
Change Peculiarity Codes for Control Class .
● To enter new peculiarity codes, choose New Entries in the initial screen and enter the legal regulation, the
peculiarity code, and a description.
● If you want to assign this peculiarity code to your product or license, in the area menu choose
Compliance Management Classification / Master Data Import View for Customs Products or
Export View for Customs Products Maintain Products .
● You can then enter restrictions in the selection screen that follows to call the product master.
● In the maintenance screen that follows, you select your product and choose the Legal Control tab page. In
the Overview you can select the export or import control classification numbers that require peculiarity
codes.
● In the Additional Data group box, you can enter the peculiarity code in the appropriate field and save your
entry.

 Note

As mentioned above, if you do not activate peculiarity codes in the IMG settings, the Peculiarity Code field
does not appear in the application.

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Compliance Management PUBLIC 63
5.1.4 Maintaining Projects

Use

Projects let you consolidate all your control-relevant transactions. For example, you can group the validity of
import and export licenses together for multiple business transactions, to organize and analyze their joint
depreciation. You can also assign logistics documents in the feeder system to a project, to record and analyze
all the relevant transactions for a project, for example, assigning all relevant goods movements to a project.
This assignment is defined indirectly, through a valid license for a business transaction.

Prerequisites

To link the logistics documents in the feeder systems with a project as customs documents, you must
implement /SAPSLL/IF_EXTEND_CON_CDOC of Business Add-In BAdI for Mapping and Enrichment of Data
from Sales Documents (SD0A). To configure the BAdI in Customizing in the feeder system, choose one of the
following paths:

● Materials Management Purchasing Basic Functions Foreign Trade/Customs SAP Global Trade
Services - Plug-In Business Add-Ins for SAP Global Trade Services Change and Expand Document Data
for Transfer
● Sales and Distribution Foreign Trade/Customs SAP Global Trade Services Plug-In Business Add-Ins
for SAP Global Trade Services Change and Expand Document Data for Transfer

You have also defined the project as a relevant attribute for the import/export license type in Customizing.

Features

When you configure legal control for projects, you can take advantage of the following features:

● You can use the project number as an additional selection criterion for import and export licenses.
● You can assign a project number to an import or export license.

If you implement the BAdIs to link projects with logistics documents, you can use the project number as an
additional selection criterion for the search or as a characteristic for document-related analysis in legal control.

Activities

● To start the maintenance function for projects, go to the area menu and choose Compliance
Management Classification/Master Data Projects Edit Projects .
● You can display and edit projects. You can create new projects and change existing projects in edit mode.
● You can enter an alphanumeric name and a description to identify a project.

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5.1.5 Maintaining Business Partners

Use

The system for Global Trade Services (GTS) uses the SAP business partner concept. The GTS system contains
functions for creating, changing, and displaying business partners. In turn, these business partners can be
persons, organizations, and organizational groups with which your company has trade relationships for
processing in GTS. In some business transactions, such as the import process, a business partner can assume
different partner functions in accordance with customs requirements.

 Note

You have already defined your own company organization, consisting of foreign trade organizational unit
and legal unit or administrative unit and plant, in Customizing. You can also enter additional information for
your existing organizational units in the business partner functions, as well as define your clerks as
separate business partners.

In addition to the initial and period transfer of business partner master data from your feeder system (or
systems), you have to create or maintain new business partner master data for certain functions that you need
in the GTS system. When you create business partners in the GTS system, you have to assign them functions
there.

Prerequisites

You have made the following Customizing settings in the GTS system:

● Create number ranges for business partners


● Create and assign partner functions
● Activate business partners for the GTS areas

For more information, see the configuration guides for SAP GTS on the product page for SAP GTS on SAP Help
Portal.

Key Features

In addition to the organizational units for your own company, you can create the following functions that you
need for your own processes or transfer them from the feeder system to GTS.

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Compliance Management PUBLIC 65
Product area Sanctioned Legal control Customs Man­ Preference Letter of credit Restitution
Party List agement processing processing
/
Screening
Business part­
ner function

Government x x
agency, such as
customs au­
thorities

Data providers x x x x x

Customers x x x x x x
(Sales & Distri­
bution), such as
sold-to parties,
ship-to parties,
and bill-to par­
ties

Vendors (Mate­ x x x x x
rials Manage­
ment)

Business part­ x
ners from Fi­
nancial Ac­
counting (FI)

Employees
from Human
Capital Man­
agement for
sanctioned
party list
screening

Employees, for x x x x
example, as
contact per­
sons or respon­
sible clerks in
communication
with the author­
ities

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66 PUBLIC Compliance Management
Activities

 Caution

Business partners that you have already used in functions of the GTS system are referenced in monitoring
and audit functions. Therefore, deleting these business partners would result in inconsistencies.

● To create or display business partners in the individual applications, choose Maintain Business Partners in
the area menu for the master data. In the Legal Control area, for example, choose Compliance
Management Classification/Master Data Business Partner Maintain Business Partners .
● You can use the application toolbar to create a new person, organization, or group.
You have to at least enter an address and the respective business partner function for each business
partner. The roles for persons, organizations, and groups are dependent on the partner functions that you
define in your Customizing settings.
● You can also select an internal or external grouping, depending on whether you transferred the business
partners from a feeder system or created them in the GTS system.
● You can then enter the address data and other administrative data. For more information, see the field
help.
● You can set the Archiving Flag on the Status tab page to ensure that this business partner is archived. If you
want to block all transactions with this business partner, select the Not Released indicator. If you set the
Central Block flag, the system only excludes the business partner from certain business processes. For
more information, see the field help.
● You can create, maintain, and display additional information for a business partner in categories such as
the following:
○ Address
○ Address Overview
○ Identification
○ Control
○ Payment Transactions
○ Status
● To display the details for a specific business partner, choose Find Business Partner on the Search tab page.

5.1.6 Displaying Country-Country Group Assignments

Use

You can display an overview list of the countries that you have assigned to country groups in Customizing. For a
country, you can display the country group to which it belongs. Or for a country group, you can display all
countries assigned to it. Country groups are relevant in all areas of the application, where they have the
following significance:

● Sanctioned party list screening, embargo check, and legal control


You can manage the settings for legal control at group level. If you assign Iran and North Korea to the same
group, for example, you can control these countries at the group level.
● Customs Management

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Compliance Management PUBLIC 67
You can enter master data at the country group level. When you enter customs duty rates manually, for
example, you can decide whether you want to enter them at the country level or the country group level.
● Preference Processing
You can use country groups to define preference zones. As a result, you can define and activate preference
agreements that are valid for a common legal jurisdiction simultaneously for all the countries in a
preference zone.
● Letter of Credit Processing
Letters of credit can be valid for country groups. Therefore, you group together all the countries in which
you want to use a letter of credit.
● Restitution
You need country groups in restitution to determine CAP licenses and the restitution rates.
You can use the country groups to bundle settings and master data. This lets you reduce maintenance
effort substantially.

Activities

● To display the country assignment for the respective areas, go to the area menu of and choose:
○ Compliance Management Classification / Master Data Country Groups Display Country
Assignment to Country Group
○ Customs Management Master Data Geography Country Groups Display Country Assignment
to Country Group
○ Risk Management Preference Processing – Master Data Agreement-Related Data Display
Country Assignment to Country Group/Agreements
○ SAP Risk Management Letter of Credit Processing Master Data Country Groups Display
Country Assignment to Country Group
○ Risk Management Restitution — Master Data Country Groups Display Country Assignment to
Country Group
● Enter the country whose country groups you want to display, or use the input help to select a country.
● To display the country groups for several countries, enter a range.
● Choose Execute to display the country groups that appear in your selected countries.
● If you want to display all the countries that are used in a country group, you can enter a country group (or
use the input help to choose one) and choose Execute.
● The system lists all the countries that you have assigned to the country group.
● If you want to check country or country group assignments for a specific point in time, you can also specify
a validity period in the selection criteria.

5.1.7 Displaying Transferred BOMs

Use

You can use this function to display all the BOMs that you have transferred from your feeder system for
preference determination and legal control of re-exports. You can display both static and order-related BOMs

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68 PUBLIC Compliance Management
for configurable products for preference processing. The system transfers the information indicating whether
the BOM is multilevel in both cases and displays this structure information of the BOM. The BOM display also
contains details for the individual BOM components. You can use the BOM information to display the data that
is used in preference determination to determine the preference eligibility of a product or for legal control of the
re-export-relevant share values of a product.

Prerequisites

You have transferred bills of material from your feeder system to the system for Global Trade Services (GTS).

Activities

● You can display the transferred BOMs in the area menu. To start the BOM display, choose one of the
following paths, depending on whether you use it for preference processing or for re-export.
○ Risk Management Preference Processing - Master Data Products Display Bills of Material
○ Compliance Management Classification / Master Data Export View for Products Display BOPs
for Product
● You can display the BOMs for a particular logical feeder system and product.
● You can also use the following criteria to restrict your search:
○ Bill of material usage
○ Alternative bill of material
○ If you specify a preference model in preference processing, you can enter additional selection criteria
depending on the model.
Plant-based or cross-plant preference model
○ Plant or plant group
○ Explosion method for the BOM
Order-related preference model
○ Application
○ Document number from the feeder system
○ Item of the product with configurable BOM in the document in the feeder system
● When you choose Execute, the system displays the BOMs that match your search criteria.
● If you selected only one product, and the product only has one BOM, the system displays the BOM
overview directly.
● If you selected multiple products, the system displays an overview list of the BOMs for the products along
with general BOM information, such as:
○ Product number
○ Product description
○ Bill of material number
○ Alternative bill of material
○ Bill of material usage
○ Low-level codes of the bills of material
You can select a product from the overview list for the system to display the details.

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 Note

To simplify the display, you can hide the overview list that contains all the products matching your
selection criteria and show it again, as required.

● You can display additional details for each BOM component. To do so, select the required row and choose
Details. The detail display contains specific information about the component and its position within the
BOM, for instance:
○ BOM structure information
○ BOM level
○ Low-level codes of the transferred bills of material
○ Sequence number of the BOM level
○ Sequence number of the component on the next highest BOM level on which the component is
dependent
○ BOM component details, such as:
○ Quantity used on the BOM level
○ Net price
○ Tariff number
● If you click the product number of a displayed BOM, the system forwards the product data for the BOM.
You can display general product data as well as any classification data and preference-specific product
data. You can also switch to change mode.

 Note

For more information about the product data you can display and its significance, see Maintaining
Products [page 264]. Note, however, that when you access the data in this way, you can use display
mode only.

● To return to the BOM overview, choose Back.

5.1.8 Calculating Product Share Values for Re-Exports

Use

The legal control functions for re-exports have to check whether a product exceeds a certain value share, which
in turn requires an additional license for goods exports. Re-export rules for legal control are issued by countries
that are not involved in an export transaction directly, but whose rules you still have to follow, as defined by an
additional legal regulation in the process. Accordingly, you have to apply for additional licenses from the
authorities in the country whose rules you have to follow.

 Example

When goods traffic takes place between two business partners outside the U.S., the American authorities
require the business partners to check products or product components and technology of American
origin. If the American value share of a product exceeds a certain percentage, the third-country business
partners have to apply for an export license from the American authorities. Business partners located
outside the U.S. are not directly obligated to follow U.S. re-export rules. If they do not follow them, however,
they may be subject to sanctions in their dealings with American business partners.

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You can calculate the re-export-relevant share values of products produced in-house in calculation for product
BOMs. The system checks for each transaction whether the re-export-relevant value share of a product
exceeds the threshold for control relevance and therefore requires an additional export license.

Prerequisites

● You have already transferred the products and BOMs for the products from the feeder system for legal
control in Global Trade Services (GTS; see Data Transfer from the Feeder System [page 927]). You can
display the transferred BOMs in the master data (see Displaying Transferred BOMs [page 68]).
● You have also entered the share values for hardware, software, and technology in the master data of the
products you use in BOMs (see Re-Exports [page 92]).

Features

● Calculate multiple products


If you want to calculate the share values for re-export relevance for a large number of products at the same
time, you can start calculation for multiple products.
● Calculate Individual Products
If you want to determine the re-export-relevant shares for one product, for an exact analysis, for example,
you can start calculation for a single product. The system can explode all the hierarchy levels of the BOM in
this process. To do so, set the Complete Explosion flag. If you set this flag, the system calculates all
assemblies of the product, down to the components that do not have assemblies. If you do not set this flag,
the system examines all the components that belong to the product and handles components with
assemblies simply as components.

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● Calculate changed products
If your product data changes, you have to recalculate the share values of re-export-relevant share values.
Examples of changed data can include prices, BOMs, and suppliers. You can select these products by the
date the master records were changed.
● Display calculation log
Choose the category of products to display:
○ All selected products
○ Control-relevant products
Calculation revealed that the products may need an export license for re-export. This statement
depends on the product's sales price.
○ Indeterminate products
For indeterminate products, it is not possible to make a statement about the value share (and
therefore control relevance) after calculation.
○ Changed product result
The calculation for a product arrived at a different result than the previous calculation.

Activities

● The functions for calculating products for re-export are located under Compliance Management
Classification/Master Data Re-Export Calculation and one of the following options:
○ Calculate Multiple Products
○ Calculate Individual Products
○ Calculate Changed Products
● To display the log of the calculation results, choose Compliance Management Classification/Master
Data Re-Export Calculation Display Calculation Log .

More Information

You can display the re-export data for multiple products in a list, whether entered manually in the product or
calculated by the system, to compare the results. Choose Compliance Management Classification/Master
Data Re Export Calculation Display Re-Export Data for Product .

5.2 Classification for Compliance Management

Purpose

In global trade transactions, you must identify your products uniquely in your communications with the
customs authorities. During customs processing, you must inform the customs authorities of the import or
export control classification numbers of the products you are importing or exporting. These codes are a legal

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requirement in customs communications and indicate whether you are permitted to import or export specific
products and whether you require a license to do so. When classifying products, you enter basic data, such as
the base unit of measure and other units of measure, import/export control classification numbers for legal
control, customs tariff numbers, and commodity codes.

With Compliance Management, you can upload import/export control classification numbers to the system and
then assign them to your products in the product master data. You can use the classification tool to greatly
simplify this assignment process, for example, by using a keyword search to determine the correct
classification for a specific product. If numbers are changed, you can either upload the new numbers and
reclassify your products automatically or use the functions in the classification tool, such as the worklist, to
ascertain which products require reclassification.

The classification tool in SAP Global Trade Services (GTS) offers the following business benefits:

● Reduction of manual work


● Consistent and correct classification of your products
● Regular updating of your data using product reclassification
● Ensuring proper classification by involving all those involved in difficult cases, using Case Management
To ensure the proper assignment of import/export control classification numbers to products, you can
create a case in Case Management or display existing cases for decision-making. If you create a case, you
can enter memorandums to file for individual activities and transfer decisions to another employee or
superior through a defined process route. The case information lets you store documents and background
information that can aid decision-making.

To classify your products correctly, you must create an underlying numbering scheme, the hierarchy levels of
which correspond to the various parts of the number that make up the import/export control classification
numbers. When you upload list numbers from your data providers, the numbers are automatically assigned to
the relevant levels. You can construct this hierarchy using the classification tool.

Prerequisites

● You have created a numbering scheme for tariff numbers and export control classification numbers in
Customizing for Global Trade Services under General Settings Numbering Schemes Define
Numbering Scheme of Export Lists or Define Numbering Scheme of Import Lists. For more information,
see the relevant Customizing activity documentation and the Configuration Guide for Compliance
Management.
● You have configured the following settings in Customizing for Global Trade Services to integrate Case
Management:
○ Activate Case Management
○ Define Default Data for Case Management
You have also configured the default data [page 1032] to determine the correct case type and the
process route model for Case Management.
● You have also transferred the products you want to classify from the feeder system.

For more information, see the Configuration Guide for Compliance Management at 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 .

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Process Flow

The classification process consists of the following steps:

1. Maintain import/export classification list numbers through


1. Manual entry in the classification tool [page 99] or
2. Automatic XML upload [page 79] of the file from your data provider
2. Assignment of import and export control classification numbers to the relevant products in the:
1. Product Master [page 87] or
2. Classification Tool [page 99] or
3. Using number sets [page 103]
3. Reclassification, if the import or export control classification numbers change, by:
1. manual entry [page 104] in the product master or
2. Classification Tool [page 99] or
3. Automatic XML upload [page 105].

5.2.1 Settings for Classification Help

Use

To optimize classification help for your purposes, you can configure the search for specific text numbers. The
settings you make here serve as the basis for searching for texts and general tariff numbers. In this area, you
configure the general settings, such as the exclusion of specific terms from the search, as well as specific
phonetic settings. Classification help is based on comparison indexes, which you build by generating search
terms. The general control settings and the search terms that you generate based on these control settings are
the basis for the text search in classification.

Prerequisites

You have defined a comparison procedure for text comparison in classification help. For more information
about the definition of comparison procedures, see the Configuration Guide for Compliance Management at
the SAP Service Marketplace under the following link:

http://help.sap.com/gts Configuration

Procedure

To configure the general settings for your classification help, open the area menu and choose:

1. Compliance Management Classification / Master Data Settings for Classification Help

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2. Customs Management Classification Classification Help Settings for Classification Help

General Settings

1. Choose Settings for Classification Help General Settings


2. Select the comparison procedure whose settings you want to configure. You then have the following
options:
1. Generate comparison index - delimiter
1. Choose New Entries.
2. Use the input help to select the comparison procedure.
3. Enter the characters in the Delimiter field that you want the system to identify as separators in
classification help, such as a hyphen. For more information, see the field help.
4. Save your entries.
2. Generate comparison index - exclusion
1. Choose New Entries.
2. Use the input help to select the comparison procedure.
3. You can enter a series of specific terms individually that you want the system to ignore in
classification help. This can include certain products that you neither import nor export, for
example, but which are similar to products you trade.
4. Save your entries.
3. Generate comparison index - alias
1. Choose New Entries.
2. Use the input help to select the comparison procedure.
3. If you want to create an alias, first enter the term that you want the system to compare with the
alias term. For more information, see the field help.
4. Save your entries.
4. Generate comparison index - normalization
1. Choose New Entries.
2. Use the input help to select the comparison procedure.
3. This setting is useful for some languages if you want particular letters or combinations of letters to
be replaced unconditionally by another letter or combination of letters. You can replace the "oe"
and "ue" umlauts with "ö" and "ü", for example. For the system to recognize matches in these
character strings in classification help, you have to enter the original and target strings here. For
more information, see the field help.
4. Save your entries.

Settings for Phonetic Search

1. Choose Settings for Classification Help Phonetic Settings


2. Choose New Entries.
3. Enter the search string and the replacement string. For more information, see the field help.
4. You can enter certain character substrings and combinations of letters that you want the system to replace
with the replacement strings. You can choose from the following conditions:
1. If after
2. If not after
3. If before
4. If not before
5. If included in

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6. If not included in
5. Once you have completed these activities, you can create the search terms for classification help, so the
system takes your entries into account in the comparison index for the classification help function. To
create search terms, choose Compliance Management Classification / Master Data Generate
Classification Help Search Terms under Use of Classification Help.

Generating Search Terms for Classification Help

1. Choose Use of Classification Help Generate Classification Help Search Terms


2. Select the numbering scheme and the language for which you want to generate the search terms.
3. You can also set the indicators to control which text types you want to generate search terms for within the
classification functions.
4. Choose Execute.
5. The system creates search terms for all selected text types within the numbering scheme, in accordance
with the linguistic and phonetic rules you defined in the general settings, and saves these search terms.
6. It uses these search terms as the basis for text search in classification help.

Result

You can simulate classification help to test the results of your settings.

1. Choose Use of Classification Help Simulate Classification Help


2. Select a numbering scheme for which you want to simulate the help and choose Execute.
3. You can enter search terms and other search criteria and then choose Simulate Classification Help.
4. The system displays a results list showing which tariff numbers the system found in the nomenclature of
goods for the specified numbering schemes, based on your criteria and the settings for classification help.
5. You can check the settings for classification help based on this results list and modify them as necessary.

5.2.2 Using Classification Help

The following options are available for using classification help:

● Simulate classification help


This function lets you simulate the assignment of import/export control classification numbers to your
products in classification help. If you use simulation mode, the system does not update any changes in the
database. You can use this function to test your settings in classification help, for example, before using
them in your live system.
● Generate search terms for classification help
You can use this function to generate the search terms that you created in the settings for classification
help. You can also select simulation mode here for test purposes, which means the system does not update
any changes in the database.

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5.2.3 Maintaining Import/Export Control Classification Lists
Manually

Use

The maintenance function enables you to classify your products and assign import/export control
classification numbers to products. These import/export control classification numbers indicate whether you
need a license or not. You can assign the import/export control classification numbers to your products
manually or upload them from an XML file.

If you export a product, your freight forwarder or delivery service requires an export control classification list
number to complete the shipper's export declaration (SED) or other documentation for the authorities of your
country. In the U.S., for example, these numbers are called export control classification numbers (ECCNs). An
ECCN is an alpha-numeric classification used by the authorities to identify products for export control
purposes. All ECCNs have five characters, for example, 1A001, 4B994. To comply with legal regulations when
exporting products, you must assign the appropriate ECCNs to your products.

Compliance Management enables you to classify your products by automatically uploading the ECCNs from a
data provider in XML format to your system. Following this upload, you can assign the ECCNs to your products.
The classification help function is available to simplify this assignment process, for example, with a search term
function for determining the correct classification number for a particular product. If the authorities change an
ECCN, you can reclassify your product quickly and easily and keep your data up to date.

Example of a numbering scheme structure for export control classification numbers

Alphanumeric Characters Hierarchy Level Example Number

0-9 Chapter General Electronics 3

A-E Validities Data Processing Programs D


(Software)

000 - 999 Export control classification “Technology” corresponding 102


number to general technology com­
ment for the “development”
of “software” included in
number 3D101.

Prerequisites

In addition to the activities for the transfer of master data, you have also completed the following activities in
the Implementation Guide (IMG) for SAP Global Trade Services:

● You have created a numbering scheme for your export/import control classification numbers.
● You have defined numbering schemes as the foundation of your import and export classification. Its
hierarchy levels must correspond to the characters (alphabetic or numeric) in the import and export lists
respectively.

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● You have transferred your products from the feeder system to SAP Global Trade Services.

For more information about these settings, see the Configuration Guide for Compliance Management at 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 .

Procedure

1. To maintain import/export control classification numbers manually, choose Compliance Management


Classification/Master Data .
1. Import Control Definitions Maintain Import Control Classification Numbers
2. Export Control Definitions Maintain Export Control Classification Numbers
2. You need to enter the name of the numbering scheme you created in Customizing for Compliance
Management for your import or export control classification numbers that you now wish to enter or
change.
3. If you do not want any other users to access the numbering scheme while you are working with it, select
the Block Entire List Type flag. This block is already activated by default.
4. Choose Maintain Numbers.
5. To create a hierarchical structure for the ECCN example above, you begin by creating the first level. To do
so, choose Chapter. Then enter a number between 0 and 9 (such as 3) in the dialog box that appears. You
can also enter a name, such as the official description or commercial description (such as “Electronics”).
Choose Copy Data. Your new chapter now appears in the header data.

 Note

You can change the hierarchy data at any time by selecting the level, right-clicking with the mouse and
selecting Change Structure Level Text.

6. To create the second level, select the chapter level you just created and then right-click the mouse to
choose Create Structure Level at Next Level. The first digit of the sub-level must contain the same digit as
the chapter level. The system proposes the digit from the chapter in the dialog box that appears. You can
then add one or more characters to the Chapter field. The second level must contain two characters
altogether. You can also enter a text description, such as data processing programs. Choose Copy Data.
Your new subchapter now appears in the header data with the subchapter description.
7. You should now create an ECCN suffix. To do this, you select the relevant level in the hierarchy and choose
the Create button. The system proposes the selected hierarchy level characters in the field Export Control
Classification Number. You can now add the remaining three digits manually, for example, 102, together
with a description.
8. Save your entries.

 Note

The procedure is equivalent for import control classification numbers, however, you are required to
create more hierarchy levels, as the import control classification numbers in the U.S., for example, are
generally 11 characters.

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5.2.4 Uploading Import/Export Control Classification
Numbers

Use

You can upload import and export control classification numbers in XML format from your data provider. This
saves you time because the system adopts the hierarchical structure automatically.

Prerequisites

You have created your data provider in the system as a business partner.

Activities

● You can enter and assign export list numbers to your products by choosing SAP Compliance
Management Classification / Master Data Import / Export Control Definitions Load Import / Export
Control Classif .
● In the screen that follows, you have to enter the data provider, and your own numbering scheme
(Alternative Numbering Scheme) if you do not want to copy the numbering scheme of the data provider to
your system. For more information, see the field help.
● You also need to enter the local path of the text file and the number file.
● The text file must be uploaded before the number file is uploaded.
● If you want the short texts of the product classifications to be updated with the new file from the data
provider, you can set the Chg. Texts of Numbering Scheme indicator. However, you should only change the
text file once all the import/export control classification numbers exist in your system.
● If you want the new file to overwrite the existing structure level texts in your hierarchy, set the Chg. Texts of
Structure Level flag.
● You can now choose the processing mode you want for uploading the file. You can choose from the
following:
○ Output List
○ Simulation Mode
○ Nomenclature Check Active
For more information about each of these options, see the field help.
● Choose Execute.

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5.2.5 Searching Upload Logs

Use

The log search enables you to display information about the data that was uploaded into the system. For SAP
Compliance Management you can, for example, upload sanctioned party lists, export and import list numbers.
From the upload logs, you can retrieve information about the upload process, and you can identify errors
occurring during the upload.

Activities

● To search for upload logs, go to the SAP GTS area menu and choose Compliance Management
○ Sanctioned Party List Screening Master Data Sanctioned Party Lists Search Upload Logs
○ Classification / Master Data Export Control Definitions Upload Logs for Export List
○ Classification / Master Data Import Control Definitions Upload Logs for Import List

● In the screen that follows, enter the Legal Regulation for the sanctioned party list screening and the
Numbering Scheme for the export or import code numbers.
● You can also restrict the search by entering specific dates and the data provider.
● Choose Execute.
● In the results screen, the system displays the numbering system, when the upload took place, from which
data provider the upload came, and the status of the upload. If the upload was successful and there is a
green checkmark in the Status column, you can select the file and download it onto your local hard-drive
from this screen. If there were any problems during the upload, you can display the log, which provides you
with information about the reasons for any errors that occurred.

5.2.6 Entering Conditions

Use

If you want to export products in certain product groups, you have to document export licenses for them.
Whether or not you need an export license for a transaction is determined by the tariff number you assigned to
the corresponding product in classification. In some countries, such as Switzerland, the customs authorities
have integrated license requirements for export control in the codes of tariff numbers for export processing by
defining conditions for relevant, export-specific tariff numbers. Other countries regulate license requirements
in additional conditions that are assigned to export control classification numbers.

When you assign a specific export control classification number or tariff number to a product in classification,
you can decide which of the conditions that are associated with the number apply to the respective product.
The condition you choose determines the license requirements for a product in legal export control. Conditions
enable you to control the rules in license determination for legal control in more detail. If the authorities provide
you with conditions for tariff numbers for customs export processing, the system can determine licenses

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directly within a customs declaration. To do so, you must assign the appropriate numbering scheme, such as
commodity codes in Switzerland, to a legal regulation in legal control.

Features

● Upload conditions from XML file


When the authorities link conditions with export control classification numbers, you can upload them to
your system from an XML file.
● Search upload logs
Logs enable you to trace the upload process. You can choose from a combination of the following
parameters to restrict your search results.
● Enter conditions manually
If you want to enter or change conditions manually, you can use the function for other classifications in
transit and customs processing. For more information, see Entering Codes and Conditions for Other
Classifications [page 529].

Activities

● If you receive the conditions as an XML file from a data provider or create a file yourself, you can use the
following path to upload them to the system: Compliance Management Classification/Master Data
Export Control Definitions Upload Conditions from XML File .
● You can specify the data provider, the numbering scheme, and the path where the file is saved.
● You select the language to determine where the system saves the texts from the file. Your current logon
language has no significance. The system uses your current logon language only if no language is selected.
● You use the checkboxes to control the update and processing of data. For more information about the
individual checkboxes, see the field help.
● The system logs the upload; there is a separate log for each numbering scheme. To display the upload logs,
choose Compliance Management Classification/Master Data Export Control Definitions Upload
Logs for Conditions .

5.2.7 Maintaining Number Sets for Classification

Use

Number sets let you group tariff numbers together from several different numbering schemes. Then, when you
assign a set to a product, you classify that product with multiple tariff numbers simultaneously, simplifying the
classification process.

This simplifies procedures by allowing you to group together the tariff numbers used by the member states of
the European Union for a product for customs processing of exports, for example in a set. You can then assign

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this set to a product in classification, to classify that product for all the countries contained in the set at the
same time.

In addition to this cross-country grouping of tariff numbers, you can also group tariff numbers from different
numbering scheme types together in one set. If you use several areas of Global Trade Services (GTS), such as
Compliance Management and Customs Management for your import and export processing, you can group the
numbering schemes for the relevant number types together in a set. These include import/export control
classification numbers, for example, which you need for Compliance Management, and numbering schemes
for tariff numbers and commodity codes, which you need for Customs Management as well as for Preference
Processing.

Which tariff numbers you can assign to the product simultaneously depends on the following factors:

● Numbering schemes that you have assigned to a set schema in Customizing


In the settings for the number set schema, you have defined which numbering schemes you can use to
group tariff numbers together in a set.
● Specific tariff numbers that you group together in a set, by doing the following:
○ Create a number set
You select the number set schema for which you want to create a set. This selection determines which
types of numbers you can group together.
○ Assign numbers to a set
You select the specific tariff numbers from the various numbering schemes for a set. To do so, you first
make a selection for a potential set for the selected set schema.
○ Generate set numbers
When you generate the set numbers, you assign a name for the number set, which identifies it. The set
number corresponds to the structure of the numbering scheme that you specified as a reference
scheme in Customizing, and matches the specific tariff number from this numbering scheme. If you
group numbers together from numbering schemes with identical structures in a set, the set number
reflects the aggregated information from the grouped numbers. The set number is the information
medium for assignment to products.
When you group numbers together from numbering schemes with differing structures in a set, the
system uses the number and structure of the reference scheme. In this case, however, the set number
is merely a name, since the information from the grouped numbers varies widely.

 Note

You can repeat this process as often as necessary, to create several sets for a number set schema.

You can display the results of number set maintenance in the following ways:

● Display number set


You can display all the tariff numbers assigned to each number set in a set schema.
● Display set numbers
Once you have generated the set numbers, you can display all the set numbers in a tree structure. This
overview is particularly useful if you group tariff numbers together in a set from numbering schemes with
identical structures. In this case, the set numbers contain the information about the underlying tariff
numbers in the set, which means the display in the tree structure shows you the areas of a nomenclature of
goods in which you use number sets. Accordingly, displaying set numbers is useful, for example, for
commodity codes from various EU member states grouped together in EU sets.

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Prerequisites

You have defined a numbering scheme for number sets in Customizing, as well as selected the numbers from
various numbering schemes that you want to group together in a number set. For more information, see the
Configuration Guide at the SAP Service Marketplace under the following link

http://help.sap.com/gts Configuration

Procedure

Assigning Numbers to a Set

1. Open the area menu and select one of the following paths:
1. Compliance Management Classification / Master Data Number Sets Assign Numbers to Sets
2. Customs Management Classification Classification Master Data Number Sets Assign
Numbers to Sets
2. Use the input help for the numbering scheme to select the number set and then choose one of the
following functions:

 Note

To create another number set for a number set schema, choose Change Number Set.

Create number set


1. The system lists the numbering schemes that you have defined for assigning the tariff numbers to a
number set of the number set schema.
2. Enter the desired tariff number for each numbering scheme from which you want to group tariff
numbers together in a set under Gen. Tariff Numbers or use the input help for this field
3. If you use the input help, the system opens a dialog box containing a nomenclature of goods for the
respective numbering scheme, in which you can select the tariff numbers from the structure that you
want to add to the number set. To select the desired tariff number, either double-click it or select it and
choose Continue.

 Note

Navigation in the dialog box is similar to that in classification help, in which you navigate through
the hierarchy levels of the nomenclature of goods.

4. The system adds the tariff numbers and their names, as well as the validity periods of the tariff
numbers, to the overview list of the number set.
5. Repeat this process for all numbering schemes containing tariff numbers that you want to group
together in a set.
6. Choose Generate Set Numbers or save your entries. The system uses the tariff number of the
numbering scheme as the set number, which you defined as the reference scheme for the number set
schema in Customizing.
7. If you pressed Generate Set Numbers, you now have to save your entries.
8. You can display and hide the overview list to display all the number sets for a number set schema. The
system lists each number set that you have created for a number set schema in the overview list. This

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list contains the name of the number set schema and the generated set number; it is sorted by schema
name.
Change number set
1. The system lists all number sets in the overview list as a combination of the number set schema and
the set numbers. The system also displays the assigned tariff numbers for the number set for the first
entry in the overview list.
2. In the overview list, double-click the number set that you want to change. The system displays the
assigned tariff numbers.
3. To change the assigned tariff numbers, overwrite the displayed tariff number for the desired
numbering scheme or use the input help to select a new tariff number.
4. When you have made all the desired changes, choose Generate Set Numbers and save your data.
5. You can change the tariff numbers of an existing number set to create a new number set for the
number set schema.
1. To do so, use the input help to select a new tariff number for each numbering scheme.
2. Then choose Generate Set Numbers. If the set numbers differ from the existing other set numbers,
the system creates an another number set in the number set schema.
3. Save your entries.
Display number set
1. The system lists all number sets in the overview list as a combination of the number set schema and
the set numbers.
2. Double-click the desired number set to select it.
3. The system displays the assigned tariff numbers with their names and validity dates.

Display set numbers

1. Go to the area menu and choose


1. Compliance Management Classification / Master Data Number Sets Display Set Numbers
2. Customs Management Classification Classification Master Data Number Sets Display Set
Numbers
2. Select the number set schema for which you want to display the set numbers and choose Display
Numbers.
3. The system lists all the set numbers that you have created for this number set schema in a tree structure.

 Note

Navigation in the dialog box is similar to that in classification help, in which you navigate through the
hierarchy levels of the nomenclature of goods.

Result

You can use number sets in product classification (see Classifying Products with Number Sets [page 103]).

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5.2.8 Processing of Product Data

Use

Every company that imports or exports goods must assign codes to each of its products. You assign these
codes to your individual products based on the legal regulations under which you trade. These codes may
include the following:

● Import control classification numbers


● Export control classification numbers
● Tariff numbers from the Harmonized System (HS)
● Commodity codes
● Common Agricultural Policy (CAP) numbers

SAP Global Trade Services (SAP GTS) provides you with a tool that you can use to classify all of your products
by assigning the code numbers to your import and export products. The classification tool is available in all of
the services.

It is necessary to classify your products for the purposes of communicating with Customs and complying with
legal regulations. These code numbers are available from various data providers in the form of XML files, which
you can upload to SAP GTS and allow the system to assign to your products.

When you create new products or change existing products in your feeder system, and these products are
transferred to SAP GTS, you need to classify these products in the product classification transaction of the
service that you are using.

The following functions are available in the tool to simplify the classification process:

● SAP GTS creates a worklist of those customs products that have not yet been classified, for example, new
products that you have created in the system.
● If you can assign the same code number to a number of products, you no longer have to classify each of
these products individually.
● You can upload reclassification files in XML format from your data provider; SAP GTS then reclassifies your
existing products automatically.
● You can use the new search function in the classification transaction to enable you to select the exact
classification number you need for your product and assign it manually to the product.
● You can display and print customs duty rates from third countries and the tariff number data sheet.
● You can use the product catalog to ascertain which code numbers have been assigned to which products
and for how long the classification is valid.
● To obtain additional support in difficult situations involving the assignment of tariff numbers to products,
you can create cases in Case Management to involve your superior or other employees in these decisions.
For more information about these functions, see Using Standard Classification Functions [page 99].

Prerequisites

● You have created and activated your legal regulations and numbering schemes in SAP GTS. You have also
entered your data providers as business partners. You can create hierarchies manually for your numbering
schemes or have the system create them automatically based on the XML file upload from the data
provider.

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● You have configured the settings for Case Management described in the Prerequisites section for
Classification for Compliance Management [page 72].
● You have transferred all the customs-relevant products from your feeder system to SAP GTS in an initial
data transfer. For more information, see the configuration guides for SAP GTS 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 .

Activities

Display product master data

● To display product master data, go to the SAP GTS area menu and choose Compliance Management
Classification / Master Data Import View for Customs Products or Export View for Customs Products
Maintain Products Display Products .
● On the selection screen that appears, you can enter the legal regulation that you have already activated for
import or export controls, the numbering scheme you assigned to that legal regulation, the product status,
the logical system group, and the external product identification. The more selection criteria you specify,
the better the system runtime will be.
● Then choose Execute.
● The system displays the basic data of the product and the specific data for legal control.

Maintaining Product Master Data

● To edit product master data, go to the SAP GTS area menu and choose Compliance Management
Classification / Master Data Import View for Customs Products or Export View for Customs Products
Maintain Products Change Products .
● You must enter the logical system group, the external product identification number, and the legal
regulation that you have already activated for import or export controls.
● Then choose Execute.
● The system determines the numbering scheme based on the legal regulation you selected.
● The system displays the basic data of the customs product and the specific data for the legal control.
● If you want to classify a product, go to the Legal Control tab page.
● Then you can select the product that you want to classify from the overview list. Double-click a product
number in the list to select it.
● You can classify the selected products. The following help functions are available:

○ Find Number: ( Find )


To use the search function, choose the Find symbol and select the product you need to classify from
the hierarchy structure at the top of the dialog screen that follows.

○ Classification Help : ( Classification Help )


The classification help function provides you with a search in a catalog for the list numbers for your
products based on terms.

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 Note

For more information about the help functions that are available for classification in legal control, see the
description of the legal control [page 89] tab page.

5.2.8.1 Classification Help in Products

You may choose to classify goods in the product master data. Depending on the service or module you are
working with, the screen differs.

All product master records have an overview list of the products you selected and the following tab pages for
the relevant services:

Service/Module Tab Page

Compliance Management General Basic DataLegal Control

Customs Management General Basic Data

Legal Control

Classification

Preference

Special Customs Procedures

Risk Management - Restitution General Basic DataLegal Control

Risk Management - Preference Processing General Basic Data

Classification

Preference

The following sections describe the functions and data in each of the tab pages.

5.2.8.2 General Basic Data

Use

When you transfer products from your feeder system to the system for Global Trade Services (GTS), the
system determines general basic data for your information and control purposes. This information can include
administrative and product-specific data.

Administrative data

● Group of logical systems

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The group of logical systems lets you identify the feeder system or group of feeder systems from which you
have transferred the product to the GTS system.
● Internal product number
The internal product number is the number that the system assigned automatically during the transfer of
products from the feeder system. It is used for technical purposes only. It forms the link between the
product number in the feeder system and the additional data that you enter for that product in the GTS
system.
● Status
The status can have the following values:
○ New
Status New means you have not made any changes to the product since it was transferred.
○ Maintained in GTS
When you change or create data and then save your entries, the system sets the status to Maintained
in GTS.
○ Changed in Feeder System
As the result of a change pointer, the system has transferred changed data for a product that already
existed in the GTS system. The system transfers the changed data from the feeder system, while at the
same time retaining the data that resulted from maintenance in the GTS system.
● Created by/on
● Changed by/on

Product-specific data

● Base unit of measure


The base unit of measure is the unit of measure you use to manage stocks of the product in your inventory
management system.
● Short texts for the product
Before the transfer, the system determines the short texts that you have entered for your product in the
various languages in your feeder system and displays them for your information here.
● Conversion factor from base unit of measure to alternative unit of measure
If you have entered conversion factors between the base unit of measure for the product and the
alternative unit of measure, the system transfers this information as well. You enter conversion factors in
the feeder system to manage the goods in a base unit of measure that differs from the unit of measure in
the logistics documents. This is necessary, for example, when you vendors manage the same products in
different units of measure.
You can also enter additional conversion factors. You need a special conversion for base unit of measure
and alternative unit of measure in the GTS system to cover customs-specific requirements. The base unit
of measure for stocks in your inventory management system can differ from the units of measure that the
customs authorities use to determine customs duties. Accordingly, the customs authorities require you to
use the official units of measure when declaring imports or exports of your products.

 Note

If you have defined your own data for the transfer of products in addition to the standard data, you can
also see this data here. You can define additional product data in the Customizing activities for
products under Global Trade Services General Settings Products and extend the BAdI
implementation for transferring products in accordance with this definition.

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Activities

● Choose the General Basic Data tab.


● The administrative data for the product is displayed in the General Data area.
● Product-specific data appears in the following areas:
○ Basic Product Data
○ Short Texts
○ Units of Measure
Your vendor ships letterhead or bolts in boxes of 100 pieces each. You record the letterhead or bolts in
boxes in your inventory management system. Since the customs authorities calculate duties and fees
for letterhead and bolts by piece, you have to convert the boxes to pieces. If you have not entered a
conversion from boxes to pieces for the product in your feeder system, the system cannot calculate
and display the corresponding data during the transfer. As a result, if it is not possible to enter the
conversion factors from boxes to pieces in the master data system, you have to enter this data in the
GTS system. In the above example, you enter the following values in the table:

X AME <=> Y BME

1 BOX Box 100 PC Pieces

○ If you want to save additional information about a product in a document, you can choose Add
Document to assign it to the product.
○ If you want to see additional data from the transfer of products, choose Additional Data. You can
then choose Main Data to switch back to the General Basic Data.

 Note

If you have configured the transfer of product characteristics from the feeder system in
Customizing and fill the defined fields in the appropriate interface, you can use these
additional product characteristics from the feeder system in the GTS system. For more
information, see the descriptions of the Customizing activities in the GTS system under
Global Trade Services General Settings Products .

5.2.8.3 Legal Control

Use

The Legal Control tab page of the Maintain Product Master transaction enables you to classify your products by
assigning them the relevant import/export control classification numbers. These classification numbers
indicate whether you are authorized to import or export the product and whether you require a special license
to do so. You edit the list numbers in Compliance Management under Classification/Master Data.

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Integration

● You have to maintain your import and export code numbers. For more information, see Maintaining
Export/Import Lists [page 77]1
● You must maintain the Classification Help Settings [page 74] in the application to be able to use the
Classification Help function in the Legal Control tab page.

Prerequisites

● You have either maintained the import/export control classification numbers manually in the required
hierarchy, or you have uploaded XML files from a data provider and the system adopts the hierarchy
provided.
● You have maintained the settings for the Classification Help function to enable you to find the correct
classification number for the product.

Activities

Search Help

On the Legal Control tab page, you can use the search help to display the hierarchy of import/export control
classification numbers that you have already maintained in Compliance Management.

You can now click through the hierarchy of the chapters you have maintained, which the system displays in the
overview. Once you have found the correct classification number for your product, you can select the row and
adopt the classification number by choosing Copy Number.

Once you choose Save, the product master now contains the import/export control classification number you
assigned.

Classification help

The Classification Help function allows you to search for the correct import/export control classification
number using a text string or a phonetic string. This is particularly helpful if you are not sure exactly where the
classification number appears in the hierarchy.

When you enter one or more of the following search criteria, the system can find your product in the
classification number hierarchy:

General data

● Numbering scheme
The system defaults the numbering scheme that you maintained in Customizing for the import/export
control classification number hierarchy in which you are currently searching for the correct number for
your product. This field is not ready for input.
● Language

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The system proposes your current logon language as the default value. If you want to maintain the texts for
your products in a different language, use the input help to select one.
● Number
If you know part of the import/export control classification number for your product, you can enter the
numbers here. For more information, see the field help.
● Text Search
You can enter part of the name of your product in this field. The system then searches for this text in the
texts that are contained in the classification hierarchy.

● Propose Text
If you have already maintained a text for the product for which you are searching in the import/export
control classification hierarchy, the system adopts this value in the Search Text field when you choose
Propose Text.
● Operator
You can select one of the following operators from the dropdown box, to enable the system to determine
whether the text or texts you entered in the Text Search field are all mandatory search criteria or whether it
is sufficient for only one of the text strings to be found.
○ OR Link (Disjunction)
○ AND Link (Conjunction)
○ Blank
● Error-Tolerant Search
If you set this indicator, the system searches for texts similar to the texts you have entered in the Text
Search field. The system can then take a misspelled word into account, for example, and display the results
found for the texts that are most similar to the text you entered.

Validities

If you know the validity period of the import/export control classification numbers in which you are searching,
you can enter the appropriate values here.

The system proposes the time zone of the import/export control classification numbers.

Relevant Text Types

● Official Description
The official description is the product description used by the customs authorities. If you set this indicator,
the system searches for your texts in the official descriptions that you have maintained for products in the
hierarchy of import/export control classification numbers. If you have not maintained or uploaded the
official descriptions, you do not need to set this indicator.
● Commercial Description
The commercial name is the product description used by the commercial industry, for example, in sales
and purchasing. If you set this indicator, the system searches for your texts in the commercial descriptions
that you have maintained for products in the import or export list number hierarchy. If you have not
maintained or uploaded the commercial descriptions, you do not need to set this indicator.

Additional Data

Grouping

You need to enter the relevant grouping for the product here. You create control groupings for products for legal
control purposes. Products that are subject to similar legal controls and regulatory measures can be assigned
to the same grouping. You maintain these groupings for import and export in SAP GTS when you need to
comply with specific legal regulations.

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You can select the correct control grouping for your product by using the input help.

For more information about control groupings, see Control Groupings [page 62] in the Compliance
Management documentation

Peculiarity code

Here you enter the customs codes assigned by the customs authorities to provide them with information on
the specific product you are importing or exporting. You can assign these peculiarity codes to your product
either directly in the product master data maintenance or indirectly in the import or export license
maintenance transaction (as a license attribute).

You can select the correct peculiarity code by using the input help.

5.2.8.4 Re-Exports

Use

To comply with legal control for re-exports, you have to document the product shares that are subject to re-
export rules according to the additional legal regulation. If the product share exceeds a defined share of a
finished product, you need additional licenses to ensure compliant exports, which the system can find in
license determination.

You can differentiate between hardware, software, and technology in the analysis of product shares for re-
exports. You can define the re-export relevant shares of the product for each of these areas in the product
master. During export control, the system checks the values from the product master and the item values from
the replicated logistics document for each transaction and determines the licenses as necessary.

Features

You can define the following data, for example, for a product, a legal regulation, and a country of a country
group for legal control of re-exports. Note the field help for the individual flags and input fields.

Restricting your selection to individual foreign trade organizations can optimize your system performance, as
you exclude the business transactions of foreign trade organizations whose product supply sources are not
relevant for re-export. Legal control for re-exports of individual legal regulations can have differing
requirements of the re-export relevance of a product, depending on the country of destination. As a result, you
can group countries that have the same re-export requirements in a legal regulation together in a country
group. When you define this country group restriction, you can enter the re-export settings and data for each
product and legal regulation at the same time.

 Note

If you set the Single Maintenance flag on the Legal Control tab and legal control is active for re-exports, you
have to enter the information on the re-export relevant value shares for a product. If this information is
missing, the system blocks the document.

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● Control relevance of product for re-exports
You can exclude a product from re-export control altogether or define that every business transaction with
that product requires a license. Alternatively, you can define the control relevance dependent on the value
share that the product has as a component in a finished product.
If you make the control relevance dependent on the value share, you can enter the hardware share
manually in the product master. Alternatively, if the finished product has a BOM, you need to run
calculation for re-exports. For more information, see Calculating Product Share Values for Re-Export [page
70].
● No calculation
If the product is a finished product for export and you have created BOMs or transferred them from
another system for this product, you can set this flag to exclude the product from calculation of share
values.
● Not a component
If the product is a component of a finished product and exists in a bill of material, you can set this flag to
exclude the product from calculation of share values anyway.
● Value shares
You can manually define the shares of hardware, software, and technology as value shares for a country's
legal regulation. If you do not enter a value for one of the control areas, the system assumes a share of
zero. If you procure components for a re-export-relevant product externally and your supplier does not
provide any information about the re-export relevant value shares, the component value is counted as the
value share.
You can calculate the shares for products produced in-house automatically for a BOM (see Calculating
Product Share Values for Re-Export [page 70]). The system adopts the calculated hardware share for a
product in the product master display automatically. The currency in which you have to specify the value
shares is the currency that you defined for the relevant legal regulation in Customizing. If you enter a
manual value for hardware and the system calculates a share value automatically, the system applies the
worst-case principle and uses the greater of the two share values for a product to determine license
requirements.
The following value shares are possible for a product:
○ Specified hardware share
○ Specified software share
○ Specified technology share
○ Calculated hardware share

 Note

If you set the Single Maintenance flag on the Legal Control tab page and legal control is active for re-
exports, you have to enter the information on the re-export relevant value shares for a product. If this
information is missing, the system blocks documents that contain these re-export-relevant products.

You can display the re-export data for several products simultaneously in a separate overview. This allows you
to compare the relevant re-export data at a glance.

 Note

You can use an API to calculate the manual share values for technology, software, and externally purchased
hardware for each product. These entries are logged in change documents for subsequent tracking.

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Activities

● To display the re-export data for individual products in the product master, choose Compliance
Management Classification/Master Data Export View for Products Maintain Products .
● To display the re-export data for multiple products, choose Compliance Management Classification/
Master Data Re-Export Calculation Display Re-Export Data for Product .

5.2.8.5 Bill of Material

Context

The components that you install in products can be relevant for both customs processing and for legal control
of military and dual-use goods. To handle this, you can use bills of material, which you can enter as single-level
BOMs in the product master data. The quantity-specific assignment of components to a product in a bill of
material is defined for each finished product, determining the exact relationship between component and
product.

● You have to provide evidence to the customs authorities in special customs procedures to qualify for trade
preferences in Customs Processing.
This includes a list of the ratio of installed components to a compensating product or processing product.
You can provide this list as a single-level BOM in the product master for the following customs procedures:
○ Outward processing
○ Inward processing
○ Processing under customs control
The BOM data generates the values for quantity depreciation of the components in settlement for
processing under customs control or inward processing. The customs authorities use these values to
calculate the amount due to customs in customs processing. When you calculate the depreciation after
outward processing, this BOM is the foundation for the suggested values for assigning the temporarily
exported components and their re-imports as parts of a compensating product.

 Note

Instead of using single-level BOMs in the product master, you can also reuse complex bills of material
that already exist in an external system. To use these complex BOMs for specific transactions as
evidence for the customs authorities, to qualify for trade preferences after a special customs
procedure, you have to meet the following prerequisites:
○ You have set the External BOM indicator in the product master for the related customs ID.
○ You have implemented the Business Add-in (BAdI) for transferring BOM information from external
systems. You explode the BOM and transfer it to SAP Global Trade Services in this BAdI. For more
information, see the BAdI descriptions in Customizing for customs processing.

● In the Legal Control area, you have to meet license requirements for military and dual-use products
installed in a product for export. Accordingly, you can enter the components requiring licenses in a single-

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level BOM in the product master data for these products. You receive this BOM for products purchased
from suppliers.
The system then determines the necessary export licenses for all components of a product contained in
the BOM in legal control.

Procedure

1. Go to the BOM tab.


2. In change mode, choose Create BOM for a product that you have flagged as a compensating product or
processing product or for which you want to carry out legal control at the BOM level.
3. Enter a BOM ID and the administrative data.

Set the Customs and/or Compliance flags to indicate whether the BOM is needed for the special customs
procedure or for legal control of re-exports. You use the BOM ID in customs processing, for example, in
authorization management for the special customs procedure.
4. Choose Maintain Components to enter the products and their quantities that are relevant for the BOM
header.
5. Choose Append Row in the next dialog box and select a product as a component. Specify the required
quantity of the component for the compensating product.
6. Repeat this process to assign each component to a compensating product through the BOM until you have
entered all the products that you need to create a compensating product in outward processing.
7. Click Save Changes. The system saves the assignments.

 Note

If you want to create an authorization for a special customs procedure or an export license for the legal
control of re-exports, you need the BOM ID for the product to enable the system to assign the products
in accordance with the BOM. The information in the BOM must agree with that in the authorization or
export license.

5.2.9 Classification with the Worklist

Use

The classification worklist is an overview of products that are missing one or more tariff numbers. You can use
various selection criteria that let you set priorities to build the worklist. For example, you could select non-
classified products in documents, or use specific tariff numbers as the starting criterion for your classification
work. To classify the selected products directly, you can jump to the product data from the worklist. You can
classify the selected products there.

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Prerequisites

You have transferred all customs-relevant products from your feeder system to the system for Global Trade
Services (GTS) during the initial data transfer. For more information, see the Configuration Guide at the SAP
Service Marketplace under the following path:

http://help.sap.com/gts Configuration

Procedure

1. To start the worklist, open the area menu and choose Customs Management Classification
Classification Classification Classify Products via Worklist .
2. You can restrict the search.
○ Under General Criteria, you can choose the goods direction and the legal regulation that the system
uses to determine the number systems, which you can select under Numbering Scheme Type.
○ The specific classification data you can enter depends on the general criteria.

 Example

When you select a legal regulation that requires the assignment of codes from other government
agencies (OGAs) to your products, you can enter either the tariff numbers or the authority codes,
or both. These two classifications are always needed together. Accordingly, you have linked their
numbering schemes in Customizing.

The procedure is similar for assigning an excise duty code for products with certain commodity
codes. When you select the legal regulation for monitoring goods movements subject to excise
duty, you can enter both commodity codes and excise duty codes.

○ You can also restrict selection by administrative data and/or the following selection criteria:
○ Product Number
○ Product Status
○ Validity: The system displays today's date as the default key date.
○ Check Usage in Documents: When you set this flag, the system checks all documents. If it finds
non-classified products in documents, it adds them to the worklist automatically. This lets you
prioritize your classification work.
○ When you create a worklist, you can select it for classification with its ID.
You can define the worklist as follows:
○ You can create a worklist manually. You can use this functions for products whose master data
or classification data you want to change. If you use this manually created worklist, however,
you can only assign tariff numbers to one product in classification. To make other changes to
the master data, you have to maintain the product in the master data. For more information
about the manual worklist, see Manual Worklist for Maintaining Products [page 507].
○ If you can determine which products you want to add to a worklist for classification in your
feeder system, you can use a predefined worklist. In this approach, you pass the list of
products on to the GTS system via an interface. You can then enter the name of this
predefined worklist in the selection criteria to start classification.

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An application log lets you trace the transfer of products in the worklist with this Application
Programming Interface (API). For more information about the application log, see Displaying
Transfer Logs for Master Data and Transaction Data [page 989].

 Note

You have already defined the creation of these worklist through an API. For more
information, see the Configuration Guide for Customs Management in the description for
“Integrating External Systems with Interfaces for Customs Management”.

3. The system displays the worklist based on your selection criteria. It lists the products without assigned
numbers, that you need to fulfill the import and export requirements. The list contains the following data:
1. Status of existence or processing progress for cases (with integrated Case Management)

 Note

For more information about the integration and use of Case Management in classification and
product maintenance, see the initial chapters on classification and the maintenance of products.

2. Logical System Group


3. Product number and description text
4. One column contains a traffic light that indicates the classification status:
○ Red: A tariff number is missing for the product
○ Green: A classification number has been assigned to the product
If a product has already been assigned a tariff number, the system displays it in the list anyway.
5. Product status: Indicates the status of the product, for example, New or Maintained in GTS.
6. Control grouping (for legal control purposes in individual areas of the GTS system, such as legal control
in Compliance Management)
4. To classify products, select the line for an individual product and choose Goto Product Master.
5. You navigate directly to the product master, where you can classify the product manually or using
classification help.
6. To use the mass classification function, select a number of products from the worklist and choose Mass
Classification. For more information, see Mass Classification [page 98].
7. If you have activated Case Management, you also see options to Create Case and Display Case. Create
Case lets you delegate classification in the nomenclature of goods to the employee who is defined as the
next contact person for classification in the process route in Case Management. With this feature, if you
have difficulties assigning a tariff number to a product, you can involve other employees with additional
skills in the decision-making process.
8. If you have already created a case for a classified product, you can choose Create Case to trace the
decision path for a tariff number and product.

Result

When you return to the overview list, the status traffic light for the product(s) you just maintained is green,
indicating that you have classified the product(s) successfully.

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5.2.10 Mass Classification

Context

This function lets you classify several products at the same time with a classification number. You can use
mass classification for all types of numbering schemes that you have configured in Customizing and for which
you have created the numbers in the system.

 Example

If your company imports and exports dairy products, for example, and you want to classify a new brand of
yogurt, you can classify 25 different types of yogurt at the same time. You save a lot of time, since all the
types of yogurt have the same commodity code and/or tariff number.

