Restricted Party Screening in GTM
Restricted Party Screening in GTM
Restricted Party Screening in GTM
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<strong>Restricted</strong> <strong>Party</strong> List <strong>Screen<strong>in</strong>g</strong> <strong>in</strong> <strong>GTM</strong><br />
Andrew Shang<br />
August 2012
Agenda<br />
• Overview<br />
• How to trigger <strong>Restricted</strong> <strong>Party</strong> List <strong>Screen<strong>in</strong>g</strong> (RPLS)<br />
• Service Preference and Service Parameter<br />
• Different Types of RPLS
Agenda<br />
• Overview<br />
• How to trigger <strong>Restricted</strong> <strong>Party</strong> List <strong>Screen<strong>in</strong>g</strong> (RPLS)<br />
• Service Preference and Service Parameter<br />
• Different Types of RPLS
Are you supposed to fulfill this order<br />
• Send 10 super<br />
computers to al-Qaeda,<br />
Afghanistan
RPLS Overview<br />
• U.S. <strong>in</strong>dividuals and companies are restricted or<br />
prohibited from export<strong>in</strong>g to any party conta<strong>in</strong>ed <strong>in</strong> U.S.<br />
government export denial, debarment, and blocked<br />
persons lists.<br />
• Most of other countries have similar k<strong>in</strong>d of regulations.<br />
• There are heavy penalties <strong>in</strong>volved if you ship to a<br />
denied party, and could lead to denial or restriction of<br />
export privileges.
RPLS Overview<br />
• To screen all parties you are do<strong>in</strong>g bus<strong>in</strong>ess with<br />
aga<strong>in</strong>st the restricted party list, to stop transactions with<br />
restricted party <strong>in</strong>volved<br />
Contacts<br />
Service<br />
Preference<br />
<strong>Restricted</strong><br />
Parties
Product Classification<br />
<strong>Restricted</strong> <strong>Party</strong> <strong>Screen<strong>in</strong>g</strong><br />
RPLS <strong>in</strong> <strong>GTM</strong> footpr<strong>in</strong>t<br />
Classify Screen Execute File / Report Audit<br />
Trade Transaction Management<br />
Global Data Model<br />
Trade Content Repository<br />
Configurable Rules Eng<strong>in</strong>e<br />
Document Generation and Repository<br />
Cross Enterprise Visibility, Event Management, and Workflow<br />
Transportation Management
RPLS <strong>in</strong> <strong>GTM</strong> footpr<strong>in</strong>t
RPLS should happen when<br />
• A Contact Master is created<br />
• A Contact Master (<strong>in</strong>c. Location) is modified<br />
• An Order is booked<br />
• An Order is modified<br />
• A shipment is created<br />
• A shipment is modified<br />
• <strong>Restricted</strong> <strong>Party</strong> List is updated<br />
• A quotation is required<br />
• etc
Agenda<br />
• Overview<br />
• How to trigger <strong>Restricted</strong> <strong>Party</strong> List <strong>Screen<strong>in</strong>g</strong> (RPLS)<br />
• Service Preference and Service Parameter<br />
• Different Types of RPLS
How to trigger RPLS<br />
• Ad-hoc<br />
• User Action<br />
• Agent Action<br />
• Web Service<br />
• Batch Process
Ad-hoc RPLS<br />
Ad-hoc restricted party list screen<strong>in</strong>g is performed us<strong>in</strong>g UI<br />
functionality.<br />
The typical use case for ad-hoc screen<strong>in</strong>g would be a<br />
request where no order or contact have been created.<br />
Example – Inquiry to determ<strong>in</strong>e if a job candidate is on<br />
a restricted list.<br />
Lets take the follow<strong>in</strong>g example:<br />
An HR Manager asks the compliance group to review a<br />
job applicant, “Hilton Langley” to determ<strong>in</strong>e if he/she is<br />
on any restricted party list.
Ad-hoc RPLS<br />
• The compliance department runs a screen<strong>in</strong>g us<strong>in</strong>g the<br />
first and last name as shown below.
