GTM “GT007” Training

Restricted Party Screening with Customs Info

Student Guide for Hands-on Exercise

Created: 2015-01-06
Revised: 2015-01-21
Contents
1 Introduction 4
2 General Instructions 4
2.1 Read Email from Instructor with Instructions for Logging into yourdomain 4
2.2 Domain Name 4
3 Restricted Party List Screening (RPLS) Configuration 5
3.1 Create Service Parameter 5
3.2 Create Service Preferences 5
3.3 Test Service Preferences using Ad Hoc Restricted Party Screening 6
3.3.1 RPLS Test 1 6
3.3.2 RPLS Test 2 7
3.3.3 RPLS Test 3 7
3.3.4 RPLS Test 4 7
3.3.5 RPLS Test 5 7
4 Destinations Sanctions Screening 8
4.1 Create Region Data 8
4.2 Create Regime 8
4.3 Create Authority 8
4.4 Create Jurisdiction 9
4.5 Create Control Category 9
4.6 Create Control Type 9
4.7 Create Control Code 9
4.8 Create Compliance Rule 10
4.9 Create Compliance Rule Set 10
4.10 Create Compliance Rule Set Group 11
4.11 Test Sanctions Screening using Ad Hoc Sanctioned Territory Screening 11
4.11.1 Sanctioned Territory Test 1 11
4.11.2 Sanctioned Territory Test 2 11
5 Trade Party Screening 12
5.1 Create Trade Party 12

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 5.2 Test RPLS and Sanctions Screening on Trade Party 12
6 Summary 13

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1 Introduction
This guide provides high-level instructions for completing the hands-on training exercise for GT007:
Restricted Party Screening with Customs Info. This course will introduce several ways to perform trade
compliance screening in a variety of operational scenarios. You will be introduced to GTM basic
concepts including Parties, Actions, Restricted Parties Lists, Compliance Rules, Service Preferences, and
Service Parameters. This course assumes Global Trade Management business knowledge, but no prior
experience with Oracle GTM.

As detailed instructions were provided during the presentation, this document contains high level
instructions and the required data entry content. In addition, the instructions in this document start
very detailed, with each click of the mouse explained. As you progress through the document and gain
some familiarity with common GTM configuration tasks, the instructions become less explicit – for
example, it will be assumed that you know you need to click NEW to create something new, and that
you always need to click FINISHED after completing a piece of configuration, so steps like that will no
longer be explicitly stated.

If you need more detailed instructions during the class, please ask the instructor for help. Following the
exercise, the PowerPoint from the presentation will be made available to you for future reference.

2 General Instructions
2.1 Read Email from Instructor with Instructions for Logging into
yourdomain
Read the email from your instructor with instructions for logging into yourdomain.

Record yourdomain here: ______________________

Record your User Name here: ______________________

Record your Password here: ______________________

2.2 Domain Name

As you are configuring, you’ll see the Domain name in most screens. In all cases, keep the domain
name as it is – do not change the Domain name.

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3 Restricted Party List Screening (RPLS) Configuration
3.1 Create Service Parameter
Trade Master Data > Screening Service Configuration > Service Parameter

Follow the Menu Link above.

Click NEW to create a new Service Parameter.

Create a new Service Parameter according to the following data table:

Service Parameter Tab Value

Service Parameter ID RPLS_SCREENING
Service (Service Preference Details) RESTRICTED PARTY SCREEN
Service Parameter Details Tab Value
Parameter Name nameCompanyAddressCityProvinceCountry
Match Direction Forward
Forward Threshold 0.85
Reverse Threshold (leave blank)
Weight 1
Match Default No Match
Disable Highlighting Unchecked
Click SAVE on the right hand side.
Click FINISHED at the top of the screen.

3.2 Create Service Preferences

Trade Master Data > Screening Service Configuration > Service Preference

Create new Service Preferences according to the following data tables:

Service Preference Tab Value

Service Preference ID RPLS_SCREENING_D95
Service RESTRICTED PARTY SCREENING
Service Preference Configuration (click the ) Value
Data Version ID (leave blank)
Data Source (click the List icon ) Customs Info
Match Engine Dice
Threshold 0.95
Exclude Words (no spaces!) INC,CORP,AND
Agency Code (leave blank)
Screening Field Parameter RPLS_SCREENING
Click SAVE.
Back in the Service Preference Screen, click SAVE to save the line. Then click FINISHED.
Click Create Another.