If you are located in a country in which other government agencies (OGAs) require their own classifications,
these classifications are linked to the tariff number. The mass classification function displays the authority
codes that are assigned to a tariff number. If a tariff number requires more than one authority code and you
have not yet assigned these authority codes to the products that have been classified with the underlying tariff
numbers, the system displays an icon to indicate the incomplete data for those classified products. You can
assign the authority codes to the product directly in the classification functions, for example, in mass
classification.

In the United States, authorities can provide codes for precise handling instructions, as well as other codes,
which are not associated with specific activities. As a result, when you process transactions, such as customs
declarations or pre-declarations, you have to replace this other code with a code for precise handling
instructions, dependent on the transaction.

Procedure

1. Display the classification worklist. For more information, see Classification with the Worklist [page 95].
2. Select a number of products from the worklist that you know all have the same commodity code or tariff
number.
3. Choose Mass Classification.
4. The system displays a dialog box in which you can enter the following information:
1. Numbering scheme (the appropriate numbering scheme of the commodity codes or tariff numbers
that you want to assign)
2. Validity period of classification
3. Tariff number
If you do not know the tariff number, you can use the input help. A dialog box appears in which you can
determine the most suitable tariff number, using the clipboard function and classification help. Then
choose choose Start Mass Classification.
5. The system runs plausibility checks in the background to make sure that you can assign the tariff number
to these products.

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6. If the checks pass, the system assigns the tariff number to the selected products.

 Note

To obtain additional support in difficult situations involving the assignment of tariff numbers to
products, you can create cases in Case Management to involve your superior or other employees in
these decisions. For more information about these functions, see Using Standard Classification
Functions [page 99].

Results

The successfully classified products are now displayed with a green traffic light in the overview list. Choose
Refresh to update the classification worklist.

5.2.11 Using Standard Classification Functions

Use

The classification tool has many features that help speed up the classification process for the following codes
and numbers:

● Import control classification numbers


● Export control classification numbers
● Commodity codes
● Tariff numbers
● Common Agricultural Policy (CAP) numbers

When you create new products or change existing products in the feeder system and then transfer these
products to the system for SAP Global Trade Services (SAP GTS), you have to classify these products in the
classification for the services you use. You receive the tariff numbers from data providers; you can enter the
numbers manually or upload them to the GTS system from XML files.

Prerequisites

● You have configured the settings for Case Management that are described in the Prerequisites section for
Classification [page 501].
● You have defined the settings for classification help.
For more information, see Settings for Classification Help [page 396] and Using Classification Help [page
76].
If you have activated sanctioned party list screening in the Compliance Management area, you can activate
more detailed settings.

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For more information about the logic for phonetic search information for sanctioned party list screening,
see SAP Library for Global Trade Services under Compliance Management Sanctioned Party List
Screening Master Data in SPL Screening Comparison Index .

Features

The following functions help simplify the classification process:

● The GTS system generates a worklist for products that have not been assigned required tariff numbers, for
example, new products that you just created in the system. For more information, see Classification with
the Worklist [page 95].
● If you want to assign the same tariff number to a series of products, you do not have to classify these
products individually. For more information, see Mass Classification [page 98].
● Number sets let you assign multiple tariff numbers to one or more products at the same time. You use
number sets to group specific tariff numbers from one number type and several countries or from different
number types within a country together. For more information, see Number Sets [page 103].
● The product catalog lets you determine which tariff numbers are assigned to which products, as well as
how long that classification is valid. For more Information, see Displaying Product Catalogs [page 518].
● You can display and print customs duty rates from third countries and the tariff number data sheet. For
more information, see Classification and Tariff Number Data Sheet [page 519].
● You can reclassify products manually or upload reclassification files from your data provider in XML format
to the GTS system. The existing products are reclassified automatically in the GTS system. For more
information, see Manual Reclassification [page 520] and Reclassification via Upload [page 105].
● You can use the search help function in the classification transaction to select the exact tariff number that
you need for your product and then assign this number to the product manually. For more information, see
the next section.
● If you want to comment on an assignment, for example, to justify the assignment of a specific tariff number
to a product, you can enter a comment on the Classification or Legal Control tab page, or edit an existing
comment, by choosing Edit Comment.
● To safeguard the assignment of a tariff number to products in difficult situations, you can create a case in
Case Management or display existing cases to support your decision. If you create a case, you can enter
memorandums to file for individual activities and transfer decisions to another employee or superior
through a defined process route. The case information lets you store documents and background
information that can aid decision-making.
For more information about Case Management and its features, see the SAP Library for SAP ERP under
http://help.sap.com SAP ERP SAP ERP Central Component Cross-Application Services Case
Management .

Activities

● When you select a product, you can select a legal regulation for which you want to classify that product.
● You can select the correct numbering scheme and validity period for the commodity code.
● You can use either search by numbers with the Find... icon or search by texts with the Enhanced Text Search
icon.

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○ The search by number is the logical search help.
You navigate through the hierarchy levels of the tariff numbers.
○ The enhanced text search is the phonetic search help.
○ When you choose Enhanced Text Search, a dialog box appears in which you enter the text you want
to search for in the classification hierarchy.
○ You can also select the rules you want the system to use to search for a text string, such as logical
operators AND and OR.
○ If you know that a text string belongs to an official or commercial name, for example, you can also
select the relevant text types.
○ The results list appears in a second dialog box. You can select and copy the relevant tariff numbers,
or at least the tariff numbers that you feel are best suited to the product, from this results list.
● You can use the following features to simplify the classification process for both classification help
functions:
○ Detailed display for tariff number and product
You can use the toolbar button to display details for a tariff number that you either entered manually or
received from a data provider. These details include General Information and Footnotes, for example.
If you have transferred additional product characteristics from the feeder system and configured their
display in the GTS system, you can display this information for a product with Additional Data On/Off.
As a result, you can use these additional product characteristics for assistance in classification. From
the display of additional product characteristics, you can display the appendices for a product that you
have assigned to this product either as general documents or as documents for a specific legal
regulation.

 Note

You can enter general documents for a product on the General Basic Data tab page in the product
or during classification. You can create documents for a specific legal regulation in the
Classification tab page, by selecting a legal regulation from the hierarchy display and creating a
document in the menu of this hierarchy display.

○ Clipboard
You can choose Note Number to use the clipboard function to collect and assess any number of
possible tariff numbers for a product, before you assign a specific tariff number.
The system copies the tariff numbers, together with the descriptions for the text type you selected in
classification help, to a clipboard file.
You can then copy the most suited tariff number for the product that you want to classify in your
product hierarchy from the clipboard.
In this phonetic search function, you can navigate between screens and the chapters of the
harmonized system hierarchy without losing data that you already selected and copied to the
clipboard. The system saves all your data selections as long as you remain in the classification
transaction.
The classification tool lets you save different kinds of texts, such as concatenated texts. You can
choose which text type you want to save to classify your product. If this text is already saved in the GTS
system, it is displayed automatically.
○ Where-used list
When you choose the Display Number in Hierarchy button, the system navigates directly to the position
of that tariff number in the harmonized system hierarchy.
○ Change text type
If you are assigning a tariff number to a product or changing an assignment and press the Change Text
Type button, you can select whether you want to change the assigned text type for example, from

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Official Name to Concatenated Text. This enables you to change the text type that is displayed in the
tariff number data sheet.
○ Display customs duty rates
You can display customs duty rates for third countries (customs duty rates from country of departure
to country of destination). This function is available in the clipboard section of the classification
screen.
Select the desired countries. The system displays the customs duty rates for each tariff number and
country.
● To create a case to justify your classification of products, you can select a product and choose Create Case
on the Legal Control or Classification tab page, depending on the GTS application area. To display an
existing case, choose Display Case. For more information about the functions available to create and
display cases, see the information in the SAP Library for Case Management.

5.2.12 Analyzing Product Classification

Use

You assign codes to your products in product classification. The authorities define peculiarities and special
handling for products in these codes. In addition to the assigned import and export control classification
numbers, assignments of control groupings, peculiarity codes, and other settings determine how products are
handled. You can use product classification to ensure a product is analyzed properly in legal control. You can
also display a list of all control-relevant products for a legal regulation.

Activities

● To start the analysis of product classification, go to the area menu and choose SAP Compliance
Management Classification/Master Data Product Classification Analysis Analyze Product
Classification
● You can run the analysis for specific products or control data, such as the legal regulation.
● The system displays the following information for each product in the list for a numbering scheme of a legal
regulation (provided you have entered it):
○ Import/export control classification number
○ Control grouping
○ Peculiarity code
○ Individual maintenance flag
● You can also see whether a case was created to clarify or document the classification.

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5.2.13 Classifying Products with Number Sets

Use

You can use number sets to simplify classification. You use number sets to group various tariff numbers
together into logical units, which you use to handle your foreign trade processes. When you assign a number
set to a product, or to several products in a goods category with matching tariff numbers, you can assign all the
tariff numbers needed for your foreign trade processes in a single step.

Prerequisites

You have created the number sets that you want to use in classification (see Maintaining Number Sets for
Classification [page 81]).

Procedure

Open the area menu and select one of the following options:

Assigning Number Sets to Products

1. There are several different ways that you can classify individual products with number sets, including the
following paths:
1. Compliance Management Classification / Master Data Import View or Export View for Products
Maintain Products
2. Customs Management Master Data Products Maintain Products
3. Customs Management Classification Classification Classification Classify Products
4. You can also use number sets for classification via the worklist (see Classification with the Worklist
[page 95]) and mass classification (see Mass Classification [page 98]).
2. Enter the desired selection criteria and choose Execute.
3. The system lists all the products that match your selection criteria in the dialog structure.
4. Select the product you want to classify from the overview list and choose the Classification tab page for
Customs Management or the Legal Control tab page for the Compliance Management area.
5. Choose the function to assign number sets in the toolbar, using the dialog structure with the legal
regulations and numbering schemes.
6. A dialog box appears.
1. Use the input help to select the number set schema that you want to use to classify the selected
product.
2. Then choose Find to call the number set for classification. Another dialog box appears, like in the
standard classification help.
3. Navigate through the hierarchy levels to the set number whose tariff numbers you want to assign to
the product.
4. To select the desired set number, either double-click it or select it and choose Continue.

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5. The system adopts the data in the dialog box for the number set. Choose Continue to display the tariff
numbers that are grouped together in the number set.
6. Select the lines for the tariff numbers in the number set that you actually want to use for the product.
7. When you choose Assign Set, the system adopts the selected tariff numbers from the set for the
maintained product.
7. Save your entries.

 Note

In classification for Compliance Management, you can remove assignments of tariff numbers that you
defined based on the number set for a product, independently of whether you have already saved your
entries or not. To do so, choose Delete Data on the Legal Control tab page and then save your changes.

Assigning Number Sets to Multiple Products Simultaneously

1. You can also assign the numbers of a number set to several products at the same time. To do so, in the area
menu, choose:
1. Compliance Management Classification / Master Data Number Sets Assign Set Numbers to
Multiple Products
2. Customs Management Classification Classification Assign Set Number to Multiple Products
2. Enter the Set and the Set Number. You can use the input help for both values. If you use the input help for
the set number, a dialog box appears in which you search the hierarchy levels of the number set schema to
find the desired set number. To select the desired set number, either double-click it or select it and choose
Continue to adopt the set number as a selection criterion.
3. Enter additional selection criteria as necessary to restrict the results list.
4. Choose Execute.
5. The system uses the information from the selection criteria for the number set and lists the products for
your selection criteria.
6. Select the lines of the products to which you want to assign the number set.
7. Choose Assign Set.
8. The system adopts the tariff numbers from the number set for the products and changes the classification
status to Classified.

5.2.14 Manual Reclassification

Use

You require this function if one of the export or import control classification numbers is no longer valid and you
need to replace it with another list number immediately. The manual product reclassification is useful, for
example, if only one list number needs to be replaced.

Prerequisites

If you want to use additional product characteristics from the feeder system as selection criteria, you have
already configured the transfer of these product characteristics from the feeder system. To do so, you have to

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implement a Business Add-In in the feeder system. You need to configure these settings in Customizing under
Global Trade Services General Settings Products .

Activities

● To reclassify a product manually, go to the SAP GTS area menu and choose Compliance Management
Classification / Master Data Import View for Customs Products or Export View for Customs Products
Reclassify Products Manually .
● You can enter a Numbering Scheme for the changes. If the changes are country-specific, you can also
select a Country.
● You can also enter a Peculiarity Code and a control grouping as selection criteria.
● If you have configured the transfer of additional product characteristics, you can restrict the search to
specific product criteria under Additional Data.
● To exchange the tariff numbers, click Execute and enter the old and new tariff numbers to exchange.
● When you choose Copy Data, the Automatic Reclassification tab page displays a list of all products that
would be affected by reclassification and meet your search criteria.
○ You can enter alternative peculiarity codes and control groupings for selected lines. To do so, choose
Change.
○ To assign the new tariff numbers to the listed products and update the changes to validity, select the
desired lines and choose Start Reclassification.
● If you want to replace one old tariff number with several new ones, and have therefore assigned several new
tariff numbers to an old number, you have to choose the Manual Reclassification tab page.
○ The system displays all products with the potential new tariff numbers on the tab page.
○ Select the entries that contain the correct tariff numbers.
○ To enter the alternative peculiarity codes and/or control groups for the selected entries, choose
Change and enter the desired data. Then choose Adopt.
○ The system retains the selection in the list. To update the new tariff numbers and changes to
peculiarity codes and control groupings, choose Start Reclassification.
● The system assigns the new tariff numbers to the products in the product master and saves the new data.

5.2.15 Reclassification by Upload

Use

When the classification numbers of the products with which you work are changed by the authorities, you have
to reclassify your products in SAP Global Trade Services (SAP GTS). You can reclassify the following numbers in
Compliance Management:

● Import control classification numbers


● Export control classification numbers

You can obtain current lists of updated numbers in XML files from your data provider. By uploading these XML
files to SAP GTS you can maintain your list numbers automatically.

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If there is no XML file available, you can reclassify individual products manually. For more information, see the
Manual Reclassification [page 104].

Prerequisites

You have an XML file for reclassifying your products.

Procedure

1. To reclassify your products using the upload function, choose Compliance Management
Classification / Master Data Reclassification for Import/Export List (XML) .

 Note

If you want to plan the reclassification as a batch job in the background, use transaction code sm36.

2. In the initial input screen, you can enter the Upload Data. If the validity periods of the old and new import/
export control classification numbers overlap and you want the system to modify these intervals
accordingly, set the Adjust Validity Intervals flag. Choose Execute.
3. The system uploads the XML file, checks the data and selects all the products that are assigned to the old
list numbers.
4. You have the following options for processing list numbers:
1. If you want to delete a list number or replace an existing list number with a new one, you can select the
appropriate number. Then go to Automatic Reclassification and choose either Delete or Replace.
2. If you want to assign a new unique list number to an old list number (if the system proposes several
new list numbers for a product), select the row you want to change from the list displayed. Then go to
Manual Reclassification and choose Replace.
5. To trigger reclassification, choose Start Reclassification.

5.2.16 Displaying Transferred BOMs

Use

You can use this function to display all the BOMs that you have transferred from your feeder system for
preference determination and legal control of re-exports. You can display both static and order-related BOMs
for configurable products for preference processing. The system transfers the information indicating whether
the BOM is multilevel in both cases and displays this structure information of the BOM. The BOM display also
contains details for the individual BOM components. You can use the BOM information to display the data that
is used in preference determination to determine the preference eligibility of a product or for legal control of the
re-export-relevant share values of a product.

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Prerequisites

You have transferred bills of material from your feeder system to the system for Global Trade Services (GTS).

Activities

● You can display the transferred BOMs in the area menu. To start the BOM display, choose one of the
following paths, depending on whether you use it for preference processing or for re-export.
○ Risk Management Preference Processing - Master Data Products Display Bills of Material
○ Compliance Management Classification / Master Data Export View for Products Display BOPs
for Product
● You can display the BOMs for a particular logical feeder system and product.
● You can also use the following criteria to restrict your search:
○ Bill of material usage
○ Alternative bill of material
○ If you specify a preference model in preference processing, you can enter additional selection criteria
depending on the model.
Plant-based or cross-plant preference model
○ Plant or plant group
○ Explosion method for the BOM
Order-related preference model
○ Application
○ Document number from the feeder system
○ Item of the product with configurable BOM in the document in the feeder system
● When you choose Execute, the system displays the BOMs that match your search criteria.
● If you selected only one product, and the product only has one BOM, the system displays the BOM
overview directly.
● If you selected multiple products, the system displays an overview list of the BOMs for the products along
with general BOM information, such as:
○ Product number
○ Product description
○ Bill of material number
○ Alternative bill of material
○ Bill of material usage
○ Low-level codes of the bills of material
You can select a product from the overview list for the system to display the details.

 Note

To simplify the display, you can hide the overview list that contains all the products matching your
selection criteria and show it again, as required.

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● You can display additional details for each BOM component. To do so, select the required row and choose
Details. The detail display contains specific information about the component and its position within the
BOM, for instance:
○ BOM structure information
○ BOM level
○ Low-level codes of the transferred bills of material
○ Sequence number of the BOM level
○ Sequence number of the component on the next highest BOM level on which the component is
dependent
○ BOM component details, such as:
○ Quantity used on the BOM level
○ Net price
○ Tariff number
● If you click the product number of a displayed BOM, the system forwards the product data for the BOM.
You can display general product data as well as any classification data and preference-specific product
data. You can also switch to change mode.

 Note

For more information about the product data you can display and its significance, see Maintaining
Products [page 264]. Note, however, that when you access the data in this way, you can use display
mode only.

● To return to the BOM overview, choose Back.

5.2.17 Maintaining Projects

Use

Projects let you consolidate all your control-relevant transactions. For example, you can group the validity of
import and export licenses together for multiple business transactions, to organize and analyze their joint
depreciation. You can also assign logistics documents in the feeder system to a project, to record and analyze
all the relevant transactions for a project, for example, assigning all relevant goods movements to a project.
This assignment is defined indirectly, through a valid license for a business transaction.

Prerequisites

To link the logistics documents in the feeder systems with a project as customs documents, you must
implement /SAPSLL/IF_EXTEND_CON_CDOC of Business Add-In BAdI for Mapping and Enrichment of Data
from Sales Documents (SD0A). To configure the BAdI in Customizing in the feeder system, choose one of the
following paths:

● Materials Management Purchasing Basic Functions Foreign Trade/Customs SAP Global Trade
Services - Plug-In Business Add-Ins for SAP Global Trade Services Change and Expand Document Data
for Transfer

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● Sales and Distribution Foreign Trade/Customs SAP Global Trade Services Plug-In Business Add-Ins
for SAP Global Trade Services Change and Expand Document Data for Transfer

You have also defined the project as a relevant attribute for the import/export license type in Customizing.

Features

When you configure legal control for projects, you can take advantage of the following features:

● You can use the project number as an additional selection criterion for import and export licenses.
● You can assign a project number to an import or export license.

If you implement the BAdIs to link projects with logistics documents, you can use the project number as an
additional selection criterion for the search or as a characteristic for document-related analysis in legal control.

Activities

● To start the maintenance function for projects, go to the area menu and choose Compliance
Management Classification/Master Data Projects Edit Projects .
● You can display and edit projects. You can create new projects and change existing projects in edit mode.
● You can enter an alphanumeric name and a description to identify a project.

5.2.18 Changing the Data Basis in Classification

Use

During classification, you assign tariff numbers to your products in order to identify your products for the
customs authorities in accordance with their nomenclature of goods. You can either enter the tariff numbers
manually, as master data in your Global Trade Services (GTS) system, or obtain an XML file from a data
provider and upload it to the system.

If you want to replace your manually entered tariff numbers with the numbers from your data provider's file, or
change data providers, you can use the process for changing data in classification. This feature lets you replace
the current numbers and their assignments to products with the new numbers. GTS supports you in this
process, minimizing the manual effort required for reclassification. The system assigns the numbers to
products automatically. You can execute this change without overwriting your existing data. This means you
retain the relevant content at any given time for your own internal documentation and for official audits.

GTS supports this change process for the following tariff numbers:

● Commodity codes for exports with transit procedure and in customs processing
● Tariff numbers for imports with transit procedure and in customs processing
● Import control classification numbers in legal control

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If you change data providers, and therefore need to replace the previous data provider's content with your new
data provider's content, GTS lets you configure the time-dependency of this content. This enables you to enter
two competing sets of content in the system, and when you activate the new data provider's content, the old
data provider's content (and all dependent items) is deactivated automatically. This support for changing data
providers is available in the following areas of GTS:

Prerequisites

To change the data basis in classification, you must have completed the following activities:

● You have created the numbering schemes for the new content in the Customizing settings for GTS. You
define the validity start date for the new data provider's numbering schemes. This activates the data that
you uploaded to the system for the new numbering scheme. The system uses the new classification data
from this date.
● You have updated your existing tariff numbers to the current version and, if you already used content from
a data provider, you have uploaded that provider's latest data version. You have also reclassified your
products.

 Example

If your new data provider's tariff numbers are valid for 2007, you have to make sure that you existing
tariff numbers are also valid for 2007. If you obtained your previous numbers from a data provider, you
have to upload the latest version for 2007 to your system and use this data to reclassify your products
before you start the data change.

● You have already uploaded the new tariff numbers into the system.

Process

1. Preparation (See: Preparing to Change the Data Basis [page 111])


Before you can begin the actual change, you have to start several checks of the data. These checks are
essential to avoid data inconsistency. They include the following:
1. Scope of the data change
The first check calculates whether the existing and future tariff numbers meet the same criteria, for
example, whether the structure of the numbering scheme and the flags for country-dependency
agrees between the two sets.
2. Technical check of data content
You have to run this check for the existing and the new data. In the process, the system verifies that the
data syntax is free of errors and is identical, to avoid inconsistencies.
3. Classification check
The system checks the validity of the existing and new data. If the validity of both datasets matches, a
change is possible. The system verifies the validity of the existing classification.
Once you have run these checks without errors, you can start the next process step.
2. Data change (See: Changing the Data Basis [page 112])
1. Preparatory checks
The system repeats the checks that you ran during the preparation phase. If any of the checks results
in error messages or warnings, the system cancels the data change program.

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2. Data change in simulation mode
If you start the change in simulation mode, the system evaluates the results from the preparatory
checks. It also checks the consistency of each individual tariff number and its product assignment
again.
3. Data change in update run
The system determines the existing tariff numbers of the specified numbering scheme for a legal
regulation for all classified products and then assigns the new data provider's tariff numbers to the
products.
If you have already assigned the new tariff numbers to individual products manually, the automatic
data change is canceled. Therefore, you run an additional program in this case that deletes the
assignments of the new tariff numbers to products. You can then start the update run of the data
change again.
4. Log
The system logs all the changes associated with changing the data basis in classification. You can
compare the old data with the new data and see its product assignments. The log also contains the
results of the check programs.
3. Activate the new contents (See: Activating Classification with a New Data Basis [page 113])
1. The system uses the old tariff numbers and their assignments to products until you activate the data
change. You activate the change in Customizing by defining the validity start date for the new
numbering system. Starting on this date, the system uses the new tariff numbers and their product
assignments, which were calculated during the data change.
2. Documents in the application use the product classification that is relevant at the time they are
created. If a document is still in process on the validity start date of classification with the new
numbering scheme, the document retains the old classification. All new documents created on or after
the new validity start date use the new classification.

5.2.18.1 Preparing to Change the Data Basis

Use

These preparatory checks are a requirement for changing the data basis in classification. You can only change
the data basis if all the checks pass without errors or warning messages.

Procedure

Open the area menu and choose System Administration System Monitoring Technical Checks Change
Data Basis for Classification .

Comparison check for scope of data change

1. Choose Compare Numbering Schemes


2. Use the input help to select the numbering scheme that you currently use for classification.
3. Also choose the numbering scheme under which you have saved your new data provider's tariff numbers.
4. Choose Execute.

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5. A list of system messages appears. The list can contain success messages, errors, and warnings.
You have to correct the causes of any warnings and errors, then start the check again. Once the results are
free of errors, you can continue with the change process.

Technical check of data content

1. Choose Check Data Contents for Consistency


2. Use the input help to select the numbering scheme that you currently use for classification.
3. Also select a country to restrict the validity area of the numbering scheme.
4. Choose Execute.
5. The system calculates the validity of the tariff numbers used and outputs the results of the check in a
status message.
6. Now run the same check again, but this time for the numbering scheme under which you saved the new
data provider's tariff numbers.

Checking classification

1. Choose Check Classification.


2. Use the input help to select the numbering scheme that you currently use for classification.
3. Also select a country to restrict the validity area of the numbering scheme.
4. Choose Execute.
5. A list of products appears, with the previously assigned tariff numbers for each product and the validity
period for the assignment.
6. A status message appears with the results of the check. If you click the input help for the status field, you
can evaluate the results and analyze the errors and warning messages.

5.2.18.2 Changing the Data Basis

Use

When you change the data basis, the system repeats the preparatory checks for the Global Trade Services
(GTS) system that you performed during the system setup. These checks protect against the creation of
inconsistent data during these comprehensive changes. As a further safeguard, we recommend testing the
change of the data basis in simulation mode first. This will tell you whether you can run the change without any
technical difficulties.

Procedure

1. Open the area menu and choose System Administration System Monitoring Technical Checks
Change Data Basis for Classification Change Data Basis .
2. Under Source Scheme, choose the numbering scheme that you currently use in classification.
3. You can select a country to restrict the change of the data basis to the validity area of a certain country's
legal regulations.
4. Under Target Scheme, choose the numbering scheme that you want to use in future in classification.

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5. Specify the date from which the assignment of tariff numbers from the new numbering scheme to the
products will be valid. You must set this key date to today's date or later. Note the dependency to the
validity of the numbering scheme. If the validity start date of the numbering scheme in Customizing lies
after the key date for the assignment, the system changes the key date to the numbering scheme's validity
start date.
6. During the first program run, set the Simulation Mode flag in the Technical Settings to make sure that no
technical difficulties stand in the way of the change.
7. You can also define the Package Size, which determines the number of records to change. Each assignment
between a tariff number and a product is a record.
8. Choose Execute.
9. The system performs a check in two steps. In the first step, the system repeats the checks that you did
during the preparation phase. In the second step, the system checks each individual entry to be changed
as to whether it can be changed or whether technical problems prevent this. During the check, the system
also detects any overlaps in validity periods that have to be corrected.
10. When you start the change of the data basis as an update run, the system automatically ends the validity
for the assignment between tariff number and product and sets the specified key date as the validity end
date.

 Note

If you have already classified products with tariff numbers from the new numbering scheme, the system
terminates the change program. In this case, delete the existing classification and then start the change
program again. To delete the existing classification, go to the area menu and choose System
Administration System Monitoring Technical Checks Change Data Basis for Classification Delete
Classification with New Data .

Result

You can display the log from the data basis change, to trace all the system activities. To do so, go to the area
menu and choose System Administration System Monitoring Technical Checks Change Data Basis for
Classification Display Log for Data Change .

5.2.18.3 Activating Classification with a New Data Basis

Context

To use classification with new classification numbers, you have to activate them first. This activation is a setting
in Customizing. You define a validity start date for each numbering scheme in the assignment to an application
area. The new tariff numbers are used in the application starting on this date. The system lets you change the
data basis for the numbering schemes used with import control classification numbers, commodity codes, and

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tariff numbers. The, the validity start date information is relevant for the assignments of these numbering
schemes.

Procedure

1. If you have to modify the validity of a numbering scheme, open the Customizing structure for Global Trade
Services and choose General Settings Numbering Schemes Assign Numbering Schemes to Legal
Regulations of the Application Areas .
2. Choose the numbering scheme under which you have saved your new data provider's tariff numbers.
3. Define the validity start date for each legal regulation whose country you want to change the data basis.

5.3 Sanctioned Party List Screening

Use

A sanctioned party list contains a list of persons and companies with whom trade is prohibited by law.
Sanctioned party lists are issued by government agencies and can be obtained from data providers.
Sanctioned party lists are binding for all traders.

During sanctioned party list screening, you compare your business partner addresses with the addresses on
the relevant sanctioned party lists. When you export goods, for example, you can automatically compare the
consignees' addresses with the sanctioned party list.

The functions of the sanctioned party list screening component are integrated in the overall business process in
the system for Global Trade Services (GTS). They support you during sanctioned party list screening and log
the SPL screening results for audits.

Implementation Considerations

To use sanctioned party list screening, you have to configure your system and all the necessary settings for
sanctioned party list screening in Customizing.

For more information, see Customizing for Global Trade Service Compliance Management Control
Settings for Sanctioned Party List Screening .

For more information about configuring the system, see the Implementation Guide for Compliance
Management at the SAP Service Marketplace, under the following path:

http://help.sap.com/gts Configuration

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Key Features

● You can choose between the following display forms to run sanctioned party list screening:
○ SPL Screening with the Web UI
You can use the functions of sanctioned party list screening in a Web UI (see SPL Screening with the
Web UI [page 115]).
○ Sanctioned Party List Screening in GTS Area Menu with SAP GUI
If you want to start sanctioned party list screening in the same environment in which you use the other
application areas and functions of the GTS system, you can use sanctioned party list screening in the
area menu (see SPL Screening in the Area Menu [page 136]).
○ Sanctioned Party List Screening with Mobile App
Using the SAP Sanctioned Party List for iPhone mobile app, compliance managers can handle urgent
and time-critical compliance issues. This app is tied to the SAP Global Trade Services application, and
enables compliance managers to access exceptions directly from their iPhones and thereby prevent
negative impact on the company.

5.3.1 SPL Screening with the Web UI

Use

Sanctioned party list screening in the Web UI gives you functions that the system groups together in a logical,
guided sequence. This emphasizes the connections between the various settings. To evaluate blocked
documents and business partners, the block information is sorted by importance and displayed in a structure.
This helps you during the maintenance and potential release of blocked documents and business partners.
Moreover, the arrangement of functions enables the clear delimitation of areas of responsibility and a clear
definition of communication and escalation paths during the release of blocked documents and business
partners.

The functions for sanctioned party list screening are divided into several work centers. One work center
contains tasks, functions, and information for configuring and managing sanctioned party lists. Another work
center contains all the functions for analyzing the results of sanctioned party list screening, as well as
managing exceptions. They also contain functions for managing business partners, the workflow, and audits.

In addition to the work centers, you can use reports to display the evaluation of the screening results and define
the type of information that you want to display in the reports. The reports contain the defined information that
the system aggregates for you and summarizes on one page in graphical form. As a result, you can use these
reports for evaluations.

Features

The following list provides an overview of the functions that you can use in sanctioned party list screening:

● Maintenance of SPL master data

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You create the master data for a sanctioned party list manually or upload it to your system from an XML
file. You can maintain this master data. You create comparison terms for an SPL master record, which the
system then uses to compare with your business partner addresses.
See also:
○ Creating and Managing SPL Master Data [page 117]
○ Generating a Comparison Index for SPL Master Data [page 119]
○ XML Upload of Sanctioned Party Lists [page 118]
● Evaluation of sanctioned party lists
You can create lists with sanctioned party entities according to specific search criteria. You can use these
lists, for example, to monitor the validity of SPL entities and decide which entities you want to archive. You
can also check the upload logs.
See also:
○ Monitoring SPL Master Data [page 120]
○ Checking Upload Logs [page 121]
● Control settings for sanctioned party list screening
You can configure control settings for sanctioned party list screening, for example, for the comparison
index and for XI input processing. You can reset the buffers for the application and for Customizing, as well
as assign business partners to a foreign trade organization.
See also:
○ Generating a Comparison Index for Business Partners [page 122]
○ Control Settings for Sanctioned Party List Screening [page 123]
○ Control Settings for XI Input Processing [page 124]
○ Resetting the Application and Customizing Buffers [page 125]
○ Assigning Business Partners to Foreign Trade Organizations [page 125]
● Simulation and execution of sanctioned party list screening
You can run sanctioned party list screening directly or offline. You can also run SPL screening directly for a
specific business partner or document. If you want to review the results before actual screening, you can
run sanctioned party list screening in simulation mode.
See also:
○ Running Sanctioned Party List Screening [page 129]
○ Sanctioned Party List Screening (Offline) [page 128]
○ Ad Hoc Sanctioned Party List Screening [page 132]
○ Simulated Sanctioned Party List Screening [page 133]
● Maintaining blocked business partners and documents
The system displays an overview of the documents or business partners that were blocked as the result of
sanctioned party list screening. You can review and release these blocks.
See also:
○ Releasing Blocks from Sanctioned Party List Screening [page 126]
○ Releasing Blocks for Documents [page 127]
● Managing business partners
You can monitor and maintain the business partners for sanctioned party list screening. You can also
maintain positive and negative lists to override the result of sanctioned party list screening for selected
business partners.
See also:
○ Entering and Maintaining the Positive/Negative List [page 132]
○ Monitoring and Maintaining Business Partners [page 130]
● Audits for sanctioned party list screening

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You can carry out audits for sanctioned party list screening for business partners and documents. You can
also run evaluations for the reasons for release defined when creating the positive list.
See also:
○ Audits for Sanctioned Party List Screening [page 134]
○ Evaluating Reasons for Release [page 135]

5.3.1.1 Sanctioned Party List Screening: Master Data

The Sanctioned Party List Screening : Master Data area contains all the functions that you need to manage and
monitor the master data for sanctioned party list screening, as well as the control settings for SPL screening.

5.3.1.1.1 Creating and Managing SPL Master Data

Use

Sanctioned party lists are issued by the authorities. You obtain the data needed for sanctioned party list (SPL)
screening from data providers and transfer it to your system via XML data upload or XI input processing.

You can create SPL master data and maintain it in the SAP system. This can be necessary in cases such as the
following:

● If the authorities publish changes to SPL master data, for example, adding new entities, new or changed
addresses, or alias names.
● You want to add your own entities to the official SPL master data issued by the authorities.

Prerequisites

You have defined legal regulations and SPL types in Customizing. For more information, see the Configuration
Guide for Compliance Management under the following path:

http://help.sap.com/gts Configuration

Features

You can use the following functions in the work center Sanctioned Party List Screening: Master Data:

● Create SPL master data manually


● Change SPL master data
● Display SPL master data

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The function for creating and maintaining SPL master data is divided into three tab pages:

● Header data
On the Main View 1 tab page, you define the header data for the legal regulation, as well as the list type and
validity. You enter the names and addresses of the assigned business partners along with attachments and
URLs. You can also save a comment for the sanctioned party list.
● On the ID Card Data tab page, you save information such as date of birth and type of identification.
● On the Reference Text tab page, you can enter a comment for the sanctioned party list.

You can use the following functions to maintain SPL master data:

● Deactivate
You use this function to deactivate the master record.
● Display Mode
Use this function to switch from maintenance mode to display mode.
● Overview
Use this function to navigate from a tab page view to a general overview. You can print the overview.
Choose Detail to return to the tab page view.
● Display Change History
You can use this function to display the change history. It contains information about the type of change,
the person who performed the change, and the date of the change.
● Delete SPL Entity
You use this function to delete the master record.

5.3.1.1.2 XML Upload of Sanctioned Party Lists

Use

This function lets you upload sanctioned party lists into your system that you receive in XML format from your
data providers.

 Note

Alternatively, you can also use SAP NetWeaver Process Integration (SAP NetWeaver PI) to upload SPL
master data to your system. For more information, see Control Settings for XI Input Processing [page 124].

 Note

Uploading of PEP lists is currently not supported.

The Supervisors PEP Working Paper 2001 document describes the definition and treatment of PEP
(politically-exposed persons). The definition was made in the Directive 2005/60/EC of the European
Parliament and of the Council of 26 October, 2005 for the prevention of the use of the financial system for
the purpose of money laundering, including terrorist financing. Article 3, no. 8 of the directive defines
politically exposed persons as natural persons who are or have been entrusted with prominent public
functions and immediate family members, or persons known to be close associates, of such persons.

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Prerequisites

The data provider is defined as a business partner in the system for SAP Global Trade Services (SAP GTS).

You receive an XML file with the necessary data from your data provider and saved it in the appropriate
structure.

Activities

To upload a sanctioned party list, proceed as follows:

1. Choose Sanctioned Party List Screening: Master Data Upload Sanctioned Party Lists .
2. Enter the required selection criteria.
3. Choose Continue.
During the upload, the system performs a plausibility check to ensure that the data is consistent and does
not contain any errors. If the system finds variants in the records, it does not upload the corresponding SPL
records to the system. The upload program writes any errors to log files (see Checking Upload Logs [page
121].
4. Click Continuer to go to the next step. Here you generate the comparison index for the sanctioned party
list. To do so, enter a validity period. You can limit the selection to specific sanctioned party list numbers.
5. If you have activated TREX, the system transfers the comparison index to TREX when you choose
Continue. If TREX is not active, the system aggregates the index.
6. Choose Continue to complete the upload. The system displays the upload log.

5.3.1.1.3 Generating a Comparison Index

Use

Before you carry out sanctioned party list screening – that is, before you can compare your business partner
addresses with the names and addresses in the master data records of the sanctioned party lists – you have to
convert the various partner addresses and sanctioned party list addresses in a comparison index. In this
process, you use the address data to create the comparison terms that are used to check the business partner
addresses. When the system runs sanctioned party list screening, it breaks down the SPL master data and
business partner data into search terms and only compares these generated search terms during screening.
This reduces the runtime of sanctioned party list screening significantly.

Prerequisites

You have configured the necessary settings for creating the comparison index (see Settings for Sanctioned
Party List Screening [page 123]). The comparison index contains all the SPL master data (such as names and
addresses of business partners) that you either entered manually or uploaded to the system from an XML file.

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Activities

The function is available in the Work Center Sanctioned List Screening: Master Data.

To generate the comparison index, proceed as follows:

1. In the first step, enter the legal regulation, the list type, and the sanctioned party list number and validity
date. Choose Continue.

 Note

If you want to simulate generation of the comparison index first, choose Simulate. The simulated
results appear below the selection window.

2. In the second step, define the processing mode. If you set the Parallel Processing parameter, the system
distributes the steps for generating the comparison index to multiple work processes and, in some cases,
to different application servers. If you choose the Parallel Processing option, enter the logon group and
server group that you want the system to use for processing.
3. Choose Continue.
The system processes all the selected address components from the sanctioned party list in accordance
with the linguistic and phonetic rules that you defined in the general settings for generating the
comparison index. It writes the results to the database.
4. The results table that is displayed contains information about the elements used, such as the sanctioned
party list, the number of the SPL entity, the number of the SPL search term, and the origin of the search
term.

5.3.1.1.4 Monitoring SPL Master Data

Use

The monitoring function supports you in managing your sanctioned party list (SPL) master data in the system
for Global Trade Services (GTS). You can see existing sanctioned party list entries in the overview or compile
lists according to specific criteria. You can use these lists, for example, to monitor the validity of SPL entities
and decide which entities you want to archive.

Features

You monitor SPL master data based on queries that you can define yourself, according to specific criteria, and
save. You can retrieve the saved search queries at any time. The following query types are defined:

● Display Expiring Sanctioned Party Lists


● Display Overview List
● Display Archivable Entries

You can enter additional search criteria to restrict the query type further. The Preview function lets you check
the result of your search query before you start the search.

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Before you start the search, enter a description for the query. You can decide whether you want to activate the
query. If you do, you can execute it again at any time. You can assign the query to a category.

When you start the search, you see a list of all sanctioned party list entities, with the assigned sanctioned party
list and list type, that match your search criteria. You can print the list, export it to Excel, or change the query
criteria. The following options exist for displaying the results list:

● Table
● Table and graphic
● Graphic

To display detailed information for a sanctioned party list, select the required SPL number from the list.

5.3.1.1.5 Checking Upload Logs

Use

You can upload sanctioned party lists from XML files to screen your business partner addresses. You can then
check the upload logs to make sure that the upload was executed without errors. You can use the information
from upload logs for troubleshooting and for audits.

Features

The Display Upload Logs function lets you search for specific upload logs. You can save a search query and
reuse it at any time.

The result of the search is a list with the following information for each entry:

● Upload type
● Category
● Upload date
● Data provider
● Upload ID
● File name
● Summary status
● Upload number
To display the upload log for an entry in the list, click the icon.

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5.3.1.1.6 Generating a Comparison Index for Business
Partners

Use

Before you carry out sanctioned party list screening – that is, before you can compare your business partner
addresses with the names and addresses in the master data records of the sanctioned party lists – you have to
convert your business partner data to a comparison index. You use this function whenever you enter new or
changed addresses in the feeder system. The comparison index for business partner data reduces the runtime
for sanctioned party list screening, because the system does not have to generate the comparison index
directly before screening.

Features

To generate a comparison index for business partners, enter the following settings on the selection screen for
the function:

● You can define that you only want to generate the comparison index for certain legal regulations. If you do
not specify a legal regulation, the function automatically selects all the legal regulations that are activated
for sanctioned party list screening.
● You can define that you only want to generate the comparison index for changed business partner
addresses or for all business partner addresses.
● You can restrict the generation of the comparison index to specific country keys or business partner
numbers.
● You can generate the comparison index in simulation mode first. This lets you check the generation result
beforehand.
● You can define that you want the system to display the comparison index in a results list.

Activities

When you have configured the corresponding settings, choose Execute to start generation of the comparison
index.

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5.3.1.1.7 Control Settings for Sanctioned Party List
Screening

Use

During sanctioned party list screening, the system checks the names and addresses of business partners
against a previously generated comparison index. You use this function to define the control parameters for
sanctioned party list screening.

Prerequisites

You have configured the settings for sanctioned party lists in Customizing: For more information, see the
Configuration Guide for Compliance Management at the SAP Service Marketplace, under the following path:

http://help.sap.com/gts Configuration

Features

You can define different comparison procedures. You configure the following settings for each comparison
procedure:

● Exclusion Texts
On the Exclusion Texts tab page, you define the terms that you want the system to exclude from the index
for comparison terms, and therefore from SPL screening. Exclusion texts could be the following terms, for
example: AG, Corp., or Inc.
● Alias Terms
On the Alias Terms tab page, you define the terms that you want the system to check for matching with
alias terms. When you define alias terms, you increase the number of matches, reducing the runtime of
SPL screening.
● Normalization
On the Normalization tab page, you define that you want the system to replace certain letters or
combinations of letters (search string) with other letters or combinations of letters (replacement string).
This is helpful for various languages. In German, for example, you can replace the "oe" and "ue" umlauts
with "ö" and "ü".
● Delimiter
On the Delimiter tab page, you define the delimiter character that the system counts as a separator in
business partner addresses.
● TREX Destination
On the TREX Destination tab page, you create the system connection to SAP TREX. The SAP TREX
connection lets you use the generated comparison index in comparisons between sanctioned party list
entities and address components.

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In addition to the parameters that you set manually, the system performs the following actions automatically:

● Change lower case to upper case


The system converts all lower-case letters in the business partner address automatically.
● Delete duplicate letters
The system automatically deletes duplicate letters in business partner addresses. If duplicate letters are
important differentiation criteria, you can set this flag to improve the screening results.

The exclusion texts, alias terms, and normalization entries can be printed or exported to a file.

When you have configured all the settings, you can start the function to generate the comparison index (see
Generating a Comparison Index [page 119]).

5.3.1.1.8 Control Settings for XI Input Processing

Use

You can use SAP NetWeaver Process Integration (SAP NetWeaver PI) to transfer XML updates for SPL master
data from data providers to your system. You use this function to define the parameters for sending the XML
data to the system for Global Trade Services (GTS).

 Note

Process Integration for SAP NetWeaver (SAP NetWeaver PI) is also known under its previous product
name, SAP NetWeaver Exchange Infrastructure (SAP XI).

The upload logs lets you check whether the transmission was executed free of errors. For more information,
see Checking Upload Logs [page 121].

Prerequisites

You have configured communication between the GTS system and SAP NetWeaver PI.

The data provider is defined as a business partner in the GTS system.

Features

Define the following parameters to control input processing:

● Business Partner
Enter the data provider for the sanctioned party list in this field.
● Legal Regulation

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The following parameters a set by default:

● Area: Sanctioned Party List Screening


● Data Object: Sanctioned Party List

5.3.1.1.9 Resetting the Application and Customizing


Buffers

Use

Resetting the Customizing and application buffers ensures that sanctioned party list screening is carried out
properly after changes to the Customizing settings. In the course of comprehensive sanctioned party list
screening, the system compares a variety of information with the data in the database. To maintain system
performance during the processing of large datasets, the system for Global Trade Services (GTS) has
Customizing and application buffers that contain all the data for sanctioned party list screening.

If you change the settings for sanctioned party list screening in Customizing, these changed settings have to be
adopted in the buffers. The Reset Buffers for Application and Customizing empty the buffers and ensure that
the subsequent sanctioned party list screening is not based on out outdated settings in the buffer, but instead
always reads the latest data and settings from the database.

Activities

Choose the comparison procedure, legal regulation, or partner function that you want to reset and choose
Execute.

5.3.1.1.10 Assigning Business Partners to Foreign Trade


Organizations

Use

When you create business partners in your system, they may not be assigned to a foreign trade organization
yet. This assignment lets you organize sanctioned party list screening according to the respective foreign trade
organization, for example, and restrict processing and display of data in a sanctioned party list for users from a
specific foreign trade organization. These restrictions are necessary in some countries due to local data
protection laws. You assign business partners to foreign trade organizations for sanctioned party list screening
in this function.

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Prerequisites

You have assigned company codes in the feeder system to foreign trade organizations in Customizing for the
system for Global Trade Services (GTS).

You have created the foreign trade organizations and the business partners that you want to assign to a foreign
trade organization exist in the GTS system (see Monitoring and Maintaining Business Partners [page 130]).

5.3.1.2 Sanctioned Party List Screening

The Sanctioned Party List Screening area contains the functions to analyze the results of sanctioned party list
screening, along with exception management. This area also contains functions for managing business
partners, the workflow, and audits.

5.3.1.2.1 Releasing Blocks from Sanctioned Party List


Screening

Use

When sanctioned party list screening results in a match between an SPL entity and business partner
addresses, the corresponding business partner is blocked. A match occurs when a comparison term in the SPL
entry matches a comparison term in the business partner data.

You can check the blocks that the system sets during sanctioned party list screening and release them
manually where appropriate.

Prerequisites

You have configured the necessary settings for integration with Case Management.

For more information, see the Configuration Guide for Compliance Management at the SAP Service
Marketplace, under the following path:

http://help.sap.com/gts Configuration

Features

Starting from new or existing query, select a blocked business partner from the results list of the query to
review. When you choose Review Blocked Partners, a separate maintenance window appears and displays the
results of sanctioned party list screening for the blocked business partner.

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The following functions are available:

● Release: This function releases the block.


● Confirm Block: This function confirms the block.
● Create Case
You can create a case to safeguard your decision to release a blocked business partner. In this case, you
enter memorandums for the activities and pass the decision on to another employee or superior in a
defined process route. The case information lets you store documents and background information that
can aid decision-making.
For more information about Case Management, see http://help.sap.com SAP ERP SAP ERP Central
Component Cross-Application Services Case Management .

You can also print the detailed information for the blocked business partner, send it by e-mail, and add a
comment. You can also initiate a workflow.

 Note

Note that when you open the detailed information for a business partner, that entry is blocked for
maintenance by other users.

Choose Release Selected Entries to release the blocks for the entries you selected in the list.

5.3.1.2.2 Releasing Blocks for Documents

Use

Depending on the documents that you have activated for sanctioned party list screening, the system runs SPL
screening of business partner addresses in these documents synchronously or asynchronously in the system
for Global Trade Services (GTS).

Important documents are late documents in the supply chain, such as delivery documents.

As the result of sanctioned party list screening of documents, the system can block documents for further
processing. A document block is triggered by a match between an SPL entity and the business partner data in
that document. This means a match exists between a comparison term in the SPL entity and a comparison
term in the document address.

Prerequisites

You have configured the necessary settings for integration with Case Management.

For more information, see the Configuration Guide for Compliance Management at the SAP Service
Marketplace, under the following path:

http://help.sap.com/gts Configuration

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Features

Starting from new or existing query, select blocked documents from the results list of the query to review.
When you choose Review Blocked Entries, a separate maintenance window appears and displays the results of
sanctioned party list screening for the blocked business partner.

The following functions are available:

● Create Case
You can create a case to safeguard your decision to release a blocked business partner. In this case, you
enter memorandums for the activities and pass the decision on to another employee or superior in a
defined process route. The case information lets you store documents and background information that
can aid decision-making.
For more information about Case Management, see http://help.sap.com SAP ERP SAP ERP Central
Component Cross-Application Services Case Management .
● Release Document
To release a blocked document, you first have to review and release every business partner that is
associated with that document. To do so, select one of the displayed partners and choose Review Partner.
● Display Customs Document

5.3.1.2.3 Sanctioned Party List Screening (Offline)

Use

You can run sanctioned party list screening offline for business partner data from non-SAP systems. The
system logs the screen results in the system for Global Trade Services. You can use the logs in the form of audit
trails.

Prerequisites

The address data from the non-SAP system is available as an XML file in the required format. A template of this
format is available in the Sanctioned Party List Screening (Offline) function. The XML files must be available in
this format or the system will not be able to process the address data.

Activities

To start offline sanctioned party list screening, proceed as follows:

1. Select a legal regulation and the storage location of the XML file. If you do not want to simulate screening,
but instead write an audit trail for sanctioned party list screening, set the Write Audit flag.
2. Choose Upload to start screening. The system uploads the data from the XML file and carries out
screening.

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The system displays a list with the results of sanctioned party list screening. The following processing options
are available in the results list:

● Download Results: You can use this function to download the results of SPL screening as an XML file.
● Review SPL Blocks: This function displays the blocks for business partners. (See also: Releasing Blocks
from Sanctioned Party List Screening [page 126]

5.3.1.2.4 Running Sanctioned Party List Screening

Use

You use this function to start sanctioned party list screening for business partner addresses or documents in
your system. During sanctioned party list screening, the system matches comparison terms saved for a
sanctioned party list with terms for your business partner data in a comparison index.

Prerequisites

You have run periodic sanctioned party list screening for all blocked business partners. This process starts
when you change at least one entry in the SPL master data or upload an update file from a data provider to
your SPL master data.

You have carried out one of the following two activities:

● Flagged new/changed business partner addresses for synchronous screening


To start this activity, go to Customizing for Global Trade Services and choose Compliance Management
Sanctioned Party List Screening Activate Business Partner at Business Partner Function Level . In the
SPL Time field, choose option Synchronous - When Object Is Updated. The business partner addresses are
updated in the system for Global Trade Services and sanctioned party list screening starts immediately.
The system compares the business partner's addresses with the addresses in the SPL master data.
● Flagged new business partner addresses for asynchronous screening
To start this activity, go to Customizing for Global Trade Services and choose Compliance Management
Sanctioned Party List Screening Activate Business Partner at Business Partner Function Level . In the
SPL Time field, choose option Asynchronous - When Function Is Called.

You have created the business partner in the partner master record in the feeder system and transferred it to
the GTS system.

You have activated the relevant document types for the defined legal regulations in Customizing: Global
Trade Services General Settings Document Structure Activate Document Types for Application Areas .

You have configured the settings for sanctioned party list screening in Customizing.

For more information about the settings, see the Implementation Guide for Compliance Management at the
SAP Service Marketplace, under the following path:

http://help.sap.com/gts Configuration

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Features

You can use the following predefined scenarios to start sanctioned party list screening:

● Sanctioned party list screening changed partners or documents


If a business partner's data changes, you have to start sanctioned party list screening again for that
business partner.
You also have to check customs documents in the GTS system with sanctioned party list screening, to
ensure they do not contain any business partners who are blocked for business transactions.
● Sanctioned party list screening for business partners or documents due to changed sanctioned party list
You can use this function to match your business partners or documents with new or changed sanctioned
party lists. You update sanctioned party lists due to additions or changes in official sanctioned party lists
that you receive from your data provider or from government agencies.
● Sanctioned party list screening for blocked business partners after master data change
When you update your sanctioned party lists, the system can screen all your business partner master data
against the new or changed data in the sanctioned party lists. The system also checks whether blocked
business partners can be released after the validity period of SPL entities expires.

You can start sanctioned party list screening in dialog or in the background. Dialog processing is a synchronous
process: Screening is started when the document is saved in the feeder system. In the asynchronous process,
you schedule screening as a background job at a later time or you run screening manually in a dialog box. The
asynchronous process is particularly suitable for alternating or changing business partner addresses. In the
asynchronous process, you can override Blocked status directly during screening. As a result, you do not have
to maintain that partner again in the list of blocked partners.

 Note

During sanctioned party list screening, the system only compares the new SPL data that you uploaded to
the SPL master data as an update, and not the full SPL master data, because the system has already
screened the unchanged business partner data with the SPL master data.

When sanctioned party list screening is complete, the system outputs a list of the business partners or
documents in which it found phonetic matches between the new or changed business partner addresses and
the addresses in the sanctioned party lists. If you confirm the result of sanctioned party list screening, the
system updates the block management settings and the audit trail.

You can carry out the following functions in the results list:

● Download results
● Print
● Export
● Release blocks from sanctioned party list screening [page 126] and Release blocks for documents [page
127]

5.3.1.2.5 Monitoring and Maintaining Business Partners

Use

Business partners are persons, organizations, or organizational groups with which your company maintains
global trade relationships. In addition to the initial and period transfer of business partner master data from

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your feeder system, you have to create new business partner master data for sanctioned party list screening
and maintain existing data.

Prerequisites

You have completed the following steps in Customizing:

● Create number ranges for business partners


● Create and assign partner functions
● Activate business partners for sanctioned party list screening

For more information about the settings, see the Implementation Guide for Compliance Management at the
SAP Service Marketplace, under the following path:

http://help.sap.com/gts Configuration

Features

Once you transfer customer and vendor data from a feeder system to the system for Global Trade Services
(GTS), you can no longer change it in the GTS system. You can use this function to find, create, change, and
display additional business partners for sanctioned party list screening.

Based on an existing or new search query, you see a results list with the business partners that match your
search criteria. The following functions are available:

● Create
You can create a person or an organization. This function contains the following tab pages where you can
enter master data for the business partner:
○ Header data, such as the business partner number, business partner function, and name and address
of the business partner.
○ Addresses: You can enter additional addresses for the business partner here.
○ Identification
On this tab page, you enter identification information for the business partner, such as ID card or tax
information.
○ GTS Compliance Data
This tab page contains information on the status of sanctioned party list screening and on whether
Military/Civilian use is used.
○ Attachments
On this tab page, you can upload additional information for the business partner as files.
Required-entry fields are marked with asterisks (*).
● Change
Select the business partner that you want to change from the list. The Maintain Business Partner Master
Data function starts.
● Overview
This function lets you display detailed information for a selected business partner.

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5.3.1.2.6 Entering and Maintaining the Positive/Negative
List

Use

The positive list and negative lists let you manage exceptions to the results of sanctioned party list screening
for business partners:

● You assign business partners to the positive list who were blocked by sanctioned party list screening, but
whom you want to ship to anyway.

 Note

Note, however, that you cannot release a business partner who appears in an official sanctioned party
list.

● You assign business partners to the negative list who received a positive result from sanctioned party list
screening, but with whom you do not want to conduct any business transactions.

Prerequisites

You have run sanctioned party list screening.

Features

You can add or remove business partners to the positive list or negative list. You can enter the reason for
assigning a partner to one of the two lists:

● A reason for release for additions to the positive list


● A reason for blocking for additions to the negative list

You can choose the Check function from either the positive or negative list to start sanctioned party list
screening for the business partner.

5.3.1.2.7 Ad Hoc Sanctioned Party List Screening

Use

Ad-hoc sanctioned party list screening enables you to check the address of a specific business partner, such as
a consignee, against a sanctioned party list.

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Features

You start sanctioned party list screening based on a legal regulation for a business partner.

If the screened address matches an entity in the sanctioned party list, the function displays the details for the
matches with the following information:

● Match level
● List type and number of sanctioned party list for the matches
● Known names and addresses of the business partner

You can add a comment for a screened business partner.

Activities

To start ad hoc sanctioned party list screening, proceed as follows:

1. Enter a legal regulation for screening and the name of the business partner. All other information is
optional.
2. Choose Check. The system displays the result of the business partner screening. You can enter a comment
or flag the business partner.
3. Choose Check New Address to return to the initial screen of the function, where you can check another
business partner.

5.3.1.2.8 Simulated Sanctioned Party List Screening

Use

This function lets you simulate sanctioned party list screening for business partners or documents. You can use
this function as a test to check whether a new business partner address would be blocked for business
transactions in sanctioned party list screening.

Activities

You can use this function in the Sanctioned Party List Screening work center.

Proceed as follows:

1. Choose whether you want to simulate sanctioned party list screening for a business partner or a
document.
2. Choose a saved search query or specify the search criteria for a new search query.
3. Choose Find.
The results list appears beneath the search window.