Ad-hoc RPLS<br />
• <strong>Screen<strong>in</strong>g</strong> matches are returned, as shown below
User Action Triggered RPLS<br />
Contact<br />
Transaction<br />
Transaction L<strong>in</strong>e
Agent Action Triggered RPLS
RPLS as Stand-alone Service<br />
• Steps:<br />
• Send a request to <strong>GTM</strong><br />
• Request processed synchronously<br />
• <strong>GTM</strong> sends a response back<br />
• No transaction data stored <strong>in</strong> <strong>GTM</strong><br />
• No state <strong>in</strong> <strong>GTM</strong><br />
• Optional service preference and service parameter<br />
can be specified <strong>in</strong> service request<br />
18
RPLS as Stand-alone Service<br />
Send<strong>in</strong>g System<br />
ServiceRequest XML<br />
<strong>GTM</strong><br />
Processed<br />
ServiceResponse XML<br />
19
Batch Process Triggered RPLS
Agenda<br />
• Overview<br />
• How to trigger <strong>Restricted</strong> <strong>Party</strong> List <strong>Screen<strong>in</strong>g</strong> (RPLS)<br />
• Service Preference and Service Parameter<br />
• Different Types of RPLS
Service Preference and Service<br />
Parameter<br />
• The configuration to determ<strong>in</strong>e the criteria of<br />
“Potential Match” and “No Match”<br />
22
Service Preference and Service<br />
Parameter<br />
• Case1:<br />
• <strong>Screen<strong>in</strong>g</strong> “HILTON LANGLEY” with the first and last name<br />
entered and country selected as USA and no service<br />
preference selected.
Service Preference and Service<br />
Parameter<br />
• Case2:<br />
• <strong>Screen<strong>in</strong>g</strong> “HILTON LANGLEY” with the first & last name entered,<br />
country selected as USA, and a service preference to screen by<br />
Company Name and Country (Match default is no match).<br />
• In this case NO matches are returned s<strong>in</strong>ce the service preference<br />
created ignores the first and last name.
Service Preference and Service<br />
Parameter<br />
• Case3:<br />
• <strong>Screen<strong>in</strong>g</strong> with the company name entered as “NUCLEAR”, country<br />
selected as USA, first name as “HILTON”, last name as “LANGLEY” and<br />
select<strong>in</strong>g service preference to screen on Company Name and Country.<br />
• In this case matches are returned just for the company name and the<br />
country ignor<strong>in</strong>g the first name and last name.
Agenda<br />
• Overview<br />
• How to trigger <strong>Restricted</strong> <strong>Party</strong> List <strong>Screen<strong>in</strong>g</strong> (RPLS)<br />
• Service Preference and Service Parameter<br />
• Different Types of RPLS
Different Types of <strong>Restricted</strong> Parties<br />
• Government Lists<br />
• US, UK, etc<br />
• Your or your client’s own “Black List”<br />
• Parties whom we don’t want to do bus<strong>in</strong>ess with<br />
• Red Flag Words<br />
• “nuclear”, “chemical” and “biological”, etc<br />
• Embargoed Countries<br />
• To set each Embargoed Country as a <strong>Restricted</strong> <strong>Party</strong><br />
• An alternative to standard Embargoed Country <strong>Screen<strong>in</strong>g</strong><br />
functionality
Government Lists<br />
• Bureau of Industry and Security (BIS) - denied<br />
parties, entities, unverified and embargoed.<br />
• Office of Foreign Assets Control (OFAC) - OFAC<br />
Sanctioned Countries<br />
• State Department - missile technology, debarred<br />
parties, designated terrorist organization, chemical &<br />
biological weapons, arms embargo
Government List<br />
For Oracle employees and authorized partners only. Do not distribute to third parties.<br />
© 2010 Oracle Corporation – Proprietary and Confidential
Government Lists<br />
• Downloadable from CustomsInfo, which was<br />
orig<strong>in</strong>ally from MK Denial<br />
• Updates are automatically downloaded every now<br />