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Service Preference Tab Value
Service Preference ID RPLS_SCREENING_D80
Service RESTRICTED PARTY SCREENING
Service Preference Configuration (click the ) Value
Data Version ID (leave blank)
Data Source (click the List icon ) Customs Info
Match Engine Dice
Threshold 0.80
Exclude Words (no spaces!) INC,CORP,AND
Agency Code (leave blank)
Screening Field Parameter RPLS_SCREENING
Click SAVE, then SAVE the line, then click FINISHED.
Click Create Another.

Service Preference Tab Value

Service Preference ID RPLS_SCREENING_S95
Service RESTRICTED PARTY SCREENING
Service Preference Configuration (click the ) Value
Data Version ID (leave blank)
Data Source (click the List icon ) Customs Info
Match Engine Soundex
Threshold 0.95
Exclude Words (no spaces!) INC,CORP,AND
Agency Code (leave blank)
Screening Field Parameter RPLS_SCREENING
Click SAVE, then SAVE the line, then click FINISHED.

3.3 Test Service Preferences using Ad Hoc Restricted Party Screening

Trade Compliance Management > Trade Compliance Screening > Restricted Party Screening

Use Restricted Party Screening to test out your new Service Preferences. ***Be careful when spelling
the name and selecting the Service Preference for each Test Scenario.***

3.3.1 RPLS Test 1

Use Restricted Party Screening to test out your new Service Preferences. Specify the attributes in the
following table. All other fields can be left blank.

Name Value
First Name Patricia
Last Name Ortis

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Country COL (Colombia)
Service Preference ID RPLS_SCREENING_D95

Click on Match. What is the Match Factor of the resulting Match?

Click on the Review Match Factor Icon to review how the match factor was calculated.

Note: Occasionally I’ve gotten errors in the user interface when using Ad Hoc Restricted Party
Screening. Generally if you click Refine Match and run your screening again with the exact same criteria
the issue will be resolved.

3.3.2 RPLS Test 2

What happens if you change the name to Patrisha Ortiz?
 Click on Refine Match to change your searching criteria.
 Change the spelling of the name to Patrisha Ortiz.
 Select the Service Preference RPLS_SCREENING_D95

How many matches do you get?

3.3.3 RPLS Test 3

Click on Refine Match again. Keep the spelling of the name Patrisha Ortiz, but this time change the
Service Preference to RPLS_SCREENING_D80.

How many matches do you get? What is the match factor of the resulting match? Why do you get a
match this time, but you did not with RPLS_SCREENING_D95?

3.3.4 RPLS Test 4

Click on Refine Match again. Change the spelling of the name to Patricia Ortis again. Keep the Service
Preference of RPLS_SCREENING_D80.

How many matches do you get? Do you think most of these are ‘good’ matches that a person should
have to review?

3.3.5 RPLS Test 5

Click on Refine Match again. Change the spelling of the name to Patrisha Ortiz. Change the Service
Preference to RPLS_SCREENING_S95.

How many matches do you get? What is the Match Factor?

Click on the Review Match Factor Icon to review how the match factor was calculated.

What are the differences between the Soundex and Dice Match Engines? Look in Help to find out!

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4 Destinations Sanctions Screening
4.1 Create Region Data
Trade Master Data > Power Data > Geography > Regions

Note: Country codes come as part of the OTM/GTM public data, so we don’t need to create them.