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4. Select the entry you want to check and choose Screen.
You see an overview with all matches from sanctioned party list screening.
The following maintenance options are available:
○ Print
○ Close
○ Back to Search Result
○ New Simulation
○ Display Customs Document

5.3.1.2.9 Audits for Sanctioned Party List Screening

Use

Sanctioned party list screening results must be accessible for official audits within an officially defined period.
Therefore, the system logs the SPL screening processes performed at your company at the level of the
respective legal regulations. These logs, or audit trails, are important evidence for legal purposes.

The system logs every SPL screening activity of addresses and documents in the audit trail. The customs
authorities request the following information, which is contained in the audit trails, at regular intervals:

● Sanctioned party list screening carried out


● Time of sanctioned party list screening
● Screened business partners and documents
● Result of sanctioned party list screening

Features

You can use the following audit scenarios in the SPL Screening Audit function:

● Business partner screening


● Document screening
● Ad hoc screening
● Offline screening

You can archive the audit trails.

Activities

You can use this function in the Sanctioned Party List Screening work center.

To start create audit trails, proceed as follows:

1. Define the desired audit scenario in the Select Audit Scenario field.

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2. Select a saved search query or define new search criteria.
3. When you start the search, the system displays the business partners or documents that match your
search criteria. You can use the following functions for each record in the results list:
○ Display case
○ Display screening history for business partners
○ Display screening history for documents (only in audit scenario for documents)
○ Add comment

This information allows you and the authorities to monitor the reasons why a user decided to override a system
decision to block a particular document or business partner. The user’s comments are also contained in the
audit trail, which makes all your business processes transparent.

5.3.1.2.10 Evaluating Reasons for Release

Use

When the system sets a block, you can check the affected documents or business partners individually. If your
check reveals that the system block is inappropriate for a specific business transaction, you can release the
corresponding document or business partner. The system writes an entry to the audit trail for each of these
releases.

To document releases in more detail, you define reasons for release. Depending on your Customizing settings,
you can either enter a comment for the release or assign predefined reasons when you release the object. If
you use predefined reasons for release, you can evaluate which reasons were given for manual releases. Based
on your analysis results, you can adjust the settings that resulted in the avoidable blocks, minimizing your
manual effort in future. Optimizing your screening rules also streamlines your compliant business processes.
You can use the assignment of standardized reasons for release for releases after embargo blocks or blocks
after sanctioned party list screening.

Prerequisites

You have defined the reasons for release in Customizing and activated them for use in releases in the control
settings for embargo checks and sanctioned party list screening.

You assign a reason for release when you release an embargo block or block in sanctioned party list screening.

Features

You can run the evaluation for business partners or customs documents. You can use the following criteria to
limit the selection:

● Legal regulation
● Reason for release

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● Date of sanctioned party list screening
● Business partners

When you start the analysis, the system displays the results list beneath the search screen. You can sort the list
in ascending or descending order. You can also export the list to Excel or generate a print version as a PDF file.

5.3.1.3 Reports for Evaluations

The Reports for Global Trade Services area contains programs and reports that let you evaluate the results and
process flows of your GTS transactions at a glance.

The reports let you monitor a specific area based on defined key figures. Thanks to the concise information
provided, the reports give you a quick overview of the most important elements, letting you evaluate the
results. You can set the focus on the most important elements in any report.

5.3.1.3.1 Reports for Sanctioned Party List Screening

The summary information provided in the reports for sanctioned party list screening give you a quick overview
of the screening results at various levels.

You can evaluate blocks for documents and business partners at certain times or within certain periods. You
can check how many screenings the system has carried out, for example, and how many blocks it has set
based on the screening results.

You can adjust the evaluation parameters for the report, as well as switch between different parameters, such
as time units. You can also navigate within the reports to display additional details or perspectives.

5.3.2 Sanctioned Party List Screening in the Area Menu

Use

You can use sanctioned party list (SPL) screening in the area menu of the Global Trade Services (GTS) system.
When you do so, you activate the same functions for SPL screening as in the other application areas of the GTS
system.

Process

1. To start the SPL screening features, enter transaction code /SAPSLL/MENU_LEGAL to open the area menu
and choose Compliance Management Sanctioned Party List Screening .

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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.
For more information, see the following documentation:
○ Maintaining Sanctioned Party Lists Manually [page 140]
○ Maintaining Business Partners [page 65]
○ Comparison Terms for SPL Master Data [page 152]
2. Logistics
SPL Screening with Logistics
For more information, see SPL Screening for Logistics [page 158].
3. Human Resources
SPL Screening with Human Capital Management
For more information, see SPL Screening with Human Capital Management [page 202].
4. Financial Accounting
Sanctioned Party List Screening for Financial Accounting
For more information, see Sanctioned Party List Screening for Financial Accounting [page 199].
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 Logistics, Human Resources, and Financials business areas contain the following:
1. Asynchronous check
For more information, see SPL Screening When Business Partner Addresses Change [page 160]
and SPL Screening When Document Partner Address Changes [page 162].
2. Periodic screening of business partners and document partners (in dialog and in the background)
For more information, see Periodic Screening of Business Partners [page 165].
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
For more information, see Simulated SPL Screening of Business Partners [page 181].
5. Analysis of audit trail data (SPL screening logs)
For more information, see Audit Trails [page 197].
6. Monitoring blocked business partners and documents
For more information, see Monitoring Blocked Business Partners [page 192] and Monitoring
Blocked Documents [page 194].

 Note

When you edit a customs document for SPL screening of the document address, 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, the system transfers the changes to the
logistics document to SAP GRC Global Trade Services 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.

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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 directly 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 system 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 SPL Screening When Document Partner Address Changes [page 162].
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.
For more information, see Periodic Screening of Business Partners [page 165].
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.
For more information, see Periodic Business Partner Check in Positive/Negative List [page 167].
6. Provided you have not changed any SPL or business partner master data, the system remembers that they
have been manually released and does not block the same business partner again.
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, the system blocks the
document for further processing in the feeder system.
For more information, see Screening Variants in Business Partner Screening [page 159].
8. You can integrate SPL screening with logistics for Sales & Distribution and Materials Management.
For more information, see SPL Screening for Logistics [page 158].
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.
For more information, see Sanctioned Party List Screening for Financial Accounting [page 199].
10. You can integrate SPL screening with Human Capital Management to run checks on potential job
candidates and ensure they do not feature on any sanctioned party lists.
For more information, see SPL Screening with Human Capital Management [page 202].
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.
For more information, see Monitoring Functions for Sanctioned Party List Screening [page 188].

Results

The screening results depend not only on the SPL data represented by the SPL master data in the system, 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.

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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. For more information about audit trails, see Audit Trails [page 197]

5.3.2.1 Enhanced Authorization for SPL Screening

Use

The enhanced authorization within the sanctioned party list (SPL) screening functionality means that you can
restrict data maintenance in SPL to specifically selected users that belong to one foreign trade organization.

This is of particular importance in the SPL Screening Integration with Human Resources [page 202] scenario
due to the fact that there are laws and regulations for data protection in some countries. The result is that
personnel data cannot be viewed or manipulated by other "unauthorized persons.

Example: The SPL screening results of business partners from "sensitive countries may only be displayed and
edited by employees who are either form the same country or country group.

Integration

With SAP GTS, you can group business partners together and assign authorizations at partner group level.

The standard authorization is issued at the following levels:

● Transaction
● Authorization profile

The enhanced authorization at partner group level affects the following SPL functions:

● SPL screening of business partners:


○ SPL screening of business partners when the business partner master data has changed
○ Periodic SPL screening of business partners
○ SPL screening of business partners when the business partner master data has changed
○ Simulated SPL screening of business partners
● SPL screening of document partners:
○ SPL screening of document partners when the business partner master data has changed
○ Periodic SPL screening of document partners
○ SPL screening of document partners when the sanctioned party lists have changed
○ Simulated SPL Screening of Document Partners
● SPL audit trail for business partners and customs documents
● Blocked business partners list
● Blocked customs documents list
● List of customs documents that are to be released manually

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● List of existing customs documents

Activities

You assign authorization profiles, which are generated on a role basis, to users.

5.3.2.2 Master Data in SPL Screening

You need to maintain the following sanctioned party list (SPL) screening-specific master data:

● Sanctioned party lists


● Business partners
● Comparison terms
● Monitoring sanctioned party lists
● Customizing/application buffer (resetting to synchronize latest Customizing settings)

 Note

You can modify the validity of sanctioned party list entries in SAP GTS System Administration under
System Monitoring Sanctioned Party List Screening Adjust Validity of SPL Entries .

5.3.2.2.1 Maintaining Sanctioned Party Lists Manually

Use

You have to create the sanctioned party lists that you use to check your business partners' addresses in
sanctioned party list (SPL) screening. To do so, you upload sanctioned party lists you receive from your data
provider. You can also enter the data manually, if your company wants to add more business partners to the
official lists.

When the system for Global Trade Services (GTS) performs sanctioned party list (SPL) screening for business
partners, and blocks a business partner due to a match between a phonetic text string in the SPL master data
and a phonetic text string in the business partner data, you can release the blocked business partner manually.
Note, however, that you cannot release a business partner who appears in an official sanctioned party list.

SPL maintenance has the following impact on sanctioned party list screening:

● This business partner is not checked again by the system during periodic SPL screening, which you can
schedule as a background job to regularly screen all new and changed business partner data. Therefore,
you do not have to release the same business partner repeatedly, since the system recognizes the initial
manual release for that business partner.
● In addition, the system can detect whether the basis for screening has changed since the last SPL
screening – that is, if the business partner data or SPL data has been modified in the interim. If the data

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has not changed since the last manual release, the system applies your last decision. Therefore, the
system does not block a business partner if you released it manually during the previous screening.
● Data changes since the last SPL screening that affect the system response:
○ Changes to SPL master data since the previous SPL screening
○ Existence of several different SPL records that the system identifies as matches
○ Changes to business partner address data since the previous SPL screening
○ Changes to the Customizing settings
● If any changes of this type are made, the system cannot apply your last decision, and instead screens the
business partner against the SPL master data again.

Prerequisites

You have defined legal regulations and SPL types in Customizing of the GTS system for Compliance
Management. For more information, see the Configuration Guide for Compliance Management on SAP Support
Portal.

You have also defined a specific data provider for manual sanctioned party lists as a business partner. You need
this data provider to crate or maintain sanctioned party list manually. You could call this data provider “Manual
List”, for example. For more information about creating business partners, see the section on maintaining
business partners (see: Maintaining Business Partners [page 65]).

Procedure

Creating SPL Entities Manually

1. The SPL entities that you want the system to use for screening can be uploaded or created manually. To
create entries manually, choose Compliance Management Sanctioned Party List Screening Master
Data Sanctioned Party Lists Maintain Sanctioned Party Lists Create SPL Data
2. Enter the legal regulation and the list type in the initial screen.
3. Choose Create.
4. The following data on the Header Data tab page is mandatory:
1. Legal Regulation
2. Data Provider
3. SPL Number
4. List Type
5. Validity Period
6. Date Added
7. Name and address data (including the country)
5. To add your data to the SPL master data, press the Data (Adopt Name Data) and Data (Adopt Address
Data) buttons.
6. Save your entries.
7. On the Authorities tab page, you can use the Default Data to fill the fields with data that already exists for
the entered list type. You can also use the input help to display the list of authorities that you have
maintained as business partners for sanctioned party list screening.

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8. You can enter your own notes on the Comments tab page.
9. Save your entries.

Creating SPL Entities through Copying

1. You can also create sanctioned party list data by copying it from an existing SPL entity. To copy an entry,
choose Compliance Management Sanctioned Party List Screening Master Data Sanctioned Party
Lists Maintain Sanctioned Party Lists Create SPL Data .
2. Enter the legal regulation and the list type in the initial screen.
3. Choose (Create SPL Record by Copying). To use the copy function, enter a data provider in the Template
field and an SPL number in the SPL Number field. The external ID number must be the number of an
existing SPL entity. The system then copies the defined data for the SPL entity in the next screen – the
main screen for entering the SPL master data. You can change this data.
4. Proceed as described under "Creating SPL Entities Manually" above.
5. Remember to add changed name and address data to the list; to do so, use the Data (Adopt Name Data)
and Data (Adopt Address Data) buttons.
6. Save your entries.

Changing Existing Sanctioned Party Lists Manually

1. To change SPL data manually in Compliance Management, choose Compliance Management


Sanctioned Party List Screening Master Data Sanctioned Party Lists Maintain Sanctioned Party Lists
Change SPL Data .
We recommend using the Comments tab page on the main screen to enter the reason for your changes.
The system logs all changes to SPL master data.
2. If you set the deletion indicator, the system also processes the SPL entities that are flagged for archiving or
deletion, in addition to the active SPL entities in the system.
3. Remember to add changed name and address data to the list; to do so, use the Data (Adopt Name Data)
and Data (Adopt Address Data) buttons.
4. Save your entries.

Displaying Sanctioned Party List Entities

1. To display sanctioned party list data, choose Compliance Management Sanctioned Party List
Screening Master Data Sanctioned Party Lists Maintain Sanctioned Party Lists Display SPL Data .
2. If you set the deletion indicator, the system also processes the SPL entities that are flagged for archiving or
deletion, in addition to the active SPL entities in the system.

Results

When you create SPL master data or change existing SPL master data, the system automatically updates the
version number of the involved SPL entity. To display the version of the SPL entity, choose Compliance
Management Sanctioned Party List Screening Master Data Monitoring Display Overview List . You can
also see the version number of the name and address data of a specific SPL entity when you create, change, or
display header data. The Sequence Number field contains the individual version numbers.

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5.3.2.2.2 Uploading Sanctioned Party Lists

Use

You have to compare your business partner addresses with sanctioned party lists. You can upload these
sanctioned party lists into the system automatically, as long as your data provider supplies these lists in XML
format. The benefit of this function is that you do not have to enter each individual SPL entity in the system
manually.

 Note

You can also upload sanctioned party list through SAP NetWeaver Process Integration.

Prerequisites

● You have created an XML file that contains the necessary data and is stored in the appropriate structure.
You can obtain this file from various data providers.
● You have also defined data providers as business partners in the system for Global Trade Services (GTS).

Procedure

Uploading XML Files

1. If you want to upload the SPL master data automatically, choose Compliance Management Sanctioned
Party List Screening Master Data Sanctioned Party Lists Load Sanctioned Party Lists from XML File .
2. Enter your selection criteria in the first screen. Entries are required for the following fields:
1. Legal Regulation
2. Type of List
3. Data Provider
The data provider must be defined as a business partner in the GTS system. For more information, see
the section on maintaining business partners.
4. Path for XML File
To upload an XML file, it must be saved locally on your front-end computer or on the application server.
Enter the file path in the appropriate field.
3. When it uploads the sanctioned party list data, the system runs a plausibility check to ensure that the data
is consistent and does not contain any errors. If the system finds variants in the records, it does not
transfer the corresponding SPL records to the system.

 Recommendation

In addition to the data in the required fields, you can also configure settings in the Processing Mode
section to define whether you want to generate comparison indexes during the upload. If you select this
indicator, the system updates your comparison indexes. You should ensure your comparison indexes
are always up to date, as they represent the foundation of SPL screening. If so, the system generates

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the indexes for the immediate comparison of names and addresses after uploading the SPL data. The
system converts the SPL entities in accordance with your Customizing settings for phonetics,
delimiters, excluded texts, aliases, and normalization before they are posted in the database. SPL
screening can be run more efficiently with this approach.

We recommend updating the sanctioned party list first and then creating the comparison index
manually, however. For more information, see the section on creating comparison indexes.

4. When you start this function, the system displays a list of all master data contained in the XML file.
5. You can upload the consistent data to the system immediately; the system writes the data to the SPL
database.
6. You can then display the details for inconsistent data and maintain it as necessary. Note that you can only
upload consistent data as SPL master data.

Searching Upload Logs

1. If you want to search the upload logs, choose Compliance Management Sanctioned Party List
Screening Master Data Sanctioned Party Lists Search Upload Logs .
2. Then choose Execute. The system displays a results table with all the logs for data uploads of SPL master
data. You can also enter constraints, for example, if you only want to display logs for a specific legal
regulation or data provider.
3. For more information about a specific upload in the results list, click the Log icon in the table. The log
details are then displayed.

5.3.2.2.3 Control Settings for XI Input Processing

Use

In this function, you define the parameters for transferring sanctioned party lists that you upload using SAP
NetWeaver Process Integration (SAP NetWeaver PI), which was previously called SAP Exchange Infrastructure
(SAP XI), to the system used for processing Global Trade Services (GTS). You can review the upload logs [page
80] to see whether any errors occurred during the transmission of sanctioned party lists from your data
provider via SAP NetWeaver PI.

Prerequisites

You have configured communication between the GTS system and SAP NetWeaver PI.

Activities

● The settings for transmitting sanctioned party lists via SAP NetWeaver PI are located under Compliance
Management Sanctioned Party List Screening Master Data Sanctioned Party Lists Control XI
Inbound Processing .

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● You have to create a separate entry for each combination of sanctioned party list, legal regulation, and data
provider.
● To do so, choose New Entries and enter the following data:
○ Service for sanctioned party list screening
○ Data provider or authorities who send you the sanctioned party lists, as business partners
○ The value Sanctioned Party List as Data Object, which you receive from your data provider via SAP
NetWeaver PI
○ The Legal Regulation for which the sanctioned party list is valid and for which the system uses for
screening

5.3.2.2.4 Searching Upload Logs

Use

The log search enables you to display information about the data that was uploaded into the system. For SAP
Compliance Management you can, for example, upload sanctioned party lists, export and import list numbers.
From the upload logs, you can retrieve information about the upload process, and you can identify errors
occurring during the upload.

Activities

● To search for upload logs, go to the SAP GTS area menu and choose Compliance Management
○ Sanctioned Party List Screening Master Data Sanctioned Party Lists Search Upload Logs
○ Classification / Master Data Export Control Definitions Upload Logs for Export List
○ Classification / Master Data Import Control Definitions Upload Logs for Import List

● In the screen that follows, enter the Legal Regulation for the sanctioned party list screening and the
Numbering Scheme for the export or import code numbers.
● You can also restrict the search by entering specific dates and the data provider.
● Choose Execute.
● In the results screen, the system displays the numbering system, when the upload took place, from which
data provider the upload came, and the status of the upload. If the upload was successful and there is a
green checkmark in the Status column, you can select the file and download it onto your local hard-drive
from this screen. If there were any problems during the upload, you can display the log, which provides you
with information about the reasons for any errors that occurred.

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5.3.2.2.5 Maintaining Business Partners

Use

The system for Global Trade Services (GTS) uses the SAP business partner concept. The GTS system contains
functions for creating, changing, and displaying business partners. In turn, these business partners can be
persons, organizations, and organizational groups with which your company has trade relationships for
processing in GTS. In some business transactions, such as the import process, a business partner can assume
different partner functions in accordance with customs requirements.

 Note

You have already defined your own company organization, consisting of foreign trade organizational unit
and legal unit or administrative unit and plant, in Customizing. You can also enter additional information for
your existing organizational units in the business partner functions, as well as define your clerks as
separate business partners.

In addition to the initial and period transfer of business partner master data from your feeder system (or
systems), you have to create or maintain new business partner master data for certain functions that you need
in the GTS system. When you create business partners in the GTS system, you have to assign them functions
there.

Prerequisites

You have made the following Customizing settings in the GTS system:

● Create number ranges for business partners


● Create and assign partner functions
● Activate business partners for the GTS areas

For more information, see the configuration guides for SAP GTS on the product page for SAP GTS on SAP Help
Portal.

Key Features

In addition to the organizational units for your own company, you can create the following functions that you
need for your own processes or transfer them from the feeder system to GTS.

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Product area Sanctioned Legal control Customs Man­ Preference Letter of credit Restitution
Party List agement processing processing
/
Screening
Business part­
ner function

Government x x
agency, such as
customs au­
thorities

Data providers x x x x x

Customers x x x x x x
(Sales & Distri­
bution), such as
sold-to parties,
ship-to parties,
and bill-to par­
ties

Vendors (Mate­ x x x x x
rials Manage­
ment)

Business part­ x
ners from Fi­
nancial Ac­
counting (FI)

Employees
from Human
Capital Man­
agement for
sanctioned
party list
screening

Employees, for x x x x
example, as
contact per­
sons or respon­
sible clerks in
communication
with the author­
ities

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Activities

 Caution

Business partners that you have already used in functions of the GTS system are referenced in monitoring
and audit functions. Therefore, deleting these business partners would result in inconsistencies.

● To create or display business partners in the individual applications, choose Maintain Business Partners in
the area menu for the master data. In the Legal Control area, for example, choose Compliance
Management Classification/Master Data Business Partner Maintain Business Partners .
● You can use the application toolbar to create a new person, organization, or group.
You have to at least enter an address and the respective business partner function for each business
partner. The roles for persons, organizations, and groups are dependent on the partner functions that you
define in your Customizing settings.
● You can also select an internal or external grouping, depending on whether you transferred the business
partners from a feeder system or created them in the GTS system.
● You can then enter the address data and other administrative data. For more information, see the field
help.
● You can set the Archiving Flag on the Status tab page to ensure that this business partner is archived. If you
want to block all transactions with this business partner, select the Not Released indicator. If you set the
Central Block flag, the system only excludes the business partner from certain business processes. For
more information, see the field help.
● You can create, maintain, and display additional information for a business partner in categories such as
the following:
○ Address
○ Address Overview
○ Identification
○ Control
○ Payment Transactions
○ Status
● To display the details for a specific business partner, choose Find Business Partner on the Search tab page.

5.3.2.2.6 Assignment of Business Partners to Foreign Trade


Organizations

Use

You can use the enhanced authorization concept in sanctioned party list screening. You can restrict which data
in the sanctioned party list screening is visible for users. This is required, for example, by data protection laws
in different countries. The enhanced authorization concept lets you restrict the display and processing of data
in sanctioned party list screening to individual foreign trade organizations. You can also restrict users' options
for displaying and processing business partners in SPL screening by assigning business partners to a specific
foreign trade organization.

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Prerequisites

You have defined the assignment of company codes in the feeder system to foreign trade organizations in
Customizing.

Features

● If you defined the company code view when you created a business partner in the feeder system, the
system automatically copies the business partner's company code assignment as the assignment to the
relevant foreign trade organization during the transfer of business partners. You activate this assignment
by saving the entries in the business partner assignment functions. You can display and change the linked
assignment as necessary.
● If you transfer business partners from the feeder system without the company code view, you can define
the business partner assignment to the foreign trade organization at a later time for SPL screening, and
display and change it subsequently.

The following activities represent examples of relevant changes:

● Assigning a business partner to a different foreign trade organization than the corresponding company
code in the feeder system
● Deleting the assignment to a foreign trade organization

Activities

● The functions for assigning business partners are located in the area menu under Compliance
Management Sanctioned Party List Screening Master Data Business Partner and one of the
following items:
○ Assign Customers to Foreign Trade Org.
○ Assign Vendors to Foreign Trade Org.
○ Assign Employees to Foreign Trade Org.
○ Assign General BP to Foreign Trade Org. (to assign general business partners to a foreign trade
organization)
● You can enter selection criteria to make and display assignments for individual business partners or all
business partners from a given category.
● You have to enter the group of logical systems and the foreign trade organization in either case.
● When you choose Execute, the existing and proposed assignments are displayed. The status indicates
whether the assignment is already defined in the system (which means you can change it if necessary). You
have the following options:
○ If the status column contains a create icon, you can choose Save to create the proposed assignment
for all listed business partners. The system changes the status automatically by assigning the change
symbol to existing, modifiable assignments.
○ When you change the proposed assignment for individual entries in the list or change existing
assignments, you can overwrite the entry for the foreign trade organization directly or select a different
foreign trade organization with the input help.

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○ To reset the assignment for one or more entries, select the desired lines and choose Initialize Selected
Lines.

5.3.2.2.7 Control Settings for Comparison Terms

Use

These settings are the basis on which comparison terms are generated. Comparison terms are the foundation
of sanctioned party list (SPL) screening.

You must make these settings to perform the SPL screenings. You can choose between general and phonetic
settings.

Activities

To configure the control settings for comparison terms, go to the area menu of SAP Global Trade Services and
choose Compliance Management Sanctioned Party List Screening Master Data Comparison Terms
Control Settings for Comparison Terms General Settings or Phonetic Settings.

 Note

You do not need to assign any comparison procedures to legal regulations for the system to generate
comparison terms, as you have made these settings for SPL in Customizing for Compliance Management.

For more information about the Customizing settings, see the Configuration Guide for Compliance
Management at the SAP Service Marketplace under http://support.sap.com/swdc Installation and
Upgrades Entry by Application Group SAP Application Components SAP Global Trade Services SAP
GRC GTS <Release> Installation and Upgrade .

General Settings

● Creation of delimiters
○ You can create delimiters by selecting a comparison procedure in the table and in the dialog structure
on the left of the screen, and then double-clicking on GTS: Sanctioned Party List: Indexing: Delimiter.
○ Enter the characters in the Delimiter field that you want the system to identify as separators in
business partner addresses.
○ Save your entries.

● Change lower case to upper case


The system converts all lower-case letters in the business partner address automatically. You do not have
to make any additional settings for this.

● Delete duplicate letters


The system automatically deletes duplicate letters in business partner addresses. You do not have to make
any additional settings for this. If duplicate letters are important differentiation criteria, you can set this flag
to improve the screening results.

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● Exclusion of certain terms
○ You can exclude certain terms by selecting a comparison procedure in the table and in the dialog
structure on the left of the screen, and then double-clicking on GTS: Sanctioned Party List: Indexing:
Exclusion.
○ Choose New Entries and enter the comparison procedure and the term that you want the system to
exclude from the comparison index and SPL screening. This could be terms such as Corp., Ltd., Inc.
and so on.
○ Save your entries.

● Creation of aliases
○ To create aliases, double-click GTS: Sanctioned Party List: Indexing Aliases and then choose New
Entries.
○ Then you need to enter the comparison procedure you defined in the IMG for SPL.
○ Enter the term you want the system to be able to match with an alias term. This improves the hit list
quota and the runtime of the SPL screening.
○ For more information, see the field help.

● Normalization
This setting is useful for some languages if you want particular letters or combinations of letters to be
replaced unconditionally by another letter or combination of letters. You can replace the "oe" and "ue"
umlauts with "ö" and "ü", for example. For the system to recognize that the surname "Mueller" is the same
as "Müller" in SPL screening, for example, you have to define the original and target character strings here.

Once you have configured all the settings, start the function to generate comparison terms [page 152]. The
system generates search terms for each legal regulation that you have defined in SAP Compliance
Management.

You can display the results of the comparison term generation and see which search terms were compared
with the system-generated comparison terms.

Phonetic Settings

To configure your own settings for phonetic replacement, proceed as follows: Choose Compliance
Management Sanctioned Party List Screening Master Data Comparison Terms Control Settings for
Comparison Terms Phonetic Settings .

● Double-click Define Search Terms in the dialog structure and choose New Entries.
● Enter the comparison procedure and the character substring or combination of letters you want to find and
the target string to replace it with.
● Save your entries.
● Double-click Assign Relational Operators in the dialog structure. Here you define the conditions for test
replacement with input help. For example, you want particular letters or combinations of letters to be
replaced under the following conditions, depending on which characters precede or come after them:
○ If after
○ If not after
○ If before
○ If not before
○ If included in
○ If not included in
● Save your entries.

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5.3.2.2.8 Comparison Terms for SPL Master Data

Use

Before you run sanctioned party list (SPL) screening, which is the check you perform for business partner
addresses against the names and addresses defined in the SPL master data records, you have to convert the
various partner addresses and SPL addresses into a comparison index. In this process, you use the address
data to create the comparison terms that are used to check the business partner addresses. When the system
performs the actual SPL screening, it divides the SPL master data and business partner data into search
terms. The system only performs a comparison check of the search terms generated, which significantly
reduces the runtime of SPL screening.

Prerequisites

You have configured the necessary setting for comparison indexes under Control Settings for Comparison
Terms [page 150]. The comparison terms contain all the SPL master data (names and addresses of business
partners, and so on) that you have entered manually or uploaded as an XML file.

Functionality

You can perform the following activities with comparison indexes for SPL master data in Compliance
Management:

● Generate comparison terms


● Evaluate comparison terms
● Aggregate comparison terms

You always have to generate and aggregate your comparison terms. Evaluation is optional.

 Note

When you edit an SPL master data record manually, the system generates the comparison terms for the
corresponding record automatically when you save. As a result, you do not have to create the comparison
terms manually.

Activities

Generate Comparison Terms (required)

To generate the comparison index, go to the area menu for SAP GTS and choose Compliance Management
Sanctioned Party List Screening Master Data Comparison Terms Comparison Terms for Sanctioned Party
Lists Generate Comparison Terms .

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● To create comparison terms for SPL master data, fill in the following fields:
○ Legal Regulation
○ Type of List
○ SPL Number
○ Valid From and Valid To
○ Administrative Data
● You can then choose from three parameters for generating the comparison terms:
○ Simulation Mode
○ Output List
○ Parallel Processing
Depending on which parameters you select, the following actions are performed:
○ Simulation Mode
When you set this parameter, the system only generates simulated comparison terms - that is, the
index is not written to the database.
○ Output List
When you set this parameter, the system displays the terms in a list. If you do not set this parameter
(default setting), the system writes the comparison terms directly to the database, without displaying
them on screen first. If you elect to display the terms in a list, it may result in long runtimes, especially
if large datasets are involved.
○ Parallel Processing
If you set this parameter, the steps for generating the comparison terms are distributed to multiple
work processes - and even to different application servers in some cases. If you choose the parallel
processing option, you have to specify the logon/server group to use.
● Choose Execute.
● The system processes all selected SPL address components in accordance with the linguistic and phonetic
rules that you defined in the general settings for generating comparison terms. The results are written to
the database. These comparison terms form the foundation for sanctioned party list screening, and
significantly reduce the amount of time required for the screening process.
● The results table that appears contains information about the elements used, including the types of
comparison terms, the original search terms, the target terms used, the origin of the search terms in the
business partner data, and the validity data of the SPL units.

If you want to display information for a specific SPL unit, select the appropriate line from the results list and
choose the Details symbol.

Evaluate Comparison Terms (optional)

● To evaluate comparison terms, go to the area menu for SAP GTS and choose Compliance Management
Sanctioned Party List Screening Master Data Comparison Terms Comparison Terms for Sanctioned
Party Lists Evaluate Comparison Terms .
● There are mandatory input fields in the selection screen that follows. You must enter a legal regulation, an
address component and a name component. You can then enter percentage values in the fields available
for each component of the address. These percentage values are the maximum percentages of the number
of times the system can find a search term. As soon as the system reaches these percentages in terms of
the number of hits for the search terms, the search term becomes invalid for SPL screening. On the one
hand, this improves your hit-list quota, system performance and the quality of SPL screening. However,
this function should be used with care, as you may lose content in SPL screening.
● Choose Execute.
● You can now use the results list for comparison purposes.

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Aggregate Comparison Terms (required)

● To aggregate comparison terms, go to the area menu for SAP GTS and choose Compliance Management
Sanctioned Party List Screening Master Data Comparison Terms Comparison Terms for Sanctioned
Party Lists Aggregate Comparison Terms .
● A selection screen appears. Enter the legal regulation(s) and choose Execute.
● The system aggregates the results from generation and/or evaluation of the comparison terms. As a result,
you can view the results later without affecting system performance.

5.3.2.2.9 Generating Comparison Terms for BP Master Data

Use

The only difference between the comparison terms described in this section and the comparison terms for
sanctioned party list master data is that the system only generates comparison terms for business partners
here. You can generate these comparison terms whenever addresses have been entered or changed in the
feeder system. It is very important to generate comparison terms for business partner data to reduce the
runtime of sanctioned party list screening, because it saves the system from having to generate the
comparison terms immediately before screening.

Activities

To generate comparison terms for business partner master data, go to SAP Compliance Management
Sanctioned Party List Screening Master Data Comparison Terms Comparison Terms for Business
Partners Generate Comparison Terms .

● In the initial screen, you can specify that the index is to be generated only for specific legal regulations. If
you do not specify a legal regulation here, the function automatically determines all the legal regulations
that are activated for the SPL screening.
● You can also define whether you only want to generate comparison terms for changed partner addresses
or for all partner addresses defined in the system. Choose Changed partner Addresses Only or All Partner
Addresses accordingly.
● You can enter additional selection criteria if you want to restrict the range of the search for data.
● Finally you choose the type of processing mode you want to use for generating the comparison index. You
can also schedule the generation of comparison terms as a periodic background job.

5.3.2.2.9.1 Transferring Comparison Terms to SAP TREX

Use

If you want to use the generated, aggregated comparison terms in comparisons between sanctioned party list
(SPL) entries and address components, the search mechanisms must be given access to these comparison

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terms. The general address comparison program can access the comparison terms automatically. If you want
to use the additional search mechanisms in SAP TREX in SAP NetWeaver, you have to make these comparison
terms available in SAP TREX. To do so, you transfer the terms to SAP TREX.

Prerequisites

● You have configured the use of SAP TREX for address comparison in the Implementation Guide (IMG) of
SAP GRC Global Trade Services (SAP GRC GTS).
● You have also configured the system connection to SAP TREX.
● You have configured the comparison terms for SPL screening.

Activities

● To transfer the comparison terms to SAP TREX, go to the area menu of SAP GRC GTS and choose SAP
Compliance Management Sanctioned Party List Screening Master Data Comparison Terms
Comparison Terms for Sanctioned Party Lists Transfer Comparison Terms to TREX .
● You have to specify a legal regulation under which you want the system to save the comparison terms in
SAP TREX and then press Execute.

5.3.2.2.10 Resetting the Application Buffer

Use

Resetting the Customizing and application buffers ensures that sanctioned party list screening is carried out
properly after changes to the Customizing settings. During a large-scale SPL screening, a wide range of
information has to be compared with the data in the database. A Customizing and application buffer is defined
for SAP Global Trade Services (SAP GTS) to ensure that system performance remains acceptable even when
larger quantities of data are involved. This buffer contains all of the data that is required for SPL screening. The
data itself has been prepared and formatted specifically for SPL screening. However, if you change
Customizing settings, these are not written automatically to the Customizing and application buffer (because
the system does not conduct any regular checks on the entries in the database). When you reset the
Customizing and application buffer, you are in effect emptying it. This means that the next time you run an SPL
screening, SAP GTS cannot retrieve the necessary data from the Customizing and application buffer, and reads
this data directly from the database instead. When the system reads the database directly, it also writes the
new changed data to the Customizing and application buffer, and prepares it accordingly for the SPL screening.

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Activities

● Choose Compliance Management Sanctioned Party List Screening Master Data Customizing/
Application Buffer Reset Buffer .
● Choose the comparison procedure, legal regulation, or partner function that you want to reset and choose
Execute.
● The system then resets the Customizing and application buffer.

 Note

Aggregation of SPL Comparison Indexes on Multiple Application Servers

Generated comparison indexes for the Sanctioned Party List 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.

The system automatically aggregates the generated comparison indexes in the shared buffer of all
relevant application servers, so you do not have to run the program separately on each server.

5.3.2.2.11 Monitoring Master Data

Use

The various functions available for monitoring the sanctioned party lists make it easier for you to obtain an
overview of the sanctioned party list and their entries in SAP Global Trade Services (SAP GTS) and to keep track
of any changes in the master data made manually or by uploading updates from your data providers. It is
possible to display sanctioned party lists from the SPL cockpit from the group box SPL Master Data, however
you must know the technical key for the master data for which you are searching. The monitoring functions
make this task much simpler.

Prerequisites

You have uploaded boycott list data from your data providers to the SPL master data in SAP GTS.

Key Features

The following functions are available for monitoring the SPL master data in SAP GTS:

● You can obtain an overview of the existing sanctioned party list entries
● You can generate a structured list of the existing sanctioned party list entries

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● You can display any sanctioned party list records that are about to expire
● You can display the sanctioned party list entries that are relevant for archiving
● You can display the change history for sanctioned party list entries

Activities

● To call the following functions, choose SAP Compliance Management Sanctioned Party List Screening
Master Data Monitoring Sanctioned Party Lists .

● Display Overview List


Enter restrictions in the selection screen that follows. There are no mandatory fields, but by entering
restrictions you improve system performance. We recommend specifying at least the legal regulation or
type of list. Choose Execute. A table of all sanctioned party list entries in your system appears. You can
configure the table so that it meets your requirements exactly. One of the most important master data
elements in the results table is the Valid From - To date for the sanctioned party list. This enables you to see
the validity period of a sanctioned party list and allows you to plan your trading processes accordingly.

● Display Structured List


This function resembles the function above, but has the advantage that the results are displayed with
greater transparency. However, there is the disadvantage that it is very performance-intensive.

● Display Sanctioned Party Lists About to Expire . This function evaluates which entries in the
sanctioned party lists will be expiring, for example, tomorrow or this year. This gives you a quick overview of
whom you can conduct import and export trade with. This lets you plan your trade processes in good time
and at low cost.

● Display Archivable Entries


This function enables you to obtain an overview of all entries in the SPL master data you have chosen for
archiving. When you specify the legal regulation for sanctioned party list screening along with the date for
archiving, the system lists all the entries that you have selected for archiving. You can reach the archiving
function itself in the area menu: Choose System Administration Archiving Sanctioned Party List
Screening Archive Master Data . You can display entries in the monitoring list by using the following
path: SAP Compliance Management Sanctioned Party List Screening Master Data Change
Sanctioned Party Lists and set the deletion indicator. Note that you cannot change these entries.

● Display Change History


You can use this function to find out when master records were last changed and by which user. It gives you
an overview of when SPL updates were made in your system.

 Note

If you set the Include Deletion Inds (include deletion indicators) flag in the Processing Mode group box of
one of the selection screens, the results list contains all the objects that have been flagged for deletion from
the sanctioned party list.

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5.3.2.3 SPL Screening for Logistics

Use

A sanctioned party list contains a list of persons and companies with whom trade is prohibited according to the
laws and regulations of individual countries. Various authorities issue such lists. You have to decide which lists
are relevant for you, depending on the country of departure and country of destination of your business
transactions, as well as the strategic decisions as to which lists you want to base your trade relationships on.
You can enter these lists manually in the system for Global Trade Services (GTS) or obtain them from data
providers. To ensure your business transactions are legally compliant, you have to screen your business
partners and documents against these sanctioned party lists.

SPL screening, which is part of the compliance checks in GTS, lets you implement sanctioned party list
screening in your general logistics processes.

Features

You can use the following areas of SPL screening to handle your logistics processes:

● Screening Variants in Business Partner Screening [page 159]


● SPL Screening When Business Partner Addresses Change [page 160]
● SPL Screening When Document Partner Addresses Change [page 162]
● Periodic Screening of Business Partners [page 165]
● Periodic Screening When Document Partner Addresses Change [page 169]
● Periodic Business Partner Check in Positive/Negative List [page 167]
● SPL Screening of Business Partners after Changes to Sanctioned Party List [page 176]
● SPL Screening of Document Partners after Changes to Sanctioned Party List [page 178]
● SPL Screening of Blocked Business Partners after Changes to Business Partner Master Data [page 180]
● Simulated SPL Screening of Business Partners [page 181]
● Simulated SPL Screening of Document Partners [page 181]
● Simulated SPL Screening of General Addresses [page 182]
● Releasing Blocked Business Partners [page 182]
● Releasing Blocked Documents [page 184]
● Monitoring SPL screening:
○ Monitoring Sanctioned Party Lists [page 188]
○ Monitoring the Positive/Negative List [page 190]
○ Monitoring Blocked Business Partners [page 192]
○ Monitoring Blocked Documents [page 194]
● Audit Trail [page 197]

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5.3.2.3.1 Screening Variants in Business Partner Screening

Use

In sanctioned party list screening of business partners, which is part of the compliance checks in the Global
Trade Services (GTS) system, you can check multiple addresses in the business partner master for each
performed screening, as well as use the mechanisms for intelligent screening.

Prerequisites

To screen multiple addresses, you have configured the following settings in the following Customizing activity in
GTS: Compliance Management Sanctioned Party List Screening Control Settings for Sanctioned Party
List Screening :

● You have set the Multiple Address Screening Active indicator. This setting is based on a specific legal
regulation, which you have defined and activated for sanctioned party list screening.
● You have defined which address type you want the system to check in sanctioned party list screening. You
configure this in the control settings for sanctioned party list screening under Address Activation by
selecting the address type that you want the system to check. This can be the standard address, the
account holder's address, or the consignee's address, for example.

For more information about the settings for multiple address screening, see the Configuration Guide for
Compliance Management at the SAP Service Marketplace under the following path:

http://help.sap.com/gts Configuration

Features

● Multiple address screening


You can carry out sanctioned party list screening for business partners who have multiple addresses in the
business partner master data. You can also configure a Customizing setting for SPL screening to define
whether a match between one of several addresses and an SPL entity is sufficient for a block, or whether
several of the business partner addresses have to match. You can also define which of the addresses you
want the system to check in SPL screening.
Once the system displays the results of multiple address screening, you can check which of the addresses
resulted in a match between the SPL data and the business partner data. No special activities are needed
for multiple address screening, since the system performs the check automatically when you configure the
Customizing settings described above.
● Intelligent sanctioned party list screening
When the system performs sanctioned party list screening for business partners and blocks a business
partner due to a match between a text string in the SPL master data and a text string in the business
partner data, you can release the blocked business partner manually as needed. Note, however, that you
cannot release a business partner who appears in an official sanctioned party list. Otherwise, you can
release blocked business partners in the Monitoring section of the cockpit.

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To save you from having to manually release these business partners repeatedly, the system checks
whether the underlying data for the check has changed since the last SPL screening. The system can
detect whether the business partner data or SPL data has changed since the last screening. If the
underlying data has not changed since the last manual release, the system applies your last decision. If you
released a business partner manually during the previous screening, the system does not block that
business partner.
If any of the following data has changed since the last SPL screening run, the system cannot use your
previous decision. It performs full SPL screening and blocks the business partner again if needed:
○ Changes to SPL master data since the previous SPL screening
○ Existence of several different SPL entities that the system identifies as matches
○ Changes to business partner address data since the previous SPL screening
○ Changes to the Customizing settings

5.3.2.3.2 SPL Screening When Business Partner Addresses


Change

Use

You can choose between synchronous and asynchronous screening. Synchronous screening is performed
automatically by the system when a document is created. In the asynchronous process, you can schedule
screening as a batch job later or run screening manually in dialog. The asynchronous process is particularly
advantageous for companies with large numbers of newly created or changed business partner addresses. It
also allows SPL specialists to override items with Blocked status.

Prerequisites

You have carried out one of the following two activities:

● Flagged new/changed business partner addresses for synchronous screening


To do so, go to the Implementation Guide (IMG) for SAP Global Trade Services (SAP GTS) and choose
Compliance Management "Sanctioned Party List Screening" Service Activate Business Partner at
Business Partner Function Level . In the SPL Time field, choose option Synchronous - When Object Is
Updated. The business partner address data is updated in SAP GTS and SPL screening is started
immediately. The system compares the address of the business partner with the addresses in the boycott
list contained in the SPL master records.
● Flagged the new business partner addresses for asynchronous screening
To do so, go to the Implementation Guide (IMG) for SAP GTS and choose Compliance Management
"Sanctioned Party List Screening" Service Activate Business Partner at Business Partner Function
Level . In the SPL Time field, choose option Asynchronous - When Function Is Called.

For more information about the settings, see the Configuration Guide for Compliance Management at SAP
Service Marketplace, under service.sap.com/swdc Download Installations and Upgrades Entry by
Application Group SAP Application Components SAP Global Trade Services (GTS) SAP GTS <Release>
Installation and Upgrade .

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Procedure

When you create a new address for a business partner or change an existing partner's address in your feeder
system, a change pointer is updated and a report selects the partner address in the feeder system. The
address is then sent by RFC to SAP GTS. Depending on which screening options you have chosen in the IMG,
you can perform the following activities:

Synchronous Screening of Business Partners

1. After synchronous screening of your business partners, which the system carries out in the background,
you can choose Compliance Management Sanctioned Party List Screening Logistics Monitoring
Business Partners Display Blocked Business Partners from the SAP GTS area menu.
2. After entering the relevant selection criteria, choose one of the following options in the Processing Mode
group box:
1. Blocked Partners Only
2. All Checked Partners
3. The system displays a results table. If there is a check in the SPL Block column for a business partner, you
cannot perform any business transactions with this business partner, as this partner is blocked. If there is
no indicator, the partner is released for business transactions. You can see this clearly in the Status column
where the system displays either a red traffic light for a blocked status or a green traffic light for a not
blocked status.

4. Here you can also trigger SPL screening for your selected business partners in the results list: choose
Sanctioned Party List Screening.

5. From this results list, you can also place selected business partners on the negative list ( Negative List)
or the positive list ( Positive List ) to prevent you having to release the same business partners
manually on a regular basis. For more information, see Positive/Negative List [page 167].
6. Finally, you can also release blocked business partners manually. To do so, select the relevant business
partner from the list and choose (Release Partner).

Asynchronous Screening of Business Partners

1. When a business partner's address data is updated in SAP GTS, SPL screening must be started manually
or in the background (as a batch job at a later time). To start SPL screening manually, go to the SAP GTS
area menu and choose SAP Compliance Management Sanctioned Party List Screening Logistics
Sanctioned Party List Screening Asynchronous Screening Check Business Partner Addresses .

 Note

If you do not enter any restrictions in this selection screen, the system executes SPL screening for all
the business partners in that particular set of partners (that is, partners whose status is Blocked).

2. If you decide to schedule SPL screening as a batch job, the system flags the business partners with status
To Be Checked. These partners are then blocked from any business transactions until the screening is
completed.
3. To display the results of the asynchronous screening, choose Compliance Management Sanctioned
Party List Screening Monitoring Business Partners Display Blocked Business Partners . The
business partners who still have to undergo SPL screening have a yellow traffic light assigned to them in
the Status column.

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Result

The result of SPL screening, whether in synchronous or asynchronous processing mode, depends on whether
the system found any phonetic matches between the new or changed business partner addresses and those
addresses contained in the SPL master records, based on the sanctioned party list.

The lock management settings and the audit trail are not updated until you confirm the check results.

5.3.2.3.3 SPL Screening When Document Partner Address


Changes

Use

Customs documents must always undergo sanctioned party list (SPL) screening in SAP Global Trade Services
(SAP GTS) to ensure that they do not contain any business partners who are blocked for business transactions.

Prerequisites

● You have created the business partner in the partner master record in the feeder system and transferred
this partner to SAP GTS.
● You have activated the relevant document types for the defined legal regulations in Customizing for SAP
GTS under SAP Global Trade Services Compliance Management General Settings Document
Structure Activate Document Types .
● You have also configured the settings for the sanctioned party list screening in Customizing for Compliance
Management.
● You have carried out one of the following two activities:
○ Flagged the customs documents for synchronous screening
To start this activity, go to Customizing for SAP GTS and choose SAP Global Trade Services
Compliance Management General Settings Document Structure Activate Item Categories .
Double-click a line in the list to select it. In the screen that follows, select the time of the SPL screening:
Synchronous - when document is updated
○ Flagged the customs documents for asynchronous screening
To do this, follow the above menu path, double-click a line in the list to select it, and set the time of the
SPL screening to be Asynchronous - when function/service is called.

For more information about the transfer of documents and settings in the Implementation Guide, see the
Configuration Guide for Compliance Management at the SAP Service Marketplace, under service.sap.com/
swdc Download Installations and Upgrades Entry by Application Group SAP Application Components
SAP Global Trade Services (GTS) SAP GTS <select release> Installation and Upgrade .

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Functionality

Depending on your settings for the checking logic for document addresses, which you configure in Customizing
for the control data for the Sanctioned Party List Screening service, the following variants are available to
screen changed business partner addresses:

● Repeat screening of changed addresses


The system only checks the changed document partner addresses. If a document partner address causes
a document block, you can confirm or cancel the block directly from the results overview.
● Repeat screening of all addresses
The system checks all the addresses that appear in the document, ignoring the results of any previous
screenings for identical document addresses in previous documents. If a document partner address
causes a document block, you can confirm or cancel the block directly from the results overview.
● Status check of unchanged addresses
The system checks new document partner addresses. You can confirm or cancel blocks directly in the
check results for new business partner addresses. In addition, the system checks the status of the
business partner address for unchanged document addresses, to determine which status was set. If the
status check finds a business partner block, you have to confirm or cancel the block in the sanctioned
party list screening for business partners. To release the document, you have to remove the block for the
business partner.

You can choose between synchronous and asynchronous screening.

● Synchronous screening is performed automatically by the system when a document is created. If the
screening results in a document block, you can display the check results in the blocked documents
monitor [page 194] and process them further. If no document block is set, you can display the screening
details for all documents in the monitor and display the corresponding screening log.
● The asynchronous process allows you to either schedule the screening as a batch job to be executed at a
later stage or to execute the screening manually in a dialog.
○ If you run screening in background processing as a batch job, you can display the check results in
monitors for blocked documents or all documents, like in synchronous screening.
○ When you run the screening in dialog, the system displays the result directly after the screening
process. You can continue processing these screening results directly from the results list.
The asynchronous process is particularly advantageous for companies with large numbers of back end
system documents that require screening, as it is not as performance-intensive. It also allows SPL
specialists to override items with Blocked status.

Activities

When you create a new document in the feeder system, such as a sales order or purchase order, the system
transfers the document via RFC to SAP GTS, where a customs document is created as a replicate.

SAP GTS ensures that none of the documents contains any blocked business partners. If you try to create an
outbound delivery for a sales order that contains a blocked business partner, the system cancels the screening
process. When you create a document in the feeder system and there is either no previous document, or the
previous document does not contain any blocked partners, the screening process can continue.

Depending on your settings for the screening logic, screening may not be necessary for addresses in feeder
system documents that were not changed and that do not contain blocked business partners. You can use
either synchronous or asynchronous screening of documents.

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Synchronous Screening of Customs Documents

● When the feeder system transfers documents to SAP GTS, SAP GTS compares the document addresses
with the sanctioned party list data in the SPL master records, according to the screening logic you
configured in Customizing. If there is a match, the customs document is blocked.
● If the screening resulted in a block, you can display the blocked document and (possibly) alter the block. To
display the list of blocked documents, go to the area menu of SAP GTS and choose Compliance
Management Sanctioned Party List Screening Logistics Monitoring Documents Display Blocked
Documents .
○ When you enter the relevant selection criteria, the system displays a results table.
○ If the system shows a red light for a certain item in the customs document, you cannot complete the
process. Depending on your settings for screening logic in Customizing, the block may be due to one of
the following two screening types:

○ caused a block

○ caused a block

○ To screen the business partners again, choose . The system displays the sanctioned party list
screening for business partners. When you release a business partner there, you can return to the
processing of blocked documents and release the document. If the business partner block is
confirmed, you cannot start any follow-up activities for the document.
○ If there is a green traffic light in the SPL column for a specific item in the customs document, you can
complete the business transaction, as the document partner did not match any of the SPL entries. To
check this, click the plus sign in the left margin the hierarchy of items in the customs document.
● You can also start a simulation of the SPL screening for selected customs documents in the results list. To

do so, select the relevant customs documents and choose .


● From this results list, you can also display the detailed log of compliance checks that the system performed

on a specific document. To do so, select the relevant document and choose .


● Finally, to display the actual customs document by, check the relevant document in the results list and

choose .

Asynchronous Screening of Customs Documents

● To start SPL screening manually, go to the SAP GTS area menu and choose Compliance Management
Sanctioned Party List Screening Logistics Sanctioned Party List Screening Asynchronous Screening
Screen Document Addresses .

 Note

If you do not enter any restrictions in this selection screen, the system runs the SPL screening for all
the document partner addresses that have status To Be Checked.

● Enter the necessary selection criteria. You can set also set the Block All Partners flag in the selection
screen. If you do so, no one can perform business transactions with the business partners until SPL
screening is complete.
● You can use the monitoring functions [page 188] for sanctioned party list screening to obtain an overview
of how the document partner addresses in question match blocked business partner address.

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● If the system does not find a match between the business partner addresses in the document and the
addresses in the SPL data of the SPL master records, it releases the document for follow-up functions.
● If the system detects phonetic matches between the two addresses, the system blocks the customs
document.

● From the results screen you have the option of or . The system updates the log directly and displays
detailed information about the performed action.
● To update the check results in the block management settings and the audit trail, confirm the screening
results.
● Save your changes before exiting.

5.3.2.3.4 Periodic Screening of Business Partners

Use

You use the periodic screening to compare business partner addresses with all the sanctioned party list (SPL)
data. You can run this comparison against the data in the sanctioned party list at regular intervals (quarterly,
for example).

Prerequisites

● You have received new sanctioned party lists from your data provider and uploaded them to your SPL
master data.
● You have transferred all your business partner master data from your feeder system to SAP Global Trade
Services (SAP GTS).

Procedure

Periodic Screening in Dialog

1. To start the periodic screening of business partner names and addresses in dialog mode, from a results list
where you can start further processing manually, choose SAP Compliance Management Sanctioned
Party List Screening Logistics Sanctioned Party List Screening Periodic Screening Check Business
Partner Addresses (Dialog) .
2. In the following selection screen, enter the restrictions to the data you want the system to check. You can,
for example, enter the following selection criteria:
1. Document Data
You can select the desired business partners, for example, all the business partners from the last week.
2. Sanctioned Party List
We recommend entering a specific legal regulation, as reducing the search criteria improves
performance.

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3. Processing Mode
You can block all business partners during screening to ensure that no data is changed in the process.
3. Choose Execute.

Periodic Screening in Batch

1. To start periodic screening of business partner addresses in batch mode, choose SAP Compliance
Management Sanctioned Party List Screening Logistics Sanctioned Party List Screening Periodic
Screening Check Business Partner Addresses (Batch ).
2. In the following selection screen, enter the restrictions to the data you want the system to check. You can,
for example, enter the following selection criteria:
1. Document Data
You can select the appropriate documents, for example, from the last week.
2. Sanctioned Party List
We recommend entering a specific legal regulation, as reducing the search criteria improves
performance.
3. Choose Execute.

Result

When periodic screening in batch mode is completed successfully, the message Results of SPL check updated
successfully appears. In contrast, the system displays the results of the periodic screening in dialog
immediately. You have the opportunity to make changes in the results screen manually.

At the top left of the results screen, the system displays a list of the business partner addresses that are
blocked or released. Those that are blocked have a red traffic light and those that are released for further
business transactions have a green traffic light.

At the top right of the results screen, the system displays the individual SPL entities for which there was a
match in the business partner addresses, and which were therefore blocked.

At the bottom left of the results screen, the system displays the name and address data of the individual
blocked business partner addresses. If you select one particular SPL entry from the list in the top left, the
system displays the details of the match in the bottom right.

Additional functions for further processing are available in the results screen. This includes:

● Block
You can select a business partner from the list on the upper left and choose Block to exclude it from further
processing. Choose Save.

● Release
You can select a business partner from the list on the upper left and choose Release for a blocked item to
release it for further processing.
Choose Save.

● Positive List
You can select a business partner from the list on the upper left and choose and place that business
partner on the positive list, to avoid false matches during future SPL screening runs. For more information,
see Positive/Negative List [page 167].

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● Negative List
You can select a business partner from the list on the upper left and place that business partner on the
negative list, to avoid unnecessary workload for SPL screening in future, if this business partner is an entity
that you do not want to do business with at all in future. For more information, see Positive/Negative List
[page 167].

● Mass Release
Use this function with great caution: It releases all blocked business partners for further processing. Select
Save .

● Comments
You can select a business partner from the list and then choose Comment to write a commentary on your
reasons for releasing or blocking that particular business partner. This comment field is then updated in
the audit trail. This is particularly important in providing the customs authorities with the necessary
information.

● Detailed Analysis
The system displays the details of phonetic matches between the business partner address and the SPL
data. This lets you identify which specific elements of the name or address resulted in the match.

5.3.2.3.5 Periodic Business Partner Check in Positive/


Negative List

Prerequisites

● You have received new sanctioned party lists from your data provider and uploaded them to your SPL
master data.
● You have also transferred all of your business partner master data from your feeder system to the system
for Global Trade Services (GTS).

Context

You have the option of placing business partners on a negative list (permanently blocked status) or a positive
list (permanently released status). This helps you reduce your system load and improve performance time by
excluding specific partners from sanctioned party list screening.

Positive list

If sanctioned party list screening caused a specific business partner to be blocked erroneously, due to
similarity between the business partner's name or address and the SPL entity, you can place that business
partner on a positive list. As a result, you do not have to release this business partner manually after every SPL
screening run. When you place a business partner on the positive list, the system ignores that business partner
in all future sanctioned party list screening, as long as its data does not change.