and then<br />
• Usually kept <strong>in</strong> public doma<strong>in</strong> as user are not<br />
supposed to edit them<br />
• Client can choose to download all lists or part of<br />
them
Dilemma – Name, Address or both<br />
• If screen<strong>in</strong>g Full Name only, follow<strong>in</strong>g may not be<br />
a match<br />
• Match if screen<strong>in</strong>g Address/City/Country without<br />
Name<br />
Contact<br />
<strong>Restricted</strong> <strong>Party</strong><br />
Full Name JENNY SMITH WILLEM LOUW<br />
Address<br />
c/o: WILLEM<br />
LOUW<br />
26 Andre Ave.,<br />
President Ridge<br />
26 Andre Ave.,<br />
President Ridge<br />
City RANDBURG RANDBURG<br />
Country SOUTH AFRICA SOUTH AFRICA
Dilemma – Name, Address or both<br />
• But if screen<strong>in</strong>g Address/City/Country only,<br />
follow<strong>in</strong>g may not be a match, though the contact<br />
address is only one block away<br />
Contact<br />
<strong>Restricted</strong> <strong>Party</strong><br />
Full Name WILLEM LOUW WILLEM LOUW<br />
Address 1 Bridge Street 26 Andre Ave.,<br />
President Ridge<br />
City RANDBURG RANDBURG<br />
Country SOUTH AFRICA SOUTH AFRICA
Dilemma – Name, Address or both<br />
• If screen<strong>in</strong>g Full Name/Address/City/Country,<br />
follow<strong>in</strong>g is still not a match, though the contact<br />
address is only one block away<br />
Contact<br />
<strong>Restricted</strong> <strong>Party</strong><br />
Full Name JENNY SMITH WILLEM LOUW<br />
Address<br />
c/o: WILLEM<br />
LOUW<br />
26 Andre Ave.,<br />
President Ridge<br />
26 Andre Ave.,<br />
President Ridge<br />
City RANDBURG RANDBURG<br />
Country SOUTH AFRICA SOUTH AFRICA
Dilemma – Name, Address or both<br />
• Solution: Screen twice. First time Full Name/<br />
Country, Contact 2 matches. Second time Full<br />
Address/City/Country, Contact 1 matches.<br />
Contact 1 Contact 2 <strong>Restricted</strong><br />
<strong>Party</strong><br />
Full Name JENNY SMITH WILLEM LOUW WILLEM LOUW<br />
Address<br />
c/o: WILLEM<br />
LOUW<br />
26 Andre Ave.,<br />
President Ridge<br />
1 Bridge Street 26 Andre Ave.,<br />
President Ridge<br />
City RANDBURG RANDBURG RANDBURG<br />
Country<br />
SOUTH<br />
AFRICA<br />
SOUTH<br />
AFRICA<br />
SOUTH<br />
AFRICA
Red Flag words<br />
• All examples below are considered as match<br />
• Red Flag word: Tehran<br />
Contact 1 Contact 2 Contact 3<br />
Company<br />
Name<br />
University of<br />
Tehran<br />
College of<br />
Eng<strong>in</strong>eer<strong>in</strong>g<br />
Address Enqelab Ave Enqelab, Ave,<br />
Tehran<br />
City<br />
College of<br />
Eng<strong>in</strong>eer<strong>in</strong>g<br />
Enqelab Ave<br />
Tehran<br />
Country UAE UAE
Red Flag words<br />
• Set up <strong>in</strong> <strong>Restricted</strong> <strong>Party</strong>
Red Flag words<br />
• Will the configuration below work<br />
• Answer: No!
Red Flag words<br />
• How about this<br />
• Answer: Yes!
Embargoed Countries<br />
• Standard Embargoed Country <strong>Screen<strong>in</strong>g</strong> on<br />
Contact Master<br />
• Set up Sanction Compliance Rule, Rule Set<br />
and Rule Set Group<br />
• Screen Contact Masters by the Sanction Rule<br />
Set Group either manually or by agent
Embargoed Country <strong>Screen<strong>in</strong>g</strong><br />
• Embargoed Country <strong>Screen<strong>in</strong>g</strong> on Contact<br />
Master by RPLS<br />
• Set up Embargoed Countries as Red Flag<br />
words, e.g. Iran
Embargoed Country <strong>Screen<strong>in</strong>g</strong><br />
• Embargoed Country <strong>Screen<strong>in</strong>g</strong> on Contact<br />
Master by RPLS<br />
• Contacts <strong>in</strong> Embargoed Countries will be<br />
caught as Red Flag word matches
Questions and Answers
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