Create Region data according to the following data tables:

Name Value
Region ID USA_AND_TERRITORIES
Click on New Region Detail to add each country, then Click SAVE for each one.
Click on the List icon to find the Geo Hierarchy ID.
Geo Hierarchy ID = Country USA
Geo Hierarchy ID = Country GUM
Geo Hierarchy ID = Country VIR
Geo Hierarchy ID = Country PRI
****Click FINISHED

Name Value
Region ID USA_SANCTIONS
Geo Hierarchy ID = Country CUB
Geo Hierarchy ID = Country SYR
Geo Hierarchy ID = Country SDN
Geo Hierarchy ID = Country IRN
Geo Hierarchy ID = Country PRK
****Click FINISHED

4.2 Create Regime

Trade Master Data > Power Data > Jurisdiction > Regime

For our class today, we only require the Regime of EAR. This comes as part of the GTM public data, so
we don’t need to create it.

4.3 Create Authority

Trade Master Data > Power Data > Jurisdiction > Authority

Create Authority data according to the following data table:

Name Value
Authority ID US-BIS
Name US Bureau of Industry and Security
Description US Bureau of Industry and Security

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4.4 Create Jurisdiction
Trade Master Data > Power Data > Jurisdiction > Jurisdiction

Create Jurisdiction data according to the following data table:

Name Value
Jurisdiction ID US-BIS-EAR
Name (leave blank)
Description (leave blank)
Authority ID US-BIS
Regime ID EAR

4.5 Create Control Category

Trade Compliance Management > Power Data > Compliance Rule > Control Category

For our class today, we only require the Control Category of SANCTION. This comes as part of the GTM
public data, so we don’t need to create it.

4.6 Create Control Type

Trade Compliance Management > Power Data > Compliance Rule > Control Type

Create a new Control Type according to the following data table:

Name Value
Control Type EAR_SANCTIONS
Control Category ID SANCTION
Regulation Reference ID (leave blank)
Regime ID EAR

4.7 Create Control Code

Trade Compliance Management > Power Data > Compliance Rule > Control Code

Create a new Control Code according to the following data table:

Name Value
Control Type ID EAR_SANCTIONS
Regulation Reference ID (leave blank)
Control Code EAR_SANCTIONS_USA
Description (leave blank)
Precedence (leave blank)

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4.8 Create Compliance Rule
Trade Compliance Management > Power Data > Compliance Rule > Compliance Rule

Create two Compliance Rules according to the following data tables:

***When choosing the Region Qualifier ID’s, ensure you choose the SHIP_FROM and SHIP_TO with the
UNDERSCORES as there are also versions without underscores.***

***Ensure that the INCLUDED box IS CHECKED for each Region Line.***

Name Value
Compliance Rule ID EAR_SANCTIONS_USA_RULE_1
Control Category SANCTION
Active Checked
Scroll Down to the Regions Section and add the two regions listed below.
Check the Included Check Box for each line. Click SAVE for each line.
Region Qualifier ID = SHIP_FROM USA_AND_TERRITORIES (Included = Checked)
Region Qualifier ID = SHIP_TO USA_SANCTIONS (Included = Checked)
Click on the Controls button at the bottom of the screen – this will take you to the Controls Tab
Control Type EAR_SANCTIONS
Control Code EAR_SANCTIONS_USA
Click FINISHED.

Name Value
Compliance Rule ID EAR_SANCTIONS_USA_RULE_2
Control Category SANCTION
Active Checked
Scroll Down to the Regions Section and add the two regions listed below.
Check the Included Check Box for each line. Click SAVE for each line.
Region Qualifier ID = SHIP_TO USA_SANCTIONS (Included = Checked)
Click on the Controls button at the bottom of the screen – this will take you to the Controls Tab
Control Type EAR_SANCTIONS
Control Code EAR_SANCTIONS_USA
Click FINISHED.

4.9 Create Compliance Rule Set

Trade Compliance Management > Power Data > Compliance Rule > Compliance Rule Set

Create Compliance Rule Set according to the following data table:

Name Value
Compliance Rule Set ID EAR_SANCTIONS_USA_RULE_SET
Description (leave blank)
Regime ID EAR
Compliance Rule ID EAR_SANCTIONS_USA_RULE_1

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Compliance Rule ID EAR_SANCTIONS_USA_RULE_2

4.10 Create Compliance Rule Set Group

Trade Compliance Management > Power Data > Compliance Rule > Compliance Rule Set Group

Create Compliance Rule Set Group according to the following data table:

Name Value
Compliance Rule Set Group ID EAR_SANCTIONS_USA
Compliance Algorithm ID EAR
User-Defined Code Profile ID (leave blank)
Sequence Number 1
Compliance Rule Set ID EAR_SANCTIONS_USA_RULE_SET
Control Override Option Not Allowed
Exception Override Type Not Allowed
Exception Restriction Unchecked

4.11 Test Sanctions Screening using Ad Hoc Sanctioned Territory Screening

Trade Compliance Management > Trade Compliance Screening > Sanctioned Territory Screening

4.11.1 Sanctioned Territory Test 1

Use Sanctioned Territory Screening to test out your new Service Preference. Specify the following
attributes, and remember to click SAVE to save the information in the grid before hitting Match.

Name Value
Compliance Rule Set Group (leave blank)
Involved Country Qualifier ID = SHIP_TO Country Code = SDN (Sudan)
Involved Country Qualifier ID = SHIP_FROM Country Code = USA (United States)
Transaction Date (leave blank)

With these attributes, we are proposing to ship goods from a party in the USA to a party in the Sudan.
We haven’t specified who the parties are, just where they are located.

Click Match. What are the results? A Red X means that your proposed shipment would violate a rule
contained in GTM, and identifies which rule you would violate.

4.11.2 Sanctioned Territory Test 2

Click on Refine Match and edit the SHIP_FROM line by clicking on the pencil icon.

 Change the country code to CAN (Canada).

 Click SAVE to re-save the line
 Click Match. What are the results?

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5 Trade Party Screening
5.1 Create Trade Party
Trade Master Data > Party Management > Party Manager

Create a new Trade Party according to the following data table:

Name Value
Party ID PA001
First Name (leave blank)
Last Name (leave blank)
Company Name OCEAN MARITIME MANAGEMENT COMPANY
LIMITED
Click on the NEW icon next to Location ID to create a new location.
Location ID LOC001
Address Lines CPO BOX 120, TONGHUNG-DONG, GHUNG-GU
City PYONGYANG
Province Coe (leave blank)
Country Code PRK
Time Zone Asia/Pyongyang
Click FINISHED.
Back in the Party screen, click FINISHED again.

5.2 Test RPLS and Sanctions Screening on Trade Party

Trade Master Data > Party Management > Party Manager

Note – this is a bit of a long procedure and it is designed to show you how the process works, and where
you can find information. Generally, this screening process is automated with agents, and there are
much faster ways to review screening results. The procedure below is not the approach users of GTM
would use in their daily work processes.

Click search to find the party you just created – Party PA001.

o Select PA001, and click Actions

o Choose Restricted Party Screening
o Choose Service Preference ID RPLS_SCREENING_D95
o Click Screen Party
o Wait while it finishes processing – it will say Performing Action
o Your potential matches will be displayed. Scroll sideways to see the ‘Potential Match’ Status
o Click SAVE and close the window
o Click Edit on Party ID PA001

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 o Click on the Status button to see the current screening status – it should be
RPLS_REQUIRES_REVIEW
o Close the Status Window
o Click Actions at the top of the screen
o Click OK when it tells you to be sure to save any changes
o Choose Review Screening Results – the Potential Matches window should open
o Select the Restricted Party (check box)
o Click on Set Verified Match
o Scroll sideways to see the new status of ‘Verified Match’
o Click on SAVE
o Back in the Party window, click on FINISHED
o Click Edit on Party ID PA001 again
o Click on the Status button to see the current screening status – it should be RPLS_FAILED
o Close the Status Window
o Click Actions at the top of the screen
o Click OK when it tells you to be sure to save any changes
o Choose Sanctioned Territory Screening
o Click on Screen Sanctioned Territory
o Review any Screening Matches
o Close the Screening Window and click FINISHED on the Party
o Click Edit on Party ID PA001 again
o Click on the Party Screening Matches Tab – review the results contained on the Party
o Click on the Sanctioned Territory Screening Matches Tab – review the results contained on the
Party

6 Summary
This concludes the hands-on exercise for GT007.

We can cover any outstanding questions you may have during our review of the exercise.

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