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Negative list

When the system blocks a business partner due to a positive match between a name or address and an SPL
entity, you can decide to abolish all contact with this business partner in future. You can do this by placing that
business partner on a negative list. As a result, the system ignores this business partner in future SPL
screening runs.

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

● Maintaining business partners (see Maintaining Business Partners [page 65])


● List of blocked business partners (see Monitoring Blocked Business Partners [page 192])
● Result of SPL screening (see
Sanctioned Party List Screening [page 136])

 Note

You can check the business partners on a negative or positive list in a batch job in background
processing. Technically, this is periodic screening of the business partner, even though the system only
checks the positive and negative lists in this enhanced version (see Periodic Screening of Business
Partners [page 165]).

Procedure

1. Periodic screening lets you compare your business partner addresses in positive and negative lists with all
SPL data. You can run this comparison with the SPL data at regular intervals (quarterly, for example).

2. Choose Compliance Management Sanctioned Party List Screening Logistics Sanctioned Party List
Screening Periodic Screening Check Positive List Business Partner Addresses / Check Negative List
Business Partner Addresses .
3. In the following selection screen, enter the restrictions to the data you want the system to check. For
example, you can enter the following selection criteria:
1. Business Partner
You can select the desired business partners, for example, all the business partners from the last week.
2. Sanctioned Party List

 Recommendation

We recommend entering a specific legal regulation, as reducing the search criteria improves
performance.

3. Processing Mode
You can block all business partners during screening to ensure that no data is changed in the process.
4. Choose Execute.

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Results

The system displays the results of synchronous periodic screening immediately. A list of blocked and released
business partners is displayed. Blocked business partners are indicated by a red traffic light. Business partners
that can be released for further business transactions are indicated by a green traffic light.

Additional functions for further processing are available in the results screen, including the following:

● Block
You can select a business partner from the list on the upper left and choose Block to exclude it from further
processing. Choose Save.
● Release
You can select a business partner from the list on the upper left and choose Release for a blocked item to
release it for further processing. Choose Save.
● Positive List
You can select a business partner from the list on the upper left and choose and place that business
partner on the positive list, to avoid false matches during future SPL screening runs.
● Negative List
You can select a business partner from the list on the upper left and place that business partner on the
negative list, to avoid unnecessary workload for SPL screening in future, if this business partner is an entity
that you do not want to do business with at all in future.
● Mass Release
Use this function with great caution: it releases all blocked business partners for further processing.
Choose Save.
● Comments
You can select a business partner from the list and then choose Comment to enter your reasons for
release, block, or transferring this specific business partner to a different list. This comment field is then
updated in the audit trail. This is particularly important in providing the customs authorities with the
necessary information.
● Detailed Analysis
The system displays the details of phonetic matches between the business partner address and the SPL
data. This lets you identify which specific elements of the name or address resulted in the match.

5.3.2.3.6 Periodic Screening When Document Partners


Change

Use

You use the periodic check to screen customs documents against all the sanctioned party list (SPL) data. You
can perform this check against the sanctioned party list data at regular intervals (quarterly, for example).

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Prerequisites

● You have obtained SPL data from your data provider and have uploaded it to your SPL master records.
● You have transferred all your business partner master data from your feeder system to SAP Global Trade
Services (SAP GTS).

Procedure

Periodic Screening in Dialog

1. To start periodic screening of document addresses in dialog mode from a results list where you can start
further processing manually, choose Compliance Management Sanctioned Party List Screening
Logistics Sanctioned Party List Screening Periodic Screening Check Document Addresses (Dialog) .
2. In the following selection screen, enter the restrictions to the data you want the system to check. For
example, you can enter the following selection criteria:
○ Document Data
You can select the appropriate documents, for example, from the last week.
○ Sanctioned Party List
We recommend entering a specific legal regulation, as reducing the search criteria improves
performance.
○ Processing Mode
You can block all the documents while performing the check so that no changes are made to the data
during the check.
3. Choose Execute.

Periodic Screening in Batch

1. To start periodic screening of document addresses in batch mode, choose Compliance Management
Sanctioned Party List Screening Logistics Sanctioned Party List Screening Periodic Screening
Check Document Addresses (Batch) .
2. In the following selection screen, enter the restrictions to the data you want the system to check. For
example, you can enter the following selection criteria:
Document Data
You can select the appropriate documents, for example, from the last week.
Sanctioned Party List

 Recommendation

We recommend entering a specific legal regulation, as reducing the search criteria improves
performance.

3. Choose Execute.

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Result

When periodic screening in batch mode is completed successfully, the message Results of SPL check updated
successfully appears. In contrast, the system displays the results of the periodic screening in dialog mode
immediately. You have the opportunity to make changes in the results screen manually.

At the top left of the results screen, the system displays a list of the document partner addresses that are
blocked or released. Those that are blocked have a red traffic light and those that are released for further
business transactions have a green traffic light.

At the top right of the results screen, the system displays the individual SPL entities for which there was a
match in the document addresses, and therefore the reason(s) why the customs documents were blocked.

At the bottom left of the results screen, the system displays the name and address data of the individual
blocked partners or document addresses. If you select one particular SPL entity from the list in the top left, the
system displays the details of the match in the bottom right.

Additional functions for further processing are available in the results screen, including the following: This
includes the following:


You can select a document from the list in the top left of the screen and choose Block to block it from
further processing. Choose Save.

You can select a document from the list in the top left of the screen and choose Release to release it from
the blocked status for further processing. Choose Save.


You can select a document from the list in the top left of the screen and place the document partner on the
positive list to avoid future “false” hits during SPL screening. For more information, see Positive-/Negative
List [page 167].

You can select a document from the list in the top left of the screen and place the document partner on the
negative list to avoid unnecessary workload in SPL screening, if the document partner is a business partner
with whom you cannot conduct business under any circumstances. For more information, see Positive/
Negative List [page 167].

Use this function with great caution: it releases all blocked business partners for further processing. Then
choose Save.


You can select a business partner from the list and then choose Comment to write a commentary on your
reasons for releasing or blocking that particular document. This comment field is then updated in the audit
trail. This is particularly important in providing the customs authorities with the necessary information.


The system displays the details of the phonetic match between the document partner address and the SPL
data. This lets you identify which specific elements of the name or address resulted in the match.

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5.3.2.3.7 Screening External Addresses from XML Files

Use

You can screen address data from external systems. To do so, you can compile the addresses in an XML file and
screen that file in SAP GRC Global Trade Services. When these checks are performed without a direct system
link to a logistics system, the system records the results in audit trails [page 197] that you can display at any
time.

Activities

● To screen external addresses, go to the area menu and choose SAP Compliance Management
Sanctioned Party List Screening Logistics Periodic Screening Check External Addresses (Offline) .
● The system performs the following process steps for a legal regulation in a single step:
○ Upload the XML file with the external system addresses from a local data medium to SAP GRC GTS
○ Run sanctioned party list screening for the selected legal regulation
○ Create an XML file with the results of sanctioned party list screening and save it on a local data
medium
You have to enter the paths for the source and target files. Based on the group of logical systems that you
created for the external system, you can assign the results to the systems from which you extracted the
addresses in the XML file. The group of logical systems also makes it easier to search for screening results
in the audit trails.
● The system also saves the screening results in audit trails [page 197]. You can display the results at any
time and present them for official audits.

5.3.2.3.7.1 XML Structure for Address Data in Sanctioned


Party List Screening

Concept

You can run sanctioned party list screening for address data from external systems. To do so, you have to save
the address data in an XML file. You can fill the structure fields listed below for each address. You must use the
technical names for the fields of the address parts listed below to successfully process the address data from
the XML file:

Structure

The overview below contains the structure of the XML and the attributes and meanings of the tags.

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172 PUBLIC Compliance Management
Seq. No. Tag Name Technical Details and Explanation

● Attributes

1 HEADER ● XML version The encoding type in the


● encoding encoding attribute plays a
critical role in parsing XML
documents and is therefore
a required entry. The system
can process a document
with a missing header. The
system only supports UTF-8
encoding.

The header surrounds the


entire XML document.

2 IMPORT (root tag) The root tag encloses all


other tags of an entry and is
required for well-formed
XML objects.

You can embed several of the


following ADDRESS tags in
the root tag. You assign ad­
dress numbers to them for
differentiation.

3 ADDRESS The ADDRESS tag contains


all the data for the entities
you want to screen. The tag
does not have any of its own
attributes.

This tag contains all the tags


of lines 4 to 47, which you
can list consecutively in the
ADDRESS tag without any
further hierarchy levels. For
the system to adopt an ad­
dress entry, you have to fill at
least one of the tags from
lines 4 to 47.

4 ADDRNUMBER This tag contains the se­


quence number of the data
record for an address you
want to check in SPL screen­
ing.

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Seq. No. Tag Name Technical Details and Explanation

● Attributes

5 NAME1 This tag and the others in


this category contain the
name information for an ad­
dress.

6 NAME2

7 NAME3

8 NAME4

9 CITY1 This tag and the others in


this category contain the city
information for the partner
or entity to be checked.

10 CITY2

11 CITY_CODE

12 CITYP_CODE

13 HOME_CITY

14 CITYH_CODE

15 REGIOGROUP

16 POST_CODE1

17 POST_CODE2

18 POST_CODE3

19 PCODE1_EXT

20 PCODE2_EXT

21 PCODE3_EXT

22 PO_BOX

23 PO_BOX_NUM

24 PO_BOX_LOC

25 CITY_CODE2

26 PO_BOX_REG

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Seq. No. Tag Name Technical Details and Explanation

● Attributes

27 PO_BOX_CTY

28 STREET

29 STREETCODE

30 STREETABBR

31 HOUSE_NUM1

32 HOUSE_NUM2

33 HOUSE_NUM3

34 STR_SUPPL1

35 STR_SUPPL2

36 STR_SUPPL3

37 LOCATION

38 BUILDING

39 FLOOR

40 ROOMNUMBER

41 COUNTRY

42 LANGU

43 REGION

44 TEL_NUMBER

45 TEL_EXTENS

46 FAX_NUMBER

47 FAX_EXTENS

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Example

XML Syntax with Tags (Chart)

5.3.2.3.8 SPL Screening of Business Partners when SPL


Changes

Use

This function enables you to reconcile your business partners with new or changed sanctioned-party lists
(SPLs). You update SPLs due to additions or changes to official SPLs supplied by your data provider or a
government agency.

Prerequisites

● You have screened all business partners against the entire SPL data. This is essential because the present
function only screens the SPL updates and therefore does not include all SPL data.

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● You have run periodic sanctioned-party list screening for all blocked business partners. This process starts
when you change at least one entry in the SPL master data or upload an update file from a data provider to
your SPL master data.

Procedure

 Note

The system only performs SPL screening against the new SPL data that was uploaded as an update to the
SPL master data and not against the entire SPL master data, as the business partners have already been
screened against the SPL master data.

Dialog Processing

1. To start SPL screening for business partners, go to the area menu for SAP GTS and choose Compliance
Management Sanctioned Party List Screening Logistics Sanctioned Party List Screening Screen
Against Updated Sanctioned Party Lists Screen Bus. Partner Addresses (Dialog) .
2. If you do not enter any restrictions in the subsequent selection screen, the system includes the full
sanctioned party list master data in the SPL screening. This is a very performance-intensive process. The
most important entry is on the Sanctioned Party List tab page. Here you must enter the date of the SPL
update in the field view Timeframe of SPL Update. This is essential, as the system does not automatically
recognize the date on which new or changed data was added to the SPL data. The date of the SPL update
therefore specifies the relevant SPL data.
3. You can also select business partners for SPL screening on the Business Partners tab page. To do so, use
their external numbers.
4. When you choose Execute, the system screens only the business partners that you have released for
further business transactions in SAP Global Trade Services (SAP GTS). Therefore, partners with the status
Blocked or To Be Checked are not screened against the SPL update data. Otherwise, this would result in
only partial SPL screening and the system would release business partners who are listed in the
sanctioned-party lists in the SPL master data.

 Note

The update screening program does not allow you to screen business partners that are not already
released against the SPL data. You can only perform the SPL checks for blocked business partners
against the entire SPL database.

Background Processing

1. To start SPL screening for business partners in the background, go to the area menu for SAP GTS and
choose Compliance Management Sanctioned Party List Screening Logistics Sanctioned Party List
Screening Screen Against Updated Sanctioned Party Lists Screen Bus. Partner Addresses (Batch) .
2. Proceed as described for dialog processing. You can access the results of the SPL screening in the log.

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Example

An update to the SPL master data involves uploading a new XML file of sanctioned party list data from one of
your data providers or manually creating or modifying SPL master data. If, for example, you upload a new XML
file to your SPL master data on August 11, 2005, you have to perform SPL screening for your business partners
and customs documents. You therefore enter August 11, 2005 as the start date of the SPL update. The system
then determines all the SPL entities that were created or changed on this date. If you want to select all the SPL
data that has been created or changed since this date, you have to enter August 11, 2005 as the From date for
the SPL update and December 31, 9999 (for example) as the To date.

For more examples of situations where you can use this process, see the field help documentation for Date of
SPL Update.

5.3.2.3.9 SPL Screening of Document Partners When SPL


Changes

Use

If sanctioned party list (SPL) master data is updated due to additions or changes to SPLs, the basis for the SPL
screening changes. This function enables you to check your document partners against any new or changed
SPL master data records.

In this screening function, the system only compares the new SPL data that was uploaded to the SPL master
data as an update, and not the entire SPL master data, because the business partner data has already been
compared against the SPL master data.

Prerequisites

● You have screened all business partners against the entire SPL data. This is essential because the present
function only screens the SPL updates and therefore does not include all SPL data.
● You have run periodic sanctioned-party list screening for all blocked business partners. This process starts
when you change at least one entry in the SPL master data or upload an update file from a data provider to
your SPL master data.

Procedure

 Note

The system only performs SPL screening against the new SPL data that was uploaded as an update to the
SPL master data and not against the entire SPL master data, as the business partners have already been
screened against the SPL master data.

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Dialog Processing

1. To start SPL screening for document addresses, choose Compliance Management Sanctioned Party
List Screening Logistics Sanctioned Party List Screening Screen Against Updated Sanctioned Party
Lists Screen Document Addresses (Dialog) .
2. If you do not enter any restrictions in the subsequent selection screen, the system includes the full
sanctioned party list master data in the SPL screening. This is a very performance-intensive process. The
most important entry is on the Sanctioned Party List tab page. Here you must enter the date of the SPL
update in the field view Timeframe of SPL Update. This is essential, as the system does not automatically
recognize the date on which new or changed data was added to the SPL data. The date of the SPL update
therefore specifies the relevant SPL data.
3. When you choose Execute, the system only checks the document partners that you have released for
further business transactions in SAP Global Trade Services (SAP GTS). Therefore, partners with the status
Blocked or To Be Checked are not screened against the SPL update data. Otherwise, this would result in
only partial SPL screening and the system would release business partners who are listed in the
sanctioned-party lists in the SPL master data.
4. The update screening program does not allow you to screen document partners that are not already
released against the SPL data. You can only perform SPL screening for blocked documents against the
entire SPL database.

Background Processing

1. To start SPL screening for document partners in the background, choose Compliance Management
Sanctioned Party List Screening Logistics Sanctioned Party List Screening Screen Against Updated
Sanctioned Party Lists Screen Document Addresses (Batch) .
2. Proceed as described for dialog processing. You can access the results of the SPL screening in the log.

Example

An update to the SPL master data involves uploading a new XML file of sanctioned party list data from one of
your data providers or manually creating or modifying SPL master data. If, for example, you upload a new XML
file to your SPL master data on August 11, 2005, you have to perform SPL screening for your business partners
and customs documents. You therefore enter August 11, 2005 as the start date of the SPL update. The system
then determines all the SPL entities that were created or changed on this date. If you want to select all the SPL
data that has been created or changed since this date, you have to enter August 11, 2005 as the From date for
the SPL update and December 31, 9999 (for example) as the To date.

For more examples of situations where you can use this process, see the field help documentation for Date of
SPL Update.

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5.3.2.3.10 SPL Screening of Blocked BPs After Master Data
Changes

Use

 Note

This new function is only relevant to master data, not to transaction data scenarios.

You can have the system check the entire business partner master data against new or changed data in the
sanctioned party lists (SPLs) following an update to your SPLs. The system also checks whether blocked
business partners can be released after the validity period of SPL entities expires.

You can repeat screening of blocked business partners once SPL master data has been updated. This new
function represents a combination of the following two scenarios:

● Periodic Screening of Business Partners [page 165]


The Only Blocked Partners in periodic sanctioned party list screening controls how the system compares
blocked business partners with new and updated sanctioned party lists. However, if you have not set the
indicator Include Master Records Flagged for Deletion in activity Control Data for "Sanctioned Party List
Screening" Service, the system does not take any SPL entries into account whose technical validity periods
have expired. As a result, a previously blocked business partner is released as soon as the SPL entry is
either deleted or expires. The new repeat screening function prevents the inadvertent release of blocked
business partners.
● SPL screening of business partners after change to sanctioned party list [page 176]
The repeat screening function makes it possible to release blocked business partners and block other
business partners based on updates to the sanctioned party list.

Procedure

1. Determination of relevant blocked business partners


Every time a name or address in the SPL 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
2. If there are several new or changed SPL names or addresses in the update, it is sufficient for one of those
SPL names or addresses to have been changed or deleted to trigger an SPL screening involving the full SPL
master data.
3. Check business 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 the periodic check of business partners [page 165] takes effect. If
neither of the above criteria is fulfilled, the blocked business partner is neither checked again nor released.

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Result

Output of SPL Screening Results

The system outputs the results of the SPL screening in accordance with the selected processing mode.

Posting of Results and Audit Trail

The system records the results of the SPL screening and stores the log in the audit trail [page 197] for
monitoring purposes.

5.3.2.3.11 Simulated SPL Screening of Business Partners

Use

With this function you can simulate the SPL screening for a business partner. This is very useful as a test SPL
check to see whether a new partner address would be blocked by the system for business transactions in a live
SPL check.

Activities

● To simulate sanctioned party list screening for a business partner, choose Compliance Management
Sanctioned Party List Screening Logistics Simulation of Sanctioned Party List Screening Check
Business Partner Address .
● In the selection screen that follows, you must specify either an internal or external business partner
number in the field view Business Partner.
● The system displays the results in a display-only screen. You can also display a detailed analysis of the
simulation results by choosing (Detailed Analysis).

5.3.2.3.12 Simulated SPL Screening of Document Partners

Use

With this function you can simulate the SPL screening for a document partner. This is very useful as a test SPL
check to see whether a new partner address would be blocked by the system for business transactions in a live
SPL check.

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Activities

● To simulate sanctioned party list screening for a document partner, choose Compliance Management
Sanctioned Party List Screening Logistics Simulation of Sanctioned Party List Screening Screen
Document Address .
● In the selection screen that follows, you must specify either an internal (SAP GTS) customs document
number or an external (feeder system) document number in the Document Data field view.
● The system displays the results in a display-only screen. You can also display a detailed analysis of the
simulation results by choosing (Detailed Analysis).

5.3.2.3.13 Simulated SPL Screening of General Addresses

Use

With this function you can simulate the SPL screening for any address that could potential occur in import or
export processes. This is very useful as a test SPL check to see whether a new partner address would be
blocked by the system for business transactions in a live SPL check.

Activities

● To simulate sanctioned party list screening for a general address, choose Compliance Management
Sanctioned Party List Screening Logistics Simulation of Sanctioned Party List Screening Screen
General Address .
● In the selection screen that follows, you must specify a country in the field group Street Address. You must
also select a legal regulation.
● The system displays the results in a display-only screen. You can also display a detailed analysis of the
simulation results by choosing (Detailed Analysis).

5.3.2.3.14 Releasing Blocked Business Partners.

Use

Sanctioned party list (SPL) screening of business partners in SAP Global Trade Services can result in those
business partners being blocked for further processing. This is due to a match between an SPL entry and
business partner data. This means there is a match between a phonetic text string in the SPL entry and a
phonetic text string in the business partner header data. The probability of a match being found is determined
by the settings in Customizing for SAP GTS under Compliance Management Sanctioned Party List
Screening Control Sanctioned Party List Screening .

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To secure your decision to release blocked business partners, you can create a case in Case Management or
display existing cases. If you create a case, you can enter memorandums to file for individual activities and
transfer decisions to another employee or superior through a defined process route. The case information lets
you store documents and background information that can aid decision-making.

Prerequisites

● You have completed the following activities in the Implementation Guide (IMG) for SAP Global Trade
Services:
○ Activate Case Management
○ Define Default Data for Case Management
● You have also configured the default data [page 1032] to determine the correct case type and the process
route model for Case Management.
● SPL screening blocked a business partner based on the recent SPL data.

Activities

● To release blocked business partners, go to the area menu of SAP GTS and choose Compliance
Management Sanctioned Party List Screening Monitoring Business Partner Display Blocked
Business Partners .
You can enter selection criteria on the initial screen for Business Partner data in SAP GTS or External ID of
Business Partner for data from the feeder system, such as:
○ Business partner
○ Created on
○ Created by
○ Date of check
○ Feeder system
● Choose the processing mode in which the system should present the search results. If you only want to see
all blocked business partners, for example, set the Blocked Partners Only flag.
● The system displays all business partners that the system blocked due to matches in SPL screening. The
overview contains information about the feeder system and the legal regulation, for example.
● In addition, the overview on blocked business partners contains an overall status for SPL screening. This
status can have the following attributes:
○ The business partner is blocked temporarily until the system performed SPL screening. The
temporary block occurs if you have activated asynchronous SPL screening.

○ . If you assigned multiple addresses to one business partner, the system displays each address of a
business partner as an separate entry in the list. The system assigns this status value if the business
partner is blocked due to the address data of a different entry. The status therefore states that the
business partner with the assigned address of this particular entry is blocked indirectly by one of the
other assigned addresses.

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● The following options are available to release blocked business partners:

○ To release a blocked business partner, set the flag of the business partner and choose . The system
updates the log directly with the details of the activity.
○ If you want to secure the release of the business partner, you can create a case in Case Management.
To do so, select the blocked business partner and choose Create Case.
○ If a case for the release of a blocked business partner already exists, you can choose Display Case to
display it.
For more information about the functions available to create and display cases, see the information in
the SAP Library for Case Management.

 Note

If a case exists for a blocked business partner, the person responsible in the process route has to
approve it before you can release the document.

● Select the business partner you want to release by setting the relevant indicator for the entry and choose
Cancel SPL Block.
● If you want to exclude a specific business partner from further SPL screening, select the business partner
and choose either or .
This action puts the business partner on the positive list or the negative list. For more information, see
Positive/Negative List [page 167].

Result

You can continue the process in the feeder system. However, the system releases the business partner only for
this specific transaction. If you perform SPL screening of that business partner with the exact same data, the
system blocks the document again. You can prevent that if you add the business partner to the positive list.

5.3.2.3.15 Releasing Blocked Documents

Use

Depending on the documents you have activated for SPL screening, the system performs sanctioned party list
(SPL) checks synchronously or asynchronously in SAP Global Trade Services (SAP GTS) on business partner
addresses in theses documents. Relevant documents are, for example, early documents in the supply chain
such as sales orders or goods issues.

As the result of sanctioned party list screening of documents, the system can block documents for further
processing. A document block is triggered by a match between an SPL entity and the business partner data in
that document. This means there is a match between a phonetic text string in the SPL entry and a phonetic
text string in the document address. The probability of a match being found is determined by the settings in
Customizing for SAP GTS under Compliance Management Sanctioned Party List Screening Control
Sanctioned Party List Screening .

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To safeguard your decision to release documents, you can create a case with Case Management or display
existing cases. If you create a case, you can enter memorandums to file for individual activities and transfer
decisions to another employee or superior through a defined process route. The case information lets you
store documents and background information that can aid decision-making.

 Note

For more information, see SAP Library for Case Managementon SAP Help Portal at http://help.sap.com.

Prerequisites

● You have configured the following settings in the Implementation Guide (IMG) of SAP Global Trade Services
to integrate Case Management with the document release procedure:
○ Activate Case Management
○ Define Default Data for Case Management
For more information about connecting Case Management, see the Configuration Guide for Compliance
Management in the SAP Software Download Center at 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 .
● You have also configured the default data [page 1032] to determine the correct case type and the process
route model for Case Management.
● SPL screening blocked a document based on the recent business transaction and SPL data.

Activities

● To release blocked documents, go to the area menu of SAP GTS and choose Compliance Management
Sanctioned Party List Screening Documents Manually Release Blocked Documents .
● You can enter selection criteria in the initial screen for SAP GTS Document Data or Document Data in
Feeder System, such as:
○ Document number
○ Created on
○ Created by
○ Feeder system
● The system displays all documents that the system blocked due to matches in SPL screening.
● The following options are available to release the document:

○ To release a blocked document, select the flag for the document and choose . The system updates
the log directly with the details of the activity.
○ If you want to safeguard the document release, you can create a case in Case Management. To do so,
select the blocked document and choose Create Case.
○ If a case for the release of a blocked document already exists, you can choose Display Case to display
it.
For more information about the functions available to create and display cases, see the information in
the SAP Library for Case Management.

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 Note

If a case exists for a blocked document, the person responsible in the process route has to approve
it before you can release the document.

● You can also perform the following actions for the documents that you select in the list.


The customs document, which is a replicate of the logistics document from the feeder system,
contains all the foreign trade-specific data, such as document status and partner and organizational
data at header level, as well as product-specific data at item level. The system also records specific
foreign trade data in the customs document from other services in SAP GTS. When you choose Item
Details in the customs document, you can display the following information at item level:
○ Classification tab page
This tab page displays the classification of the document item in the import/export control
classification list, which which the system uses for product-specific checks. You have classified the
products with the functions in the SAP GTS area menu under Compliance Management
Classification / Master Data .
○ Preference tab page
If you have activated the Preference Processing service of Risk Management, you can display the
preference statement for the document item of the replicated sales documents and billing
documents on this tab page. You see a comparison of the threshold value that the system
calculated during preference determination and the value from the logistics document. You also
see the preference indicator. If you need more details, you can display the preference
determination log. To do so, choose Preference Determination Log.
○ Letter of Credit tab page
If you have activated the Letter of Credit Processing service of Risk Management, you can display
the main data for the letter of credit in this tab page. To display additional details, you can navigate
directly to the letter of credit: choose Display Letter of Credit.

Result

You can continue the process in the feeder system. However, the system releases the document only for this
specific transaction. If you perform SPL screening for another document with the exact same data, the system
blocks the document again. You can prevent that if you add the business partner to the positive list. For more
information, see Positive/Negative List [page 167].

5.3.2.3.16 Evaluating Reasons for Release

Use

When the system sets a block, you can check the affected documents and payments or business partners
individually. If your check reveals that the system block is inappropriate for a specific business transaction, you

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can release the corresponding document or business partner. The system writes an entry to the audit trail for
each manual release. In addition, you can enter comments for releases or assign predefined reasons for
embargo checks and sanctioned party list screening, depending on your Customizing settings.

If you choose to assign standardized reasons for release, you can analyze the reasons for a manual release.
Based on your analysis results, you can adjust the settings that resulted in the avoidable blocks, minimizing
your manual effort in future. Optimizing your screening rules also streamlines your compliant business
processes.

You can use the assignment of standardized reasons for release for releases after embargo blocks or blocks
after sanctioned party list screening.

Prerequisites

You have defined the reasons for release in Customizing and activated them for use in releases in the control
settings for Compliance Management.

In addition, you have assigned these reasons when releasing documents and payments or business partners.

Activities

● The analysis of reasons for release is located in the area menu under Compliance Management and one of
the following paths:
○ Sanctioned Party List Screening Cross-Area Monitoring Release Blocked Partners/Documents
Analyze Reasons for Release or
○ Legal Control - Import or Legal Control - Export Embargo Analyze Reasons for Release
● You can display the full list of released documents or partners for each legal regulation and use the sort
function for analysis in the displayed list.
● Alternatively, you can specify the analysis through the selection criteria, for example, the blocking reasons.
● To display the details for blocked documents or partners, select the appropriate line and choose Display
Document or Display Partner. The customs document or business partner that you released by assigning
one of the reasons is displayed.

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5.3.2.3.17 Monitoring Functions for Sanctioned Party List
Screening

You can use the following monitoring functions in SPL screening:

Master data Sanctioned party lists Business partners Documents

● SPL Overview List - -


● SPL Structured List
● Expiring SPLs
● Archivable SPL Entries
● Change history

Logistics - ● Blocked Business Part­ ● Blocked documents


ners ● Technically incomplete
documents
● Manual Release of
Blocked Documents
● List of all Documents

Human Resources - ● Blocked Persons -

Financial Accounting - ● Blocked business part­ ● Blocked payments from


ners from financial serv­ financial processing
ices and financial proc­
essing

5.3.2.3.17.1 Monitoring Sanctioned Party Lists

Use

This function enables you to monitor sanctioned party lists, on the basis of sanctioned party list screening that
the system carries out for business partners and documents. Using the monitoring function, you can view
sanctioned party list entries that have been entered manually, as well as sanctioned party lists that have been
uploaded.

Prerequisites

You have created sanctioned party list entries manually in Compliance Management or loaded sanctioned
party lists into the system.

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Functionality

When monitoring sanctioned party lists, you can use the following functions:

● Display Sanctioned Party Lists


○ Display Overview List
The overview list contains all the data that matches your selection criteria in a "flat list. The list is
sorted by default according to legal regulation and list type. The advantages of this list view are that you
can sort or filter entries to suit your own requirements.
○ Display Structured List
The structured list contains the same data as the overview list. In comparison with the overview list,
the sanctioned party list entries are structured in a hierarchy. The top level contains the technical key
of the sanctioned party list entry, along with information about the legal regulation and the data
provider. The lower levels contain details about the entries, such as header data including validity
information, name, and address.
● Display Expiring Sanctioned Party Lists
The display of expiring sanction party lists allows you to keep your sanctioned party list up to date and
request the latest sanctioned party lists in good time from authorities or your data provider.
● Display Archivable Entries
This overview contains all sanctioned party list entries that are marked as archivable. In this way, you can
obtain an overview of all entries that the system saves to the archive and deletes from the database during
the next archiving session.
● Display Change History
Any changes that a user makes to a sanctioned party list entry are registered and logged by the system.
The change history overview contains all changed sanctioned party list entries for each user, including the
changed value and the time of the change.

Activities

Display Sanctioned Party Lists

● The overviews of sanctioned party lists are located in the SAP GTS area menu under Compliance
Management Sanctioned Party List Screening Master Data Monitoring Sanctioned Party Lists
○ Display Overview List
○ Display Structured List
● You can enter additional selection criteria to restrict the search results.
● The system then displays an overview of all the sanctioned party list entries that match your selection
criteria
● From the list entries, you can go the detailed view of the master data by selecting the entry you require and
choosing Edit Detailed View from the menu bar.
● You can change or supplement the details of the sanctioned party list entries. To do so, you have to select
the entry that you want to change and choose Change. The system then opens the detailed view for you to
enter your changes.

Display Expiring Sanctioned Party Lists

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● To display expiring sanctioned party lists, go to the SAP GTS area menu and choose Compliance
Management Sanctioned Party List Screening Master Data Monitoring Sanctioned Party Lists
Display Expiring Sanctioned Party Lists .
● You can enter additional selection criteria to restrict the search results.
● Define the time at which the validity of the sanctioned party lists expires and the time period in which you
want to display the sanctioned party lists.
● By choosing Execute, the system displays a structured list of all sanctioned party list entries within the
given period or that expire by the time specified.
● You can change the details of the sanctioned party list entries. You can adjust the validity period, for
example, extending it. To do so, you have to select the entry that you want to change and choose Change.
The system then opens the detailed view for you to enter your changes.

Display Archivable Entries

● To display archivable sanctioned party lists, go to the SAP GTS area menu and choose Compliance
Management Sanctioned Party List Screening Master Data Monitoring Sanctioned Party Lists
Display Archivable Entries .
● You have to enter a legal regulation and the time up to which you want the system to archive the data.
● The system then displays an overview of all the sanctioned party list entries that match your selection
criteria

Display Change History

● To display the change history, go to the SAP GTS area menu and choose Compliance Management
Sanctioned Party List Screening Master Data Monitoring Sanctioned Party Lists Display Change
History .
● You can enter additional selection criteria to restrict the search results.
● For each user, the system displays a structured list of the sanctioned party list entries for which the user
has made changes. This list contains the exact time and date when the user made changes in the system,
including the values that were changed.

5.3.2.3.17.2 Monitoring the Positive/Negative List

Use

In the business partner check functions, you can decide to transfer business partners to the positive or
negative list. For example, you put the business partner on the positive list because you want to supply him or
her despite being blocked in accordance with the sanctioned party list screening (SPL screening). For example,
you put the business partner on the negative list because you do not want to perform any business activities
with him or her despite a positive result in the SPL screening.

By monitoring the positive- or negative list, you can see all entries that you assigned to the respective list. On
the basis of the status that the system assigns to each entry, you get a comparison of the results from the SPL
screening and your marking of the business partner by transferring him or her to one of the lists.

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Prerequisites

You have put business partners on the positive- or negative list after the business partner check or during
business partner processing.

Activities

● You can see the display of the positive- or negative list under: SAP Compliance Management Sanctions
List Check
○ Logistics Monitoring Business Partners Business Partner: Display Negative List or Business
Partner: Display Positive List.
○ Human Resources Monitoring Persons Display Blocked Persons .
○ Financial Accounting Monitoring Business Partners Display Blocked Persons .
● To display the positive- and negative lists, you can restrict the search by entering the following selection
criteria:
○ Business partners
○ Country key
If you use the country key as a selection criterion, the system lists all business partners from the
selected country that you have put on the positive- or negative list.
○ Business Partners
○ Partner Function
○ External Identification of the Business Partner in the Feeder System
○ Business Partner ID from the Feeder System
○ Group Logical System
○ Business Partner Category
○ Administrative Data
● If you choose Execute, the system lists all business partners that you have put on a positive- or negative list
and that match your selection criteria for you in an overview.
● Besides the business partner, the system lists the following details, for example:
○ The address number, including all address information contained in the system
○ Number of the SPL entry as ID
○ Indicator whether the SPL screening resulted in a block
● Each entry has a status display This lets you see the results of the SPL screening. The following statuses
are possible:

○ The business partner is not blocked on the basis of the results of the business partner check. If
you have put the business partner on the negative list, the system still blocks all business transactions
with this business partner.
○ The business partner is blocked for the time being, because the system cannot present a result
of the business partner check on the basis of the asynchronous sanctions list check that you set.
○ The business partner is blocked on the basis of the results of the business partner check. If you
have put the business partner on the positive list, this block is inactive.

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 Example

If you look at the entries in the negative list and a business partner has a yellow status, this means the
following:

You have transferred the business partner

You have set up the asynchronous sanctions list check.

The system has blocked the business partner temporarily until the system performed SPL screening.

You have already assigned the business partner to the negative list.

The system blocks all transactions with the business partner, even if the result for the business partner
after the SPL screening is positive.

5.3.2.3.17.3 Monitoring Blocked Business Partners

Use

This function enables you to monitor business partners who have status Blocked in SAP Global Trade Services
(SAP GTS). These partners may have been blocked by sanctioned party list (SPL) screening automatically in
the synchronous processing scenario. There may also be partners who are blocked, as they have still to be
checked in asynchronous SPL screening. To enable your staff to react to blocks quickly, you can send e-mail
notification [page 1031] to specific users as soon as a block is set.

To secure the release of blocked business partners, you can create a case in Case Management or display
existing cases. If you create a case, you can enter memorandums to file for individual activities and transfer
decisions to another employee or superior through a defined process route. The case information lets you
store documents and background information that can aid decision-making.

 Note

For more information about Case Management and its features, see the SAP Library for SAP Enterprise
Resource Planning (SAP ERP) under help.sap.com SAP ERP SAP ERP Central Component Cross-
Application Services Case Management .

Integration

All SPL blocks are managed centrally in SAP GTS. The partner status in the feeder system is not modified in
SAP GTS. During subsequent processing in the feeder system, the feeder system reads data from SAP GTS to
determine whether there is an SPL lock entry for the relevant preceding object. If a lock entry exists, the data
cannot be processed. You can use this program to generate an overview of the partners who are blocked in the
feeder system.

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Prerequisites

● You have created business partners in the partner master data in the feeder system and uploaded this
master data to SAP GTS.
● You have configured the following settings in Customizing for Global Trade Services to integrate Case
Management:
○ Activate Case Management
○ Define Default Data for Case Management
For more information, see the Configuration Guide for SAP Compliance Management at the SAP
Service Marketplace, under service.sap.com/swdc Download Installations and Upgrades Entry
by Application Group SAP Application Components SAP Global Trade Services (GTS) SAP GTS
<Release> Installation and Upgrade .
● You have also configured the default data [page 1032] to determine the correct case type and the process
route model for Case Management.

Functionality

This function allows you to evaluate all the business partners who have already been checked in SPL screening,
giving you information as to why they have been blocked from further business transactions. You can also
evaluate all the business partners who have Blocked status. The results table also indicates which business
partners have not undergone SPL screening yet.

Activities

● You can display a list of the business partners who are blocked for business transactions in SAP GTS and
the feeder system, and check the reasons why they have Blocked status. Choose Compliance
Management Sanctioned Party List Screening Monitoring Business Partners Display Blocked
Business Partners .
● In the first screen of the monitoring function, you can enter selection data, such as the country key, to
generate a list of all the business partners who are blocked for trade in a particular country.
● The results table displays information such as the status, the logical system grouping, external and internal
business partner numbers, the date of SPL screening, if one was conducted, whether or not there is an SPL
block on the partner or not and, if so, until which date the block is valid.
● In the results table, you have additional options for obtaining more information about individual business
partner. If you select a row and choose Sanctioned Party List Screening, the system performs SPL
screening of that business partner. If you select a row and choose the Release Partner pushbutton, the
system releases that business partner for further business transactions.
● To obtain more information about a particular blocked partner, select the partner and choose the Details
pushbutton.
● To secure the release of blocked business partners, you can create a case in Case Management. To do so,
select the blocked business partner and choose Create Case. If a case for the release of a blocked business
partner already exists, you can choose Display Case to display it.

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For more information about the functions available to create and display cases, see the information in the
SAP Library for Case Management.

5.3.2.3.17.4 Monitoring Blocked Documents

Use

This function enables you to monitor documents that are blocked for further processing in the feeder system
and therefore have Blocked status in SAP Global Trade Services (SAP GTS). The documents may be blocked
due to changed or new addresses from the feeder system, or due to business partners contained in the
documents who have undergone sanctioned party list (SPL) screening and appear on a boycott list. The
documents may also be blocked because they are in a worklist that is to undergo SPL screening
asynchronously at a later stage. To enable your staff to react to blocks quickly, you can send e-mail notification
[page 1031] to specific users as soon as a block is set.

To secure the release of blocked documents, you can create a case in Case Management or display existing
cases. If you create a case, you can enter memorandums to file for individual activities and transfer decisions to
another employee or superior through a defined process route. The case information lets you store documents
and background information that can aid decision-making.

 Note

For more information about Case Management and its features, see SAP Library for SAP Enterprise
Resource Planning (SAP ERP) under http://help.sap.com SAP ERP SAP ERP Central Component
Cross-Application Services Case Management .

Prerequisites

● You have transferred documents from the feeder system to SAP GRC GTS, where the system saves
replicates of these documents in customs documents.
● You have configured the following settings in the Implementation Guide (IMG) of SAP GRC GTS to integrate
Case Management:
○ Activate Case Management
○ Define Default Data for Case Management
For more information, see the Configuration Guide for SAP Compliance Management in the SAP Help
Portal under: http://help.sap.com/gts .
● You have also configured the default data [page 1032] to determine the correct case type and the process
route model for Case Management.

Features

You can monitor documents in SAP GRC GTS. To display blocked documents, you can specify the reasons for
blocking in the selection criteria - for example, hard or soft blocks. If you have activated TREX from SAP

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NetWeaver for address comparisons in Customizing, you can also select documents that are blocked due to
interruptions in the system connection to TREX. The following monitoring functions are available:

● Display Blocked Documents


● Release Blocked Documents
● Display All Documents
● Display Technically Incomplete Documents
Master data and document data is automatically transferred from the source system to SAP GRC GTS and
assigned. If errors occur during automatic assignment, you can check the log and fix the errors. Master
data contains information about customers, suppliers, and materials. Document data contains information
about partner functions, document types, item categories, foreign trade organizational units, and legal
units.

Activities

To monitor documents, choose SAP Compliance Management Sanctioned Party List Screening Logistics
Monitoring Documents .

● Display Blocked Documents


○ If you need more information about a single document, select it and choose Display Customs
Documents. The system then displays this information in tab pages such as organizational and partner
data.
○ If you want to display additional information as to why a customs document was blocked, choose Log.
The system displays the log containing reasons why the document was blocked, for example, Partner’s
address has been identified as an entry in a boycott list.
○ You can also simulate SPL screening: choose Simulate SPL Screening.
○ To create a case to secure document release, select a document and choose Create Case. To display an
existing case, choose Display Case. For more information about the functions available to create and
display cases, see the information in the SAP Library for Case Management.

● Display Technically Incomplete Documents


○ The log contains a list of reference numbers. The reference numbers correspond to the document
numbers from the source system. Select a reference number and choose Log.
○ When technically incomplete documents are updated in SAP GRC GTS, the feeder system outputs an
error message stating that the system could not transfer the incomplete document. You can also
examine the log to determine which business partners or products resulted in technically incomplete
documents.

● Manually Release Blocked Documents. This function is similar to the two functions described above.
However, two additional symbols are available in the main screen of this function.
○ If you select customs documents and choose Refresh, the system performs SPL screening, the
embargo check, and legal control simultaneously.
○ If you select customs documents and choose Cancel SPL Block, the system releases all the selected
documents without performing any checks. The system records this activity in the audit trail [page
197].

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○ If you release blocked documents manually without repeated screening in the Sanctioned Party List
Screening service, you can enter a reason for release. Depending on your Customizing settings, you
can use either one or both of the options below:
○ Enter a comment for the release reasons. The system writes this comment in an audit trail. If you
select several blocked documents, you do not need to enter a separate comment for each
document you want to release. Instead, you can enter one comment, which the system uses for all
the blocked documents you selected for manual release.
○ You can select a reason for releasing documents from a catalog of reasons that you have already
defined in Customizing. When you assign these standardized reasons for releasing documents,
you can evaluate the release reasons [page 186] later.
● Display All Documents. You can use this monitoring function to find a specific feeder system document.

 Note

Every display of customs documents that appears in the monitoring functions contains the document data
for document status, partners, and organization at header level. It contains further details at item level, in
tab pages such as classification, the preference statement and the related details in the log for preference
determination, and assigned letters of credit for each item.

5.3.2.3.17.5 Rechecking Import/Export Documents

Use

This function enables you to perform sanctioned party list screening for import and export documents after
you have changed them.

Prerequisites

You have performed compliance checks on import or export documents and want to check them again, for
example, after making changes to them. To improve system performance, we recommend entering the
corresponding document numbers in this case.

Activities

● Launch the SAP GTS area menu and choose Compliance Management Sanctioned Party List Screening
Logistics Documents Recheck Import/Export Documents .
● In the next screen, enter the criteria for selecting the documents you want to recheck. You can enter as
many criteria as you like or none at all.
● The sanctioned party list screening runs in the background. If you set the Display Log flag, however, the
results of the check are displayed.

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● The results dialog window shows you which checks from which active services succeeded or failed at item
level. To display detailed information for a check, double-click the appropriate line.
● If you set the Save Log flag and enter a path for saving the log, you can retain the logs for further revision.
For more information, see the field help.

5.3.2.3.18 Audit Trails

Use

You have to log and save all sanctioned party list (SPL) screening activities to keep them accessible for official
audits within the statutory retention period. SAP Global Trade Services (SAP GTS) logs the results at the legal
regulation level. The logs enable you to keep a record of all the SPL screening your company has carried out,
giving you an important source of documentation for legal purposes. You can archive these logs to reduce the
load on your system and delete them from the tables once you have done this. The audit trail provides you with
proof you need to present periodically to customs authorities, to demonstrate exactly which checks were
performed, on which parties and when, and to show the results of these checks.

The system logs every SPL screening activity of addresses and documents in the audit trail. This includes the
results of screening external addresses from XML files or simulated screening activities. The audit trails for
simulated screening activities let you retrieve the results of one-time checks at any time.

Features

You can use the following functions to select and display SPL screening logs for the partners and documents
that have been screened:

● Audit Trail Business Partner


● Audit Trail Document
● Audit Trail for External Addresses

You can separate these transactions 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 screening and were released then manually, for example.

Activities

● To start the audit trail features, go to the area menu for SAP GTS and choose Compliance Management
Sanctioned Party List Screening . Then choose the required tab and click Audit Trail
○ Display Audit Trail for Business Partners
○ Display Audit Trail for Documents
○ Display Audit Trail for External Addresses

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● In the screen that follows, you can enter restrictions for the data you want to display. For example, you can
enter one particular legal regulation.
● You can also specify whether you want to select and display data that has already been archived, such as
SPL master data, SPL audit trail, and SPL master data change documents. To do so, choose Also Select
Archived Data.
● When you choose Execute, the system displays a results list of all the partners and documents the system
checked against a particular legal regulation that you entered in the selection screen.
● You can display the following details for each entry in the results list:
○ Business partner's address data
○ Document data
○ SPL data
○ User data
○ Comments (if any)
These functions allow you and the authorities to monitor the reasons for a user deciding to override a
system decision to block a particular document or business partner. The user's comments are also
contained in the audit trail, which makes all your business processes transparent.

5.3.2.3.19 Audit Trail for External Auditors

Use

You have to ensure that your business processes comply with all applicable laws. This includes making sure
that companies and persons that appear on sanctioned party lists are excluded from your business activities.
To achieve this, sanctioned party list screening lets you check documents and partners. Each check and each
manual release after a system block is recorded in audit trails. You are obligated to save these audit trails
during the statutory retention period.

Authorities and official offices reserve the right to audit the compliance of these screenings and their releases.
They can authorize auditors to do this. You are required to give them access to the audit trails, so they can
trace the individual activities from SPL screening. The auditor functions give auditors a centralized starting
point for their activities. Audit trail functions are available for both partners and documents. You can also use
these functions for internal audits of the results and activities from SPL screening.

Activities

● To access these auditor functions, go to the area menu of SAP GRC Global Trade Services (SAP GRC GTS)
and choose SAP Compliance Management Sanctioned Party List Screening Cross-Area Monitoring
Audit Trail .
○ Display Audit Trail for Business Partners
○ Display Audit Trail for Documents
● You can enter selection criteria to limit the display of audit trails, for example, limiting the display to a legal
regulation or specific business partners.
● The system presents the results in a screen divided into three parts.

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○ The top part of the screen shows a list of the screened documents or partners. The main data from the
business transaction appears for each entry, along with the system's decision after sanctioned party
list screening and modification (if any) by the user.
To display the details for an entry in this screen, select the appropriate line and choose Display
Document or Display Partner. The customs document or business partner appears with the data that
was used for sanctioned party list screening.
○ If you double-click a blocked entry in the top section, the SPL entries that caused the screening results
appears in the Matched Sanctioned Party List Entities area. You can also open these entries by
selecting a line in the top screen and choosing Display SPL Entry.
To display the master data record of any SPL entity, select the corresponding line and choose Display
SPL Data.
○ When you double-click an entry in the list of matched SPL entities, the system opens a list of address
components whose matches with SPL entries resulted in the block is displayed in the Matched Terms
in Address area. You can also display these entries by choosing Detailed Analysis in the Matched
Sanctioned Party List Entity area.
● If a user has canceled a document or partner block and entered a comment for this action, you can display
the comment. To do so, select a line and choose Display Comment.

5.3.2.4 Sanctioned Party List Screening for Financial


Accounting

Use

Due to stricter control measures and legal regulations on foreign payment transactions imposed by the
European Community, companies with global operations have to document screening of the incoming and
outgoing payments. This includes screening the business partners in financial accounting transactions against
official sanctioned party lists.

Insurance companies and banks in the United States, for example, are required under laws such as the
(Providing Appropriate Tools Required to Intercept and Obstruct Terrorism) to prevent payment transactions
with persons named in the sanctioned party lists.

Financial institutions can detect sanctioned persons, groups, and organizations in advance, before the
payment transaction is executed, and freeze the funds or financial resources to prevent the payment
transaction as a result. These sanctioned persons, organizations, and groups are published regularly by various
organizations in various countries; the same sanctioned parties can appear in multiple lists.

Integration

To use sanctioned party list screening in financial accounting, you can run SAP Global Trade Services (SAP
GTS) on the same system as the Contract Accounts Receivable and Payable (FI-CA) component of SAP ERP, or
on different systems using Remote Function Calls (RFCs).

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 Note

You can also integrate sanctioned party list screening in the SAP solutions for insurance companies and
banking.

Prerequisites

● You have created sanctioned party lists


You can upload sanctioned party lists in XML format, either in files from your data provider or using SAP
NetWeaver Process Integration (previously known as SAP Exchange Infrastructure, SAP XI) technology.
You can also create your own sanctioned party lists manually in the master data. For more information, see
Maintaining SPL Master Data [page 140] and Uploading SPL Master Data [page 143].
● Transfer and replicate FI business partners to the GTS system
You transfer the relevant business partners in FI to the GTS system as customers or vendors. The system
assigns business partner function Contract Partner, which is contained in the delivery Customizing.
For more information about the Customizing settings in the GTS system for transferring business partners
from Financial Accounting to the GTS system, see the documentation of the Customizing activity under
General Settings Partner Structure Assignment of Partner Functions from Feeder Systems
Once you have transferred all relevant business partners to the GTS system, you can start sanctioned party
list screening for all the business partners you just created.
● If your GTS system and FI-CA run on two different systems connected by RFC destinations, you have to
transfer the FI business partners to the GTS system.

 Note

If GTS and FI-CA run on the same system, you do not have to replicate the business partners in the GTS
system.

For more information on the settings for transferring business partners, see the section on Data Replication in
the Configuration Guide for Compliance Management at the SAP Service Marketplace under the following path:

http://help.sap.com/gts Configuration

Features

You can integrate Financial Accounting transactions with your import and export transactions. Sanctioned
party list screening in Compliance Management in the GTS system lets you screen your business partners and
ensure that you comply with domestic and international country embargos, as well as bans on sanctioned
parties and enterprises. To do so, you can run compliance checks and legal controls at every stage of your
logistics process, from quotation to billing document.

The integration between the GTS system and Financial Accounting covers the following functions:

● Sanctioned party list screening of relevant business partners


At the beginning of sanctioned party list screening, the GTS system assigns status Not Checked to each
business partner from Financial Accounting. The GTS system compares the business partner addresses

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with the address data contained in the sanctioned party lists. If the system does not find any match
between a business partner and the sanctioned party list, it assigns status Released to that business
partner. Business partners with data that match data in the sanctioned party lists are assigned status
Blocked.

 Note

You can use the options for multiple address screening for business partners, as well as intelligent SPL
screening. For more information, see Screening Variants in Business Partner Screening [page 159].

The following screening options are available:


○ Sanctioned party list screening of account holder
Each business partner can have one or more bank accounts, and each bank account can have one or
more account holders. The system compares the account holders with the sanctioned party list.
○ Sanctioned party list screening of note to payee information
Bank customers often include a note to payee in individual payment transactions. The system can
screen this note to payee against the sanctioned party lists.
○ Synchronous comparison of business partners with SPL data during payment transactions
You can run synchronous SPL screening by starting screening manually. If you want to start SPL
screening asynchronously, you can schedule the screening run as a periodic job in the background.

 Recommendation

We recommend using synchronous screening.

For more information about synchronous and asynchronous SPL screening, see Changes to Business
Partner Addresses [page 160].
All business partners that were blocked due to matches between the business partner address data
and SPL data, but do not have to remain blocked, can be released manually. For more information
about releasing business partners and documents that were blocked by SPL screening, see Monitoring
Business Partners [page 192].
The positive list is another way to avoid having to release the same blocked business partners or
documents repeatedly. For more information about the option for playing business partners on the
positive list, see Positive/Negative List [page 167].
● Manual postprocessing of screened business partners
If sanctioned party list screening did not block any business partners, you can process the payment
transactions. If a payment transaction in FI-CA is blocked due to a blocked business partner in the GTS
system, however, you can display this business partner in the SPL screening log. For more information, see
Releasing Blocked Business Partners [page 182].
● Monitoring of SPL screening results
You can use the monitoring functions to display an overview of all blocked business partners, as well as the
business partners on the positive and negative lists. For more information, see Monitoring Blocked
Business Partners [page 192] and Monitoring the Positive/Negative List [page 188].
The system logs and archives the results of sanctioned party list screening in accordance with legal
requirements. For more information about log results, monitoring, and archiving, see Audit Trail [page 197].
● Simulate sanctioned party list screening
If you want to test SPL screening for specific business partners, you can use the simulation functions. For
more information, see Simulated SPL Screening of Business Partners [page 181] and Simulated SPL
Screening of General Addresses [page 182].

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Activities

 Note

To display the specific functions for Financial Accounting in the function descriptions for SPL screening
linked below, replace the reference to the Logistics tab page with Financial Accounting in the path
information.

5.3.2.5 SPL Screening with Human Capital Management

Use

The system for (GTS) lets you replicate customer and vendor master data from SAP ERP, partner data from
SAP Customer Relationship Management (SAP CRM), and business partners from non-SAP systems (using
Remote Function Calls). You can then carry out sanctioned party list (SPL) screening for these business
partners.

Thanks to integration between Human Capital Management and the GTS system, you can also perform
sanctioned party list screening for your own employees. To include these HCM-relevant persons in sanctioned
party list screening, you can replicate the HCM master data from SAP ERP and compare it with the SPL master
data in the GTS system.

You can transfer the personnel master data from HCM initially by using a report, and, thereafter, any new or
changed personnel data can be transferred by a report planned in the background as a batch job. The system
replicates the personnel master data in the GTS system as business partners with type Person and function
Employee.

For data protection reasons, there is a country-specific authorization for this function. This means that only a
user from the same country or the same country group as the employee can match this employee with the
sanctioned party list. An extended authorization check is available for this, which ensures that only specific
users are authorized to maintain specific groups of employees, applicants, and contract partners. For more
information, see Extended Authorization for SPL Screening [page 139].

Prerequisites

● You have created sanctioned party lists


You can upload sanctioned party lists in XML format, either in files from your data provider or using SAP
NetWeaver Process Integration (previously known as SAP Exchange Infrastructure, SAP XI) technology.
You can also create your own sanctioned party lists manually in the master data. For more information, see
Maintaining SPL Master Data [page 140] and Uploading SPL Master Data [page 143].
● You have entered the following data in the HCM personnel master:
○ Personnel number
○ Employee address
○ Personal data

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○ Employee's postal address
○ Organizational assignment
○ Company code
○ Personnel area
○ You have entered the following data in the HCM applicant master:
○ Applicant number
○ Applicant's address
○ Personal data
○ Applicant's postal address
○ Organizational assignment
○ Company code
○ Personnel area
● Transfer and replicate HCM personnel and applicant masters to the GTS system
You transfer employees and applicants to the GTS system as customers or vendors. The system assigns
them the function of Employee.
For more information about the Customizing settings in the GTS system for transferring business partners
from HCM to the GTS system, see the documentation of the Customizing activity under General Settings
Partner Structure Assignment of Partner Functions from Feeder Systems .
Once you have transferred all relevant data to the GTS system, you can start sanctioned party list
screening for all the business partners you just created. The following screening options are available:

To ensure that the system carries out all necessary sanctioned party list screening with the relevant persons,
you have configured the system to transfer employees, applicants, and contract partners from SAP ERP to the
GTS system. For more information about the transferring data, see the Configuration Guide for Compliance
Management at the SAP Service Marketplace under the following path:

http://help.sap.com/gts Configuration

Features

● Sanctioned party list screening of relevant business partners


At the beginning of sanctioned party list screening, the GTS system assigns status Not Checked to each
business partner from Human Capital Management. The GTS system compares the business partner
addresses with the address data contained in the sanctioned party lists. If the system does not find any
match between a business partner and the sanctioned party list, it assigns status Released to that
business partner. Business partners with data that match data in the sanctioned party lists are assigned
status Blocked.

 Note

You can use the options for multiple address screening for business partners, as well as intelligent SPL
screening. For more information, see Screening Variants in Business Partner Screening [page 159].

The following screening options are available:


○ Synchronous comparison of business partners with SPL data

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You can perform sanctioned party list screening synchronously, by starting screening manually, or
asynchronously, by scheduling screening as a periodic background job.

 Recommendation

We recommend using synchronous screening.

For more information about synchronous and asynchronous SPL screening, see Changes to Business
Partner Addresses [page 176].
○ Periodic comparison of business partners with SPL data
You can run SPL screening at regular intervals. For more information, see Periodic Screening of
Business Partners [page 165].
○ SPL screening of business partners after changes to the sanctioned party list
You can compare your HCM master data with new or updated sanctioned party lists that you receive
from your data provider or responsible authorities. For more information, see SPL Screening of
Business Partners after Changes to Sanctioned Party List [page 160].
● You can run SPL screening in simulation mode, to find out whether the system would block a new partner
address during “real” SPL screening. For more information, see Simulated SPL Screening of Business
Partners [page 181] and Simulated SPL Screening of General Addresses [page 182].
● All business partners that the system blocked due to matches between the business partner address data
and SPL data, but do not have to remain blocked, can be released manually. For more information about
releasing business partners that were blocked by SPL screening, see Monitoring Business Partners [page
192].
● The system logs and archives the results of sanctioned party list screening in accordance with legal
requirements. For more information about log results, monitoring, and archiving, see Audit Trail [page 197].
● Manual postprocessing of screened business partners
If SPL screening of employee and applicant master data resulted in a blocked business partner in the GTS
system, you can use the log of SPL screening to access the business partner. You can then release the
blocked business partner for further processing. For more information, see Releasing Blocked Business
Partners [page 182].

Activities

 Note

To display the specific functions for Human Capital Management in the function descriptions for SPL
screening linked below, replace the reference to the Logistics tab page with Human Capital Management in
the path information.

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5.4 Legal Control - Import/Export

Use

In legal control, you can maintain your master data and business transactions in accordance with the legal
requirements for imports and exports. You can also use monitoring and simulation tools that help you ensure
that your business is compliant with current import and export laws. Legal control includes checking business
transactions for products that require licenses, as well as the check for embargo situations for these business
transactions.

Prerequisites

You have activated legal control for imports and exports, along with embargo checks.

For more information about the Customizing settings, see the Configuration Guide at the SAP Service
Marketplace under the following path:

http://help.sap.com/gts Configuration

Examples of important settings in Customizing include:

● Define legal regulations


The legal regulation defines how the system determines suitable export licenses based on the
determination sequence, license types (which differ according to the government agency), and the export
control classification number (ECCN). Legal regulations for export are based on the country of departure
and should therefore be activated to check for export licenses.
Legal regulations for import are based on the country of destination and should therefore be activated to
check for import licenses.
● Defining license types and their determination
The license types contain control parameters for the individual checks in legal control. If you configure the
system, for example, to check for military/civilian use for certain document items in export licenses, the
business partner must be flagged accordingly or the document is blocked.

You have also entered the underlying master data for legal control (see Master Data for Legal Control and
Embargo Check [page 60]) and classified the products with ICCNs and ECCNs (see Product Classification for
Legal Control and Embargo Check [page 72]).

Process

You can use the following steps in legal control to ensure legal compliance of your business transactions:

1. You manage your licenses (see Managing Licenses [page 206])


You can use import and export licenses for your processes, as well as group multiple additional licenses
together in agreements for special processes. When you import or export products requiring licenses, the
system depreciates values or quantities from the products. You can also configure the dependent settings
for the licenses in the functions for license management.

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2. You simulate legal control (see Simulating Business Transactions for Legal Control [page 219]).
The advantage of the simulation tools is that you can quickly find out whether you require an additional
export or import license for a particular product, for example, before you actually begin the process. This
means you can check whether you need a license for a potential business transaction before you create an
order or purchase order in the feeder system. If any licenses are missing, you can implement corrective
measures directly.

 Note

You can also start sanctioned party list screening from the legal control simulation (see Simulated
Sanctioned Party List Screening [page 181])

3. Analyzing the checks for legal control


You can use various preparation and evaluation steps to analyze the check results, for example, including
exploding document BOMs in preparation and the display of archived documents for tracking. You can also
see the categories in which the system has placed the various documents in overview lists, such as
technically incomplete documents and blocked documents.
Monitoring [page 224]
1. All sales and purchasing documents, as well as payments

 Note

When you edit a customs document for legal control in the Compliance Management area, 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 Compliance Management, the system
transfers the changes to the logistics document to the GTS system 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.

2. All licenses for import and export


3. Archived data
4. Releasing blocked documents and payments
When blocks are triggered in legal control, this means you do not have sufficient licenses or have to
complete the data. You can correct the reasons for blocking by updating the control data or entering
additional licenses. When you re-check the documents or payments in this case, the system removes the
blocks.
5. Embargo [page 232]
The legal control functions are rounded out with a check of your business transactions for embargo
situations. You can enter the control data for embargo situations and check the business partners in
documents and payments for possible embargos.

5.4.1 Managing Licenses

Use

The authorities define bans and restrictions for individual products or product groups to control their import
and/or export. To import and export these products despite such restrictions, you can apply for licenses from

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the authorities. These licenses restrict goods traffic, for example, through quantity quotas or maximum values
for goods. The authorities define license requirements for products based on import/export control
classification numbers, with which you classify your products. Based on this classification, the system can
detect which document items in a business transaction require licenses.

Features

● Create and maintain import and export licenses (see Maintaining Import and Export Licenses [page 207])
To import or export products from certain merchandise categories, you have to have licenses, which are
limited to specific values or quantities. You can create and maintain these licenses.
● Use agreements see Using Agreements in Legal Control [page 209])
You can use agreements to model the approval requirements that result from the American ITAR
(International Traffic in Arms Regulation) regulations.
● Determination strategy for licenses (see Configuring the Determination Strategy for Import/Export
Control [page 212])
● Display licenses and assigned documents (see Monitoring Licenses [page 217])
The license monitor shows you which licenses you have entered in the system. You can also display all the
documents for business transactions to which you or the system have assigned licenses. The overview of
assigned documents displays the goods values in the documents directly, along with the license
depreciation for them.
● Messages for general licenses (see Messages for General Licenses [page 218])
You have to report all your business transactions to the customs authorities at regular intervals for legal
control through general licenses. In these reports, you list the business transactions for products that you
exported under a general license.

5.4.1.1 Maintaining Import/Export Licenses

Use

The customs authorities ensure that companies that participate in international trade comply with all valid laws
and regulations. Accordingly, they require companies that want to import and/or export certain goods to obtain
import/export licenses for these goods. After you apply for a license, you receive either a waiver or a general
license. To ensure your business transactions are compliant with legal requirements, you assign licenses to
products that require them in your documents.

 Note

If you have configured communication for import/export licenses and implemented the connection, you
can send and receive licenses electronically. This helps to minimize potential errors in the transmission of
licenses between the authorities and your company, as well as during the subsequent data entry in the
system.

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Prerequisites

You have made the following Customizing settings:

● Create and activate the legal regulations for import and export controls
● Create and assign the license types for import and export licenses
● Create attributes for licenses and assign them to licenses
● You have implemented the Business Add-Ins (BAdIs) for electronic communication with the customs
authorities and your own programs to link licenses to the authorities' communication platform.

For more information about these settings, see the Configuration Guide for Compliance Management at the
SAP Service Marketplace, under the following path:

http://help.sap.com/gts Configuration

Features

You have the following options in Compliance Management:

● Create import and export licenses


● Change existing licenses
● Display licenses

Activities

Create import and export licenses

● When you receive a license from the customs authorities, you can enter it using one of the following paths
in the area menu:
○ Compliance Management Legal Control - Import Import Licenses Create Import License
○ Compliance Management Legal Control - Export Export Licenses Create Export License .
● In the next screen, enter the legal regulation, the license type, and is number.
● In the main screen, enter the validity data and – particularly important – activate the license. You can enter
the country of departure and country of destination in accordance with the attributes you have defined.
You can maintain the external license number from the customs authorities in the maintenance function
for licenses (in create and change mode). This depends on the Customizing settings you made under the
following path: Compliance Management Define License Types .
● Communication for licenses

 Caution

If you have configured the customizing settings, implemented the necessary BAdIs, and implemented
your own programs to link your licenses to the business partner's communication platform, you can
use the electronic communication functions.

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○ You can choose between printing messages or electronic messages on the Outbound tab page.
○ Select the desired message and choose Execute. Depending on your settings, the system either
transmits or prints the import/export license.
○ To print or send it again, select the desired message and choose Repeat Action. The system
duplicates the selected message, and you can print it out or send it as needed.
○ You can also display the Action Details, a preview, and the processing log.
○ The Inbound tab page displays the electronic messages with the received license. You can display the
Details and the Processing Log.

Change existing licenses

● To change an existing license, use one of the following paths:


○ Compliance Management Legal Control - Import Import Licenses Import Licenses
○ Compliance Management Legal Control - Export Export Licenses Change Export License .

Display existing licenses

● To display an existing license, use one of the following paths:


○ Compliance Management Legal Control - Import Import Licenses Display Import License
○ Compliance Management Legal Control - Export Export Licenses Create Export License .

5.4.1.2 Using Agreements in Legal Control

Use

You can use agreements to model the approval requirements that result from the American ITAR (International
Traffic in Arms Regulation) regulations. These approval requirements apply to transactions involving military
goods, aviation technology, nuclear biology, and other goods deemed relevant for national security. This trade
is subject to value-based limits, which you have to cover through licenses. You may be required to declare and
secure the following delivery components to the authorities through a joint license:

● Technical data, such as plans and drawings


● Defense service, such as consulting and mechanics
● Hardware

The individual licenses are summarized in an agreement with longer-term validity, and can be reduced in value
appropriately according to your system settings for the determination strategy. The classification with United
States Munitions List (USML) codes determines which agreement type has to be used for a product and which
individual licenses have to be contained therein.

Prerequisites

● You have configured the following Customizing settings to enable the system to determine the relevant
export licenses and agreements for document items:
○ Create license types for agreements

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○ Create license types for export licenses that require an agreement
● You have also defined the determination strategy [page 212] for the agreements or the export licenses that
are dependent on agreements.

For more information about the Customizing settings, see the Configuration Guide for Compliance
Management at the SAP Service Marketplace under the following path:

http://help.sap.com/gts Configuration

Features

Depending on the valid regulations, you can configure the determination strategies for licenses to use one of
the two following options for exporting ITAR goods:

● Export via agreement


If you configure license determination such that the system finds the agreement for a business
transaction, you can export directly using this agreement. To do so, the agreement must contain the
materials from the feeder system that are permitted in the agreement.
● Export via export license
If you an export license whose type requires an agreement is found in license determination, as defined in
your Customizing settings, you can export based on the export license. An export license of this type must
be assigned to an agreement in order to export products that are subject to ITAR. You then define the link
to the necessary agreement in the export license. To do so, create an agreement and then assign the
products to it. You assign the agreement and the products for which you have been granted an export
license in the license document. You have to categorize the products with a reference material. The system
offers the reference materials that you defined in the agreement for selection.

The following functions help you use agreements:

● Create, change, and display agreements


● Display Existing Agreements
The system lists all the agreements that you have entered for a legal regulation in the system. You can
specify additional selection criteria to restrict the display.
● Displaying assigned documents and export licenses for an agreement
You can display the agreements for a legal regulation. You can specify additional selection criteria to
restrict the display.
You can display the details for each agreement,as well as the details of the assigned export license. You can
also display the customs document to which you or the system assigned to the agreement.

Activities

To access the functions for using agreements in Legal Control - Export, go to the area menu and choose
Compliance Management Legal Control - Export Agreements and then choose one of the following
items:

● Create, change, and display agreements


○ Maintain Agreements Create Agreement

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○ Maintain Agreements Change Agreement
○ Maintain Agreements Display Agreement
For more information about creating and maintaining agreements, see Creating Agreements [page 211].
● Displaying Existing Agreements
Displaying Existing Agreements
● Displaying assigned documents and export licenses for an agreement
Assigned Documents/Export Licenses

5.4.1.2.1 Creating Agreements

Context

You create and activate agreements in the system so you can assign them (or have the system assign them
automatically) to business transactions.

Procedure

1. Go to the area menu of SAP GRC Global Trade Services and choose SAP Compliance Management
Legal Control - Export Agreements Maintain Agreements Create Agreement .
2. Choose the legal regulation for which you want to activate the use of agreements in legal control from the
dropdown list.
3. Choose the agreement type for which you want to create an agreement from the dropdown list.
4. If you have already entered an agreement for the combination of legal regulation and agreement type and
want to use this data as a copy reference, you can use the input help to select that agreement.
5. Choose Execute. The input template for creating and changing agreements appears.
6. You can enter an external number, such as the authority's ID.
7. The system also displays the attributes in a dialog structure. You can enter several characteristics for each,
such as:
1. Status
The system can only use agreements with status "Saved - Active" in export control.
2. Foreign trade organization
The foreign trade organization acts as the legal organizational unit vis-à-vis the authorities and is the
owner of the agreement.
3. Materials
Choose Add Line and use the input help to select the materials for which you are creating the
agreement. If you want to use an export license and therefore have to enter the approved products
there, you need reference materials for categorization. You can assign these reference materials here.
Examples of such materials include pro forma products for services or hardware that you created in
SAP GRC GTS for use as a reference material in the output license in a later step.

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4. Values and Quantities
The system uses these entries for depreciation. Agreements and licenses are subject to value limits up
to which you can conduct exports. Each time the system applies the agreement to a business
transaction, it has to deduct the value of the exported products from the authorized total value of the
agreement.
8. If you have configured the entry of attributes for the selected agreement type, you can enter a value for
each attribute in a separate group box.
9. Save your entries and set the Active flag to activate the agreement in status maintenance.

5.4.1.3 Configuring the Determination Strategy for


Import/Export Control

Use

Government authorities define the rules for international trade. You have to follow these regulations for your
imports and exports. In legal control, these rules dictate that you can only import and/or export certain goods
with a special license from the controlling authorities. Whether or not a product requires a license depends on
its classification, along with other product-specific and/or transaction-specific data. You can assign import and
export licenses to your business transactions involving products that require licenses. You can enter the
licenses you receive from the authorities as master data in the system.

When you create a sales order that contains document items requiring licenses in your feeder system, you
must document possession of a suitable license in the corresponding customs document. The system can
assign a valid license automatically, based on the procedure and a sequence of search criteria and conditions
that you define in the determination strategy.

The system detects which legal regulation it has to use to determine a license for each respective customs
document. You also decide which license type you require, for example, a general license or individually
valuated license. According to the rules you defined, the system then determines which licenses to assign to
the document.

Prerequisites

You have made the following Customizing settings:

● Activate the appropriate legal regulations for import and export controls
● Create and assign license determination procedures to the appropriate legal regulations
● Define determination procedures for automatic definition of license types

 Note

If you have made all the Customizing settings the system needs to find a determination strategy for
licenses, the parameters in the search sequence remain empty until you enter values in the application.

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For more information, see the Configuration Guide for Compliance Management at the SAP Service
Marketplace, under the following path:

http://help.sap.com/gts Configuration

Features

You can use the following functions for the determination strategies:

● Create determination strategy manually


You can manually enter the rules for the system to determine a license automatically for a business
transaction.
● Upload determination strategy from a data provider's XML file
If you have a data provider who can provide you with license determination strategies in XML file format,
you can save time and effort by automating this determination process.
You can use the logs from the XML upload for monitoring purposes (see Searching Upload Logs [page 80]).
● Display determination strategies
You can display the license determination strategies that you entered manually or uploaded from a data
provider's XML file.

Activities

The functions for the determination strategy are located in the area menu under the following paths:

● Compliance Management Legal Control - Import Determination Strategy for License Type Maintain
Determination Strategy
● Compliance Management Legal Control - Export Determination Strategy for License Type Maintain
Determination Strategy

Create determination strategy manually

● Maintain Determination Strategy


● You can define a determination strategy for each legal regulation the system uses to determine licenses for
your product.
● You can enter the criteria the system is to use to find a suitable license.
● You can enter validity dates if you know the rule set should only be used for a particular period of time.
Otherwise, you can enter the current date as the valid-from date and December 31, 9999 as the valid-to
date.
● You enter the Criteria according to which the system is to determine the respective licenses, for example:
For example, you can add the following columns:
○ Legal regulation
○ Country or country
○ Country groups
○ Control classes
○ Control groupings

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○ License type
● If the specified prerequisites are met, the system assigns a license.
● You start the license determination sequence with more specific conditions, such as control class and
control grouping together with individual countries. Then you can create search parameters, which
become more general in the course of the sequence, such as country grouping and legal regulation. This
allows the system to perform license determination from specific to general criteria.
● When you choose Apply Selection, the system adds your criteria to the rule sets. A message appears with
the number of entries made in the rule sets as a result of your selection criteria.

Uploading Determination Strategies from XML File

● Load Determ. Strategy from XML File


● The following entries are required to upload a file:
○ Legal regulation
○ Data providers
○ Path of XML file to upload
● The system suggests an upload ID. For more information, see the field help.
● The Simulation Mode flag is set by default.

 Recommendation

We recommend running a test upload first.

● The system displays a log containing the result of the upload.

Displaying Determination Strategy

● Display Determination Strategy


● You can enter selection criteria to restrict the display of existing determination strategies.
● When you choose Execute, the system lists all the determination strategies for your selection criteria.

Result

If the system finds a license for a customs document for which you have defined the check for military of
civilian use at the license or license type level, the system checks the business partner's classification
according to the criteria. If the corresponding flag is not set in the business partner's master record, the
system blocks the customs document and its underlying logistics documents in the feeder system.

For more information about the data and settings the system uses to determine relevant licenses, see License
Determination in Legal Control [page 214].

5.4.1.3.1 License Determination in Legal Control

Definition

The customs authorities or foreign trade offices of a country can define restrictions for the import and export
of certain products and product groups, either independently or through treaties with other countries.
Accordingly, the authorities issue licenses for the selected products or product groups to companies upon
request, in which the values or quantities for these special products are limited. These products therefore
require licenses. In addition, the values that you have to deposit with the authorities to obtain a license can

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serve as an additional security. As a result, you have to check your foreign trade processes for bans and
restrictions in legal control, dependent on the valid legal regulation.

Use

You check the customs documents, which the system Global Trade Services (GTS) created based on a logistics
document in the feeder system for a business transaction in the GTS system. If this customs document
contains products that require licenses, you you have to assign these licenses. The system can assign licenses
automatically through license determination.

The description of license determination below uses an export transaction as an example.

Integration

In legal control in the GTS system, license determination for a business transaction for imports and exports is
based on the following data:

● Transaction data from the customs document, which is a replicate of a logistics document from the feeder
system
● Settings in Customizing for the legal regulation and license types
● Master data in which the licenses and product details are saved

The following diagram lets you track the interaction between the individual data sources during export that
results in the assignment of a license in the customs document.

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License Determination in the GTS System During an Export

For an export transaction, the system runs the following process steps to determine the relevant license type
for a business transaction from the business transaction, and in turn the license that it assigns in the customs
document:

1. When the document is transferred from the feeder system, the GTS system creates a customs document
as a replicate of the feeder system document. The following data in this customs document is relevant for
determining the license:
○ Country of departure
○ Country of destination
○ Product information in the document item
○ Check date from the assignment of document data
○ Business partners
○ Values and quantities of the products in the document items that require licenses
2. The system analyzes the country of departure in the customs document and uses the following
Customizing settings to determine which legal regulation is relevant for the business transaction:
○ Determination procedure for the legal regulation for export control
○ Determination strategy of the legal regulation for export control
3. The system then determines which license type is relevant for the business transaction, based on the
following data and settings:
○ The system determines the following data for the country of destination in the customs document:
○ Customizing settings for the determination procedure for the license type

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○ Master data settings for the determination strategy for the license type
○ For products in the document items of the customs document, the system determines the export
control classification numbers with which you have classified the products in the master data of the
GTS system. The export lists can differ depending on the legal regulation. The authorities specify in the
export control classification numbers whether a product requires a license and, if so, in which specific
constellations of business transactions this requirement applies.
4. For customs document data, the system analyzes the Customizing settings to determine whether it can
find and apply a license with the license type determined for the business transaction. You defined which
data the system takes into account during this check with the relevant attributes for determining licenses
in the definition of the license type. This can include data such as the following:
○ Country of destination
○ Item quantities
○ Item values
○ Customer
○ Key date for the check for legal control, according to the customs document as check date
The system can also search for valid licenses dependent on this check date.
You define the characteristics in the Customizing settings for a license type to determine that a license of
that type is only valid for specific export control classification numbers or organizational units.
5. The entered license in the master data then defines the specific characteristics for that license, in
accordance with your agreement with the authorities. The system then takes these specific characteristics
for a located license and compares them with the data from the customs document, to determine whether
it can use that license for the business transaction.
6. If the system finds a valid license, it checks the customs document items of the business transaction to see
whether they are covered by the available quantities and values in the export license. If the license covers
the transaction, the system assigns the license to the customs document by recording the license number
in the customs document.
The system transfers this information into all follow-on documents for the customs document, or conducts
license determination in the follow-on documents analogous to the customs document. This enables you
to document legal compliance of the transaction for export control in communications with the customs
authorities for customs declarations, based on the assigned license number.

5.4.1.4 Monitoring Licenses

Use

You can use the monitoring functions for licenses to ensure that you have an overview of which licenses you
have entered in the system and how they are used in business processes at all times.

Features

● Display existing licenses


This function allows you to display all the licenses you have created in the system. The system displays a
results list for each license, for example, its legal and temporal validity.

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● Display assigned customs documents
You can display documents to which the system has already assigned a license automatically or to which
you assigned a license manually. You can see the assignments in the overview list. The system also displays
the respective depreciation groups and values.
● Display existing agreements and their assigned licenses and documents
You can display all the agreements you have created in the system. You can also see which documents and
export licenses you have assigned to the respective agreements.

Activities

● The monitoring functions for export and export licenses are located in the area menu under Compliance
Management Legal Control - Import Monitoring or Compliance Management Legal Control -
Export Monitoring and one of the following options:
○ Displaying Existing Export Licenses
○ Displaying Existing Import Licenses
○ Display Assigned Documents
● The monitoring functions for agreements are located in the area menu under Compliance Management
Legal Control - Export Agreements and one of the following options:
○ Displaying Existing Agreements
○ Assigned Documents/Export Licenses

5.4.1.5 Creation of Reports for General Licenses (EU001)

Use

Exporters are allowed to export certain officially defined products using general licenses (EU001). To do so, you
have to register with the authorities to use a general license. The products for which you can use the general
license are subject to official monitoring due to their potential for dual use. To meet the monitoring
requirements, you have to report all business transactions in which you exported products under the general
license to the authorities at regular intervals, by sending a file in the required format to the responsible
authorities. This report contains general data about business transactions, including the business partners
involved and the products you exported under the general license.

You can generate this report, for example, for the following countries:

● United States
● Japan
● Canada
● Australia
● Switzerland
● Norway
● Germany

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 Note

In Germany, for example, you have to send this report to the Federal Office of Economics and Export
Control (BAFA) every six months.

Activities

● To generate a report for the authorities, you do the following:


1. In the area menu, choose Compliance Management Legal Control - Export Reporting Reporting
for General Licenses .
2. Enter data as required. For a general license for a foreign trade organization, for example, you specify
the period for which the report applies.
The Reporting for General Licenses screen appears.
3. Choose Reporting File.
A dialog box appears.
4. Enter the storage path of the XML file and choose Apply.

 Note

If you select ASCII format, you must also specify the official Declaration No.

5. Upload the XML file, for example, to the online portal ELAN-K2.
● The Reporting for General Licenses screen includes further options:
○ The system lists all business transactions that match your selection criteria.
○ You can display the details of the general license by choosing License.
○ You can display the customs document for each transaction by choosing Customs Document.

5.4.2 Simulating Business Transactions for Legal Control

Use

You can simulate the assignment of license types for customs documents in legal control. As a result, you can
quickly find out whether you require an additional license for your business transactions before the actual
export or import. You can also simulate the check of document-related BOMs in legal control for exports.

Features

● Simulate business transaction for license determination


You can check whether the system finds a license and assigns it to the document automatically in license
determination.

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● Simulate business transaction with control-relevant BOM components for license determination
If you use legal export control for document-related BOMs, you can simulate these business transactions
as well. The system determines whether it can assign export licenses automatically to the items and
subitems in a document.

The simulation results help you decide whether you need to request and/or enter additional import or export
licenses.

Activities

● The simulation functions are located in the area menu under Compliance Management Legal Control -
Import (or Export) Simulation .
○ Simulate Business Transaction
or
○ Simulate Business Transaction with BOP
● You have to enter the system data and document data for the simulation. You can enter additional selection
criteria to limit the results.
● When you choose Execute, the system simulates the legal control check with the issue/receipt document
from the feeder system. Based on the results of this check, you can decide whether you need a license for
the products.

5.4.3 Evaluating Legal Control Results

Use

The monitoring functions let you keep track of your control-relevant import and export transactions. You can
see which documents or payments the system has blocked for further business transactions and how to
respond to these blocks. The same monitoring functions are available for both imports and exports.

Features

You can use the following monitoring functions to evaluate blocks in legal control:

● Prepare to check document BOPs and evaluate the results (see Exploding and Checking Document BOPs
[page 221])
● Display blocked documents and payments to evaluate the reasons for blocking and initiate corrective
measures (see Displaying Blocked Documents and Payments [page 222])
● Display incomplete documents and payments to have them completed before a new check Displaying
Technically Incomplete Documents and Payments [page 223])
● Display all documents or payments that the system has processed in legal control (see Displaying Existing
Documents and Payments in Legal Control [page 224])

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● Track military use products for special control requirements (see Tracking Control-Relevant Products [page
226])
● Display archived documents that you have already checked in legal control (see Displaying Archived
Documents [page 227])

5.4.3.1 Exploding and Checking Document BOPs

Use

You can use legal export control for logistics documents in the feeder system by checking the BOPs for the
finished product in a document item, in addition to the product itself. You must prepare the system for use
before it can check the BOP in the document. To do this, you can explode and check BOPs.

Activities

● The system checks whether a BOP exists in the system for the document items in customs documents.
You can enter a BOP for a product manually in the master data or use a Business Add-In to transfer it from
the feeder system.
● If the system determines that a BOP exists for a document item after the transfer, the system blocks the
customs document and sets the blocking reason to Missing BOP Explosion.
● When you run the function for BOP explosion and check, the system determines all the blocked customs
documents with blocking reason Missing BOP Explosion and explodes their BOPs.
○ The function for exploding and checking document-related BOPs is located in the area menu under
Compliance Management Legal Control - Export Worklist of Document-Related BOPs Explode
and Check Document BOPs .
○ The system runs legal control and the associated license determination for the BOP components. You
can see the status and blocking reason (where applicable) of a customs document in the document
monitoring functions.
○ Like the other blocking reasons in legal control, when a customs document is blocked due to missing
BOP explosion, the system blocks the subsequent steps in the logistics processes in the feeder
system.
● You can see the check results for documents with BOPs in the monitoring functions:
○ You can configure the log display in dialog processing when you run the explosion and check of BOPs
for customs documents. The log indicates whether the BOP explosion was successful, along with the
blocking reasons for a customs document. The log also shows whether you need a license for BOP
components.
○ You can also view the blocked documents after legal control (see Monitoring - Import/Export Legal
Control [page 224]).
○ In addition, if you transfer the blocking reasons to your feeder system, you can see the status of a legal
control check for a logistics document in the feeder system (see Monitoring Intervention in Feeder
System Logistics Documents [page 1041]).

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5.4.3.2 Displaying Blocked Documents and Payments

Use

If the system is not able to determine a valid license for a business transaction, it blocks the corresponding
document or payment. The most frequent reasons for blocking during license determination:

● License missing
● License not valid
● The value and/or quantity in the license is no longer sufficient to cover the value/quantity in the document
or payment
● Inactive licenses
● Missing classification of document items

Features

● To evaluate blocks, you can see in the overview which check caused the system to block the document or
payment. You can use the following options from the overview of blocked documents or payments:
○ If the system blocked a document because the classification of a document item is missing, you can
choose Change Product Master to classify your product. Once you have classified your product, choose
Legal Control - New Check to repeat the check.
○ If a logistics process that creates the follow-on document in the feeder system is blocked, you can call
the replicate of the underlying logistics document as a customs document to find the reasons for the
block.
○ You can check the log to see whether the system found a license for the product. You can display
detailed information on the legal control situation for individual items. When you start a new check for
the blocked documents, the system automatically displays a log with the results of the license check.
Legal control is based on the license types that you created in Customizing. You created the import and
export licenses for the relevant license types, and assigned attributes to them, in the master data. If
the system blocks a document due to missing licenses, you can enter the corresponding licenses that
your company has requested and received in the system. If you want to release the document that the
system blocked due to an assigned license, you have to activate the license. For more information
about entering licenses, see Maintaining Import/Export Licenses [page 207].
○ If you configured the check for military/civilian use for licenses or license types in Customizing, the
system can trigger document blocks due to lack of classification of the business partners. You can flag
business partners as mainly civilian or mainly military users of products in your feeder system. When
the logistics document is transferred and the replicate customs document is created, the system
checks whether an import or export license is needed. If you have specified in the definition of the
license type that the system perform a check for military or civil use, it checks for documents with
corresponding assigned licenses. The system checks whether the business partner is classified
analogously to the tag in the feeder system for the military or civil use of products. You classify the
business partner in business partner maintenance: Choose the SAP GTS tab page and set the flag in
the Usage column in the Military/Civilian Use area. For more information, see Maintaining Business
Partners [page 65].
● To enable your staff to react to document and payment blocks quickly, you can send e-mail notification to
specific users (see Notification Control for Blocked and Incomplete Documents [page 1031]).

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Activities

The overviews of blocked documents and payments are located in the area menu under Compliance
Management Legal Control - Import Monitoring or Compliance Management Legal Control - Export
Monitoring and one of the following options:

● Display Blocked Documents


● Display Blocked Payments

5.4.3.3 Displaying Technically Incomplete Documents and


Payments

Use

 Note

You can display technically incomplete documents or payments only if the data has been transferred from
an SAP ERP feeder system to the GTS system.

To check documents and payments in legal control, the system needs a defined set of master data and
transaction data to ensure compliance.

If the system detects that any of this data is missing when it transfers a transaction from the feeder system, it
continues the transfer anyway. Instead of checking the transactions directly, however, it adds the affected
documents and payments to the overview of technically incomplete documents or payments. These overviews
show you which activities you have to carry out to enable a complete check in legal control. The transactions
for technically incomplete documents and payments remained blocked until you maintain them.

Features

● The system transfers master data and transaction data from the feeder system automatically. If errors
occur during automatic assignment in documents or payments, you can check the log and fix the errors.
The log list is sorted by reference numbers, which correspond to the document numbers or payment runs
from the feeder system.
● When it updates the technically incomplete documents or payments, the system issues an error message
in the feeder system to notify the user that the transfer failed due to the incompleteness. You can also
examine the log to determine which business partners or products resulted in technically incomplete
documents.
● To enable your staff to react to incomplete documents and payments quickly, you can send e-mail
notification to specific users (see Controlling Notifications for Blocked Documents and Partners [page
1031]).

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Activities

The overviews of technically incomplete documents and payments are located in the area menu under
Compliance Management Legal Control - Import Monitoring or Compliance Management Legal
Control - Export Monitoring and one of the following options:

● Display Technically Incomplete Documents


● Display Technically Incomplete Payments

When you select a reference number in the overview and display the log, you see the log for the selected
transaction. Based on this information, you can correct the displayed error manually in the feeder system, for
example, transfer the missing master data or use the adjustment fields of the application.

5.4.3.4 Displaying Existing Documents and Payments

Use

You can display all documents and payments for which the system created replicates for the logistics or
financial documents in the feeder system. You can select a specific feeder system document from this overview
to see additional information, its status, and the document flow.

Activities

● The overviews of technically incomplete documents and payments are located in the area menu under
Compliance Management Legal Control - Import Monitoring or Compliance Management
Legal Control - Export Monitoring and one of the following options:
○ Display Existing Documents
○ Display Existing Payments
● The system displays the following data at header level in each results display for the monitoring functions:
○ Status
○ Business partners
○ Organizational data
The item level contains additional details, such as the following data:
○ Classification
○ Preference statement with details from the preference determination log
○ Assigned letters of credit for each item

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5.4.3.5 Display of Existing Customs Documents with
Restriction to Active Services

Use

You can display all customs documents that were created in the GTS system due to a logistics document in the
feeder system.

Activities

You can use the following transactions to display the customs documents with your own restrictions to active
services:

● Display Existing Export Documents [/SAPSLL/SHOW_CD_EXP]


● Display Existing Import Documents [/SAPSLL/SHOW_CD_IMP]

In the Document Data in Feeder System group box you can select logical systems and object types. For
example, you can select an ERP, CRM or Transport Management system to display those customs documents
that have a reference object that originates in the selected logical system.

In the Restrict to Customs Documents with Active Services group box, you can select only those customs
documents that include the selected service.

 Note

● If you select multiple services, the system selects customs documents in which at least one of those
services is active.
● If you do not select any services, all existing customs documents are selected.
● After you enter and execute the selection conditions, the system displays the matching information in
the document overview.

The document number identifies the customs document on the GTS side, whereas the reference number
identifies the object in the feeder system.

Each customs document can have the following status settings in the following areas:

Compliance Management (sanctioned party list screening, embargo, legal control, and hazardous substance
check)

Risk Management (restitution and letter of credit processing)

 Note

Status Display

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More Information

● Sanctioned party list screening has these additional status settings:

 Note

The GTS system automatically sets the status Checked / Released when you release a document in the
list of blocked documents that was blocked by SPL screening due to the status check of a business
partner in the document.

The system automatically sets the status Not Checked / Released: TREX Not Available if the attempt is
made to access the TREX server during sanctioned party list screening. The TREX server is not
available for SPL screening.

● The embargo check has these additional status settings:

 Note

The GTS system automatically sets the status Checked / Released when you release a document in the
list of blocked documents that was blocked due to an embargo situation. After such a release, the GTS
system performs another embargo check only when the country of a business partners changes.

5.4.3.6 Tracking Control-Relevant Products

Use

You have to be able to document the disposition of certain control relevant products, such as military use
products subject to ITAR regulations, at your company or the sale of these products at any time for the
authorities. Accordingly, an overview list is available to display which legal unit has which stock of which
control-relevant product, as well as how much stock of these products you sold and to which customers. You
can also navigate directly to the documents that are responsible for this stock situation.

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Activities

● The overview of control-relevant products is located in the area menu under Compliance Management
Legal Control - Import Monitoring or Compliance Management Legal Control - Export Monitoring
Track Control-Relevant Products
● You can display the following data at header level in each results display for the monitoring functions:
○ Status
○ Business partners
○ Organizational data
At the item level, you can display more detail, such as the following data:
○ Classification
○ Preference statement with details from the preference determination log
○ Assigned letters of credit for each item
● If you want to add more columns, choose Change Layout in the standard toolbar. For example, you can add
the following columns:
○ External License No.: external license number
○ Point of Departure Name / Place of Destination Name: the name of the legal unit or business partner
(customer/vendor) defined in the business partner record
○ Point of Departure City / Place of Destination City: the city of the legal unit or business partner
(customer/vendor) defined in the business partner record

5.4.3.7 Archived Customs Document Display for Import/


Export

Use

You can use this function in SAP Global Trade Services (SAP GTS) to display all of the customs documents from
SAP GTS that you have archived.

Activities

● To display an overview of the archived documents, choose Compliance Management Legal Control -
Import or Export Archive Display Archived Documents .
● If you want to restrict your search to specific archived customs documents, enter the relevant selection
criteria.
● To display a list of the customs documents that meet the selection criteria you specified, choose Execute.
● To display a specific document, select it in the list, and choose Display.
The customs document contains data involving the document status, partners, and the organization at
header level. It contains further details at item level, in tab pages such as classification, the preference
statement and the related details in the log for preference determination, and assigned letters of credit for
each item.

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5.4.4 Releasing Blocked Documents and Payments

Use

In legal control, the system imposes blocks if licenses are missing or insufficient. To continue the business
transactions in question, you either have to enter additional licenses that the system can assign automatically
or you can assign existing licenses, releasing the transaction manually. Since you have to ensure legal
compliance, particularly for manual releases, and document the release for the authorities during audits, you
can enter additional information in the comments for each affected transaction or create cases with
memorandums. In the latter case, you can forward the case to specialists or your superiors and trace the
decision-making process later in the case descriptions.

Prerequisites

● You have made the following settings in Customizing for the connection to Case Management:
○ Activate Case Management
○ Define Default Data for Case Management
● You have also configured the default data to determine the correct case type and the process route model
for Case Management.
For more information, see Defining Default Data for Case Management [page 1032].

For more information about the Customizing settings, see the Configuration Guide for Compliance
Management at the SAP Service Marketplace under the following path:

http://help.sap.com/gts Configuration

Features

● Automated release of documents and payments (see Automatic Release with Recheck [page 229])
When you evaluate the reasons for blocking documents or payments in the overview and discover that
licenses are missing, you can organize and create them. When you run the checks again, the system can
take these new licenses into account in legal control. It automatically releases all the previously blocked
transactions for which you created a new license.
● Manual release of documents and payments (see Manual Release by Assigning Control Data [page 230])
When you evaluate the reasons for blocking documents or payments in the overview and discover that the
system failed to find existing valid licenses for the transaction, you can assign them manually. To do so, you
assign the licenses to the corresponding items when you enter the control data. Once you have defined this
manual assignment, you can release the document or payment directly.
● You can see the reasons for blocking in the overviews for evaluating blocked documents and payments and
investigate how you can release these blocks (see Evaluating Legal Control Results [page 220]). If you need
additional data to secure or make your decision to release blocked documents, you can create a case in
Case Management for each entry in the overview. You can also display existing cases. If you create a case,
you can enter memorandums to file for individual activities and transfer decisions to another employee or

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superior through a defined process route. The case information lets you store documents and background
information that can aid decision-making.
For more information about Case Management and its features, see the SAP Library for SAP ERP under
http://help.sap.com SAP ERP SAP ERP Central Component Cross-Application Services Case
Management .

5.4.4.1 Automatic Release with Recheck

Use

You can check all documents and payments in the feeder system again, regardless of their processing status.
This means, for example, that when you have documents with long time horizons, you can react to changed
embargo situations or changes in classification. In addition, when you create licenses or change other
parameters for business transactions that were blocked during the initial check, the new check releases the
block automatically.

 Example

In the default settings, the system checks all the documents in the supply chain, in accordance with your
configuration and settings. If it takes a long time to manufacture order items, which means your goods
issue is posted significantly later than the order entry, the legal situation may have changed in the interim.
You can use the recheck function for documents to ensure compliance with the latest legal regulations at all
times.

Procedure

A: Evaluating a Block for a Business Transaction

Evaluate the reasons for blocking your documents or payments in the overview of the check results
(seeEvaluating Results of Document Checks [page 220]).

B: Maintaining Licenses

1. If missing authorizations or insufficient quantities and values in existing licenses are among the reasons for
blocking, you have to request new licenses or the extension of existing licenses from the authorities.
2. Create the new licenses or modify the data in the existing licenses (see Maintaining Import and Export
Licenses [page 207]).

C: Recheck to Release Documents and Payments Automatically

1. To recheck and release documents and payments automatically, go to the area menu and choose
Compliance Management Legal Control - Import or Legal Control - Export Recheck Recheck
Documents .
2. Enter the selection criteria for the business transactions you want to check again.
3. In the Log Control section, define whether you want the system to display and/or save the check results in
a log.

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4. When you click Execute, the system runs the check directly. The system checks all the business
transactions for your selection criteria, including blocked documents and payments. If the reason for the
block has changed, for example, you have created a new license, the system releases the block
automatically.
5. Depending on your settings in log control, the system displays and/or saves the check results.

 Note

You can run the recheck in background processing.

5.4.4.2 Manual Release by Assigning Control Data

Use

You can maintain your legal control data manually. This means if you have items requiring licenses in blocked
documents or payments, you can assign a valid license manually. When you manually assign valid control data
for all the items requiring licenses in a business transaction that resulted in a block, this transaction is released
in legal control. The system releases the block.

You can also use manual assignment to override automatic license determination (see License Determination
in Legal Control [page 214]).

Prerequisites

You have activated the legal regulations for import and export controls in Customizing and have configured all
the necessary settings. For more information, see the Configuration Guide for Compliance Management at SAP
Service Marketplace, under the following path:

http://help.sap.com/gts Configuration

Procedure

1. In the area menu, choose Compliance Management Legal Control - Export or Legal Control -
Import Legal Control Data Maintain Legal Control Data Change Control Data .

 Note

You can also display the data for legal control to see an overview of which licenses exist in the system
for which products. To do so, choose Display Control Data instead of Change Control Data.

2. In the next screen, enter the reference number from the feeder system, the logical system, and the object
type and choose Execute.

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3. In the next screen, you can select items from documents or payments with the cursor. The system lists the
applicable licenses for these item in the upper left of the screen. You can select any license listed here. To
do so, choose the function with tooltip Use License for Item.
4. The system displays a dialog with the details in which you can make changes to the license data.
5. When you choose the function with tooltip Copy Assignment, the system assigns the license you selected
to the selected products.

 Note

If you have integrated Case Management and a case exists for a transaction, the case has to be
approved by the person responsible in the process route before you can assign the license manually.

5.4.4.3 Evaluating Reasons for Release

Use

When the system sets a block, you can check the affected documents and payments or business partners
individually. If your check reveals that the system block is inappropriate for a specific business transaction, you
can release the corresponding document or business partner. The system writes an entry to the audit trail for
each manual release. In addition, you can enter comments for releases or assign predefined reasons for
embargo checks and sanctioned party list screening, depending on your Customizing settings.

If you choose to assign standardized reasons for release, you can analyze the reasons for a manual release.
Based on your analysis results, you can adjust the settings that resulted in the avoidable blocks, minimizing
your manual effort in future. Optimizing your screening rules also streamlines your compliant business
processes.

You can use the assignment of standardized reasons for release for releases after embargo blocks or blocks
after sanctioned party list screening.

Prerequisites

You have defined the reasons for release in Customizing and activated them for use in releases in the control
settings for Compliance Management.

In addition, you have assigned these reasons when releasing documents and payments or business partners.

Activities

● The analysis of reasons for release is located in the area menu under Compliance Management and one of
the following paths:
○ Sanctioned Party List Screening Cross-Area Monitoring Release Blocked Partners/Documents
Analyze Reasons for Release or

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○ Legal Control - Import or Legal Control - Export Embargo Analyze Reasons for Release
● You can display the full list of released documents or partners for each legal regulation and use the sort
function for analysis in the displayed list.
● Alternatively, you can specify the analysis through the selection criteria, for example, the blocking reasons.
● To display the details for blocked documents or partners, select the appropriate line and choose Display
Document or Display Partner. The customs document or business partner that you released by assigning
one of the reasons is displayed.

5.4.5 Embargo Check

Use

The government agencies of a country, group of countries, or international organizations as representatives of


the United Nations sometimes impose bans on shipping specific products to specific countries, for business or
political reasons, known as embargos. You have to comply with these embargos in your import and export
processes.

The embargo check in the Global Trade Services (GTS) system lets you check your business transactions for
critical business partners automatically. In the process, the system determines all business partners who are
subject to an embargo situation as a result of their company's location. If an embargo situation exists, the
system blocks the business transaction for further processing. You can evaluate these blocked business
transactions and release them as necessary.

Prerequisites

You have configured your system for legal import and export controls with the embargo check. For more
information, see the Configuration Guide for Compliance Management at the SAP Service Marketplace, under
the following path:

http://help.sap.com/gts Configuration

Process

1. You define the embargo situations (see Defining Embargo Situations [page 233]).
You can enter embargos and information at the following levels:
○ Country level
At country level, you can define the embargos imposed on specific countries by the United Nations
that you company must comply with or risk breaking international law.
○ Legal regulation and country level
At this level, you can define private embargos that your company has defined. You can suspend these
embargos without violating international law.

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2. When you create a purchasing or sales document or begin a payment transaction in the feeder system, the
system uses this information to create a customs document in the GTS system as a replicate.
3. The system immediately checks whether an import to or export from a specific business partner in a
specific country is possible.
4. If an embargo has been imposed against one of the countries where your business partners are located,
the system blocks the transaction. You can display the blocked business transactions (see Displaying
Documents and Payments with Embargo Blocks [page 237]) and cancel them as necessary (see Releasing
Blocked Documents and Payments [page 238]).

 Note

When you edit a customs document for the embargo check in 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, the system transfers the changes to the logistics document to the Global
Trade Services system 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.

5. You can also check all business partners to see if any of them are subject to an embargo situation (see
Evaluating the Embargo Situation for Business Partners [page 240]).

5.4.5.1 Defining Embargo Situations

Use

For the system to analyze the country information from your business transactions in the embargo check, you
have to configure the settings for the embargo situation for your business partners' countries. The system
takes this information into account in the three steps of the embargo check:

1. Check for embargo against a country, independently of a legal regulation


2. Check for embargo against a country for a specific legal regulation
3. Check for embargo against a combination of country of departure and country of destination for a specific
legal regulation

Features

You use the following settings to define the embargo situations that you have to take into account during the
embargo check:

● Country information for all your business partners' countries, in which you indicate countries with
embargos (see Entering Country Information [page 234])
● Enter embargos for a legal regulation against any business dealings with a country
(see Defining Embargo Situations for Countries by Legal Regulation [page 235])

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● Embargos from a legal regulation against trade involving specific combinations of country of departure and
country of destination
(see Defining Embargo Situations for Country Combinations by Legal Regulation [page 236])

5.4.5.1.1 Entering Country Information

Use

To enable the embargo check, you have to enter all the countries where your customers and vendors are
located. The system uses these settings in the first step of the embargo check, in which it analyzes the country
level. If the system finds documents with business partners whose countries are missing in the list of country
information, it blocks the document automatically.

Activities

Initial Creation of Country List

● To create the list with all the countries you need for your international trade activities, and that the system
has to take into account in the embargo check, you can use transaction code /SAPSLL/EMB_INIT.
● Set the Country-Specific Information field and choose Execute, the system selects all countries from the
cross-application country table and copies them to the table of country information for embargo checks.

 Note

You can see the countries from the cross-application table in Customizing under the following path:
SAP NetWeaver General Settings Set Countries

● You can then enter the specific data, such as the validity of entries, in the function for entering individual
countries.
● If you set the Legal Regulation/Dest. Country flag, the system fills the Legal Regulation/Country of
Destination function with the countries from the cross-application table for the embargo check. This
function lets you enter country-specific information dependent on the legal regulation, such as the validity
period.

Entering Information for Individual Countries

● To display the list of country information, go to the area menu and choose one of the following paths:
○ Compliance Management Legal Control - Export Embargo Maintain Country-Specific
Information .
○ Compliance Management Legal Control - Import Embargo Maintain Country-Specific
Information .
● To create a new entry, use one of the following options:
○ Select a country in the first selection screen and choose Execute.
○ In the next screen, enter the country again and double-click the entry to select it.
○ The system displays the validity for this country. To define the validity, press the Adopt Time Series
button.

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○ If you want to change the validity, you can add a new line and define the validity dates.
○ Choose Execute without selecting a specific country.
○ In the next screen, you can double-click an entry to change its validity.
● If you want to enter an embargo for a country, you can duplicate existing lines and set the Embargo flag.
You can enter the validity period of the embargo in the new line.
● When you are finished, save your entries and confirm the displayed system message.

5.4.5.1.2 Defining Embargo Situations for Countries by


Legal Regulation

Use

You use these settings to define the second step of the embargo check. In this step, you combine the legal
regulation with the country information by assigning the countries for which an embargo has been imposed to
the specific regulations.

In an export scenario, a legal regulation from the authorities may require you to impose an embargo on all
exports from your company's country to a specific country (country of destination).

In an import scenario, a legal regulation from the authorities may require you to impose an embargo on all
imports from a specific country (country of departure) to your company's country.

The first time you create the country lists, you can copy data from the Customizing settings (see the section
Initial Creation of Country List in Entering Country Information [page 234]).

Prerequisites

You have entered and activated the legal regulations for import and/or export controls in Customizing. You
have also entered all the countries with which your company trades. For more information, see the
Configuration Guide for Compliance Management at the SAP Service Marketplace, under the following path:

http://help.sap.com/gts Configuration

Activities

● The settings for embargo situations for countries for a specific legal regulation are located in the area
menu under one of the following paths:
○ Compliance Management Legal Control - Export Embargo Legal Regulation/Country of
Destination .
○ Compliance Management Legal Control - Import Embargo Legal Regulation/Country of
Destination .

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● To create a new entry, use one of the following options:
○ Select a legal regulation in the first selection screen and choose Execute.
○ In the next screen, enter the legal regulation again and select the country for it. You can double-
click to select the entry.
○ Define the validity and choose Adopt Time Series to save it in the system.
○ Choose Execute without selecting a specific country.
○ In the next screen, you can double-click an entry to change its validity.
● If you want to enter an embargo for a legal regulation and a country, you can duplicate existing lines and set
the Embargo flag. You can enter the validity period of the embargo in the new line.
● When you are finished, save your entries and confirm the displayed system message.

5.4.5.1.3 Defining Embargo Situations for Combinations of


Countries by Legal Regulation

Use

You use these settings to define the third step of the embargo check. In this step, you combine the legal
regulation with the country information for the combination of country of departure and country of destination
for a business transaction. You can use this process to define an embargo in cases where no import or export
transactions with a country are possible due to an embargo imposed by a nation or international organization.

These settings let you model partial embargo situations based on the combination of country of departure and
country of destination. To use them, you define the information for each relevant combination of country of
departure and country of destination for the legal regulations.

Prerequisites

You have entered and activated the legal regulations for import and/or export controls in Customizing. You
have also entered all the countries with which your company trades. For more information, see the
Configuration Guide for Compliance Management at the SAP Service Marketplace, under the following path:

http://help.sap.com/gts Configuration

Activities

● The settings for embargo situations for countries for a specific legal regulation are located in the area
menu under one of the following paths:
○ Compliance Management Legal Control - Export Embargo Legal Regulation/Country of
Destination .
○ Compliance Management Legal Control - Import Embargo Legal Regulation/Country of
Destination .

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● To create a new entry, use one of the following options:
○ Select a legal regulation in the first selection screen and choose Execute.
○ In the next screen, enter the legal regulation again and choose the countries for the country
combination. The country of departure and country of destination stand for the following
countries, depending on the goods direction:
○ For exports, choose your company's country as the country of departure. For imports, choose
the country of the business partner from whom you no longer want to import goods as the
country of departure.
○ For exports, then choose the country of the business partner that you want to add to the
embargo master data as the country of destination. For imports, choose your company's
country as the country of destination.
○ Define the validity and choose Adopt Time Series to save it in the system.
○ Choose Execute without selecting a specific country.
○ In the next screen, you can double-click an entry to change its validity.
● If you want to enter an embargo for a legal regulation and a country, you can duplicate existing lines and set
the Embargo flag. You can enter the validity period of the embargo in the new line.
● When you are finished, save your entries and confirm the displayed system message.

5.4.5.2 Displaying Documents and Payments with Embargo


Blocks

Use

When the system detects countries or combinations of countries that are subject to embargo situations in
business transactions during the embargo check, it blocks the affected transactions. You can display the
blocked documents and payments.

Features

● The functions for releasing the documents and payments are located in the area menu under the following
path:
○ Compliance Management Legal Control - Import Embargo Release Blocked Documents
○ Compliance Management Legal Control - Import Embargo Release Blocked Documents
● You can select one or more documents or payments. To display all blocked documents, leave the input
fields blank and choose Execute.
● You can use the following functions in the results list:
○ Display Customs Document
The customs document is a replicate of a logistics document from the feeder system. It contains the
foreign trade-specific data from the feeder system document, such as document status, partner data,
and organizational data at header level and product-specific data at item level. The system also saves
specific foreign trade data from other areas of Compliance Management at item level in the customs

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document. When you choose Item Details in a customs document, you can display information such as
the following at item level:
○ Classification tab page
This tab page displays the classification of the document item in the import/export control
classification list, which which the system uses for product-specific checks. You have classified the
products with the functions in the area menu under Compliance Management Classification/
Master Data .
○ Preference tab page
If you have activated preference processing, you can display the preference statements for
document items in this tab page for replicated sales documents and billing documents. You see a
comparison of the threshold value that the system calculated during preference determination and
the value from the logistics document. You also see the preference indicator. If you need more
details, you can display the preference determination log. To do so, choose Preference
Determination Log.
○ Letter of Credit tab page
If you have activated letter of credit processing, you can display the main data for the letter of
credit on this tab page. For more details, choose Display Letter of Credit to navigate directly to the
letter of credit.
○ Display Log
When you choose this icon, you see the item details and the reason for blocking the document. The
system updates the log directly and displays detailed information about the performed action.
○ Recheck Legal Control
You can use this icon to repeat the embargo check.
○ Cancel embargo block (see Releasing Blocked Documents and Payments [page 238])

5.4.5.3 Releasing Blocked Documents and Payments

Use

You can release documents and payments that the system blocked as the result of an embargo check. For
example, you can release documents and payments for which the embargo has ended before the process is
completed, if you need these documents or payments for further processing. To enable your staff to react to
blocks quickly, you can send e-mail notification to specific users as soon as a block is imposed (see Notification
Control for Blocked Documents and Partners [page 1031]).

To safeguard your decision to release documents, you can create a case with Case Management or display
existing cases. If you create a case, you can enter memorandums to file for individual activities and transfer
decisions to another employee or superior through a defined process route. The case information lets you
store documents and background information that can aid decision-making.

 Note

For more information about Case Management and its features, see the SAP Library for SAP Enterprise
Resource Planning (SAP ERP) under help.sap.com SAP ERP SAP ERP Central Component Cross-
Application Services Case Management .

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Prerequisites

● You have made the following settings in Customizing for the connection to Case Management:
○ Activate Case Management
○ Define Default Data for Case Management
● You have also configured the default data to determine the correct case type and the process route model
for Case Management.
For more information, see Defining Default Data for Case Management [page 1032].

For more information about the Customizing settings, see the Configuration Guide for Compliance
Management at the SAP Service Marketplace under the following path:

http://help.sap.com/gts Configuration

Activities

Releasing Blocked Documents and Payments

● The functions for releasing the documents and payments are located in the area menu under the following
paths:
○ Compliance Management Legal Control - Export or Legal Control - Import Embargo
Release Blocked Documents .
○ Compliance Management Legal Control - Export or Legal Control - Import Embargo
Release Blocked Documents .
● In the overview of blocked documents and payments (see Evaluating Embargo Blocks [page 237]), you can
select one or more entries and choose Cancel Embargo Block.
● You can use the following options to release documents:
○ If you want to release a blocked document, select the desired entry and choose Cancel Embargo Block.
The system updates the log directly with the details of the activity.
You can also enter comments to justify the reason for releasing the document.
○ When you release individual documents, you can enter comments that apply exclusively to this
release.
When you select an individual document and choose Cancel Embargo Block, a dialog box appears
in which you can enter a comment. After you enter the comment, choose Adopt to assign the
comment to the released document.
○ If you want to enter a comment for several released documents, select the desired entries.
A dialog box appears for the selected entries in which you can enter a comment. If you choose
Adopt, the system saves the comment for the oldest document of those selected. If you choose
Adopt for All Documents, the system assigns the comment to all the released documents.
To display the comments for document release in the overview of released documents, select the
desired document and choose Audit.
○ If you want to safeguard the document release, you can create a case in Case Management. To do so,
select the blocked document and choose Create Case.
○ If a case already exists for the release of a blocked document, you can choose Display Case to view it.
For more information about the functions you can use to create and display cases, see the information
in the SAP Library for Case Management.

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 Note

If a case exists for a document, it must be approved by the person responsible in the process route
first, before you can release the document.

Displaying Released Documents and Payments

● The display of released documents and payments is located in the area menu under the following paths:
○ Compliance Management Legal Control - Export or Legal Control - Import Embargo
Display Released Documents .
○ Compliance Management Legal Control - Export or Legal Control - Import Embargo
Display Released Payments .
● You can display the business transaction or log with the reasons for the block for each document and
payment.
● If you entered a comment when releasing the document, you can choose Audit to display it.

5.4.5.4 Evaluating the Embargo Situation for Business


Partners

Use

You can display information for business partners who are affected by an embargo situation. You can either
display specific information for individual business partners or list all business partners who are affected by an
embargo block.

Activities

● To display the overview of business partners in embargo situations, open the area menu and choose one of
the following paths:
○ Compliance Management Legal Control - Export Embargo Business Partners with Embargo
Situation .
○ Compliance Management Legal Control - Import Embargo Business Partners with Embargo
Situation .
● If you only want to display the information for specific business partners, instead of all business partners in
an embargo situation, you can restrict the selection.
● The system displays a list of business partners in an embargo situation.
● You can display detailed information for a specific business partner. The system displays the name and
address of the business partner, together with the legal regulation and the validity period of the embargo.

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5.5 Hazardous Substance Check with SAP ERP EH&S

Use

You can run hazardous substance checks for the items in your logistics documents. SAP Global Trade Services
(SAP GTS) creates customs documents for logistics documents, and then starts checks in SAP Environment,
Health & Safety (SAP EH&S), one of the Corporate Services in SAP Enterprise Resource Planning (SAP ERP).
These hazardous substance checks help you meet the requirements posed, for example, in the European
Union's REACH (Registration, Evaluation, Authorization of CHemicals, REACH) program.

These product-specific checks cover the following areas for hazardous substances:

● Import bans for substances from specific countries in import-relevant documents


● Quantity restrictions for substances in import-relevant documents
● Export bans for substances to specific countries in export-relevant documents
● Quantity restrictions for substances in export-relevant documents

The results of the checks in SAP EH&S are saved as status values in the customs documents in SAP GTS,
which are created as replicates for the following logistics documents:

● Sales documents (SD0A)


● Outbound deliveries (SD0B)
● Purchasing documents (MM0A)

When the hazardous substance check sends a status to SAP GTS that prevents further processing of the
business transaction, the system blocks the corresponding customs document. Depending on your
Customizing settings, the system can also block the logistics process in the SAP ERP feeder system at the
same time it blocks the customs document. The existing integration between SAP GTS and the logistics
processes in SAP ERP enable the system to access the status of customs documents in SAP GTS and trigger
the corresponding follow-on functions in the logistics documents. This lets you block a sales document for
further process steps, for example, if the hazardous substance check determines a quantity overrun.

 Note

For more information about hazardous substance checks in SAP ERP EH&S, see SAP Library under http://
help.sap.com SAP Business Suite SAP ERP <Release> Application Help SAP ERP Central
Component <Release> Logistics Environment, Health and Safety (EHS) .

Prerequisites

● For SAP GTS to start hazardous substance checks in SAP EH&S, you have to configure system
communication for the RFC connections between these systems.
● To integrate SAP GTS in the feeder system logistics processes, you have to configure system
communication for the RFC connections between these two systems.
● You also have to configure the settings for integrating hazardous substance checks in SAP GTS - for
example, creating and activating the corresponding legal regulations - and configure the service for the
hazardous substance checks.

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● You have configured the settings for hazardous substance checks in Customizing of the system where you
installed SAP ERP EH&S. The settings are located under Environment, Health & Safety Hazardous
Substance Management .

Process

1. You create a logistics document in your SAP ERP feeder system.


2. The system transfers this document to SAP GTS and creates a customs document as a replicate.
3. The system then calls SAP ERP EH&S for this customs document to perform the following checks:
1. Notification check
During this check, the system determines whether or not the officials have already registered the
substances that you want to import. Only registered substances can be imported without special
approval.
2. Quantity check
During this check, the system determines whether the respective business transaction lies within the
maximum allowed quantities for import or export.
4. SAP ERP EH&S calculates the check results, and SAP GTS saves them as a status value in the customs
document.
1. If the substances of the products in a business transaction lie within the quantity limits and the
substances have been registered officially, the process in SAP GTS is complete. The logistics process in
SAP ERP continues uninterrupted.
2. If you have configured the system such that blocked customs documents automatically interrupt the
corresponding logistics processes in the feeder system, then SAP GTS blocks the underlying logistics
document.
5. You can monitor customs documents in the monitoring functions for Legal Control [page 224] to spot any
blocks that have been set.

5.6 Displaying Blocked Documents in the Feeder System

Use

You can monitor the following documents in SAP Global Trade Services (SAP GTS) in the plug-in:

● Sales orders
● Outbound delivery documents
● Purchase orders

When you create a sales order, for example, in your feeder system, and provided you have set up the transfer of
these documents to SAP GTS in accordance with this guide, SAP GTS replicates these documents as customs
documents. Following this, SAP GTS performs the relevant compliance checks, dependent on the services you
are using in SAP Compliance Management for which you have activated documents and item categories.

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If SAP GTS finds a match between the embargo data or sanctioned party lists, for example, and the data in one
of the documents, then the original document in your feeder system is blocked. To monitor the blocked
documents in your feeder system, see the section below.

You can display the detailed log that SAP GTS creates for the check results in the feeder system for any blocked
document. This enables you to see the reason(s) why a document was blocked directly in the feeder system.

Prerequisites

You have set up the system communication and data replication. For more information, see the Configuration
Guide for Compliance Management at SAP Service Marketplace under service.sap.com/swdc Download
Installations and Upgrades Entry by Application Group SAP Application Components SAP Global Trade
Services (GTS) SAP GTS <Release> Installation and Upgrade .

You have configured the following prerequisites for the call of the check log for the blocked documents:

● The users who want to call the check log for block documents have been assigned the following
authorizations for object V_EMBK_GEG (Export Licenses: Authorization for Legal Regulation):
○ GEGRU with value "SL"
○ GEART with value "COMA"
○ ACTVT with value "36" (extended maintenance)
● To grant authorizations for the users, do the following:
○ Create a separate role with the required authorizations in transaction PFCG.
○ Assign role SAP_SD_FT_ADMINISTRATION, which contains all the necessary authorizations.
● The logon data for the RFC connection for communication and data transfer between the feeder system
and SAP GTS is set to type A (for dialog users). If organizational considerations prevent you from granting
this authorization to the communication RFC, you can configure an alternate RFC connection that enables
the log display.

Procedure

Displaying a Blocked Sales Order or Outbound Delivery Document

1. Choose transaction /SAPSLL/MENU_LEGALR3 Documents SAP Compliance Management Legal


Control: Display Blocked Export Documents .
2. In the selection screen, you can enter the following relevant data for restricting your search:
1. Organizational data
2. Document data
3. Application level
You can select sales documents and outbound delivery documents.
4. Blocking reasons
Here you check the relevant flags for the block. For example, if you activated the documents for the
embargo service, set the Embargo Check.
1. Embargo check

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2. Sanctioned party list screening
3. Legal control export
5. Output Control
3. If your user ID has the necessary authorization, and the communication RFC is not authorized to display
user interfaces, you can also display the detailed logs for the check results of blocked documents in SAP
GTS: Specify an alternate RFC connection under Display Detail Log for Document Check from SAP GTS.

Displaying a Blocked Purchase Order

1. Choose transaction /SAPSLL/MENU_LEGALR3 Documents SAP Compliance Management Legal


Control: Display Blocked Export Documents .
2. In the selection screen, you can enter the following relevant data for restricting your search:
1. Organizational data
2. Document data
3. Application level
4. Blocking reasons
5. Output Control

 Note

You need to enter a least one selection criterion.

3. If your user ID has the necessary authorization, and the communication RFC is not authorized to display
user interfaces, you can also display the detailed logs for the check results of blocked documents in SAP
GTS: Specify an alternate RFC connection under Display Detail Log for Document Check from SAP GTS.
4. Choose Execute.
5. The system displays a list of all documents in the feeder system that were blocked by checks in SAP Global
Trade Services, for example, Sanctioned Party List Screening, License Checks or Embargo Checks.
6. To display the details of any document that SAP GTS blocked due to the check results, select the
document and choose Display Detail Log from GTS. The feeder system uses an RFC connection to call the
log in SAP GTS and display it in the feeder system. To do so, the system uses the logon data of the
communication RFC for data transfer between the feeder system and SAP GTS. If the logon data for the
communication RFC does not contain display authorization for user interfaces, you can specify an
alternate RFC connection in the selection criteria.

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6 Risk Management

SAP Global Trade Services (SAP GTS) contains application areas for risk management, which let you minimize
the financial risk associated with your global trade activities. You can integrate these application areas with
your standard processes for managing foreign trade transactions. The following services are available:

● Preference Processing [page 245]


● Letter of Credit Processing [page 344]
● Restitution [page 374]

6.1 Preference Processing

Use

Preference Processing in Global Trade Services (GTS) supports exporters in fulfilling all legal requirements for
customs preferences and identify their goods as eligible for preferential treatment. Based on this documented
eligibility for preferential treatment, the exporter's customers can import these goods duty-free or at a reduced
rate of import duty, giving the exporter a decisive competitive advantage. Preference processing has the
following features:

● Manage vendor-based long-term vendor declarations (LTVDs) and LTVDs for customer's purposes
● Preference calculation based on preference agreements and preference models for standardized products,
with static BOPs or for order-related BOPs for configurable products
● Make a statement on the preference eligibility of a product based on preference determination
● Print preference documents
The documents and forms for Preference Processing are available as PDF forms using Adobe technology.
As a result, you can use functions of the Adobe Reader for all relevant forms, such as save locally, print, and
send as e-mail attachment.
Preference documents that you can print with SAP GTS include:
○ Requests and reminders for long-term vendor declarations
○ NAFTA blanket certificate of origin
○ Long-term vendor declarations
○ Revocation for long-term vendor declarations
○ Cover letters for the various documents
If you integrate Preference Processing with Customs Management, you can also print preference
documents such as:
○ NAFTA Certificate of Origin
○ NAFTA Certificate of Origin for the U.S.
○ NAFTA Certificate of Origin for Mexico
○ NAFTA Certificate of Origin for Canada
○ Certificate of origin for the EU

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○ A.TR movement certificate
○ EUR.1 movement certificate
○ INF4 information sheet

 Note

To ensure end-to-end documentation of transactions for your own purposes and official controls, you can
archive objects from SAP Risk Management - preference processing (see Data Archiving in SAP Global
Trade Services [page 939]), at the same time reducing the demands on your technical system
infrastructure.

Prerequisites

You have configured Preference Processing as described in the Configuration Guide for Preference Processing.
For more information, see the Configuration Guide for SAP Compliance Management in the SAP Help Portal
under http://help.sap.com/gts.

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Process

1. The feeder system transfers information on vendor-product relationships to the GTS system for Preference
Processing. The GTS system creates a worklist from this data for further processing.
If you have to include goods receipts from vendors who do not originate in your preference zone in the
aggregation of vendor declarations, you can flag them as "Not Relevant to Request, but Relevant to
Aggregation".

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2. The system selects the products and the corresponding vendor master data from the worklist for cases
where vendor declarations are not available.
3. The system creates requests for vendor declarations for the selected products, based on the
corresponding vendor data. It uses various media to do so, such as Smart Forms. You can now send the
requests for vendor declarations to the vendors.
When you receive vendor declarations from your vendors, you have to enter them in the GTS system.
4. The system determines whether a valid vendor declaration is available for a product. It aggregates valid,
invalid, or missing vendor declarations.
5. The system uses the threshold value from preference determination. In this process, it combines the
statements for each material, based on the rules and procedures of the preference agreement, regardless
of whether valid or invalid vendor declarations are available. The system archives the results of preference
determination to enable further monitoring and audits.
When you create or change an order or billing document in the feeder system, the system compares the
threshold value with the ex works price from the order or billing document.
6. If the product is eligible for preferential treatment, the system sets the preference indicator.
7. You can issue the vendor declaration for customer's purpose.

6.1.1 Starting Preference Processing

Use

You can start Preference Processing from the area menu in the system for Global Trade Services. You can use
the Preference Processing and Preference Processing Master Data menu items under Risk Management.

Prerequisites

You have configured the Customizing settings for Preference Processing. In particular, you have carried out the
following activities for the validity area of the administrative unit:

● Define Administrative Unit for Vendor Declarations


● Define Administrative Unit Attributes

For more information, see the Configuration Guide for Preference Processing at the SAP Service Marketplace,
under the following path:

http://help.sap.com/gts Configuration

Features

Preference Processing

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When you click Preference Processing in the menu, you see the following four main areas of preference
processing:

● Validity area
Before you can run preference processing, you have to enter an administrative unit for your validity area
and define a period (the current year is the default value).

 Note

You can choose Goto Define Favorite in the menu bar to define one or more favorites.

You see a list of the available administrative units and can then define one or more of these administrative
units as favorites. Note that you have to specify at least one administrative unit. When you select an
administrative unit, you can perform the following functions:

○ Display Details
This icon displays additional details for the selected organizational unit.

○ Exit Definition
Click this icon to exit definition of your favorites.

○ Define Entry as Favorite


Select an entry and click this icon to add it to your favorites.

○ Remove Entry from Favorites


Select an entry and click this icon to remove it from your favorites.

○ Settings for Favorites


Select an entry and configure the extended settings for this entry. For example, can configure which
statistical figures are updated automatically. In this case, the system shows the icon to update the
values.

○ Go to Maintenance
Select an entry and click this icon to start maintenance for it.
For detailed information on the validity area and administrative unit, see the following links:
○ You have defined your vendors and customers as business partners (see Maintaining Business
Partners).
○ Assigning Business Partners to Administrative Units by Country (see: Assigning Business Partners to
Administrative Units by Country [page 281]).
○ Assigning Business Partners to Administrative Units by Country (see: Assigning Individual Business
Partners to Administrative Units [page 280]).
● Managing Vendor-Based Vendor Declarations (see: Managing Vendor-Based Long-Term Vendor
Declarations [page 286]): Under this menu item, you can choose from the following options:
○ Monitoring:
In Monitoring, you can carry out various activities for the worklist and vendor declarations. In the
Worklist, you can carry out the following activities (see: Monitoring for Vendor-Based Long-Term
Vendor Declarations [page 288]):
1. Display Worklist
2. Display Transfer Log for Purchasing Documents
3. Display Transfer Log for Billing Documents
In addition, the system displays an overview with the number of purchasing documents and material
documents. To update this overview, click the icon.

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Click Vendor Declaration to display a vendor declaration (see: Displaying Vendor Declarations [page
286]). You also see an overview with information on the vendor declarations.
○ Maintain
In the Maintain tab, you can carry out various activities in the Request and Maintain areas. You can
carry out the following activities in the Request area:
1. Requesting Vendor Declarations (see: Requesting Vendor Declarations [page 290]).
2. Send Reminder for Vendor Declaration (see: Sending Reminders for Vendor Declarations [page
294])
3. Consider Aggregation-Relevant Goods Receipts (see: Considering Consolidation-Relevant Goods
Receipts [page 289])
4. Request Vendor Declaration in Annual Run (see: Requesting Long-Term Vendor Declarations [page
290])
5. Search Request Log (see: Monitoring Vendor-Based Long-Term Vendor Declarations [page 305] )
You can carry out the following activities in the Maintain area:
1. Enter Vendor Declaration (see: Entering Vendor Declarations [page 295])
2. Transferring Vendor Declarations (see: Transfer Long-Term Vendor Declarations [page 301])
3. Extend Vendor Declaration (see: Extending Long-Term Vendor Declarations [page 303])
4. Aggregate Vendor Declaration (see: Aggregating Long-Term Vendor Declarations [page 304])
5. Search Aggregation Log (see: Monitoring Vendor-Based Long-Term Vendor Declarations [page
305] )
○ Relevant Master Data
On the Relevant Master Data tab (see: Master Data for Preference Processing [page 252]), you can carry
out the activities in the Assign Business Partners and Products sections. You can carry out the following
activities in the Assign Business Partners area:
1. Assign Vendors (see: Assigning Business Partners to Administrative Units Individually [page 280])
2. Assign Vendors Country-Dependently (see: Assigning Business Partners to Administrative Units
Country-Dependently [page 281])
You can carry out the following activities in the Products area:
1. Maintain Products (see: Maintaining Products [page 264])
2. Analyze Request Relevance (see: Analyzing the Relevance of Products for Requesting Long-Term
Vendor Declarations [page 277])

You can expand the Manage Vendor-Based LTVDs area with the icon and collapse it again with the
icon.
● Manage Vendor Declarations for Customer'S Purposes (see: Managing Long-Term Vendor Declarations
for Customer's Purposes [page 308]): Under this menu item, you can choose from the following options:
○ Monitoring
In the Monitoring area (see: Managing Long-Term Vendor Declarations for Customer's Purposes [page
308]), you can carry out various activities for the Worklist and Vendor Declaration. You can carry out
the following activities under Worklist:
1. Display Worklist (see: Monitoring Long-Term Vendor Declarations for Customer's Purposes [page
316])
2. Display Transfer Log for Billing Document (see: Monitoring Long-Term Vendor Declarations for
Customer's Purposes [page 316])
You also see an overview with the number of billing documents.
Click Vendor Declaration to display a vendor declaration (see: Monitoring Long-Term Vendor
Declarations for Customer's Purposes [page 316]) You also see an overview with the number of issued
and revoked vendor declarations.

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○ Maintain
In the Maintain area, you can carry out the following activities under Issue:
1. Issue vendor declaration (see: Issuing Long-Term Vendor Declarations [page 310])
2. Revoke vendor declaration (see: Revoking Long-Term Vendor Declarations [page 315])
3. Search issue log (see: Searching the Issue Log [page 319])
○ Relevant Master Data
In the Relevant Master Data area, you can carry out various activities under Assign Business Partners
and Customs Products. You can carry out the following activities under Assign Business Partners:
1. Assign Customers (see: Assigning Business Partners to Administrative Units Individually [page
280])
2. Assign Customers Country-Dependently (see:Assigning Business Partners to Administrative Units
Country-Dependently [page 281])
Under Products, you can carry out the activity Maintain Products (see: Maintaining Products [page
264]).

You can expand the Manage LTVDs for Customer's Purposes area with the icon and collapse it again with
the
● Preference Determination (see: Preference Determination [page 322]): Under this menu item, you can
choose from the following options:
○ Determination
In the Determination area, you can carry out various activities under Product BOMs and Relevant
Master Data. You can carry out the following activities under Product BOMs:
1. Start Determination (see: Preference Determination [page 322]):
2. Start Determination for a Product (see: Preference Determination [page 322]):
3. Start Determination for New Products (see: Preference Determination [page 322]):
4. Display Preference Determination Log (see: Displaying Determination Results in Logs [page 328])
You can carry out the following activities under Document BOMs:
1. Display Worklist of Configured BOMs (see: Displaying the Worklist for Configurable BOMs [page
337])
2. Start Determination (see:
Preference Determination [page 322])
3. Display Document-Specific Preference Result (see: Document-Specific Results Display from
Preference Determination [page 339])
4. Display Preference Determination Log (see: Displaying Determination Results in Logs [page 328])
○ Relevant Master Data
In the Relevant Master Data area (see: Master Data for Preference Processing [page 252]), you can carry
out various activities in the Additional Data and Products sections. You can carry out the following activities
under Additional Data:
1. Display Preference Rules of an Agreement (see: Displaying Preference Rules [page 258])
2. Display Statistical Commodity Codes (see: Master Data for Preference Processing [page 252])
You can carry out the following activities under Products:
1. Maintain Products (see: Maintaining Products [page 264])
2. Display Bills of Material (see: Displaying Transferred BOMs [page 68])

You can expand the Preference Calculation area with the icon and collapse it again with the

Preference Processing - Master Data

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When you click Preference Processing - Master Data, you see the following main areas of Preference Processing
- Master Data:

● Products
You can carry out the following activities under Products:
○ Maintain Products (see: Maintaining Products [page 264])
○ Display Procurement Indicators for Products (see:Displaying Procurement Indicators for Products
[page 262])
○ Display Prices for Products (see:Displaying Prices for Products [page 285])
○ Display Bills of Material (see: Displaying Transferred BOMs [page 68])
● Agreement-Related Data
You can carry out the following activities under Agreement-Related Data:
○ Display Rules of an Agreement (see: Displaying Preference Rules [page 258])
○ Upload Rules from an XML File (see:Uploading Preference Rules [page 255])
○ Assign Conditions to a Product (see: Assigning Conditions to a Product [page 275])
○ Display Statistical Commodity Codes (see: Creating Commodity Codes Manually [page 253])
○ Display Country Assignment to Country Group and Agreements (see:Displaying Country Assignments
to Country Groups and Agreements [page 284])
● Searching Logs
(see: Searching Logs [page 285])
The Search Logs area consists of the two areas Transfer Logs and Upload Logs.
You can expand the Search Logs area with the icon and collapse it again with the icon.

6.1.2 Master Data for Preference Processing

Use

To execute the processes in preference processing, you need locally defined master data. You can transfer the
underlying master data from the feeder system, and create any additionally required information manually as
necessary in preference processing. Optimum processing is dependent on complete and up-to-date master
data.

Prerequisites

You have configured the transfer of master data from the feeder system in both the plug-in in the feeder system
and preference processing. For more information about the relevant settings, see the Configuration Guide for
Preference Processing on SAP Help Portal under. http://help.sap.com/gts

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Process

You can create, edit, and display the following master data in preference processing:

● Displaying Preference Rules [page 258]


● Uploading Preference Rules [page 255]
● Searching Logs for Transfer of BOMs [page 989]
● Displaying Transferred BOMs [page 68]
● Searching Transfer Logs for Procurement Indicators [page 261]
● Displaying Procurement Indicators [page 262]
● Maintaining Customs Products [page 264]
● Determining Low-Level Codes in Bills of Material in the GTS System [page 260]
● Creating Commodity Codes Manually [page 253]
● Uploading Commodity Codes from XML File [page 254]
● Assigning Business Partner (Vendor or Customer) to Administrative Unit [page 280]
● Assign Vendors to an Administrative Unit for Aggregation [page 281]

You can also view the assignment of country to country group that you need for master data entry (see
Displaying Country-Country Group Assignments [page 67]).

6.1.2.1 Creating Commodity Codes Manually

Use

Preference agreements can contain rules that refer to specific tariff classifications. Preference determination
uses these preference rules to determine the preferential origin of a product. As a result, you need commodity
codes in the application. You can create these commodity codes manually or upload the commodity codes
[page 254] from an XML file.

Prerequisites

You have defined a numbering scheme for commodity codes in the General Settings in Customizing of the
system for Global Trade Services (GTS). For more information, see the Configuration Guide at the SAP Service
Marketplace, under the following path:

http://help.sap.com/gts Configuration

Procedure

1. In the area menu, choose Risk Management Preference Processing – Master Data Agreement-
Related Data Display Commodity Codes

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2. Select the numbering scheme for commodity codes and choose Maintain Numbers.
3. If no hierarchy exists yet in your system, create it now.
1. To create the top level, click Chapter.
2. To create further branches, select the top level and click the right mouse button to choose Create
Structure Level at Next Level from the context menu.
3. Choose a branch and click the right mouse button to choose Create Import Code Numbers from the
context menu.
4. Enter the appropriate data. You can choose additional classification criteria under Dash.
4. Save your entries.

6.1.2.2 Uploading Commodity Codes

Use

Preference agreements can contain rules that refer to specific tariff classifications. Preference determination
uses these preference rules to determine the preferential origin of a product. As a result, you need commodity
codes in the application. You can also upload the numbers to the system automatically from an XML file. You
can then search the upload log in the application for each upload process.

Prerequisites

● You have defined a numbering scheme for commodity codes in the General Settings in Customizing of the
system for Global Trade Services (GTS).
● You have created the numbering schemes for tariff numbers and commodity codes, and assigned them to
the services.
● If you want to upload the commodity codes to the system as a delta upload, the direct predecessor file
must be present in Preference Processing in the system.

 Note

If you do not have the direct predecessor file in the system, you have to perform an initial upload.

For more information about the Customizing settings, see the Configuration Guide for Preference Processing at
the SAP Service Marketplace under the following path:

http://help.sap.com/gts Configuration

Activities

Uploading XML Files to the System

1. In the area menu, choose Customs Management Classification Classification Master Data
Commodity Codes Upload Commodity Codes from XML File .

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2. Use the input help to select a data provider and an alternative numbering scheme, if you do not want to use
the data provider's numbering scheme.
3. Choose the local paths of the number file and the text file.

 Note

Your data provider supplies additional texts in the text file such as footnotes, notes, and key words that
are assigned to the commodity codes. Make sure all the numbers exist in the system before you upload
the text file.

4. If applicable, set the flags in the Overwrite Text of the Following Objects.

 Note

If you have changed texts manually at structure and want the system to overwrite them during the
upload, set the Change Texts at Structure Level flag.

5. Set the following flags in the General Control Parameters area, where applicable:
○ Output List
After the upload, the system generates a list in which you can see the uploaded commodity codes.
○ Simulation Mode
You can simulate the upload of commodity codes at first.
○ Nomenclature Check Active
If you set this flag, the system checks the file names.
6. Choose Execute.

Searching Upload Logs

1. In the area menu, choose Customs Management Classification Classification Master Data
Commodity Codes Search Upload Logs .
2. Enter the numbering scheme of the data provider.
3. If you want to restrict the search results, enter the data provider and/or the date of the upload under
General Data.
4. Choose Execute. The system lists all the transactions that match your selection criteria, together with the
upload logs.
5. To display a specific upload, choose the relevant symbol in the Log column. The system displays the upload
log and groups all the messages in a status overview.
6. To display details for an upload, select the appropriate row and choose Details.

6.1.2.3 Uploading Preference Rules

Use

Before using preference processing, you have to supply the system with the preference agreements or sections
from preference agreements, and their associated rules and procedures that are relevant for your product
range. With the system for Global Trade Services (GTS) you can upload preference agreements from your data
provider as an XML file. In addition, before you upload the data, you can use the simulation mode to find out
which new data the XML files contain and which existing system data will be updated. You can use the upload

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logs created by the system to track the process. Uploading these rules has the same effect as configuring
Customizing settings, and is equivalent to a transport connection. If you use a distributed system landscape,
you can distribute the uploaded rules to the connected systems, avoiding inconsistent data.

 Recommendation

Due to the Customizing character of the upload, we recommend performing the upload in the system
where you configure your Customizing settings. This ensures that the system logs all changes to the rules,
similar to Customizing changes.

The function for searching upload logs in Preference Processing allows you to display logs that the system
created when it was uploading XML files.

All preference agreements are assigned to a rule set. A rule set combines all the preference agreements that
apply to a preference zone.

Prerequisites

● You system contains the numbering scheme for commodity codes. You can create the numbering system
in your system in two ways:
○ If you obtain the commodity codes in an XML file from your data provider and load them into the
system, the numbering system is contained and assigned automatically.

 Recommendation

We recommend that you load the commodity codes into the system.

○ You can create the numbering scheme manually in Customizing. Go to Customizing for Global Trade
Services and choose: General Settings Numbering Schemes Define Numbering Scheme for
Commodity Codes .
● You have created the numbering schemes for tariff numbers and commodity codes, and assigned them to
the services.

For more information about the Customizing settings, see the Configuration Guide for Preference Processing at
the SAP Service Marketplace under the following path:

http://help.sap.com/gts Configuration

Features

● Load Preference Rules from XML file


As soon as you have uploaded an XML file from your data provider, the system displays a log, showing the
status of the uploaded preference agreements and the changes that are associated with these
agreements. To allow you to call up the log showing these changes at a later date, you have to assign an
upload ID to the XML. The upload ID is required so that you can differentiate between the uploaded
preference agreements and data such as uploaded reclassification data. We recommend using the default
upload ID.

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If you already have a numbering scheme for the commodity codes in your system, but its description
differs from that of the scheme in the XML file, you can link to it. You can link to the existing numbering
scheme under Alternative Numbering Scheme. You do not have to enter any other information for the
alternative numbering scheme, as you have already uploaded this numbering scheme.

 Note

If you want to upload the XML files from an application server, you can also schedule a batch job. If you
do so, you have to pay attention to the batch job log.

● Search Upload Logs


While searching for upload logs, you can choose from a combination of the following parameters to restrict
your search results. The following parameters are available:
○ Data provider
○ Upload date or upload period
○ Agreement rule set

Activities

Load Preference Rules from XML file

● To upload preference rules, go to the area menu and choose Risk Management Preference Processing
Master Data Agreement-Related Data Upload Agreement and Rules from XML File .
● You have to specify the data provider and, if necessary, an Alternative Numbering Scheme, using input help.
● Specify whether your data provider's XML file is stored on a local data medium or on an application server.
● In the designated field, enter the full name of the XML file that contains your data provider's preference
agreements.
● If you want to simulate the upload process first, you can set the Simulation Mode indicator.
● If you specify an Upload ID, you can use it to search for the relevant upload log.
● When you choose Execute, the system loads the data into the system.

Search Upload Logs

● To display the upload logs, go to the area menu and choose Risk Management Preference Processing -
Master Data Upload Logs Display Upload of Agreements and Rules .
● You can search for the update logs for each rule set.
● You can restrict the search results by specifying additional search criteria, such as the data provider or a
specific time period. Use input help to help you.
● When you choose Execute, the system lists all the upload logs that match your search criteria.
● In the Summary Status column, the system shows the most negative system message type for each XML
file that has been uploaded. To display details on the upload status, double-click the status icon in the
upload line.
● To display the log for a specific upload, choose Display Log in the line for this XML upload.

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6.1.2.4 Displaying Preference Rules

Use

In Preference Processing, you can create preference rules manually or upload them to your system from a data
provider. You can display all the preference rules for a given agreement in an overview. The system also lists the
countries to which the corresponding preference agreement applies in the overview.

Prerequisites

The preference rules are defined in the system. You have either uploaded these preference rules from a data
provider as master data or defined them manually, in Customizing for Preference Processing.

You have also defined country groups in the general settings in Customizing and assigned countries to them in
master data maintenance.

For more information about the Customizing settings, see the Configuration Guide for Preference Processing at
the SAP Service Marketplace under the following path:

http://help.sap.com/gts Configuration

Activities

● In the area menu, choose Risk Management Preference Processing Validity Range Administrative
Unit and select an administrative unit. Then choose Preference Determination Relevant Master Data
Display Preference Rules for an Agreement .
● Use the input help to select the preference agreement whose preference rules you want to display.
● The system displays an overview with the following levels:
○ In the Preference Zones area, the system lists all the countries for which the preference agreement and
its rules are valid.
○ In the Preference Rules area, the system lists the existing preference rules for each tariff number.
● To display details for a preference rule, select the appropriate line and choose Details.

6.1.2.5 Displaying Transferred BOMs

Use

You can use this function to display all the BOMs that you have transferred from your feeder system for
preference determination and legal control of re-exports. You can display both static and order-related BOMs
for configurable products for preference processing. The system transfers the information indicating whether
the BOM is multilevel in both cases and displays this structure information of the BOM. The BOM display also

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contains details for the individual BOM components. You can use the BOM information to display the data that
is used in preference determination to determine the preference eligibility of a product or for legal control of the
re-export-relevant share values of a product.

Prerequisites

You have transferred bills of material from your feeder system to the system for Global Trade Services (GTS).

Activities

● You can display the transferred BOMs in the area menu. To start the BOM display, choose one of the
following paths, depending on whether you use it for preference processing or for re-export.
○ Risk Management Preference Processing - Master Data Products Display Bills of Material
○ Compliance Management Classification / Master Data Export View for Products Display BOPs
for Product
● You can display the BOMs for a particular logical feeder system and product.
● You can also use the following criteria to restrict your search:
○ Bill of material usage
○ Alternative bill of material
○ If you specify a preference model in preference processing, you can enter additional selection criteria
depending on the model.
Plant-based or cross-plant preference model
○ Plant or plant group
○ Explosion method for the BOM
Order-related preference model
○ Application
○ Document number from the feeder system
○ Item of the product with configurable BOM in the document in the feeder system
● When you choose Execute, the system displays the BOMs that match your search criteria.
● If you selected only one product, and the product only has one BOM, the system displays the BOM
overview directly.
● If you selected multiple products, the system displays an overview list of the BOMs for the products along
with general BOM information, such as:
○ Product number
○ Product description
○ Bill of material number
○ Alternative bill of material
○ Bill of material usage
○ Low-level codes of the bills of material
You can select a product from the overview list for the system to display the details.

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 Note

To simplify the display, you can hide the overview list that contains all the products matching your
selection criteria and show it again, as required.

● You can display additional details for each BOM component. To do so, select the required row and choose
Details. The detail display contains specific information about the component and its position within the
BOM, for instance:
○ BOM structure information
○ BOM level
○ Low-level codes of the transferred bills of material
○ Sequence number of the BOM level
○ Sequence number of the component on the next highest BOM level on which the component is
dependent
○ BOM component details, such as:
○ Quantity used on the BOM level
○ Net price
○ Tariff number
● If you click the product number of a displayed BOM, the system forwards the product data for the BOM.
You can display general product data as well as any classification data and preference-specific product
data. You can also switch to change mode.

 Note

For more information about the product data you can display and its significance, see Maintaining
Products [page 264]. Note, however, that when you access the data in this way, you can use display
mode only.

● To return to the BOM overview, choose Back.

6.1.2.6 Determination of Low-Level Codes in Bills of


Material in the GTS System

Use

You can use this function to determine the low-level codes of bills of material across multiple systems.

Preference determination in the GTS system uses the low-level codes in bills of material to accurately
determine the sequence of preference determination for all finished products or assemblies according to the
components that are dependent on those finished products or assemblies. If the low-level code of the bills of
material from all feeder systems are not harmonized, this can lead to incorrect determination results and
possibly a termination of the program.

The hierarchy is predefined in one ERP feeder system according to the low-level code that is determined
independently of one another in the respective ERP feeder systems.

The GTS system determines the low-level codes across multiple systems using the low-level codes of the
individual bills of material of the ERP feeder systems as a basis. This approach ensures that the system

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determines the finished products and assemblies, which themselves have dependent components from
different plants, in the correct sequence of preference determination.

When processing products with multiple manufacturing levels, the system first determines the lower-level
components before determining the higher-level components. The low-level codes of the bills of material are
used to retrieve this information.

Prerequisites

The bills of material have already been transferred from the feeder systems and were available prior to the
hierarchy determination in the GTS system.

Activities

1. On the initial screen of SAP Global Trade Services, choose Risk Management Preference Processing
Master Data Products Determine Low-Level Codes of Bills of Material .
2. In the Product Selection group box, use input help to select the relevant logical system group.
3. In the Results Display group box, decide whether to display the changed products only or all products.

● Display of Changed Products


Lists the finished products that meet the selection criteria for which the program lead to changed results.
● Display of All Products
Lists the finished products that meet the selection criteria.

Result

To see whether the redetermined low-level codes are being used, see the initial screen under Risk
Management Preference Determination Preference Status .

6.1.2.7 Searching Transfer Logs for Procurement Indicators

Use

This function enables you to verify that the transfer of procurement indicators from the feeder system was
correct. If so, the system can select by procurement indicator to determine the preference statement.

Prerequisites

● You have activated the transfer of procurement indicators in the feeder system plug-in for Global Trade
Services (GTS).

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● You have carried out the following activities in Customizing for Preference Processing:
○ Assign logical systems to logical systems groups
○ Define the preference model
○ Transfer products from the feeder system to Preference Processing
● You have also carried out the following activities in Customizing under Global Trade Services General
Settings :
○ Define Control Profile for Logging
○ Assign Control Profile for Logging
As a result, you have defined log control to determine which log entries the system saves and which logs
the system displays in the application.

For more information about the Customizing settings, see the Configuration Guide for Preference Processing at
the SAP Service Marketplace under the following path:

http://help.sap.com/gts Configuration

Activities

● You can see the logs for transferring procurement indicators from the feeder system in the area menu:
Risk Management Preference Processing – Master Data Transfer Logs Display Transfer for
Procurement Indicators Execute (F8) Display Logs for Procurement Indicator Transfer
● You can search transfer logs for a period or search for a log title.
● When you choose Execute, the system displays an overview of all transfer logs that meet your selection
criteria.
● The system cumulates the status of the detailed messages from the transfer at log level.
● You can navigate to the various levels of the transfer log from the overview list and see the status of each
entry.
● When you double-click a log in the overview list, the detailed overview for the transfer log appears.
● It contains all the messages from the transfer log in a list.
● The detailed overview also contains a status bar that indicates how many terminations, errors, warnings,
and information messages are contained in the log.
● You can deselect the message types that you do not want to display in the detailed overview. This enables
you to restrict the overview to critical messages, such as terminations and errors.
● To display the technical details for a specific line, select that line and choose Technical Info.

6.1.2.8 Displaying Procurement Indicators for Products

Use

Determination of the preferential origin of a product depends on its procurement type. You can see the
procurement indicators for all BOP components at product level.

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Preference Processing differentiates between the following procurement types:

● In-house production: Finished products that you produce completely at your company
● External procurement: Trading goods that you purchase from a supplier and sell unchanged to a customer
● Finished products with mixed origin: Consist of externally procured parts and parts from in-house
production
● Group-internal purchase: Products that you purchase from a plant group within your corporate group.

Depending on the procurement indicators, the system calculates whether it is sufficient for you to request and
enter the vendor-based long-term vendor declarations to make a preference statement for the corresponding
finished product based on the aggregation results. If the products are from in-house production or mixed origin
with at least one part produced in-house, you have to perform preference determination to determine the
preference authorization of a product in addition to requesting, entering, and aggregating long-term vendor
declarations for externally procured BOM components.

Prerequisites

● You have activated the transfer of procurement indicators to the system for Global Trade Services in the
feeder system plug-in.

Activities

● In the area menu, choose Risk Management Preference Processing Master Data Products Display
Procurement Indicators for Products to display the procurement indicators.
● Enter the selection criteria to define the product and feeder system for which you want to display the
procurement indicators.
● When you choose Execute, the system displays the procurement indicators at product level, as well as
other product details.

6.1.2.9 Searching Upload Logs for Prices and Product


Names for Business Partners

Use

For the system to calculate the correct prices in preference determination, you have to transfer the relevant
product prices from the feeder system. The logs for the transfer of product prices give you an overview of
which price information the system transferred. The log also helps you trace the transfer process.

Transferring of product names that your business partners use for products to your system can simplify the
exchange of long-term vendor declarations and associated documents, because it enables you to use the
respective business partner's product names in communication with customers and vendors. You can also
trace the transfer process for the transfer of product names used by your business partners.

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Prerequisites

You have configured the transfer of prices and product names used by your business partners in the plug-in for
the feeder system.

For more information about the Customizing settings, see the Configuration Guide for Preference Processing at
the SAP Service Marketplace under the following path:

http://help.sap.com/gts Configuration

Activities

● In the area menu, choose Risk Management Preference Processing – Master Data Transfer Logs .
○ Display Transfer for Product Prices or
○ Display Transfer of Product Names for BPs
● If necessary, you can enter the title of the transfer log to make your search easier.
● Limit your search results by entering dates and times.
● Choose Execute.
● The system lists all transfers of product prices or product names used by your business partners in an
overview.
● You can navigate through the transfer logs in the Overview. The system displays the relevant messages at
each level.
● To display the messages in a flat hierarchy, you can double-click a transfer log.
● A detailed overview of the declarations is displayed. You can use the status icons to display and hide the
respective declaration types.

6.1.2.10 Maintaining Products

Use

Preference rules in Preference Processing are based on customs tariff numbers. To enable the system to apply
the preference rules, you have to classify the products that you have transferred from the feeder system. When
you classify your products, you arrange them in a goods catalog that is valid the world over and assign the
catalog a unique number. To enable you to assign the correct customs tariff number to your products, you can
use the following functions on the Classifictn tab page:

● Classification help with text search and product search


● Reference product search
● Hierarchy level display
● Product catalog display
● Case Management integration
Case Management supports decision-making in difficult cases involving the assignment of tariff numbers
to products. It makes it possible to involve a superior or co-worker in a specific decision. For more

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information about Case Management and its features, see the SAP Library for SAP ERP under
help.sap.com: SAP ERP SAP ERP Central Component Cross-Application Services Case
Management .

If a preference statement that applies to a classified product exists in Preference Processing, you can display
this information on the Pref. tab page. This tab page contains the results from the determination of the
preferential origin of a product, which the system saves after aggregating the vendor-based long-term vendor
declarations (LTVDs) and determining the preference. This enables you to display an overview of changes to
the preference statement for a product.

 Note

Note that all BOM components for a product and the product itself must be classified with the tariff
numbers from the numbering scheme you defined for the rule set and for which you want to determine
preference eligibility in the preference zone of the rule set.

Prerequisites

● You have performed the following steps in Customizing for Preference Processing:
○ Defined a numbering scheme, if you entered the commodity codes in Customizing manually
○ Activated a legal regulation for Preference Processing
● You have configured the following settings in Customizing of Global Trade Services to integrate Case
Management:
○ Activate Case Management
○ Define Default Data for Case Management
You have also configured the default data [page 1032] to determine the correct case type and the process
route model for Case Management.
For more information about the Customizing settings, see the Configuration Guide for Preference
Processing 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 .
● You have maintained the commodity codes manually [page 253] or uploaded commodity codes [page 254]
in master data maintenance for Preference Processing.
● You have configured the classification help. To do so, use the functions from the area menu of SAP
Global Trade Services SAP Customs Management Classification/Master Data Configure Classification
Help .

Procedure

1. From the area menu, choose Risk Management Preference Processing - Master Data Products
Maintain Products Change Products or Display Products
2. Select the logical system group of the feeder system from which you transferred the products.
3. You also enter the product number(s) for the product(s) you want to classify.
4. Choose Execute.
5. The system determines the numbering scheme based on the preference agreement selected in legal
regulation.

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 Example

You have created legal regulation EU_EFTA, for example, for the preference agreement between the EU
and the EFTA nations. You have also assigned the Electronic Customs Tariff (EZT) numbering scheme
to this legal regulation. When you select legal regulation EU_EFTA for product classification, the system
applies the assigned numbering scheme automatically.

6. You can choose from the functions on the following tab pages:
1. General Basic Data [page 87]
On the General Basic Data tab page, you can display basic administrative and product-specific data
such as conversion factors between alternative units of measure and base units of measure. If you
need a specific unit of measure for a particular preference rule and the unit has not been entered in the
system, you can enter the factor required for converting the base unit of measure to the alternative
unit of measure required in the preference rule.
2. Partner-Specific Data [page 268]
The Partner-Specific Data page displays the names/descriptions that your customers or vendors use
for products.
3. Classification [page 269]
On the Classifictn tab page, you can assign the required identification numbers to a product for the
different preference agreements you have defined.
To create a case to justify your classification of products, you can select a product and choose Create
Case on the Classification tab page in SAP GTS. To display an existing case, choose Display Case. For
more information about the functions available to create and display cases, see the information in the
SAP Library for Case Management.
4. Preference [page 454]
Depending on the jurisdiction of your preference processing, tab pages (and their corresponding
symbols) may be available: Preference for the EU or preference for the North American Free Trade
Agreement (NAFTA). If you have only activated preference processing for one of the legal jurisdictions,
only the tab page for the active jurisdiction is displayed in the product master.
The system lists the results of the preference determination for the standardized product BOMs on the
Preference tab page. This provides you with a select overview of the preference statement for a
particular product.
5. Prices and Values [page 274]
The Prices & Values tab page contains the price information for each product, which the preference
calculation functions use to calculate the threshold value.
6. Procurement Indicators [page 274]
The Procurem. tab page shows you whether a product is produced in-house, procured externally, or of
mixed origin. The procurement indicator represents the foundation for determining the preference
statement for a product.

6.1.2.10.1 General Basic Data

Use

When you transfer products from your feeder system to the system for Global Trade Services (GTS), the
system determines general basic data for your information and control purposes. This information can include
administrative and product-specific data.

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Administrative data

● Group of logical systems


The group of logical systems lets you identify the feeder system or group of feeder systems from which you
have transferred the product to the GTS system.
● Internal product number
The internal product number is the number that the system assigned automatically during the transfer of
products from the feeder system. It is used for technical purposes only. It forms the link between the
product number in the feeder system and the additional data that you enter for that product in the GTS
system.
● Status
The status can have the following values:
○ New
Status New means you have not made any changes to the product since it was transferred.
○ Maintained in GTS
When you change or create data and then save your entries, the system sets the status to Maintained
in GTS.
○ Changed in Feeder System
As the result of a change pointer, the system has transferred changed data for a product that already
existed in the GTS system. The system transfers the changed data from the feeder system, while at the
same time retaining the data that resulted from maintenance in the GTS system.
● Created by/on
● Changed by/on

Product-specific data

● Base unit of measure


The base unit of measure is the unit of measure you use to manage stocks of the product in your inventory
management system.
● Short texts for the product
Before the transfer, the system determines the short texts that you have entered for your product in the
various languages in your feeder system and displays them for your information here.
● Conversion factor from base unit of measure to alternative unit of measure
If you have entered conversion factors between the base unit of measure for the product and the
alternative unit of measure, the system transfers this information as well. You enter conversion factors in
the feeder system to manage the goods in a base unit of measure that differs from the unit of measure in
the logistics documents. This is necessary, for example, when you vendors manage the same products in
different units of measure.
You can also enter additional conversion factors. You need a special conversion for base unit of measure
and alternative unit of measure in the GTS system to cover customs-specific requirements. The base unit
of measure for stocks in your inventory management system can differ from the units of measure that the
customs authorities use to determine customs duties. Accordingly, the customs authorities require you to
use the official units of measure when declaring imports or exports of your products.

 Note

If you have defined your own data for the transfer of products in addition to the standard data, you can
also see this data here. You can define additional product data in the Customizing activities for
products under Global Trade Services General Settings Products and extend the BAdI
implementation for transferring products in accordance with this definition.

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Activities

● Choose the General Basic Data tab.


● The administrative data for the product is displayed in the General Data area.
● Product-specific data appears in the following areas:
○ Basic Product Data
○ Short Texts
○ Units of Measure
Your vendor ships letterhead or bolts in boxes of 100 pieces each. You record the letterhead or bolts in
boxes in your inventory management system. Since the customs authorities calculate duties and fees
for letterhead and bolts by piece, you have to convert the boxes to pieces. If you have not entered a
conversion from boxes to pieces for the product in your feeder system, the system cannot calculate
and display the corresponding data during the transfer. As a result, if it is not possible to enter the
conversion factors from boxes to pieces in the master data system, you have to enter this data in the
GTS system. In the above example, you enter the following values in the table:

X AME <=> Y BME

1 BOX Box 100 PC Pieces

○ If you want to save additional information about a product in a document, you can choose Add
Document to assign it to the product.
○ If you want to see additional data from the transfer of products, choose Additional Data. You can
then choose Main Data to switch back to the General Basic Data.

 Note

If you have configured the transfer of product characteristics from the feeder system in
Customizing and fill the defined fields in the appropriate interface, you can use these
additional product characteristics from the feeder system in the GTS system. For more
information, see the descriptions of the Customizing activities in the GTS system under
Global Trade Services General Settings Products .

6.1.2.10.2 Partner-Specific Data

Use

The Partner-Specific Data page displays the names/descriptions that your business partners use for products.
Preference Processing uses the suppliers' product names, for example, to request vendor-based long-term
vendor declarations. This makes it easier for vendors to provide preference eligibility of their products, as they
can quote the product names they use in their own systems.

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Prerequisites

You have already transferred the vendor's or customer's product names from the feeder system.

Activities

● Choose the Partner-Specific Data tab page.


● The system displays an overview of the relevant business partners for each product, along with the product
names these business partners use.
● You can use change documents to track changes to product names used by your business partners. To
display the change documents, choose menu path Environment Change Documents .

6.1.2.10.3 Classification

Use

When you create new products or change existing products in the feeder system and then transfer these
products to the system for Global Trade Services (GTS), you have to classify these products in the classification
for the services used. The classification tool contains many features that help speed up the classification
process for commodity codes, upon which the preference rules are based.

You can use the search help function in the classification transaction to select the exact classification number
that you need for your product and then assign this number to the product manually.

To safeguard the assignment of a tariff number to products in difficult situations, you can create a case in Case
Management or display existing cases to support your decision. If you create a case, you can enter
memorandums to file for individual activities and transfer decisions to another employee or superior through a
defined process route. The case information lets you store documents and background information that can
aid decision-making.

For more information about Case Management and its features, see the SAP Library for SAP ERP under http://
help.sap.com SAP ERP SAP ERP Central Component Cross-Application Services Case
Management .

Prerequisites

● You have configured the following settings in Customizing of the GTS system to integrate Case
Management:
○ Activate Case Management
○ Define Default Data for Case Management
● You have also configured the default data to determine the correct case type and the process route model
for Case Management.

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● You have transferred the products from your feeder system.
● The commodity codes are available in your system.

For more information about Customizing, see the Configuration Guide at SAP Service Marketplace under the
following path:

http://help.sap.com/gts Configuration

Activities

● When you select a product, you can select a legal regulation for which you want to classify that product.
● You can select the correct numbering scheme and validity period for the commodity code.
● To search by number, choose Find...; to search text, choose Enhanced Text Search.
○ The search by number is the logical search help.
You navigate through the hierarchy levels of the classification numbers.
○ The enhanced text search is the phonetic search help.
○ When you choose Enhanced Text Search, a dialog box appears in which you enter the text you want
to search for in the classification hierarchy.
○ You can also select the rules you want the system to use to search for a text string, such as logical
operators AND and OR.
○ If you know that a text string belongs to an official or commercial description, for example, you can
also select the relevant text types.
○ The results list appears in a second dialog box. You can select and copy the relevant tariff code
numbers, or at least the tariff code numbers that you feel are best suited to the product, from this
results list.
● To create a case to justify your classification of products, you can select a product and choose Create Case
on the Legal Control or Classification tab, depending on the GTS application area. To display an existing
case, choose Display Case. For more information about the functions available to create and display cases,
see the information in the SAP Library for Case Management.
● You can use the following features to simplify the classification process for both classification help
functions:
○ Clipboard function
Before you assign a specific tariff number, you can choose Note Number to use the clipboard function
to collect and assess any number of possible commodity codes for a product.
The system copies the tariff numbers, together with the descriptions for the text type you selected in
classification help, to a clipboard file.
You can then copy the most suited tariff number for the product that you want to classify in your
product hierarchy from the clipboard.
In this phonetic search function, you can navigate between screens and the chapters of the
harmonized system hierarchy without losing data that you already selected and copied to the
clipboard. The system saves all your data selections as long as you remain in the classification
transaction.
The classification tool lets you save different kinds of texts, such as concatenated texts. You can
choose which text type you want to save to classify your product. If the text has already been saved in
the GTS system, the system displays it automatically.

● Where-used list

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When you choose Display Number in Hierarchy, the system navigates directly to the position of that tariff
number in the harmonized system hierarchy.
● Change text type
Choose Change Text Type if you want to assign a code number to a product or you want to change the
assignment.
You can then change the assignment of the text type, for example, from Official Description to
Concatenated Text. This enables you to change the text type that is displayed in the tariff number data
sheet.
● Display function for customs duty rates
You display third-country customs duty rates for the classified product from the country of departure to
the country of destination. To do this, you can use Customs Duty Rate A: Select Country of Departure to
select the desired countries of departure for goods movements and the country of destination for which
you want the system to determine the third-country customs duty rate with the legal regulation. The
system displays the customs duty rates for each tariff number and country.

6.1.2.10.4 Preference

Use

This tab displays the preference statement for the product. To do so, the system aggregates the information it
has collected from long-term vendor declarations and calculated in preference determination. For every
aggregation and preference determination that you make, the system shows a separate entry in the overview.
This lets you reproduce the changes in the preference statement for a product.

If you want a quick overview of the preference eligibility of a product, the values in the following fields are
relevant:

● Preference Indicator and possibly Threshold


If a product is assigned one of the following preference indicators, it is eligible for preferential treatment:
○ 50 Preference exists date-dependent vendor declaration
○ General preference exists set manually
If the 40 calculated- influenced by price preference indicator is assigned to the product , the product
can be eligible for preference. However, the preference eligibility is dependent upon the comparison
value of the product from the document. If the threshold value is less than or equal to the comparison
value from the document, then the product is eligible for preferential treatment for the underlying
agreement.
● Preference Agreement as the validity area for this statement
● Date that the preference statement was last determined

Under the default settings, the list of preference statements for the product is sorted by preference agreement
and type of preference statement. The leading statement for the product depends on its procurement type.

● For trading goods, the leading preference statement has preference category V (vendor declaration), since
the preference statement is based on aggregation of long-term vendor declarations, taking only goods
receipts from aggregation-relevant partners into account.
● For in-house production, the preference statement is the result of preference determination. Therefore, the
leading preference statement has preference category C (calculation).
● For goods of mixed origin, you first have to aggregate the long-term vendor declarations for the externally
procured components and then run preference determination. The system aggregates the results from the

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aggregation of long-term vendor declarations and preference determination in a single preference
statement for the product. Although the system also displays the results from aggregating the long-term
vendor declarations and preference determination, the leading preference statement for the product has
preference type P (preference). The statement with type P reflects the aggregated statement from
preference determination and aggregation of long-term vendor declarations.

Prerequisites

You have already aggregated the vendor-based long-term declarations and/or the preference determination for
the corresponding product.

Activities

● Choose the Preference tab page.


● The system displays an overview of the valid preference data at the selected time. They include, for
example:
○ Origin
The icon shows the selected product's preference eligibility at a glance.
○ Preference agreement
The preference statement for a product can differ for different preference agreements, since the
agreements for a tariff number can contain different rules.
○ Type of preference data with short text
The system indicates whether the data originated from preference determination (C calculation), the
aggregation of vendor declarations (V vendor declaration), or aggregated preference indicators (P
preference).
To find out which preference type the leading preference statement reflects, see the above information.
○ Preference model
○ Name of the plant group, if you selected the cross-plant preference model
○ Names of the plants for which you have calculated the preference statement
○ Preference indicators
The following preference indicators mean the product is eligible for preference:
○ 50 Preference exists date-dependent vendor declaration
○ General preference exists set manually
The following preference indicators mean the product is not eligible for preference:
○ 10 Generally no preference set manually
○ 30 Preference does not exist date-dependent vendor declaration Vendor Declaration
The following preference indicators mean the product may be eligible for preference:
○ 40 Calculated influenced by price
Preference authorization is dependent on the comparison between threshold value and ex works
price.
○ 20 Not maintained
The system does not have any preference data for this product.
○ Threshold value

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The system calculates a threshold value in preference determination. When you save a billing
document in the feeder system, the system compares the comparison value of the corresponding
product from the sales document with the threshold value to calculate the preference statement.
If the system calculated the preference eligibility of goods exclusively by checking the conditions from
preference rules, the Preference Value column contains the imaginary positive or negative value
999,999,999,999,999.00.
○ An imaginary maximum positive value means the product does not fulfill the checked condition.
The product is not eligible for preference. Therefore, no comparison with the threshold value is
needed.
○ An imaginary maximum negative value means the product fulfills the checked condition. The
product is eligible for preference regardless of the comparison between the threshold value and
the comparison value from the sales document.
● Originating value
● Negative proportion (proportion of non-originating goods, non-originating value) with the corresponding
currency
● Comparison method
The comparison method indicates which method was used for preference determination. The following
comparison methods can result in a preference statement:
○ Transaction value method
○ Net cost method
○ Tariff shift in NAFTA
○ External preference statements (through manual maintenance or vendors)
● Validity start date
● Quantity and unit of measurement
If you want to see further details, select the desired line and choose Details. The system displays the
corresponding time stamps and processors, for example.

● In addition to displaying the preference data, you can also change the data for the preference indicator and
country of origin manually for each selected line. Manual changes may be needed for raw materials, for
example, or other completely extracted or manufactured products.
To make changes, select a line and choose Change Data.

We recommend conducting a precise analysis before making any manual changes. When you enter data
manually, the system does not use the calculated data from aggregation of long-term vendor declarations or
preference determination for the product, but instead the manual data.

If you want to use the data from aggregation of long-term vendor declarations or preference determination for
the product anyway, you have to reset the preference data in the tabs for the product first.

● If you choose Change Data View in the menu of the tab, you can switch between the display of the
preference statement for the product at different points in time.
○ When you choose Complete View, you see an overview of all preference statements that have been
calculated for this product.
○ Choose Current View to return to the display of the preference statement valid for the selected point in
time.

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6.1.2.10.5 Prices and Values

Use

The Prices and Values tab page shows you the pricing information for a product from the feeder system.

Prerequisites

You have forwarded the prices from the feeder system for the corresponding products, as well as periodic
transfer through change pointers.

Activities

● Choose the Prices and Values tab page.


● The system displays an overview of pricing information for the product from the feeder system. In this
overview, the prices are listed for each legal unit that corresponds to the plant in your preference model.
● Changes to product prices and their assessment basis, such as the underlying unit of measure or price
type, can be tracked in change documents. To display the change documents, choose menu path
Environment Change Documents .

6.1.2.10.6 Procurement Indicators

Use

The Procurement Indicator tab page shows you whether you purchase a product from vendors, produce it in-
house, or a combination of the two (mixed origin). Depending on these procurement indicators, the system has
to determine the preference eligibility for a product through long-term vendor declarations and their
aggregation, through preference determination, or through a combination of both procedures.

Prerequisites

You have forwarded the procurement indicators from the feeder system for the corresponding products, as well
as periodic transfer through change pointers.

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Activities

● Choose the Procurement Indicator tab page.


● The system displays an overview of the procurement indicators for products from a specific plant. The
procurement indicators can have the following values:
○ In-house production
○ External procurement
○ Mixed origin
● If you have assigned various plants to a plant group, the system displays an aggregated statement of the
procurement indicators for the plant group in addition tot he procurement indicators of the individual
plants.
● If different procurement indicators exist for a product within a plant group, the system aggregates the
procurement indicator for the plant group. If you produce a product in-house in one plant, for example, and
purchase that product from a vendor in another plant, the system aggregates the procurement indicators
from the various plants and displays procurement type Mixed Origin for the plant group.
● In addition to the procurement indicators, you also see whether the product is flagged as saleable.
● You can track changes to procurement indicators based on change documents. To display the change
documents, choose menu path Environment Change Documents .

6.1.2.11 Assigning Conditions to a Product

Use

In Preference Processing, you can map the exceptions and special cases that the preference agreements
contain, in addition to the procedures that can be checked automatically for determining the preference
eligibility of a product. Exceptions and special cases can include additional conditions, base rules, or changed
lengths for the heading change that you can assign to a product. By assigning exceptions and special cases,
you ensure that the system takes account of such exceptions when determining the preference for the product.

● The additional conditions from the preference agreements refer to specific operations or weight-
dependent factors, for example, which are defined in the preference rules as a prerequisite for the
preference eligibility of goods. You have to decide whether an additional condition applies in the application
at product level. You have to complete two steps. In the first step, you assign a product an additional
condition and specify a tariff number. In the second step, you define whether the additional condition is
fulfilled or not for a given product. If the product fulfills the additional condition, you set the Condition OK
indicator. You only set this indicator for products that meet the assigned additional condition. The system
evaluates the indicator when determining the preference.

● You can also assign special requirements at product level.


○ Special requirements include the base rules of a preference agreement. For each product, you can
define whether the system is to apply the cross-agreement rules for minimal operations or for the set
of goods.
○ You can define the de minimis rule as a special requirement for determining preference authorization,
for the system to include it in preference determination. This is because the de minimis rule can only
be applied in certain cases, for example, when products are used as components. The system takes
the de minimis rule into account by default. If you do not want to take it into account when determining
preference authorization, you have to set the flag for the tolerance rule.

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○ In the special requirements, you can also define the exceptions for the length of heading change at
product level. This setting is required for the products for which you want to define a change of heading
that differs from your Customizing settings. If a preference rule refers to a longer heading change for a
tariff number, you can assign the different length for the heading change to the products with the
respective tariff number.

Prerequisites

You have activated Preference Processing and configured all the Customizing settings for Preference Processing
in SAP Global Trade Services and in the plug-in in the feeder system.

You have also configured the following settings for the function Assign Conditions to a Product:

● Master data:
○ The relevant products are classified.
○ You have loaded the preference rules for the relevant preference agreements into the system.
● Customizing:
○ If you do not load the preference rules from a data provider to the system, you have to define the
additional conditions and base rules in Customizing for Preference Processing. Choose Risk
Management Preference Processing Define Rule Set Attribute for Preference Processing (Manual)
○ Define Conditions
or
○ Define Procedure

For more information about replicating data from your feeder system and the settings in Customizing for SAP
GTS, see the Configuration Guide for Preference Processing at the SAP Service Marketplace under https://
support.sap.com/swdc Download Installation and Upgrades Entry by Application Group SAP
Application Components SAP Global Trade Services SAP GTS <Release> Installation and Upgrade .

Procedure

1. In the area menu for SAP GTS, choose Risk Management Preference Processing - Master Data
Agreement-Related Data Assign Conditions to a Product .
2. On the selection screen, enter the products to which you want to assign additional conditions or special
requirements.
3. You also enter values for the following parameters:
1. Group of Logical Systems
2. Product Number
3. Agreement Rule Set
4. Key Date (the date on which the product and tariff number assignment becomes/is to become valid)
4. Choose Execute. The system lists all the products that match your selection criteria.
5. Select a product from the overview list.
6. Decide whether you want to specify a base rule or a special length for the heading change in the special
requirements. You also decide whether you want to assign additional conditions to a product.

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A: Special Requirements

1. Choose Create.
2. For the validity period of the specifications, specify the preference model and the relevant organizational
units, such as plant or plant group.
3. Define a validity period for the special requirements.
4. If you want to assign the product the Set of Goods or Minimal Operations base rule, set the appropriate
indicator.
5. If you want to specify a special length for the heading change, enter the length of the heading change in the
relevant field.
6. Choose Enter. The system adopts your entries in the overview.
7. If you want to change or delete an entry, select the entry and choose Change or Delete. Continue as
described for the creation process.

 Note

You can create or delete special requirements for several products (or all of them) in a single step. To do so,
choose the desired products in the overview list and choose menu path Products Create Multiple
Requirements or Products Delete Existing Requirements . Note that in mass maintenance, you can
only create requirements for products that do not have any yet.

B: Additional Conditions

1. Choose Create.
2. For the validity period of the additional conditions, specify the preference model and the relevant
organizational units, such as plant or plant group.
3. Define a validity period for the additional conditions.
4. Use input help to select the additional condition to ensure that the system considers it during preference
determination.
5. If you want the system to evaluate the additional condition in preference determination as fulfilled, set the
Condition OK indicator. The condition is true for the product assigned with a tariff number.
6. If you do not set the indicator, the condition is false for the product. In preference determination, the
system interprets the additional condition as not fulfilled.
7. Save your entries.

 Note

You can delete conditions for several products (or all of them) at the same time. To do so, choose the
desired products in the overview list and choose menu path Products Delete Existing Conditions .

6.1.2.12 Analyzing the Relevance of Products for Requesting


Long-Term Vendor Declarations

Use

The Preference Processing area includes an analysis tool to help you optimize your processes for determining
preference eligibility. The goal of this analysis is to only request long-term declarations for your purchased

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products whose preference statements influence the preference eligibility of a product produced in-house or a
product of mixed origin. This lets you minimize the effort required for requesting and dunning long-term vendor
declarations. We recommend running the analysis before your annual request run.

Prerequisites

You have limited the validity of the request relevance up to the next analysis in the product. If you set the
validity as Permanent, the system excludes this product from the analysis. In this case, it only interprets the
flag in the product that you set manually to Relevant for Request or Not Relevant for Request to calculate the
request relevance.

Features

The analysis considers the occurrence and significance of the selected products in all BOMs for the active
preference agreements. In the process, it analyzes the preference-specific product data, such as procurement
indicator and saleability.

The system determines the request relevance according to the following criteria:

● Procurement indicators
The system only considers products produced in-house and products procured externally in the analysis.
● Validity flag for request relevance in the product
The system only includes products in the analysis whose statement for request relevance has the validity
Temporary until next analysis. This flag is the default value, but can be overwritten manually with
Permanent in the product.
● Saleability
The system only includes products in the analysis that are flagged as saleable in the product. You only need
a preference statement at the time of sale for saleable products, and can derive it from your vendor's
preference statement in long-term vendor declarations. The system therefore excludes products that are
contained only as components in BOMs.
● Use in BOM
The system only analyzes products that actually occur in a BOM for preference determination.
● BOM evaluation
The system evaluates the following criteria within a BOM:
○ Tariff number for leading part of BOM
The system only includes products in the analysis that you have already classified as the leading parts
of a BOM.
○ Tariff shift
Is a preference statement for a product possible through a tariff shift within the BOM? If a product
achieves preference eligibility through a tariff shift, it is not necessary to request a long-term vendor
declaration for that product, and the system flags it as not relevant for request.
○ Preference rule
If a product already achieves preference eligibility through conditions that are defined in the preference
rules, the system excludes that product from further analysis of request relevance.
○ Value limits

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You can define the following values in the selection screen for analyzing request relevance:
○ Minimum absolute value in the currency unit of the administrative unit
○ Minimum value in percent
The minimum value in percent corresponds to the unit price of the product, independently of how
often it is used in a BOM.
The system only analyzes the request relevance of products that exceed the specified absolute value
limit or whose component price exceeds the percentage share of the total value of the leading part in a
BOM.

If you want to request long-term vendor declarations, you can set the Consider Analysis flag so the system
considers the relevance flag for the products in the product. If you want to dun a long-term vendor declaration
for your vendor subsequently, the system uses this decision as to whether you want to consider the analysis
results or not.

Activities

● To start the relevance analysis for requesting long-term vendor declarations, go to the area menu and
choose Risk Management Preference Processing Validity Area Administrative Unit (enter an
administrative unit) Manage Vendor-Based Vendor Declarations Relevant Master Data Products
Analyze Request Relevance .
● Processing variants
You can only analyze the request relevance of a single product in dialog mode. If you want to analyze
several products, configure background processing in a batch job.
● Output of results
○ After an analysis in dialog mode, the system displays a result list that shows whether the product is
relevant for requests. You can see the analysis steps in the log.
○ If you start the analysis in batch processing, the results are placed in the spool for further analysis.
○ The system also saves the results for each product in the product, on the LTVD Request Relevance tab.

More Information

The relevance analysis is useful for the following functions. As a result, you can start the relevance analysis or
display the analysis results from within the following functions:

● Request Long-Term Vendor Declaration [page 290]


● Dun Long-Term Vendor Declaration [page 294]
● Display Worklist for Vendor Declaration [page 305]
● Maintaining Products [page 264]

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6.1.2.13 Assigning Individual Business Partners to
Administrative Units

Use

Preference Processing enables you to request and send reminders for long-term vendor declarations from your
vendors, as well as issue and revoke long-term vendor declarations for your customers. The system determines
all vendors from an administrative unit for requesting and sending reminders for vendor-based long-term
vendor-declarations and all customers for sending and revoking long-term vendor declarations for customer's
purposes. You can print the corresponding documents or send them electronically.

In business partner assignment, you only have to assign vendors or customers to an administrative unit and
define the appropriate criteria at the individual assignment level if one of the following conditions applies:

● Specific activation of business partners for long-term vendor declarations set

 Note

If you do not make an entry or if you choose the “Default” value according to customer specification,
this entry confirms that you do not want to request or send reminders for (or issue or revoke) LTVDs.

If you set the Specific Activation flag for vendor-based LTVDs or LTVDs for customer's purposes in
Customizing for Preference Processing under Configure the control settings for data scope of LTVDs, you
have to assign the business partners to the administrative unit. For manual assignment, choose Exception
to Customizing Specification. You can then select a specific set of business partners for which you request
or send reminders for long-term vendor declarations (for vendors) or issue or revoke LTVDs (for
customers). If you need to exclude individual vendors from the request process, but have to consider
preference statements for their deliveries in aggregation, choose Not Relevant for Requests, But Relevant
for Aggregation.

 Recommendation

If you want to exclude individual business partners from the exchange of declarations, we recommend
that you do not select the “Specific Activation“ checkbox in Customizing.

If you do not make an entry or if you choose the value Default According to Customer Specification, this
entry confirms that you do not want to request or send reminders for (or issue or revoke) LTVDs.
● Assign a specific communication channel to a vendor or customer
Even if you select all vendors and customers in Customizing, you can still define specific communication
channels for individual vendors and customers. If you want to use electronic communication for LTVDs for
certain customers, for example, you have to enter the ID that you have for your customer or vendor in the
system.
If you assign business partners based on the specific activation, you can also define the desired
communication channel for each business partner.
● Corporate Group
If you want to issue vendor declarations within a corporate group and have harmonized master data in the
systems within the group, you have to assign the involved business partners to the administrative unit and
set the Corporate Group flag.

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Prerequisites

● You have carried out the following activities in Customizing for Preference Processing:
○ Define Administrative Unit for Vendor Declarations
○ Define Administrative Unit Attributes
● You have also created your vendors and customers as business partners.

Procedure

1. In the area menu, choose Risk Management Preference Processing Validity Range Administrative
Unit (select an administrative unit) Manage Vendor-Based Vendor Declarations or Manage Vendor
Declarations for Customer's Purpose Relevant Master Data Assign Business Partner Assign Vendor or
Assign Customer .
2. Choose an Administrative Unit for which you want to assign the vendors or customers.
3. Enter the partner number of the desired vendor or customer to help restrict the search.
4. Choose Execute.
5. Use the input help to select the vendor or customer for which you want to configure specific settings and
therefore want to assign to the administrative unit.
6. Choose Add Line to add additional vendors or customers.
7. Define that you want to request or issue vendor declarations for each assigned vendor or customer and
choose the appropriate value for the indicator for the vendor declaration. You can choose from the
following values from the dropdown list.
○ Default According to Customizing Specification
○ ANot Relevant to Request, but Relevant to Aggregation
○ XException to Customizing Specification
8. Define the communication channel for each customer or vendor in the <Mode> column. You can choose
from the following options, using the input help:
1. Printed LTVD and Data Maintenance without Electronic Exchange
2. Electronic Data Exchange
3. Maintained by Vendor, Controlled by Employee
4. E-Mail Dispatch
9. If applicable, set the Corporate Group indicator.
10. Save your entries.

6.1.2.14 Assigning Business Partners to Administrative Units


by Country

Use

In Preference Processing, you can request and send reminders for long-term vendor declarations from your
vendors. However, requesting and sending reminders for long-term vendor declarations only makes sense for

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vendors who are located within your preference zone. Therefore, for the preference statement of a product, you
must take deliveries by all vendors into account in the aggregation of long-term vendor declarations. This also
includes vendors outside your preference zone.

Accordingly, the functions in Preference Processing enable you to select all vendors by country that are not
located in your preference zone. You can then make a blanked definition for these selected vendors that they
are relevant for the aggregation of long-term vendor declarations, but are excluded from the request and
reminder processes. This saves you from having to maintain recurring data multiple times.

The situation is similar for issuing long-term vendor declarations for your customers. For customers outside
your preference zone, you must issue preference documents as long-term vendor declarations for customer
purposes, for example, certificates of origin. To except customers outside your preference zone from issuing
and recalling long-term vendor declarations, you can use country-specific assignments.

Prerequisites

● You have carried out the following activities in Customizing for Preference Processing:
○ Define Administrative Unit for Vendor Declarations
○ Define Administrative Unit Attributes
● You have also created your vendors and customers as business partners.

For more information, see the Configuration Guide for Preference Processing at the SAP Service Marketplace,
under the following path:

http://help.sap.com/gts Configuration

Procedure

1. In the area menu, choose Risk Management Preference Processing Validity Range Administrative
Unit (select an administrative unit) Manage Vendor-Based Vendor Declarations or Vendor Declarations for
Customer's Purpose Relevant Master Data Assign Business Partner Assign Country-Specific Vendors
or Assign Country-Specific Customers
2. Enter the administrative unit for which you want to define the blanket assignment of vendors or customers.
If you have only defined one administrative unit for your company, the system selects it and adds it to the
selection screen automatically.
3. Enter the country key of the country whose settings you want to define for the vendors and customers
located there. You can use input help to select multiple countries and configure their settings
simultaneously.
4. Select the value from the dropdown list under Vendor Relevance for LTVD that you want to define for all
selected vendors or customers.
If you only want to configure these settings for individual vendors or customers, you can do so with
Administrative Unit - Vendor [page 281] Business Partner Assignment.
1. If you want to exclude vendors from the request process, but have to consider preference statements
for their deliveries in aggregation, choose value A: Not Relevant to Request, but Relevant to Aggregation
2. If you have defined in your Customizing settings that you require long-term vendor declarations from
all vendors and want to undo settings fer vendors of a particular country concerning relevance for

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requests and aggregation corresponding to the A: Not Relevant to Request, but Relevant to Aggregation
indicator, select the Default Corresponding to Customizing indicator.

 Example

You can cancel the settings for the vendors in a country, for example, if that country has been
added to your customs union. In this situation, you can obtain valid long-term vendor declarations
from the vendors in this country, which has a positive impact on your preference statement.

5. Decide if you want to simulate the entries first and whether you want the system to output a processing
log, and set the appropriate flags.
6. Choose Execute.
7. If you set the Display Processing Log flag, the system displays the updated entries in an overview.
8. If you do not set the Display Processing Log flag, a system message appears stating how many entries the
system has updated based on your selection criteria.

6.1.2.15 Displaying Country-Country Group Assignments

Use

You can display an overview list of the countries that you have assigned to country groups in Customizing. For a
country, you can display the country group to which it belongs. Or for a country group, you can display all
countries assigned to it. Country groups are relevant in all areas of the application, where they have the
following significance:

● Sanctioned party list screening, embargo check, and legal control


You can manage the settings for legal control at group level. If you assign Iran and North Korea to the same
group, for example, you can control these countries at the group level.
● Customs Management
You can enter master data at the country group level. When you enter customs duty rates manually, for
example, you can decide whether you want to enter them at the country level or the country group level.
● Preference Processing
You can use country groups to define preference zones. As a result, you can define and activate preference
agreements that are valid for a common legal jurisdiction simultaneously for all the countries in a
preference zone.
● Letter of Credit Processing
Letters of credit can be valid for country groups. Therefore, you group together all the countries in which
you want to use a letter of credit.
● Restitution
You need country groups in restitution to determine CAP licenses and the restitution rates.
You can use the country groups to bundle settings and master data. This lets you reduce maintenance
effort substantially.

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Activities

● To display the country assignment for the respective areas, go to the area menu of and choose:
○ Compliance Management Classification / Master Data Country Groups Display Country
Assignment to Country Group
○ Customs Management Master Data Geography Country Groups Display Country Assignment
to Country Group
○ Risk Management Preference Processing – Master Data Agreement-Related Data Display
Country Assignment to Country Group/Agreements
○ SAP Risk Management Letter of Credit Processing Master Data Country Groups Display
Country Assignment to Country Group
○ Risk Management Restitution — Master Data Country Groups Display Country Assignment to
Country Group
● Enter the country whose country groups you want to display, or use the input help to select a country.
● To display the country groups for several countries, enter a range.
● Choose Execute to display the country groups that appear in your selected countries.
● If you want to display all the countries that are used in a country group, you can enter a country group (or
use the input help to choose one) and choose Execute.
● The system lists all the countries that you have assigned to the country group.
● If you want to check country or country group assignments for a specific point in time, you can also specify
a validity period in the selection criteria.

6.1.2.16 Displaying Country Assignments to Country Groups


and Agreements

Use

You can display the assigned country groups and relevant preference agreements for a country. The system
also displays which checks are active. You can also see if the country is defined as a member of a country group
in the system and/or whether it is partner to an agreement. If the country is partner to an agreement, the Own
Group field is not selected, indicating a country group with which the entered country has a preference
agreement.

In addition, you see the setting status with regard to the relevant preference agreements in the Export
Preference and Import Preference fields.

Activities

● You can start the Display Country for Country Groups and Agreements function from the area menu in the
system for Global Trade Services (GTS). Risk Management Preference Processing – Master Data
Agreement-Related Data Display Country Assignment to Country Group/Agreements

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● In the next view, under Data Selection, you can define a Country of Departure and a Country Grouping.

6.1.2.17 Displaying Prices for Products

You can start the Display Prices for Products function from the area menu in the system for Global Trade
Services (GTS). Choose Risk Management Preference Processing Master Data Products Display Prices
for Products .

On the next screen, you see the three main areas Product Selection, General Data, and Additional Data, which
you can use to restrict the display.

Product Selection

● Logical System Group


Enter the group of logical systems here.
● Product
Enter a range of products you want to display.

General Data

● Product Created On
● Product Changed On
● Product Created By
● Product Changed By
● Product Status
● Price Type

Additional Data

● Design Group
● Attribute 2 (2A)
● Attribute 3 (5B)
● Attribute 4 (10C)
● Attribute 5 (20D)
● Attribute 6 (40E)

6.1.2.18 Searching Logs

You can start the Search Logs function from the area menu in the system for Global Trade Services. Choose
Risk Management Preference Processing – Master Data Search Logs .

The next screen contains two main areas: Transfer Logs and Upload Logs.

Transfer Logs

1. Display Transfer of Procurement Indicators


This function displays additional details for the selected organizational unit. Enter the log title and a time
constraint.

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2. Display Transfer of Product Prices
You can use this function to display additional details about the product price. Enter the log title and a time
constraint.
3. Display Transfer of Product Names for BPs
You can use this function to display further details for the transfer log for a partner's product descriptions.
Enter the log title and a time constraint.
4. Display Transfer of Bills of Material
You can use this function to display additional details for the transfer log for bills of material. Enter the log
title and a time constraint.

Upload Logs

1. Display Upload of Preference Rules


You can use this function to display the upload logs for preference rules. Enter an Agreement Rule Set
under Upload Criteria. In the General Data section, enter an Upload Date and a Data Provider.

2. You can expand and collapse the Search Logs area using the following icons: and .

6.1.3 Managing Vendor-Based Long-Term Vendor


Declarations

Use

Preferential origin of an externally procured product or product of mixed origin is based on long-term vendor
declarations that the vendor of a product can issue. Preference Processing supports you in obtaining and
managing vendor-based long-term vendor declarations. You can use the following functions:

● Build worklist for long-term vendor declarations [page 288]


● Determine aggregation-relevant procurement transactions [page 289]
● Request long-term vendor declarations [page 290]
○ Request long-term vendor declarations with document reference in feeder system from the worklist
○ Request long-term vendor declarations without document reference
● Send reminders for long-term vendor declaration [page 294]
● Enter long-term vendor declarations [page 295]
○ Enter long-term vendor declarations upon request
○ Enter long-term vendor declarations without requests
● Extend long-term vendor declarations [page 303]
● Aggregate long-term vendor declarations [page 304]

You can also use the following monitoring [page 305] functions to manage long-term vendor declarations:

● Display material-vendor relationship


● Display transfer logs for purchasing documents
● Display transfer logs for material documents
● Log for LTVD requests
● Log for aggregation of long-term vendor declarations
● Display long-term vendor declarations

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You can use the Archive Long-Term Vendor Declarations [page 319] function to archive vendor-based long-term
vendor declarations. When you archive these documents, they are still available for checks and controls, but do
not impose a database load.

Prerequisites

To enable the functions for managing vendor-based long-term vendor declarations, you have transferred the
material and vendor data from the feeder system to Preference Processing.

You have also performed the following steps in Customizing for Preference Processing:

● Define administrative unit


● Define administrative unit attributes
● Define rule set and define rule set attributes, or upload preference agreement data from a data provider to
the master data
● Configure the control settings for data scope of LTVDs
● Configure form control for vendor-based long-term vendor declarations

In addition, you have assigned your feeder system to a group of logical systems in the General Settings.

For more information, see the Configuration Guide for Preference Processing under

http://help.sap.com/gts Configuration

Process

1. You request long-term vendor declarations for the goods delivered by your vendors. This can involve both
goods delivered recently and goods whose long-term vendor declaration has expired.
2. If a vendor does not send you a long-term declaration despite your request, you can send reminders.
3. You enter the received long-term vendor declarations. In this process, you have to differentiate whether you
sent a request for a long-term vendor declaration to your vendor or whether the vendor sent you a long-
term vendor declaration without a previous request. You enter long-term vendor declarations by
administrative unit, product, or vendor.
4. You can also enter long-term vendor declarations for which you have not sent requests to your vendors.
5. If you have a product with an expired long-term vendor declaration, you can extend the validity of the
existing long-term vendor declarations.
6. You aggregate the statements from multiple long-term vendor declarations to arrive at a product
statement. In this process, the system considers the statements from entered long-term vendor
declarations and goods receipts from vendors who are not relevant for requests, but are relevant for
aggregation.
7. To monitor the worklist for vendor-based LTVDs, you can display the transfer logs for purchasing
documents and material documents for each administrative unit.
8. You can display the material-vendor relationships in the worklist for long-term vendor declarations.
9. If you have saved the logs for requests or aggregation of long-term vendor declarations, you can display
them.

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6.1.3.1 Building the Worklist for Long-Term Vendor
Declarations

Use

To request or send reminders for vendor-based long-term vendor declarations, preference processing in the
Global Trade Services (GTS) system uses entries in a worklist, which the system generates when a purchase
order or goods receipt is posted in the feeder system.

Background

If you already manage stocks for a product in the feeder system and have entered valid long-term vendor
declarations for these stocks in Preference Processing, this results in a positive preference statement for the
product in question. When you post a goods receipt for a purchase order that results in a stock increase for that
product, an expired long-term vendor declaration exists for the new goods receipt for the current stock or, if
you have changed vendors, no longer-term vendor declaration exists for that product in the system.

Since the system aggregates preference statements for a product according to the worst case principle, and no
valid long-term vendor declaration is available for preference calculation for the new goods receipt, the
preference statement is negative for the entire stock of product. Therefore, you have to request a long-term
vendor declaration to regain a positive preference statement for the product stock.

To ensure that the system does not have to make negative preference statements, the system saves an entry in
the worklist for long-term vendor declarations whenever a purchase order is saved. This means you can already
request a long-term vendor declaration, enter it in the system, and aggregate it in Preference Processing. By
the time you post the goods receipt in the feeder system, a positive preference statement for the entire stock
already exists.

Prerequisites

● Feeder system
In addition to the usual settings for Preference Processing, you have defined the goods movements for
which you want the system to generate entries in the worklist for long-term vendor declarations in
Customizing of the plug-in for GTS. You can set the LTVD WL flag for each document type that is relevant
for the worklist. You set this indicator in Customizing for the feeder system under the following path:
Materials Management Purchasing Foreign Trade/Customs SAP Global Trade Services - Plug-In
Control Data for Transfer to SAP Global Trade Services Configure Control Settings for Document
Transfer .
A filter in the user exits in the feeder system lets you control which types of document data from purchase
orders and goods receipts in the feeder system generate entries in the worklist for long-term vendor
declarations. To do so, follow this Customizing path in the feeder system: Materials Management
Purchasing Foreign Trade/Customs SAP Global Trade Services - Plug-In User Exits for SAP Global
Trade Services - Preference Processing (Enhancement Project SLLLEG03) .
● SAP GTS system
If you want to define special attributes for requesting and sending reminders for long-term vendor
declarations for business partners, you first have to activate filtering for business partners in Customizing
of the GTS system. To do so, open the Customizing structure for Global Trade Services and choose path

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Risk Management Preference Processing Vendor Declarations Control Settings for Long-Term
Vendor Declarations and Administrative Unit . In the master data for vendor assignment in Preference
Processing, select the business partners from which you want to request long-term vendor declarations
(see Assigning Vendors to Administrative Units [page 280] .

For more information about the settings in the feeder system and the GTS system, see the Configuration Guide
for Preference Processing at the SAP Service Marketplace, under the following path:

http://help.sap.com/gts Configuration

Process

1. Create and save a purchase order in the feeder system.


2. The system checks the following:
1. Is the transfer of PO data activated for Preference Processing?
2. Are the country of departure and country of destination of the products relevant for transferring the
PO data to Preference Processing, based on the address data of vendor and administrative unit?
3. Are business partners defined to which you want to send a request for long-term vendor declarations
(if you configured specific activation of the business partners)?
4. Does an entry for the document data already exist in the worklist?
3. If necessary, the system creates an entry in the worklist for long-term vendor declarations in accordance
with the check results.
4. If you want to delete document items in a purchase order in the feeder system, you can select the
respective checkbox in the feeder system. When the documents are transferred to SAP GTS for the LTVD
worklist, this information is taken into account and the respective worklist is deleted.
5. If you use a background job to manually request or dun long-term vendor declarations, the system selects
the entries in the worklist (see Request Long-Term Vendor Declaration [page 290] and Dun Long-Term
Vendor Declaration [page 294]).
6. The system outputs the requests and reminders in accordance with your Customizing settings.
7. You can see the worklist for long-term vendor declarations in the monitoring functions for LTVDs (see
Monitoring Vendor-Based Long-Term Vendor Declarations [page 305]).

6.1.3.2 Creating the Data Basis for Goods Receipts from


Aggregation-Relevant Vendors

Use

To calculate the preference eligibility of a product, you have to include the statements from vendor-based long-
term vendor declarations for all externally produced components of a finished product. If you purchase a
product from several different suppliers and not all of them are located in your preference zone, then these
vendors cannot provide you with valid long-term vendor declarations. Although the deliveries from the vendors
outside of your preference zone are not relevant for requesting long-term vendor declarations, you still have to
include the deliveries from these vendors in the aggregation of LTVDs.

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In Preference Processing, you can determine all the deliveries that are only relevant for aggregating the
preference statement in long-term vendor declarations. At the same time, you can record a negative-like
statement for a long-term declaration for the determined deliveries. The recording of a negative statement
causes the system to detect that this vendor-material relationship should not be included in the request or
reminder processes for long-term vendor declarations.

Prerequisites

In the activity Assigning Individual Business Partners to Administrative Units [page 280], you have flagged the
vendor as Not Relevant for Requests, But Relevant for Aggregation.

Activities

● You can create the negative long-term vendor declarations for the vendors that lie outside of your
preference zone.
In the area menu, choose Risk Management Preference Processing Validity Range Manage Vendor-
Based Vendor Declarations Processing Request Include Aggregation-Relevant Goods Receipts .
● You can determine the partners whose deliveries are only relevant for aggregation for each Administrative
Unit. If you only have one administrative unit at your company, the system selects it automatically.
● If you only want to enter these negative statements in long-term vendor declarations for certain vendors
outside of your preference zone, you can enter this in your selection conditions.
● You have to define the validity period for automatically entering vendor declarations with negative
statements. You can also specify a preference agreement from your preference zone.
● You can set the Simulation Run checkbox to display an overview of vendors for which the system would
record a negative statement for a long-term vendor declaration, in accordance with your selection criteria.
● When you choose Execute, the system determines the vendors to which you assigned the Not Relevant for
Requests, But Relevant for Aggregation indicator in Assigning Business Partners General Administration.
● The system creates statements for negative long-term vendor declarations for these products, which are
taken into account during the aggregation of long-term vendor declarations [page 304].
● If you set the Processing Log flag, the system outputs a processing log for control purposes. This log shows
the vendors, products, and preference agreements for which the system has recorded a negative
statement for a long-term vendor declaration.

6.1.3.3 Requesting Long-Term Vendor Declarations

Use

With Preference Processing, you can request long-term vendor declarations from your vendors, for each
administrative unit and for a specified period of time. The system analyzes the entries from the worklist for

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vendor-based long-term vendor declarations, which was built based on the feeder system data. You can
request vendor declarations in Preference Processing in Global Trade Services (GTS) as described below:

● Request long-term vendor declarations with reference to logistics documents


● Request long-term vendor declarations without document reference
You can request long-term vendor declarations for products that do not have entries in the worklist.
● Request long-term vendor declarations in the annual run
In the annual run, you can request long-term vendor declarations in the current year exclusively for the
coming year. The system includes the long-term vendor declarations for the current year and the entries in
the worklist for the annual run. During this run, the system only requests long-term vendor declarations for
products from vendors who have not submitted LTVDs for the following year.
Taking the Positive Preference Indicator into Account

 Note

If you use the <Take Positive Preference Indicator into Account> enhanced selection
option, the annual request run only takes into account the products of the current long-term vendor
declaration for which at least one positive preference statement was defined.. See: Taking Documents
in the Annual Request Run into Account Taking Documents in the Annual Request Run into Account
[page 293]

You can configure your system to print the requests for long-term vendor declarations automatically, according
to your selection criteria. You can restrict printouts to requests with the vendor's business partner number, or
by product number.

You can also define the parameters for document output. If the vendor has special names for the products and
you enter these names in your feeder system, the system uses this name in the request. This makes it easier
for your vendors to issue long-term vendor declarations. In addition to the contact person and contact person’s
language, you can also choose the sort sequence. You have the following options: If you want to request long-
term vendor declarations in the document-related annual request run, these settings must be configured in
Customizing.

● Sort products by external number from the feeder system


● Sort products by the partner’s number

Using the printer control function, you can have the system copy the user master data or you can specify the
details each time. You can choose whether you want the system to carry out the print job immediately or which
printer is to be used to print the long-term vendor declaration. You can also decide whether you want to create
a list and a log.

Preference processing supports aggregation. If you want to add an aggregation endorsement when issuing
long-term vendor declarations, you have to set the aggregation endorsement for all the product components,
which is included in the preference statement for the finished product. As a result, the system automatically
prints the question for the aggregation endorsement in the request. If your vendor includes an aggregation
endorsement in the long-term vendor declaration, you can enter a statement for the aggregation. Other
prerequisites for printing the aggregation endorsement: the preference agreement must be flagged as relevant
for aggregation in Customizing, and the country of origin must be clearly determined. Aggregation
endorsements are not possible if the country of origin is within the EU.

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Prerequisites

You have defined the numbering scheme for classification in Customizing and uploaded the customs tariff
numbers as master data.

For more information, see the Configuration Guide for Preference Processing at the SAP Service Marketplace
under: http://help.sap.com/gts .

 Note

If you want to sort the products by partner number, you can execute program /SAPSLL/
API_6850_PRPROCID_PUT for the vendor’s external product numbers, for instance, in the plug-in of the
feeder system.

Procedure

Requesting Long-Term Vendor Declarations With or Without Document Reference

1. In the area menu, choose Risk Management Preference Processing Validity Range Administrative
Unit (select an administrative unit) Manage Vendor-Based Vendor Declarations Maintain Request
Dun Vendor Declaration .
2. Enter the Administrative Unit for which you want to request the long-term vendor declarations.
3. Enter the Validity Period for the long-term vendor declaration you are requesting.
4. Choose default data to restrict the request for long-term vendor declarations. You can choose the following
selection criteria individually or you can combine them:
1. External Business Partner number
2. External Product Number
5. Enter the numbering scheme if appropriate.
6. In the Output List section, choose whether you want the system to propose the user master data. If you
choose Do Not Propose User Master Data, the system automatically extends the entry screen. You can then
configure different printer control settings from those in the user master data.

 Example

If you want to use a printer other than the standard printer to print out requests, choose Propose User
Master Data in the print controls. On the extended entry screen, in the Output Device field, you can
choose the printer you want to use to print the requests for long-term vendor declarations.

7. The Program Control settings let you influence requests of long-term vendor declarations:
1. Simulation Run
2. Output List
8. Choose Execute.
9. If you set the Output List indicator, you can select the lines in the vendor-material-relationships.
10. You can perform the following functions for the lines that you select:
1. To display the details for the material and vendor, choose Details.
2. To view the data selection log, choose Log.

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3. To print the request, choose Request/Dun LTVD.
11. The system prints all the long-term vendor declaration requests that match your selection criteria.

Requesting Long-Term Vendor Declarations in Annual Run

1. In the area menu, choose Risk Management Preference Processing Validity Range Administrative
Unit (select an administrative unit) Manage Vendor-Based Vendor Declarations Maintain Request
Request Vendor Declaration in Annual Run .
2. Follow the descriptions for requesting vendor declarations under Requesting Long-Term Vendor
Declarations With or Without Document Reference.

6.1.3.4 Taking Documents in the Annual Request Run into


Account

Use

By using document-related annual request runs, you can only request long-term vendor declarations (LLVDs)
in the current year for the following year if there is a relevant business transaction. No LTVD is created for all
long-term vendor declarations to which no business transaction can be assigned.

In the case of a document-related annual request run, a business transaction describes the products ordered
or delivered by a vendor.

Prerequisites

Make the following settings in Customizing:

1. Choose Global Trade Services Risk Management Preference Processing Vendor Declarations
Control Settings for Long-Term Vendor Declarations and Administrative Unit
2. Choose the relevant administrative unit.
3. Select the <Take Docs into Acct Throughout Year> checkbox.
4. Save your entries.

 Note

In the background, the SAP GTS System then collects and saves all business transactions for which
purchase orders and/or goods receipts are transferred to preference processing.

You can transfer the documents either automatically or initially. If you want to transfer documents already
transferred to the SAP GTS System again to the collection of business transactions for the document-
related annual request run, we recommend that you only transfer purchase orders and no goods receipts to
SAP GTS in the initial transfer. This may be necessary, for example, if the “Take Docs into Acct Throughout

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Year” checkbox is activated in Customizing, resulting in no business transactions for the document-related
annual request run.

 Note

You can delete the collected business transactions. To do this, in the area menu, choose System
Administration System Monitoring Background Processing Preference . See transaction: Delete
Vendor-Material Combinations[/SAPSLL/PRE_VDI_106]

Activities

Document-Related Annual Request Run In the Area Menu

1. In the area menu, choose Risk Management Preference Processing Manage Vendor-Side Vendor
Declarations Processing Request Vendor Declaration in Annual Request Run

 Note

If the <Take Docs into Acct During Year> checkbox is selected in Customizing, the Document-
Related Annual Request Run group box is displayed.

2. In the <Document-Related Annual Request Run> group box, enter the date from which the business
transactions (vendor-material combinations) are to be taken into account.

Result

You receive a list of possible vendor declarations that you can request for the following year.

6.1.3.5 Sending Reminders for Long-Term Vendor


Declarations

Use

If you do not receive the data requested from a vendor within a reasonable period, you can send reminders for
long-term vendor declarations in several levels.

For information on how to select the vendors, as well as form and print control, see Requesting Long-Term
Vendor Declarations [page 290].

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Prerequisites

You have defined the numbering scheme for the customs tariff system in Customizing and uploaded the
customs tariff numbers as master data.

For more information, see the Configuration Guide at the SAP Service Marketplace, under the following path:

http://help.sap.com/gts Configuration

Procedure

1. In the area menu, choose Risk Management Preference Processing Manage Vendor-Based Vendor
Declarations Maintain Request Dun Vendor Declaration .
2. Proceed as described under Requesting Vendor Declarations [page 290]. The system prints the reminders
on the output device you define.

6.1.3.6 Maintaining Long-Term Vendor Declarations

Use

Vendor-based long-term vendor declarations (LTVDs) that are received by your enterprise have to be entered
in Risk Management – Preference Processing. You can enter the statements for vendor-based LTVDs to apply
to multiple products from a particular vendor for an administrative unit. You can enter default values on the
selection screen – for the validity period and preference statement, for example – which the system uses
automatically for all the products selected.

When you are entering long-term vendor declarations, you define their status as well as their validity period for
a product from a particular vendor.

You can enter the preference statement of the long-term vendor declarations for those products for which you
have sent requests to your vendors. The system records the request data and offers it for maintenance.

You can also enter long-term vendor declarations for products even if you have not sent requests for them. This
is necessary, for example, when your vendors send you long-term vendor declarations that contain preference
statements for other products than those in the request.

Prerequisites

● You have received LTVDs from your vendors.


● The product numbers and partner numbers have been entered in Risk Management – Preference
Processing.

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Procedure

Maintain Long-Term Vendor Declarations with Request


On the basis of selection criteria, you can maintain your LTVDs with request to enter the preferential origin
status of delivered goods.

1. 1. Under Organizational Unit, select an Administrative Unit.


2. 2. To restrict the selection, under Reference to LTVD, select a long-term vendor declaration and a year.
3. 1. To restrict the selection further, select the following selection criteria under Advanced Selection:
○ Validity Period
Select the validity period to restrict the selection by time.
○ Processing Status

○  Note

Select the processing status to define the current status pf processing of a vendor declaration. You
can maintain LTVDs only if they have one of the following processing statuses in the system:
○ Requested
Select the Requested processing status to enter the preferential origin status of delivered
goods.
○ Maintained Temporarily
Select the Maintained Temporarily processing status to activate the LTVDs entered by a vendor
using the Web interface, for example.
○ Maintained
Select the Maintained processing status to change the data of an existing LTVD for a product.
○ Archived
Select the Archived processing status to maintain archived LTVDs.

4. External Partner Number


Select an external partner number to identify the business partner whose LTVD you want to enter in the
system.
5. Product Number
Select the external partner number to restrict the search results further.
6. Under Program Flow, select the layout you want, to adjust it individually:
○ Tree Layout
○ List Layout
If you set the Adjust Validity Intervals indicator, the system adjusts overlapping validity intervals by setting
the validity end date of the earlier interval to the validity start date of the next interval.
7. Choose Execute.
The system displays the data in accordance with your selection.
There is a tree structure in the left-hand screen area, and a table view on the right.

Within the tree structure, you have the following options:


The system lists all LTVDs with their agreements, products, and associated status. You can switch between the
following views in the tree structure

● Long-Term Vendor Declaration


● Agreement
● Product

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● Status

Additionally, you have the following options:

● Create an LTVD
● Adjust the validity of an LTVD, for example, by changing its validity period or revoking a preference
statement.
● Add products to an LTVD
● Remove products from an LTVD
● Add, display, or remove documents for an LTVD
● Process notes for an LTVD

Within the table view, you have the following options:

The system lists all entries that you selected in the tree structure. The entries are always displayed on product,
agreement, and period level.

● Preferential Country of Origin


Enter the preferential country of origin to document the country in which the product was fully extracted or
fabricated, or was sufficiently processed or refined.
● Preference:Cumulation Endorsement
Specify the cumulation endorsement that you receive from your vendor in such a declaration.
● Customs Preference Statement
Specify the preference statements that you receive from your vendor in such a declaration. The preference
statement is based on the official requirements of the respective preference agreement.
● Mass Maintenance
Here, for all marked entries (Mass Maintenance), you have the option to enter values for the preference
statement , the preferential country of origin, and the cumulation endorsement. Select the [Set If Initial /
Overwrite] radio buttons
to set or overwrite the previously-selected values for the preference statement, the preferential country of
origin, and the cumulation endorsement for all products not yet maintained or for all selected products.

8. To post the LTVDs in the system, you can save the data, or save and aggregate it.

If you want to trigger aggregation of the LTVDs from this transaction, the Aggregate LTVD window appears.

● Key Date
Enter the aggregation date.
● Simulation
Select the Simulation checkbox to simulate the aggregation.

Select Apply to aggregate the LTVDs and post the data in the system.

Maintain Long-Term Vendor Declaration Without Request

1. Choose the Administrative Unit and the Validity Period.


2. Enter the vendor’s partner number under Partner Data.
3. Select the LTVD status Maintained.
4. Enter the products for which you want to enter the long-term vendor declarations.
The product selection data and LTVD status are mandatory.
5. Define the default data (if necessary) and the parameters for the program flow.
6. Choose Execute and then Add Line or menu path Vendor DeclarationAdd Products.

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7. A dialog box appears with a list of products that meet the following conditions:
○ The products meet your selection criteria for partner and product selection
○ You have not requested a long-term vendor declaration for this partner/product relationship
○ The products are procured externally or of mixed origin
8. Select the products for which you want to enter long-term vendor declarations and choose Adopt.
9. The system adopts the product information and any default values you defined in the selection screen.
10. You can change the Country of Origin and the indicator for the Vendor Declaration.
11. If you want to remove items from the list, select the relevant lines and choose Remove Line. Note that you
can only remove lines that you added manually beforehand.
12. Save your entries.
13. If you want to aggregate your new long-term vendor declarations, choose Save and Aggregate LTVDs.

6.1.3.6.1 Maintain Long-Term Vendor Declarations with


Request

Context

On the basis of selection criteria, you can maintain your LTVDs with request to enter the preferential origin
status of delivered goods.

Procedure

1. Under Organizational Unit, select an Administrative Unit.


2. To restrict the selection, under Reference to LTVD, select a long-term vendor declaration and a year.
3. To restrict the selection further, select the following selection criteria under Advanced Selection:
○ Validity Period
Select the validity period to restrict the selection by time.
○ Processing Status

 Note

Select the processing status to define the current status pf processing of a vendor declaration. You can
maintain LTVDs only if they have one of the following processing statuses in the system:

○ Requested
Select the Requested processing status to enter the preferential origin status of delivered goods.
○ Maintained Temporarily
Select the Maintained Temporarily processing status to activate the LTVDs entered by a vendor using
the Web interface, for example.

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○ Maintained
Select the Maintained processing status to change the data of an existing LTVD for a product.
○ Archived
Select the Archived processing status to maintain archived LTVDs.
4. External Partner Number

Select an external partner number to identify the business partner whose LTVD you want to enter in the
system.
5. Product Number

Select the external partner number to restrict the search results further.
6. Under Program Flow, select the layout you want, to adjust it individually:

○ Tree Layout
○ List Layout
7. Choose Execute.

The system displays the data in accordance with your selection.

There is a tree structure in the left-hand screen area, and a table view on the right.

Within the tree structure, you have the following options:

The system lists all LTVDs with their agreements, products, and associated status. You can switch between
the following views in the tree structure
○ Long-Term Vendor Declaration
○ Agreement
○ Product
○ Status

Additionally, you have the following options:

○ Create LTVD
○ Adjust the validity of an LTVD, for example, by changing its validity period or revoking a preference
statement.
○ Add products to an LTVD
○ Remove products from an LTVD
○ Add, display, or remove documents for an LTVD
○ Process notes for an LTVD

Within the table view, you have the following options:

The system lists all entries that you selected in the tree structure.
○ Preferential Country of Origin
Enter the preferential country of origin to document the country in which the product was fully
extracted or fabricated, or was sufficiently processed or refined.
○ Preference:Cumulation Endorsement
Specify the cumulation endorsement that you receive from your vendor in such a declaration.
○ Customs Preference Statement
Specify the preference statements that you receive from your vendor in such a declaration. The
preference statement is based on the official requirements of the respective preference agreement.
○ Mass Maintenance

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Here, for all marked entries (Mass Maintenance), you have the option to enter values for the preference
statement , the preferential country of origin, and the cumulation endorsement. To set or overwrite the
previously-selected values for the preference statement, the preferential country of origin, and the
cumulation endorsement for all products not yet maintained or for all selected products, select the
[Set if Initial/Overwrite] radio buttons
8. To post the LTVDs in the system, you can save the data, or save and aggregate it.

○ Key Date
Enter the aggregation date.
○ Simulation
Select the Simulation checkbox to simulate the aggregation.
9. Select Apply to aggregate the LTVDs and post the data in the system.

6.1.3.6.2 Maintaining Long-Term Vendor Declaration


Without Request

Context

Procedure

1. Choose the Administrative Unit and the Validity Period.


2. Under Partner Data, enter the vendor’s partner number.
3. Select the LTVD status Maintained.
4. Enter the products for which you want to enter the long-term vendor declarations.

The product selection data and LTVD status are mandatory.


5. Define the default data (if necessary) and the parameters for the program flow.
6. Choose Execute and then Add Line or menu path Vendor Declaration -> Add Products.
7. A dialog box appears with a list of products that meet the following conditions:
○ The products meet your selection criteria for partner and product selection
○ You have not requested a long-term vendor declaration for this partner/product relationship
○ The products are procured externally or of mixed origin
8. Select the products for which you want to enter long-term vendor declarations and choose Adopt.
9. The system adopts the product information and any default values you defined in the selection screen.
10. You can change the Country of Origin and the indicator for the Vendor Declaration.
11. If you want to remove items from the list, select the relevant lines and choose Remove Line. Note that you
can only remove lines that you added manually beforehand.

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12. Save your entries.
13. If you want to aggregate your new long-term vendor declarations, choose Save and Aggregate LTVDs.

6.1.3.7 Accept and Transfer Long-Term Vendor Declarations

Use

You can use this function to accept and transfer long-term vendor declarations from a vendor who entered the
vendor declarations completely in the Web UI to Preference Processing (see Entering Vendor-Based LTVDs in
the Web UI [page 302]).

Process

Choose Risk Management Preference Processing Validity Range Administrative Unit (select an
administrative unit) Manage Vendor-Based Vendor Declarations Processing Edit Accept and Transfer
Vendor Declaration .

In the following screen, you see the Selection Data area and its three main sections Organizational Units, Vendor
Declaration, and Partner Data.

Selection Data

● Organizational Units
Enter an administrative unit here.
● Vendor Declaration
Enter the validity period and the number and year of the LTVD.
● Partner Data
Enter the partner number (vendor).

Program Flow

● Select the mode for the exchange LTVD. Available options:


○ Maintained by Vendor, Transferred by Employee
○ Electronic Data Exchange XI
○ Printed Vendor Declaration, Maintained by Employee

You can also choose whether you want to output the results in a list.

The transfer of long-term vendor declarations to Preference Processing is carried out in the following steps:

1. First, Preference Processing prepares the data needed to transfer a long-term vendor declaration (see
Requesting Long-Term Vendor Declarations [page 290]).
2. This raw data is transferred to the vendor, where it is finalized.
3. The complete data that is needed for a long-term vendor declaration is transferred by Preference
Processing and used for the appropriate vendor.

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6.1.3.7.1 Entering Vendor-Based LTVDs in the Web UI

If you want to enter a vendor-based long-term vendor declaration (vendor LTVD) in a Web UI, carry out the
following steps:

1. You are a vendor who receives an e-mail with a link from your customer. Click this link.
2. A browser window opens with an overview of the vendor LTVDs that you can enter. If you only want to
process one LTVD, you can skip to step 5.
Expired LTVDs can only be displayed.
3. Select a vendor LTVD and choose Enter Values or Display to enter the LTVD.
4. Another browser window opens and takes you to the respective processing step.
5. During initial maintenance of an LTVD, you have to grant your approval for an agreement regarding the
vendor-based entry of the vendor LTVD.
6. Press the Start button to begin entering the data.
7. The first step for LTVD entry appears. You can enter the vendor LTVDs here. The following options are
available:
○ Enter Values
Enter the agreement-specific preference indicator, the country of origin, and the validity. These three
values are sufficient to complete the entry of an item. If the values are complete and correct, the value
in the Status field changes to OK .
○ Initialize Entered Values
You can undo the entries you have entered.
○ Copy Last Values
This function lets you copy the last values you entered in the system. Note that you can only copy the
preference statements and preferential country of origin. Values that were already entered are not
overwritten.
○ Defer Item
This function lets you defer items whose preference attributes are unclear.
○ Release Item
This function lets you release a deferred item. The system determines the respective status (Checked;
OK, Not OK).

 Caution

Once you have entered all the items, you can proceed with the next step.

8. In Step 2, Check and Send, you can only maintain individual items
9. To finish the second step, choose Send Entered LTVD.

 Caution

Note that changes are no longer possible after you send the LTVD.

10. In the third step, you can display a list of the entered LTVDs. You can now print the entered LTVDs or
display their related agreements.

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6.1.3.8 Extending Long-Term Vendor Declarations

Prerequisites

You have entered long-term vendor declarations for a vendor-material relationship in your system.

The product number and partner number have been defined in Preference Processing.

Context

If you have unprocessed products from vendors in your stores and the validity of the corresponding long-term
vendor declaration has expired, the vendor-material relationship is considered to be inactive. Preference
Processing lets you reactivate these inactive relationships by extending existing long-term vendor declarations.
You can extend LTVDs for an administrative unit, a vendor, or a product, depending on the selection criteria you
enter.

 Note

You can only extend a long-term vendor declaration under the following conditions:

- The long-term vendor declarations have status 70 Maintained or Extended in the system

- No further goods receipts of the product have taken place since the expired long-term vendor declaration
was issued

- The affected products are not in the worklist

You can extend the long-term vendor declarations in the application or in background processing (as a batch
job). In both cases, you can post the extensions directly in the system or start a simulation. If you extend the
long-term vendor declarations in background processing, the system writes an application log.

Procedure

1. In the area menu, choose Risk Management Preference Processing Validity Range Administrative
Unit (select an administrative unit) Manage Vendor-Based Vendor Declarations Processing Edit
Extend Vendor Declaration
2. Select the administrative unit.
3. Enter a Partner Number for the vendor whose LTVD you want to extend in the system.
4. Enter a number for the product for which you want to extend the long-term vendor declaration.
5. Enter the new validity end date of the long-term vendor declaration to extend.
6. Select the Simulation Run checkbox to simulate the extension of the long-term vendor declaration.

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7. Select the Only Extend Positive LTVDs to consider only those products that have a preferential originating
status.

 Note

If this indicator is set, the GTS system extends only those long-term vendor declarations that have a
positive preference statement for at least one agreement.

This process does not consider LTVDs that only have negative agreements.

If this indicator is not set, this process also extends exclusively negative LTVDs.

8. Choose Execute.
9. The system lists the long-term vendor declarations that meet your selection criteria for extension.
10. Save the data to post the extension of the existing LTVDs in the system.

Results

The long-term vendor declarations have status Extended. You can also aggregate the long-term vendor
declarations to determine a preference statement.

6.1.3.9 Aggregating Long-Term Vendor Declarations

Use

If you purchase products from several vendor for your production, you can have several long-term vendor
declarations with different preference statements for the same material. These materials can be both of mixed
origin and from external procurement.

The aggregation process in Risk Management Preference Processing summarizes the various statements for a
product according to the worst-case principle. This means if a product does not have 100% coverage with valid
vendor declarations, the system considers that product to be not eligible for preferential treatment.

Aggregation is carried out based on the following parameters:

● Administrative unit
● Product
● Preference agreement
● Preference model

The system stores the result of aggregation. When you repeat the aggregation of long-term vendor declarations
with identical parameters, the system updates the result. If you start aggregation in simulation mode, the
system does not update any data.

The aggregation result displays the external business partner number. If you want to display additional address
information for your vendors, choose the Select Address Data indicator. The system determines all the
addresses of your vendors and displays them in the overview.

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 Recommendation

For performance reasons, we only recommend selecting additional address data if absolutely necessary.

Prerequisites

You have received long-term vendor declarations from your vendors and entered them in Risk Management -
Preference Processing.

Procedure

1. In the SAP GTS area menu, choose Risk Management Preference Processing EU or NAFTA
Manage Vendor-Based Vendor Declarations Processing Aggregate Vendor Declaration .
2. Choose the Preference Model for aggregation from the dropdown list.
3. Enter the Date of Aggregation.
4. Use input help to select the group of logical systems to which you have assigned your feeder system.
5. Enter a product number or a range of product numbers for the aggregation. If you do not enter any product
information, the system aggregates all products for which long-term vendor declarations exist.
6. If appropriate, set the following indicators:
1. Simulation Mode
2. Output List
If you want to display detailed address data in the overview of results, set this indicator.
3. Save Log
If you want to save a log, you can also enter a name for the log.
7. Choose Execute. The system lists the aggregation results.
8. If you started aggregation in an update run, you have to save the data.

6.1.3.10 Monitoring for Vendor-Based Long-Term Vendor


Declarations

Use

You can monitor vendor-based long-term vendor declarations in Risk Management Preference Processing. The
following help functions are available:

● Worklist for Vendor Declaration


For each administrative unit, you can display an overview of the worklist for a given vendor or product. The
system uses purchase order data and goods receipt data to create worklists. When you start the process
for requesting or sending reminders for LTVDs manually or as a batch job in background processing, the
system takes account of the entries in the worklist.

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● Search Request Log
● Search Aggregation Log
● Display transfer log for purchasing documents to the worklist for vendor-based LTVDs
To monitor the worklist for vendor-based LTVDs, you can display the transfer logs for material documents
for each administrative unit. If there were complications during the transfer, you can use the transfer log to
pinpoint the source of the error.
● Display transfer log for material documents to the worklist for vendor-based LTVDs
To monitor the worklist for vendor-based LTVDs, you can display the transfer logs for purchasing
documents for each administrative unit. If there were complications during the transfer, you can use the
transfer log to pinpoint the source of the error.
● Display Vendor Declaration
This overview enables you to track which vendor declarations you have requested or sent reminders for a
particular administrative unit for a particular period. This list also contains all existing statements from the
long-term vendor declarations. This detailed list and the graphical representation of the preference
statements let you assess the preference situation for a product instantly. The entry contains the status of
the LTVD. Possible statuses are:
○ Requested
You have already requested an LTVD for the product-vendor relationship in question. The system does
not yet contain a preference statement for the product.
○ Created
You have already entered in the system an LTVD with preference statement for the product-vendor
relationship in question.
○ Extended
An LTVD with a preference statement for the relevant product-vendor relationship exists in the system,
but its validity has already expired and a goods receipt from this vendor has not been posted since the
LTVD was issued. For this reason, you have extended the validity of the expired LTVD [page 303].

Prerequisites

You have activated the change documents for long-term vendor declarations in the Implementation Guide
(IMG) of SAP Global Trade Services, to monitor vendor-based long-term vendor declarations. To carry out this
activity, choose SAP Global Trade Services General Settings Control Settings for the Generation of
Change Documents .

For more information, see the Configuration Guide for Risk Management - Preference Processing at SAP
Service Marketplace under service.sap.com/swdc Download Installations and Upgrades Entry by
Application Group SAP Application Components SAP Global Trade Services (GTS) SAP GTS <Release>
Installation and Upgrade .

Activities

In the SAP GTS area menu, choose Risk Management Preference Processing EU or NAFTA Manage
Vendor-Based Vendor Declarations Monitoring .

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Monitoring the Worklist for Long-Term Vendor Declarations

● Choose Display Worklist for Vendor Declarations.


● Use input help to choose the Administrative Unit.
● Limit your search results by entering the Partner Number of the vendor or the Product Number.
● Choose Execute. The system displays an overview of the vendor-material relationships for your selection
criteria.

Searching Logs for LTVD Requests

● Choose Search Request Log.


● If appropriate, enter the title of the log to make your search easier.
● Limit your search results by entering dates and times.
● Choose Execute.
● The system displays an overview of all the logs for LTVD requests.
● In the Overview, you can navigate through the logs. The system displays the relevant messages at each
level.
● To display the messages in a flat hierarchy, you can double-click a transfer log.
● A detailed overview of the declarations is displayed. You can use the status icons to display and hide the
respective declaration types.

Searching logs for LTVD aggregation

● Choose Search Aggregation Log.


● To display the aggregation logs, follow the steps described in the section “Searching Logs for LTVD
Requests”.

Displaying Transfer Logs for Purchasing Documents

● Choose Display Transfer Log for Purchasing Documents.


● Enter the number of the purchasing document or a document number interval.
● Choose the group of logical systems from which the system transferred the purchasing documents.
● Use input help in the Object Type field to select whether the purchasing documents are Purchase Orders or
Goods Receipts.
● If appropriate, enter a period of time for which the system is to display the transfer logs.
● Choose Execute. The system lists the transfer logs that meet your selection criteria.
● The system displays the various types of transfer errors and messages that have occurred. It uses the
following status symbols:

○ ( Terminations - Hide )

○ ( Errors - Hide )

○ ( Warnings - Hide )

○ ( Information - Hide )
● You can use these status symbols to hide the various types of errors and messages.
● Select the purchasing document for which you want to display a transfer log. Choose Technical
Information.

Displaying Transfer Logs for Material Documents

● Choose Display Transfer Log for Material Documents.

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● You call up the transfer logs for material documents in the same way that you call up the logs for
purchasing documents. In the description, replace the purchasing document with the material document,
and also enter the year in which the document was created.
● The transfer log for material documents contains the same functions as the transfer log for purchasing
documents.

Displaying Vendor Declarations

● Choose Display Vendor Declarations.


● Choose the administrative unit for which the system is to display the requested, reminded, or already
entered LTVDs.
● If you want to restrict the number of entries shown in the list, enter additional parameters, such as period
and product number or partner number.
● If you have already archived long-term vendor declarations, but want the system to include them in the
monitor display, set the Read Archived Data flag.
● Choose Execute.
● The system displays a list of all the requested, reminded, and entered long-term vendor declarations that
meet selection criteria.
● Change documents are available to help you track precisely which events during preference determination
resulted in a specific preference statement, when the situation for vendor-based long-term vendor
declarations changes.

● Select the desired line in the long-term vendor declaration and choose ( Display Change Documents ).
The system opens the change documents for the selected long-term vendor declaration for each product/
vendor link in a separate window. You can examine the changes to the header and item data for each entry
to find the reasons why certain preference statements have changed.
● You can also navigate directly to the product for which you requested, entered, or sent a reminder for an

LTVD. To do so, choose ( Display Product ).


● You can also display the business partner data for the vendor from which you have requested an LTVD. To

do so, choose ( Display Partner ).

6.1.4 Managing Long-Term Vendor Declarations for


Customer's Purposes

Use

Once you have determined the preference eligibility of goods in aggregation of long-term vendor declarations
for your vendors by comparing the threshold value and comparison value for a product from the sales
document, you can use the Preference Processing application in Global Trade Services (GTS) to issue long-
term vendor declarations to your customers. In this process, the system determines all products that are
eligible for preference, as well as all customers that purchase these products and that you have defined for
sending long-term vendor declarations in Customizing. By identifying these goods as eligible for preference,
you can gain a competitive advantage over other suppliers.

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 Note

If you need a preliminary preference statement for a product, whether to improve your competitive position
or upon request by a customer, you can create preference statements for a preliminary LTVD for
customer's purpose based on the price information transferred from the feeder system.

If the prerequisites for the preference eligibility of goods have changed and you have already issued a long-term
vendor declaration to your customers, you can revoke it in Preference Processing. The monitoring function also
lets you track LTVDs for customer's purposes and print documents again.

Prerequisites

To use the functions for managing LTVDs for customer's purposes, you have carried out the following steps in
Customizing for Preference Processing:

● Define administrative unit


● Define administrative unit attributes
● Define control settings for vendor declarations and administrative units
● Defined form control for LTVDs for customer's purpose

You have also selected the following settings in the General Settings in Customizing for Preference Processing:
Global Trade Services General Settings Number Ranges Define Number Ranges for Vendor
Declarations .

 Note

If you want to calculate a preliminary preference statement for a product based on an order, you have to
configure the necessary settings in Customizing for the feeder system and the GTS system. This includes
the transfer of documents for orders in the feeder system in activity Activate Preference Processing, for
example, and form control for the preliminary preference statement.

You have set up log control in Customizing for the GTS system to control the processing logs. This enables you
to define the scope of the processing logs.

 Example

You may need the system to display all processing messages when you implement the process, but only the
error messages are relevant once you go live.

For more information, see the Configuration Guide for Preference Processing at the SAP Service Marketplace,
under the following path:

http://help.sap.com/gts Configuration

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Process

1. You issue a long-term vendor declaration for customers.


After you determine the preference eligibility for the goods that you have sold to your customers, you issue
a long-term vendor declaration. For more information, see Issuing Long-Term Vendor Declarations [page
310].
2. You revoke a long-term vendor declaration for customer's purpose.
If the requirements for preference eligibility of the corresponding product have changed, you revoke the
long-term vendor declaration. You can issue a new long-term vendor declaration for the customer in a
subsequent step. For more information, see Revoking Long-Term Vendor Declarations [page 315].
3. You monitor the issued long-term vendor declarations for customer's purposes.
You monitor the issued and revoked long-term vendor declarations in monitoring, where you can also print
out documents again. You can also see the transfer logs for the transfer of billing documents. For more
information, see Monitoring Long-Term Vendor Declarations for Customer’s Purposes [page 316].
4. You archive the issued long-term vendor declarations.
You can archive long-term vendor declarations for customer's purposes and their revocation. When you
archive these documents, they are still available for checks and controls, but do not impose a database
load. For more information, see Archiving Long-Term Vendor Declarations [page 319].
5. You use the processing logs.
The detailed formatting of the processing logs for issuing and revoking long-term vendor declarations
enables targeted analysis of processing. You can therefore conduct an efficient analysis during the
implementation phase, for example, and optimize your processes for issuing and revoking LTVDs for
customer's purposes. The following options are available for accessing the processing logs:
1. Monitor for long-term vendor declarations for customer's purposes
When you enter the selection criteria and start the function, you can see the processing log for each
partner.
2. Functions to issue and revoke long-term vendor declarations
When you enter the selection criteria and start the functions, you can choose Display Log to display
processing log for each partner.
3. Transaction SLG1
You can enter transaction code SLG1 and select object /SAPSLL/PREF, together with either
subobjects /SAPSLLPREFLEOU for issued long-term vendor declarations and /SAPSLL/PREVD for
revoked long-term vendor declarations, to display the processing logs.

6.1.4.1 Issuing Long-Term Vendor Declarations

Use

Preference Processing in the system for Global Trade Services (GTS) lets you issue long-term vendor
declarations for your customers. In this process, the system analyzes the results of the aggregation of vendor-
based LTVDs and preference determination to decide whether the customer can receive a long-term vendor
declaration for the goods he receives.

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Features

You can issue LTVDs for a specific administrative unit and a defined period. You can also enter additional
details and use controls.

● External product or partner number


This information supports you in your communication with other user departments. By assigning product
numbers and partner numbers from the feeder system, you can respond to queries as to the partners or
products for which you have issued LTVDs from other departments quickly and easily.
● Parameters for document output
In addition to the contact person and business partner's language, you can select the sort sequence. You
have the following options:
○ Sort products by internal number
○ Sort products by external number from the feeder system
○ Sort products by the partner’s number
● Print control
Using the printer control function, you can have the system copy the user master data or you can specify
the details each time (for example, whether you want the system to carry out the print job immediately or
which printer is to be used to print the LTVDs). You can also decide whether you want to create a list and
generate or save a log.
You can display a print preview of the long-term vendor declaration before you print it out. This can help
you fine-tune the form during the implementation phase, for example, as well as make sure everything is ok
in live operations. You have to print from the overview list, however.
● Preferential aggregation
If you want to add an aggregation endorsement when issuing long-term vendor declarations, you have to
set the aggregation endorsement for all the product components, which is included in the preference
statement for the finished product. Other prerequisites for printing the aggregation endorsement: the
preference agreement must be flagged as relevant for aggregation in Customizing, and the country of
origin must be clearly determined. Aggregation endorsements are not possible if the country of origin is
within the EU.
● Manual addition of products to long-term vendor declarations
If you want to add more products to a long-term vendor declaration than the products the system has
determined automatically for an LTVD for customer's purpose, you have to enter all of the following
selection criteria:
○ Partner
You have to select a single partner. You can add additional products to an LTVD manually for single
customers.
○ Products
You can select single products or all products for a customer.
○ Flag to output in a list
The function for adding additional products is available exclusively in the list display.
○ Flag to issue positive long-term vendor declaration
You can only issue long-term vendor declarations for additional products for positive preference
statements for products.

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Activities

● To issue long-term vendor declarations for customer's purposes, go to the area menu and choose Risk
Management Preference Processing Validity Range Administrative Unit (select an administrative unit)
Manage Vendor Declarations for Customer's Purpose Processing Issue Issue Vendor Declaration .
● You can use the following criteria to limit the selection:
○ Sender of Long-Term Vendor Declaration for Customer's Purpose: The administrative unit for which you
want to issue the LTVDs
○ Validity Period
○ Product Number
○ Business Partner
○ Details for Form Output, such as the Contact Person for your administrative unit
● In the Printer Control area, set the indicators according to the values you want use for the long-term vendor
declarations.
If you want to use a printer other than the standard printer to print out long-term vendor declarations,
deselect the Propose User Master Data indicator under Printer Control. On the extended entry screen, you
can then choose the printer you want to use from the Output Device field.
● In the Options, you can choose whether you want to print or save the log. If you want to display a list of all
long-term vendor declarations selected based on your selection criteria before printing, set the Output List
flag.
● If you set the Only Issue Positive LTVD flag, you can limit the number of printed long-term vendor
declarations to the ones that are actually relevant. In this case, the system only prints long-term vendor
declarations for the products for which a positive statement regarding preference eligibility exists.
● If you set the Output List indicator, the system creates a list of all the long-term vendor declarations that
are available for printing.
● When you choose Print, the system prints all long-term vendor declarations under the conditions that you
defined in your default settings or specified in printer control.
The system prints long-term vendor declarations for all the entries in the list. If you want to print
declarations for specific customers or products, you can use the selection criteria as filters.

6.1.4.1.1 Printing Workplace Addresses for BP Role


Contact Person

Use

You can use this function to print contact person and address data for specific contact persons of a company.
You can select which additional data is to be printed in addition to typical address data, for example, the name
of the department, the role of the contact person, and so on. This helps ensure that the persons responsible for
processing long-term vendor declarations (LTVDs) receive this data at their workplace, which can speed up the
processing of requesting and issuing LTVDs.

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Prerequisites

In Customizing for SAP Business Partners, you have set up the BP role Contact Person and the relationship Has
Contact Person.

For more information, see SAP Library and choose SAP Business Suite SAP ERP SAP Enhancement
Package 7 for SAP ERP 6.0 - Application Help SAP ERP Cross-Application Functions Cross-Application
Components SAP Business Partner Concepts Business Partner Role (BP Role)

Certain prerequisites must be met before you can print addresses for the BP role Contact Person. If you cannot
print the address data of a contact person, contact your system administrator to make sure that the following
steps in SAP Business Partner have been performed:

1. Define the BP role Contact Person.


A business partner with the BP role Contact Person acts as the contact in an organization with which
business contacts are processed. You create the BP role Contact Person with the relationship Has Contact
Person. When you create a business partner with the role Contact Person, the system makes sure that the
person has the business partner category Natural Person.

 Note

You can enter data such as name, address, and relationships for the BP role Contact Person, but you
cannot enter bank details or payment card data.

Before you can build a Has Contact Person relationship, you must first create a business partner with
this role.

2. If the BP role Contact Person BUP001 is not displayed, you need to define this role. In Customizing for
Cross-Application Components, choose SAP Business Partner Business Partner Basic Settings
Business Partner Roles Define BP Roles .
3. Double-click the BP Roles dialog structure. Select the BP role Contact Person BUP001. In the toolbar,
choose Details and make the following entries in the group boxes General Data, BP Role Category, and User
Interface Control.

BP Role BUP001

General Data

Title Name for the role category

Description Used for easy identification and can be selected freely

BP Role Category

BP Role Category BUP001 Contact Person

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Select the Std Assignment BP Role -> BP Role Cat check­
box.

4. Double-click the BP Roles dialog structure and select the BP role Contact Person BUP001. In the toolbar,
choose Details and make the following entries in the group boxes General Data, BP Role Category, and User
Interface Control.

BP Role Category BUP001

BP Role Categories

Title Name for the role category

Description Used for easy identification and can be selected freely

Diff.Type Use input help and select the entry 0 (general data).

Possible Business Partner Categories

Select the Person checkbox as the business partner cate­


gory.

5. Save your entries.


6. Create the relationship category Has Contact Person.
Relationship categories model business relationships between business partners. You can use the
relationship category Has Contact Person to store contact persons for a business enterprise. When a
relationship category is filled with actual business partners, this is refered to as "relationships".
The relationship category Has Contact Person identifies the status as contact person, which is used to
process business contacts. The relationship category Has Contact Person establishes a link from a
business partner with the BP role Contact Person to a business partner with the category Organization.

 Note

Before you can build a Has Contact Person relationship category, you must first create a business
partner with this role.

For more information about Processing Business Partner Data, see SAP Library and choose SAP
Business Suite SAP ERP SAP Enhancement Package 7 for SAP ERP 6.0 Application Help SAP
ERP Cross-Application Functions Cross-Application Components SAP Business Partner Functions
Processing Business Partner Data

7. To process business partner master data, enter the transaction BP in the command line.
8. In the Find field on the Find tab page, use input help and select Business Partner.
9. Choose Start. A list of business partners is displayed.
10. Double-click the desired business partner in the list. A new menu is displayed.

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11. Choose the Relationships button from the toolbar.
12. Select the relationship category Has Contact Person FBUR001.
13. In the Relationship to BP field, use input help and select the BP role Contact Person BUP001.
14. Choose Create.
The dialog box Contact Person Rel.ship Create: General Data is displayed.
15. Select the Standard checkbox on the General Data tab page in the Standard Relationship group box.
16. Enter the required data in the Contact Person Data group box.
In the Address Data group box, choose Assign Company Address to enter the address, function,
department, room number, floor, and communication data such as phone numbers and e-mail.

17. Choose Continue. The Overview tab shows the business partner with the address type .
You have now fulfilled all prerequisites.
You have defined a business partner with the BP role Contact Person with the relationship Has Contact
Person as the contact person in an organization (company) with contact data, and you are able to print this
data.

Activities

The function Print Workplace Address is located in the SAP GTS area menu under one of the following paths:

● Risk Management Preference Processing Manage Vendor-Based Vendor Declarations Processing


Request Vendor Declaration

● Risk Management Preference Processing Manage Vendor Declarations for Customer's Purpose
Processing Issue Vendor Declaration

6.1.4.2 Re-Issuing Long-Term Vendor Declarations

Use

If the prerequisites for the preference eligibility of your products change, the long-term vendor declarations
that you have sent to your customers can lose their validity. You have to re-issue these long-term vendor
declarations. This situation can arise, for example, due to a change of vendors, a changed BOP, or new
determination for the goods. Preference Processing enables you to automatically re-issue the long-term vendor
declaration based on a key date.

You can display a print preview of the long-term vendor declarations before you print them out. This can help
you fine-tune the form during the implementation phase, for example, as well as make sure everything is ok in
live operations. You have to print from the overview list, however.

If you first want to see the overview of long-term vendor declarations that you have to re-issue due to changes,
you can start the monitor.

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Prerequisites

You have activated the Re-Issue indicator in Customizing. If this indicator is set, then already issued LTVDs can
be re-issued if the preference statement changes, both from eligible to not eligible and from not eligible to
eligible. If this indicator is not set, then already issued LTVDs can be re-issued if the preference statement
changes only from eligible to not eligible. To perform this Customizing activity, go to Customizing and choose
Global Trade Services Risk Management Preference Processing Vendor Declarations Control Settings
for Long-Term Vendor Declarations for Customer's Purpose .

For more information, see the Configuration Guide for Preference Processing at the SAP Service Marketplace,
under the following path:

http://help.sap.com/gts Configuration

Activities

● To re-issue long-term vendor declarations, go to the area menu and choose Risk Management
Preference Processing Validity Range Administrative Unit (select an administrative unit) Manage
Vendor Declarations for Customer's Purpose Processing Re-Issue Re-Issue Vendor Declaration .
● Enter the key date up to which you want to re-issue the vendor declarations and, if applicable, set the flag
for Editing in Monitor.
● When you choose Execute, the system lists all the long-term vendor declarations that you have to re-issue.
● You can navigate to an issued long-term vendor declaration that you need to re-issue.
The monitor for long-term vendor declarations for customer's purpose appears; choose Back to return to
the re-issue.
● To print re-issues for all long-term vendor declarations in the list, choose the print function. The system
prints the re-issues for the LTVDs on the printer you defined in the standard settings.

 Note

The system prints long-term vendor declarations for all the entries in the list. If you want to print
declarations for specific customers or products, you can use the selection criteria as filters.

6.1.4.3 Monitoring Long-Term Vendor Declarations for


Customer's Purposes

Use

The monitoring functions for long-term vendor declarations for customers' purposes let you display an
overview of the LTVDs you have issued, along with the underlying data.

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Prerequisites

You have activated change documents for LTVDs in the Implementation Guide (IMG) of SAP Global Trade
Services. To carry out this activity, choose SAP Global Trade Services General Settings Control Settings
for the Generation of Change Documents .

For more information, see the Configuration Guide for Risk Management - Preference Processing at the SAP
Service Marketplace, under service.sap.com/swdc Download Installations and Upgrades Entry by
Application Group SAP Application Components SAP Global Trade Services (GTS) SAP GTS <Release>
Installation and Upgrade .

Functionality

You issue LTVDs for customers' purposes based on billing documents in your feeder system specifically, based
on line items in the billing documents, since preference statements are product-based. You can display item-
specific data in the following lists in Risk Management:

● Worklist for Long-Term Vendor Declarations for Customer's Purpose


This worklist contains all the billing document items that you can process further in Risk Management and
for which you can issue LTVDs for customers' purposes.
● Transfer Log for Billing Documents
The transfer log lists all the items for which the transfer from the feeder system failed. It also contains
detailed error descriptions to help you with troubleshooting, for example, if a legal regulation or master
data is missing for a document item.

 Note

Note that a given billing document item can only appear in the worklist or the transfer log, not both.

In addition to the lists of billing document items, in which you can monitor the underlying data basis, Risk
Management - Preference Processing has the following monitoring features for LTVDs for customers' purposes
that you have already issued:

● Display Vendor Declarations


The list of issued LTVDs for customers' purposes helps you keep track of which LTVDs you have issued for
a specific issuing unit. To narrow your search, you can also enter a specific time period. You can be even
more specific by entering the external product or partner number. This detailed list and the graphical
representation of the preference statements let you instantly assess the preference situation for a product.
In addition to listing the long-term vendor declarations you have created, change documents enable you to
track in detail which changes were made to the header and item data of the individual LTVDs.
You can print as many copies of a declaration as you need from the list of issued LTVDs. If you print out a
long-term vendor declaration again, the system marks the reprinted declaration with “Repeat Print”.

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Activities

To start the monitoring functions, choose Risk Management Preference Processing EU or NAFTA
Monitoring .

Worklist for Long-Term Vendor Declarations for Customer's Purpose

● Choose Display Worklist for Vendor Declarations.


● Enter the administrative unit whose worklist you want to display, along with optional selection criteria.
● You can enter a validity start date for the worklist results. The date you enter here corresponds to the date
the billing document was created.
● When you choose Execute, a list of the items for which you can issue LTVDs for customers' purposes
appears.

Monitoring Issued Long-Term Vendor Declarations

● Choose Display Vendor Declarations.


● In the Administr. Unitfield, choose the administrative unit for which you want the system to display the
issued long-term vendor declarations.
● If you want to restrict the number of long-term vendor declarations shown in the list, enter additional
parameters, such as a period and product number or partner number.
● If you have already archived long-term vendor declarations, but want the system to include them in the
monitor display, set the Read Archived Data flag.
● Choose Execute.
● The system displays an overview of all LTVDs that meet your selection criteria.

● If you want to display the change documents for an LTVD, select the desired line and choose ). The
system opens the change documents for the selected LTVD for each product/customer link in a separate
window.
● You can also navigate directly to the customs product for which you requested, entered, or sent a reminder

for an LTVD. To do so, choose .


● You can also display the business partner data for the vendor from which you have requested an LTVD. To

do so, choose .

● To reprint an LTVD, select the corresponding line and choose .

 Note

If you want to print more than one long-term vendor declaration from the list, select the appropriate
lines and choose .Start Repeat Print. The system prints the repeat prints on the printer that you defined
in the standard settings.

Log for Billing Document Transfer

● Choose Risk Management Preference Processing Long-Term Vendor Declaration for Customer's
Purposes Monitoring Display Transfer Log for Billing Document .
● Enter the billing document number and the logical system to which the feeder system belongs.
● Limit the time period for which you want to call up transfer logs, and choose Execute.
● The system lists all the transfer logs.

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6.1.4.4 Searching the Issue Log

You can start the Search Logs function from the area menu in the system for Global Trade Services. Choose
Risk Management Preference Processing Validity Range Administrative Unit (select an administrative
unit) Manage Vendor Declarations for Customer's Purpose Processing Issue Search Issue Log .

The next screen contains the two main areas, Time Constraint and Additional Data, where you can define the
settings to control the display of logs for issued vendor declarations.

Time Constraint

● From (Date/Time)
Enter the starting date and time here.
● To (Date/Time)
Enter the ending date and time here.

Additional Data

● Administrative Unit
Enter the assigned administrative unit.
● Business Partner
● Preference Agreement

You can also select or deselect Positive Preference Statement and Preference Statement.

6.1.5 Archiving of Long-Term Vendor Declarations

Use

You can use the archiving object PREVD to archive and delete long-term vendor declarations. This function
enables you to archive the data and documents that you have entered or sent in the context of long-term
vendor declarations, including the following: This includes the following information:

● Billing document data


● Partner data at document level
● Issued and revoked long-term vendor declarations
● Requested long-term vendor declarations and associated reminders
● Data entered for vendor-based long-term vendor declarations

The preprocessing program is decisive for the archiving of long-term vendor declarations. In this preprocessing
program, you decide generally for each administrative unit whether you want to archive long-term vendor
declarations – whether vendor-based or for customer's purposes. In addition, you enter selection criteria to
define restrictions for archiving long-term vendor declarations.

How often you schedule the preprocessing and archiving runs depends on the amount of data generated in
your system.

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Structure

Programs
The following programs are available for the PRFCALC archiving object:

Program Function

/SAPSLL/PREVD_ARCHIVE_WRITE Write

/SAPSLL/PREVD_ARCHIVE_DELETE Delete

/SAPSLL/PREVD_ARCHIVE_PREPARE Preprocessing

Prerequisites for writing long-term vendor declarations

If the following prerequisites are met, the system can archive the preference determination data:

You have defined the residence time in Customizing for Preference Processing in the form controls for vendor-
based LTVDs and LTVDs for customer's purposes. This residence time defines how many days from the
document creation date have to pass before the system sets For Archiving status for the issued, revoked,
requested, and reminded long-term vendor declarations.

 Note

For more information about form control, see the Preference Processing section of the Configuration Guide
for Global Trade Services in SAP Help Portal under www.help.sap.com/gts.

If you want to archive long-term vendor declarations, you can use the following functions:

● Execute preprocessing program for archiving


This enables you to select, based on defined parameters, which long-term vendor declarations the system
writes to the archive during the next archiving run and therefore delete from the database.
● Execute archiving
When you start the archiving run, the system writes all entries that meet your selection criteria to the
archive and deletes the records from the database.
● Display archived entries
You can display all records that have been archived.

Functions

Starting the preparation run for archiving

1. In the area menu, choose System Administration Archiving Preference Archive Vendor
Declarations .
2. Choose Preprocessing and create a variant for the preparation run.

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1. Enter a name for the variant and choose Maintain. The program's selection screen appears with the
available options and selection criteria. Enter the required values and choose and choose Variant
Attributes. The maintenance screen for Variant Attributes appears.
2. Enter a text in the Description field that indicates the intended purpose of the variant and whether it is
a test run or an update run.
3. Save your entries.
3. Go Back to the initial screen for writing archive data and define the Start Date and any necessary Spool
Parameters.
4. When you choose Execute, the system selects all the data that meets your specified criteria.
5. The records selected in the preparation run for archiving are displayed in the monitor for archiving
preparation.

 Note

It is up to you to ensure that you only include vendor-based long-term vendor declarations that do not
require extension in the preparation run for archiving. It is not possible to extend vendor-based long-term
vendor declarations that have been archived.

Starting Archiving

1. In the area menu, choose System Administration Archiving Preference Archive Vendor
Declarations .
2. Choose Write.
3. Create a variant for the archiving run.
1. Enter a name for the variant and choose Maintain. The program's selection screen appears with the
available options and selection criteria. Enter the required values and choose and choose Variant
Attributes. The maintenance screen for Variant Attributes appears.
2. Enter a text in the Description field that indicates the intended purpose of the variant and whether it is
a test run or an update run.
3. Save your entries.
4. Go Back to the initial screen for writing archive data and define the Start Date and any necessary Spool
Parameters.
5. Choose Execute. The system transfers the entries from the database to the archive in background
processing (as a batch job) at the time you specified. In the process, the system automatically deletes the
archived data from the database.
6. If you set Delete with Test Variant in the variant definition, the system simulates the deletion process first.
Therefore, you have to start the deletion process manually. Repeat the procedure described for the Write
action above for the Delete action to delete the determination data from the database.

Displaying Archived Long-Term Vendor Declaration

1. In the area menu, choose System Administration Archiving Preference Archive Vendor
Declarations .
2. Choose Read Execute .
3. Enter the selection parameters for displaying the archived data.
4. Choose Execute. The system lists all the data records that match your selection criteria.

See Also

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For more information about data archiving, see SAP Help Portal at SAP NetWeaver http://help.sap.com/nw .
In the Application Help for Function-Oriented View, open SAP Library and choose Solution Life Cycle
Management Data Archiving Data Archiving in the ABAP Application System Data Archiving with
Archive Development Kit (ADK) Archive Information System .

6.1.6 Preference Determination

Use

You use preference determination in Preference Processing to determine the preference eligibility of goods of
true mixed origin and for goods manufactured in-house. True mixed origin describes a finished product for
which you have produced some parts in-house and procured other parts from vendors outside of your legal
unit.

Preference determination is based on preference rules that you define yourself in Customizing for Preference
Processing or obtain from a data provider. The rules of a preference agreement involve the primary materials of
a product. The classified products and their primary materials form the link to the preference rules from the list
of processing. The relationships between a product and its primary materials are established by means of
BOMs.

Preference Processing can determine a preference statement for products with one of the following
prerequisites in preference determination:

● Fixed bills of material


● Order-related bills of material for configurable products

The BOMs from the feeder system play a central role in determining the preference eligibility of a product. For
the system to use the information from the BOM in preference determination, you first have to forward these
BOMs from the feeder system to the GTS system. You also have to explode the bills of material.

During BOM explosion, the system determines the components and their necessary characteristics, such as
procurement type and manufacturing costs, that are relevant for preference processing. The system applies
the preference rules from the agreements to these BOM components. Since the BOMs are multilevel BOMs,
the respective preference rules from the list of processing of preference agreements must be applied to
determine the preference eligibility of a product. Accordingly, you can choose between two methods – top-
down and bottom up – for BOM transfer and BOM explosion.

● BOM transfer
○ Bottom-up method
The system transfers a separate BOM for each assembly of a multilevel BOM.
○ Top-down method
The system transfers a multilevel BOM from the feeder system without making any changes to the
structure.
● BOM explosion
○ Bottom-up method
The system examines each assembly separately during explosion. It begins with the lowest assembly
level and applies the result for an assembly to the examination of the next-highest assembly level.
○ Top-down method

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The system explodes the BOM, taking all product components at the lowest respective hierarchy level
of a BOM into account.

You can decide which combination of top-down and bottom-up method you want to use for BOM transfer and
BOM explosion to determine the preference eligibility of a product. The authorities let you make this selection
to ensure that companies with a high proportion of primary materials produced in-house are not
disadvantaged in comparison to companies that largely purchase their materials from vendors with valid long-
term vendor declarations. As such, they have defined relative equality between companies that have a greater
manufacturing depth than companies that largely procure their goods externally.

The results (A, A', B) from preference determination can vary by method combination for BOM transfer and
BOM explosion, as a result of the different interpretations:

BOM explosion

BOM transfer Top-down method Bottom-up method

Top-down method A B

Bottom-up method A' B

The system can also calculate the threshold value in preference determination, according to the net cost
method or transaction value method, independently of the BOM transfer and BOM explosion. The system
carries out the possible determination method(s) in accordance with the applicable preference rules and
displays the results in logs.

● Net cost method


In preference determination according to the net cost method, the system displays the non-originating and
originating values, along with the percentage shares in the total value of the product, in an overview in the
results log or customs log.
To determine preference eligibility with the net cost method for the North American Free Trade Agreement
(NAFTA), the system uses the preference rule for DIMs (designated intermediate materials). Under this
rule, the total value of a component can be considered once as originating value within a vertical line of a
BOM if this component qualifies as originating goods based on the specific preference rules.
● Comparison between threshold value and ex works price (transaction value method)
The system calculates the threshold value through BOM explosion, based on the rules of the preference
agreements. The system compares the threshold value with the ex works price based on sales documents
from the feeder system, such as billing documents. If the threshold value is less than or equal to the ex
works price, the corresponding goods are eligible for preference for the underlying agreement.

You can perform preference determination for a single preference model. This preference model defines
whether you aggregate the results of preference determination for BOMs at plant level or for all plants. You can
also start preference determination for order-related BOMs for configurable products.

Prerequisites

You have performed the following steps for preference determination:

● Customizing for preference determination


○ Define preference model

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○ Define rule set and define rule set attributes, or upload preference agreement data from a data
provider to the master data
○ Define exchange rate type and exchange rate for each administrative unit in the activity Control
Settings for Long-Term Vendor Declarations and Administrative Unit
● In the General Settings, you have assigned your feeder system to a group of logical systems
● You have also configured BOM transfer in the feeder system

For more information, see the Configuration Guide for Preference Processing at SAP Service Marketplace under
service.sap.com/swdc Downloads Installation and Upgrades – Entry by Application Group SAP
Application Components SAP Global Trade Services (GTS) SAP GTS <Release> Installation and
Upgrade .

Process

1. Start preference determination


1. Perform preference determination for standardized BOMs [page 333] or
2. Perform preference determination for order-related BOMs [page 333] with configurable products
2. Display the preference results
1. Display customs logs in monitoring for preference determination [page 340]
2. Display the results of document-related preference determination [page 339]
3. Archive preference determination data [page 342]

6.1.6.1 Preference Determination for Non-Configurable


BOMs

Use

The result of preference determination is based on parameters that you can define for each determination run.
If you do not enter any restrictions, the system determines preferences for all the defined BOMs for a
standardized product, which you transferred in Preference Processing. During preference determination, the
system takes all the components in the transferred BOM into account.

The following parameters are available:

● Methods of exploding the BOM


With Preference Processing, you can choose between the bottom-up and top-down methods of exploding
the BOM.
● BOM usage and application
You can limit the BOMs for preference determination according to alternative BOMs and BOM usage, which
allows you to perform worst-case analyses to determine the threshold value.
● Preference model
For the preference determination, you must decide the organizational level on which the system is to
determine the threshold value. You can decide between the preference model of the works-specific
preference determination and the cross-works preference determination. The system then performs

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preference determination for the BOMs within a plant or within a plant group and aggregates the results for
all the BOMs for a product and a plant or plant group.

In a BOM explosion, the preference determination function aggregates the preference statement according to
the worst-case principle for one preference agreement and one main component in the plant or in the plant
group. In plant-based and cross-plant preference determination, the system aggregates the results according
to the worst-case principle for the BOM usage and alternative BOM. In the preference model for cross-plant
preference determination, the system also applies the worst-case principle to the plant level.

The system records the results aggregated for a preference model with a time stamp in the product master and
in the customs log. You can display the determination results at BOM level in the Monitoring logs.

When preference determination is performed, this provides a basis for determining whether or not products
are authorized for preferential customs duty and stores this in the system. Before issuing long-term vendor
declarations for the customer's purposes, the system compares the product threshold value established
during preference determination with the relevant comparison value. This comparison value depends on the
determination method, such as net cost method or transaction value method. In the transaction value method,
the system compares two values, for example, the threshold value with the comparison price. Because you
issue long-term vendor declarations in advance and independently of any specific billing document in the
feeder system, the system collects the comparison prices for a product from the billing documents over a
defined period and compares the worst case with the threshold value.

Prerequisites

● You have performed the following steps in Customizing for preference determination:
○ In preference processing:
○ Defined the preference model
○ Define rule set and define rule set attributes, or upload preference agreement data from a data
provider to the master data
○ You have also configured the following Customizing settings:
○ In the General Settings, you have assigned your feeder system to a group of logical systems.
○ You have configured BOM transfer in the feeder system
For more information, see the Configuration Guide for Preference Processing at the SAP Help Portal under:
http://help.sap.com/gts .
● You have already classified your products.

Procedure

 Note

You can start preference determination for single products to calculate the preference statement for the
entire BOP. This is useful for new products whose partial BOMs have not been processed in previous
preference determination runs. When you start determination for a specified leading part, the system
analyzes the corresponding BOMs in the subordinate levels. In the process, the system explodes the entire
bill of materials - including all dependent BOMs - top-down and then calculates bottom-up. Here, the
system explodes the complete bill of material, including all dependent bills of material. To start preference

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determination for individual BOMs, go to the area menu and choose Risk Management Preference
Processing Validity Range Administrative Unit (enter an administrative unit) Preference Determination
Determination Fixed Bills of Product Perform Determination for a Product

If you create new products between authorized determination runs, you can transfer these new products
from your feeder system and start preference determination for them. This does not affect the
determination results for existing products. You have to specify a time period for the preference
determination of new products. The system takes this period into account when selecting products (by the
product creation date). We recommend starting preference determination for new products using batch
jobs in background processing, using time-dependent intervals. To start preference determination for
individual BOMs, go to the area menu and choose Risk Management Preference Processing Validity
Range Administrative Unit (enter an administrative unit) Preference Determination Determination
Fixed Bills of Product Perform Determination for New Products

1. For general preference determination in accordance with your officially defined determination dates, go to
the area menu and choose Risk Management Preference Processing Validity Range Administrative
Unit (enter an administrative unit) Preference Determination Determination Fixed Bills of Product
Perform Determination
2. Choose the group of logical systems for whose products you want to perform preference determination.
3. Enter the number of the product for which you want to determine the threshold value.
4. In the Model field, choose either the plant-based or the cross-plant preference model from the dropdown
list.

 Note

If you want to perform preference determination for configurable BOMs, choose the order-related
preference model. When performing this preference determination, follow this process description:
Preference Determination for Configurable BOMs [page 333].

5. Additional input fields appear, depending on the selected preference model, in which you can restrict
preference determination to specific plants, a plant group, or plants in a plant group. Input help is available
for the plant and plant group fields.
6. If you merely want to simulate preference determination, set the Simulation flag for the program run. The
system does not record the determination results in the customs log in this case.
7. You can define additional constraints for preference determination in the BOM tab page:
1. You can define the method for BOM explosion in the BOM Explosion area. You can choose between the
top-down and bottom-up methods.
2. The BOM Selection area contains additional criteria for restricting preference determination for a BOM:
1. Low-level code for BOM explosion.
2. If several BOMs exist for a product, you can specify a specific BOM under Alternative BOM.
3. You can define the BOM Usage of the BOMs you want to include in preference determination.
3. Preference determination is performed packages to optimize the program flow. You can influence the
data volume for preference determination by specifying the number of BOMs per processing package.
The number of BOMs per package depends on the complexity of the BOMs.
8. You can make the following settings in the Logs tab page:
1. You can select the language in which you want the system to display the log in the Customs Log area.

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2. You can specify the number of days that you want to keep the Application Log, which contains the
system messages from the determination run, in the system. The application log will not be archived
until the defined number of days is reached.
9. Choose Execute.
10. The system calculates the threshold value and displays an overview of the result of preference
determination. You can use the following symbols to help you navigate:
1. Tree Structure Full Screen On/Off
2. Full Screen On/Off
11. In the dialog structure, navigate to the material whose determination result you want to display.
12. If you enlarge the field for the dialog structure to the right, you can view the following aggregation levels for
each determination run and product:
1. Plant group
2. Plant
3. Bills of Material
13. Status messages are also displayed in the respective aggregation levels for a product.
1. Determination Status
The determination status indicates whether or not the system has already determined the preference
for the selected BOM.
2. Display Change
If you set the Display Change indicator, the system indicates for each product whether preference
determination has resulted in changes in the preference statement or in the product’s threshold value
compared to the previous determination run.
14. You can display and quickly compare the determination parameters for each product and determination
run by displaying both the navigation structure and the detail overview. To do so, you have to display both
the navigation structure and the detail overview. Select the product and choose Determination Menu along
with the desired parameter type. The system displays the appropriate determination parameters.
15. To display the details and result of preference determination for each product, navigate within the
aggregation level in the dialog structure for the product whose determination results you want to display,
and select this structure.
16. Choose Full Screen On/Off or choose one of the following tab pages on the right-hand side of the screen:
1. Logs [page 328]
This tab page contains the determination result in the customs duty log and in the BOM log.
2. System Messages [page 331]
The System Messages tab page contains system messages and their long texts that occurred during
preference determination for the product that you selected in the dialog structure for displaying the
logs and messages.
17. You can display other information for preference determination: Choose Log Display in the menu and then
1. Choose Information for Determination Run.
The information for the determination run [page 332] contains all the parameters that you defined in
the selection criteria for preference determination.
2. Choose Messages for Determination Run.
The System Messages tab page appears. It contains all the error messages, warnings, and success
messages for all the products that you included in the selection criteria for the determination run. As a
result, this display corresponds to the set of all system messages that you can display for the individual
products in the System Messages tab page. Its structure is identical to the product-specific display.
To return to the determination results for individual products, select the product from the dialog
structure.

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Result

You can save the determination results, provided you did not run determination in simulation mode. The
system updates the threshold value in the product with the time stamp for the preference determination.

If you created invoice documents in the feeder system and defined these for determining the preference
statement, Preference Processing can transfer the preference statement to the feeder system.

6.1.6.1.1 Displaying Determination Results in Logs

Use

The Logs tab page contains the results of preference determination and summarizes these in the customs duty
log. The customs duty log contains the preference indicator and the threshold value for each product and
component. If a product is genuinely of mixed origin, the log also shows the aggregation result for the long-
term vendor declarations for the components that are procured externally.

The detailed results of preference determination are shown in the BOP log, which contains the general
preference data from the customs duty log, the results for each assembly, and the results for each component.

You have defined the currency and exchange rate category for the threshold value for each administrative unit.
The system calculates the threshold value and, if necessary, converts the component prices to your defined
currency, to make comparisons easier.

Integration

The function for displaying the determination results is part of the Perform Determination function, which you
can use to perform preference determination for standardized and configurable BOMs. You can only display the
determination data from the preference determination run. To do so, go to the area menu and choose Risk
Management Preference Processing Validity Area Administrative Unit (specify an administrative unit)
Preference Determination and follow the instructions for preference determination under Preference
Determination for Standardized BOMs [page 324] and Preference Determination for Configurable BOMs [page
333].

Activities

Customs Log

● Choose the Customs Log tab page.


● The system lists general product information on header level. This includes the following:
○ Indicator for the base rules Minimal Operations and Set of Goods.
○ Product number

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○ Product description
○ Customs tariff number for preference processing
○ Procurement type (in-house production, mixed origin, external procurement)
○ Low-level code
The low-level code indicates whether the assembly is the leading part or an assembly that you use in
other BOMs.
○ Number of digits in the customs tariff number that have to change for the preference rule for a change
of heading
● In the Preference Data area of the overview, the system lists the product-specific results of preference
determination.
○ The fields with a blue background contain general data that preference determination is based upon.
This includes the following:
○ Export country groups, which contain the country of departure
○ Import country group, which contains the country of destination
○ Preference Agreement
○ The fields with a yellow background contain the preference indicator and its validity for each
aggregation level based on the results of preference determination. In addition, if a product is
genuinely of mixed origin, the system combines the preference statement from the aggregation of
vendor-based long-term vendor declarations and from the preference determination run, at BOP level.
○ The fields with a green background contain preference information if the system determined a
product’s preference eligibility based on preference determination. Some of the information that the
system provides for goods that are produced in-house includes:
○ Preference Indicators
○ Standard rule that the system has applied
○ Alternative rule that the system has applied
○ Threshold value
○ Originating value and non-originating value of in-house produced goods in the appropriate
currency
○ The fields with an orange background are only filled if a product is genuinely of mixed origin. These
fields contain the aggregation result for vendor-based long-term vendor declarations for the
components that are procured externally if a product is of mixed origin. The system provides the
following information, for example:
○ Preference Indicators
○ Value of the goods
○ Proportion of the originating value and non-originating value of the components that are procured
externally, and the appropriate currency, if a product is of mixed origin
○ Base quantity and unit of measure of the externally procured components if a product is of mixed
origin
○ The following data has a sky blue background:
○ BOM identification
○ Comparison price that you entered for the purposes of simulation
○ Change indicator
In the product master, the system saves the determination results at the aggregation levels with
the appropriate time stamp. The change indicator uses arrows to show how the result of the
current determination run compares to the result of the last determination run that was saved in
the product master.

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○ You can navigate to the following detail displays for each line in the Preference Data area:
○ Preference rule evaluation
The system displays a hierarchical structure tree, that depicts the agreement-specific preference
rules for a product as evaluated. The evaluation results in the statements on preferential origin for
in-house production.
○ Display Product
○ In the Components area, the system lists the preference information for each component in the BOM.
In addition to the information from the Preference Data that the system calculates and displays at
component level, you can view the following:
○ Product numbers of the components in the feeder system
○ Short text for the product description
○ Non-originating indicator
○ Commodity codes
○ Quantity and unit of measure used for each component in the BOM
○ Component value and the relevant currency
○ You can navigate to the following detail displays for each line in the Component area:
○ Display Product
○ LTVD Monitoring
The system shows the overview of all created, extended, and requested vendor-based long-term
vendor declarations.
○ LTVD Worklist
The system displays a list of the requested long-term vendor declarations for which you can enter
the preference statement from your vendor. This display is only possible for components that do
not have preference statements yet.

BOM log

● Choose the BOM Log tab page. The system displays a detailed overview of the preference determination
results for each BOM. The overview contains information and details of the determination results in the
areas Assembly, Preference Data for the Customs Duty Log and Components.
○ In the Assembly area, the system lists the assembly details for the BOM that was used during
preference determination for the product. In addition to the item data for the assembly, such as the
BOM level and subsequent number, the assembly details include the following information:
○ Product number from the feeder system
○ Low-level code
○ Procurement indicators
○ Customs tariff number for preference processing
○ Indicator for the base rules Minimal Operations and Set of Goods.
○ Number of digits in the customs tariff number that have to change for the preference rule for a
change of heading
○ Product description
○ Preference model
○ Procurement percentage if goods are produced in-house or are of mixed origin
○ In the Preference Data area, the system lists the data from the customs duty log. In contrast to the
customs duty log, however, this overview contains only the fields that are relevant to each particular
BOM. You can also view additional information in the columns below:
○ Designated Intermediate Materials

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In this column, the system displays whether it considered the Designated Intermediate Materials
rule during preference determination, which is used for preference determination according to the
net cost method in the NAFTA preference zone. If you click the symbol in the DIM column, the
system displays a separate window with the assembly it used to apply the Designated
Intermediate Materials rule.
○ Internal/External
In this column, the system indicates whether the system compares the threshold value with the
price of an invoice document from the feeder system (external). If you entered a comparison price
for the purposes of simulation, the system compares the threshold value with information
contained in Preference Processing.
○ Usage category of the determination result
The usage category indicates whether the results include basic data, aggregated data, or
information and comparison data.
○ Indicator for worst-case principle
If you perform preference determination for several of a product’s BOMs at once, the system
combines the determination results at the product’s aggregation level according to the worst-case
principle. At BOP level, you can directly compare determination results. The BOP without the
worst-case indicator represents the most favorable alternative for each product.
○ In the Components area, the system lists the preference information already contained in the customs
duty log for each component in the BOM.

6.1.6.1.2 Displaying Messages for Preference


Determination

Use

The System Messages tab page contains an overview of all system messages for preference determination for a
product. System messages can be caused by missing preference data, for example. The overview can contain
the following types of system messages:

● System termination
● Error
● Warning
● Information

Integration

The function for displaying messages in preference determination is part of the preference determination
function, which you can use to perform preference determination for standardized and configurable BOMs. You
can only display the determination data from the preference determination run. To do so, go to the area menu
and choose Risk Management Preference Processing Validity Area Administrative Unit (enter an
administrative unit) Preference Determination and follow the instructions for preference determination
under Preference Determination for Standardized BOMs [page 324] and Preference Determination for
Configurable BOMs [page 333].

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Activities

● Choose the System Messages tab page.


● The system lists the message type and short text of the message for each product.
● The overview can also contain the following information:
○ Agreement
○ Product number
○ Component
○ BOP
○ Preference model
○ Plant group
○ Plant
● If the system message contains a long text, you can double-click the corresponding line to display it.
● Choose menu path Display Log Messages for Determination Run . A new tab page, System Messages,
appears that contains the set of all messages for the products that match your selection criteria for the
determination run. To return to the determination results or system messages for individual products,
select the product from the dialog structure.

6.1.6.1.3 Displaying Determination Information

Use

The determination information contains all the parameters that the system has used for preference
determination, based on your selection criteria and Customizing settings. This gives you an overview of which
parameters affect the calculation result, enabling you to identify necessary activities.

Integration

The function for displaying the determination information is part of the Perform Preference Determination
function, which you can use to perform preference determination for standardized and configurable BOMs. You
can only display the determination data from the preference determination run. To do so, go to the area menu
and choose Risk Management Preference Processing Validity Area Administrative Unit (enter an
administrative unit) Preference Determination and follow the instructions for preference determination
under Preference Determination for Standardized BOMs [page 324] and Preference Determination for
Configurable BOMs [page 333].

Activities

● The system displays the time stamp of the preference determination.

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● Choose the Systems tab page. You see the logistical systems group and the logical systems of the plant or
plant group that you have defined and assigned in Customizing. This helps you assign the determination
results, for example, if you have centralized customs processing within a corporate group.
● Choose the Parameters tab page. You see the parameters used for preference determination that you
either selected on the Parameters, BOP, and Logs tab pages in the selection criteria, or which the system
set based on your settings and selection criteria.
● Choose the Model tab page. The system shows which preference model you selected for preference
determination on the selection screen The system also shows the aggregation levels through flags in the
appropriate columns.
● Choose the Agreement tab page. The system shows which preference agreements and country groups are
defined in the system on three tab pages. It differentiates first between manually defined values and
uploaded values, both of which are displayed with the assignment information. If preference rules have
been created manually and uploaded in the system for preference agreements for a combination of
country of departure and country of destination, the system performs preference calculation according to
the worst case scenario. This overview lets you avoid disadvantageous rule aggregation.
○ On the Internal Definition tab page, the system lists all preference agreements and country groupings
that you created manually in Customizing.
○ On the External Definition tab page, the system lists all preference agreements and country groupings
that you uploaded in the system from a data provider.
○ On the External/Internal Assignment tab page, the system lists an overview of all country groups and
preference agreement by country of departure and country of destination that exist in the system as a
result of manual creation or upload.

6.1.6.2 Preference Determination for Configurable Bills of


Material

Use

In addition to the mass production of standardized products with fixed bills of material, companies also have to
offer and accept orders for customer-specific product variants. The process for determining the eligibility of
the end product for preference differs from the standard procedure in this case.

The companies have to design the bills of material for the end products of these customer-specific order items
in accordance with the customer's requirements. This is done using super BOMs, which contain all the
components required to produce the product.

The order-related BOMs of configurable products differ from the BOMs of standardized products. Accordingly,
the order-related BOMs of configurable products are assumed to be unique. Since the BOMs form the basis for
preference determination, you have to carry out separate preference determination for each order item that
contains a configurable product.

Preference determination based on order-related BOMs for configurable products is a standard feature in
Preference Processing. The requirement for preference determination is that the BOM for determination has a
stable status, meaning the configurable BOM does not undergo any changes in the further course of the
process that have an impact on the result of preference determination.

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Prerequisites

You have defined the document type for which the system should check order-related BOMs of configurable
products in Customizing for the plug-in for the SAP Global Trade Services (SAP GTS) system in the feeder
system. The system then determines whether the order items of this document type contain configurable
products and starts Preference Processing.

For information about the Customizing settings, the user exits, and the relevant programs for process control in
the feeder system, see the Configuration Guide for Preference Processing at the SAP Service Marketplace,
under the following path:

http://help.sap.com/gts Configuration

Process

1. Create an order in the feeder system


1. You create an order in the feeder system. You select the desired configurable material in the order
item. To configure a material, you have to set the Configurable flag in the Basic Data area of the
material master record.
2. You can also assign the Configurable flag to a material type in Customizing. All materials that you
create with this material type are configurable. In the SAP ERP standard delivery, this is material type
KMAT (configurable material). You have to assign the Classification view in Customizing for the
material type to which you want to assign configurable materials. For more information about creating
a material record for configurable materials, see the SAP Library under http://help.sap.com SAP
ERP SAP ERP Central Component Logistics - General Logistics Basic Data Material Master .
2. Create an entry in the feeder system worklist
1. As soon as you save the order in the feeder system, the system creates an entry in the feeder system
worklist. This entry contains a reference to the order and the respective order item. If you have not
entered all the necessary data when you save the order, the system automatically assigns an item
status that indicates incompleteness. The system creates an entry for the order in the feeder system
worklist, despite the specific item status, and sets the status for this entry to New.
2. If you make changes to the order and save without having entered all the necessary data, the system
overwrites the entry in the feeder system worklist with the new information. The entry still has status
New in this case.
3. You can change the order as often as needed. As soon as the system detects that you have entered the
order with all necessary data, it sets the item status to Completely Processed. Under the default
settings, Preference Processing uses this status of the order item as the definitive date for setting the
status of the worklist to Ready to Transfer, initiating explosion and transfer of the BOM to Preference
Processing.

 Note

If you want to define other criteria than the overall status for the order item as the event for
determining a stable BOM, implement user exit EXIT_SAPLSLL_LEG_CDPIR3_002 in the feeder
system to map configurable BOMs in SD orders. If you also want to override the status for which
the system displays the worklist in the feeder system, you can implement method
KMAT_ITEM_WL_STATUS_CHECK in BAdI /SAPSLL/KMAT. To implement the user exit and BAdI in

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the plug-in for the system for Global Trade Services (GTS), use transaction code cmod in the feeder
system.

4. You can see the entries in the feeder system worklist along with the status of the respective order
items. To do so, start transaction code /SAPSLL/MENU_LEGALR3 in the feeder system, choose on the
tab page Documents SAP Risk Management Preference: Display Worklist of Configurable
Materials .
3. Transfer the BOM to Preference Processing
1. Once the order item has reached the definitive date for transferring the BOM to Preference Processing,
the system changes the status for the worklist entry in the feeder system to Ready for Transfer, as
described above.
2. You can start the transfer of the BOM to Preference Processing in the following ways:
1. To respond quickly to an individual case, you can trigger the transfer for individual BOMs for
Preference Processing in the plug-in in the feeder system. To do this, start transaction code /
SAPSLL/MENU_LEGALR3 in the feeder system and choose on the tab page Documents SAP
Risk Management Preference: Explode and Transfer Configurable Materials .
Use the selection criteria to define the BOMs you want to transfer to Preference Processing
manually and choose Execute. A status message appears indicating the result of the transfer.
2. You can use a batch job in background processing for the standard BOM transfer of configurable
materials. In background processing, the system selects all entries in the feeder system worklist
that have status Ready for Transfer. It then determines the parameters and transfers the
configurable BOMs to Preference Processing accordingly.
3. The entry in the feeder system worklist that the system has already transferred to Preference
Processing, and which refers to an order, is assigned status Transferred to SAP GTS. You can see the
changed status for the order item and the transfer status in the feeder system worklist.

 Note

If your company wants to use special criteria for the transfer, such as the top-down or bottom-up
method for BOM explosion and/or transfer, you can define these criteria in user exit
EXIT_SAPLSLL_LEG_BOMR3_003 to influence BOM selection and explosion for the
postprocessing of BOMs. To implement the user exit in the plug-in for the GTS system in the feeder
system, use transaction code cmod.

4. Entry in the Preference Processing worklist


1. Every transferred, configurable worklist automatically generates an entry in the worklist in Preference
Processing. This entry contains the order item, the document reference to the order in the feeder
system, and status Ready for Calculation.
2. You can see the entries and status of the respective order items in the worklist for configurable BOMs
[page 337] in Preference Processing for information purposes. To do so, go to the area menu and
choose Risk Management Preference Processing Validity Range Administrative Unit (select an
administrative unit) Preference Determination Determination Document Bills of Material
Display Worklist .
5. Start preference determination for order-related BOMs

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1. You can start preference determination for order-related BOMs for configurable products as described
below:
1. You can call all the order items that match your selection criteria from the worklist for configurable
BOMs. From this overview, you can start determination for the selected BOMs with status Ready
for Determination.
2. You can start a batch job in background processing for the standard preference determination of
order-related BOMs for configurable products. The system selects all entries with status Ready for
Determination from the worklist for Preference Processing.
2. The system calculates the result of preference determination. You can see the calculated threshold
value and/or preference statement from preference determination in the results tables for preference
determination in Preference Processing. In the area menu, choose Risk Management Preference
Processing Validity Range Administrative Unit and select an administrative unit. Now choose
Preference Determination Determination (tab) Document Bills of Material Perform
Determination and enter the appropriate selection criteria.
The system shows the results of preference determination for your selection criteria in the
Determination Info, Logs [page 328], and System Messages [page 331] tab pages.
You can see the parameters used for the selection criteria for preference determination in the
determination information. After running preference determination, in the menu bar Information for
Determination Run [page 332] choose Log Display .
3. You can also see the results of preference determination in the customs logs [page 340] of Preference
Processing , as well as display the preference results for specific documents [page 339].
4. As soon as the system ends preference determination for a BOM, it sets the corresponding entries in
the worklist for Preference Processing to status Calculated. You can see the determination status in the
worklist for configurable BOMs. If an entry in the worklist for configurable BOMs [page 337] in the GTS
system still has status Calculated , instead of Result Transferred to Feeder System, a temporary block
or failure of the feeder system may have prevented this status change in the feeder system worklist.
You can see the details of this in transaction code SM58. Navigate to the transfer of the determination
status from the worklist in the GTS system to start the status transfer again.
6. Transfer the result of preference determination to the order in the feeder system
1. When preference determination is complete, the system sets status Completed for the affected entries
in the worklist and writes the document references for the order that contained the configurable BOM
as an item to a system table. If this process succeeds, the system sets status Result Transferred to
Feeder System for the entry in the feeder system worklist.
2. To transfer the result of preference determination to the order in the feeder system, the system
simulates an order change and saves the order again. This is strictly a technical process; no order data
is changed. The time of this simulated order change depends on the intervals you have defined in
program /SAPSLL/SD0A_OBJSSF_PROCESS_R3 (process worklist for follow-on functions for orders)
through batch jobs in background processing, or execute manually.
3. When the order with configurable materials is saved in the feeder system, the system selects all entries
in the feeder system worklist that have status Completed. The feeder system communicates with
Preference Processing and determines the result of preference determination (preference statement
and threshold value) for each order item in the feeder system, and then sets the corresponding
preference indicators in the order.
7. Transfer the result of preference determination to the billing document in the feeder system
Analogous to the procedure for the order, the system determines the result of preference determination
and sets the corresponding preference indicators for the order-related BOM for configurable products at
item level in the billing document.

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8. Delete the worklist of configurable bills of material
1. Select the entries marked for deletion in the worklist of the feeder system. This information is then
transmitted to the GTS system.
2. The GTS system aligns the corresponding entries in the worklist. The results are displayed in pairs.
3. The entries determined for deletion in the GTS system are set to the status 90 Marked for Deletion.
4. When this step finishes successfully, the system deletes the entries in the worklist of the feeder
system.

6.1.6.2.1 Displaying the Worklist for Configurable Bills of


Material

Use

The worklist for configurable bills of material contains entries for all order-related BOMs of configurable
products that you have transferred from the feeder system to Preference Processing for preference
determination. Based on the status of the entries in this worklist, you can determine which process steps the
system has already carried out for determinating preference statements for configurable bills of material.

In addition to the display of transferred configurable BOMs and their processing status for automated process
h