SAP GTS -Restricted Party List screening features
In SAP RPL feature available in GTS compliance management
In SAP GTS, RPL feature available in module called compliance management, the available feature can do screening of FI, HR and logistics. SPL Content has to be sourced from third party service providers. SAP supports standard and Fuzzy logic. . Additionally, screening can be scheduled or to run ad-hoc as new business partners are added. Further, those required denied party lists can be updated with the latest versions of the lists (delta-files) from the issuing government agencies and international authorities. The SAP-GTS system would maintain those lists as well as log all updates and screenings. The SAP-GTS software would then identify if any business partner is a reasonable match to an entry on the denied party lists. The SAP-GTS software would then block any business connected to the software for that “possible positive” identification. The SAP-GTS software would then notify the company’s authorized compliance team or legal team for further verification. If a positive match is encountered then the compliance/legal team are obligated to alert the appropriate authorities.
SPL Master Data which can be get it from third party service provider. SAP GTS supports screening against multiple lists. Content can be uploaded either manually or automatically through PI interface.But SAP doesn’t own SPL master data.
The PST.AG is the official data provider for SAP GTS. All data are available also in SAP-XML format.
Data Loader is the module offered by PST that automatically transfers current data in SAP-GTS. This module replace manual uploads in SAP-GTS and secures the verification and execution of business processes based on the current valid directives.
MK Denial services also supplying SPL Master data as XML files.
Customer can use content life cycle management (CLM) to manage contents provided by third party agents who is supplying SPL Master data. Every GRC 10.0 version has this package. No separate license is required. It is excellent tool to manage content. It can be used in SPL and also in other areas process control , risk management and access control.
SPL Screening with the Web UI
Sanctioned Party List Screening in GTS Area Menu with SAP GUI
Sanctioned Party List Screening with Mobile App
Standard and Fuzzy logic
o Creating and Managing SPL Master Data
o Generating a Comparison Index for SPL Master Data
o XML Upload of Sanctioned Party Lists
SAP Trex 7.0 supports fuzzy logic
Unstructured data (documents)
Structured data (business objects)
Different search modes
Linguistic: stemming, etc.
Fuzzy: Search error tolerant
Wildcards and truncation’s ( * or ? )
Phrase search for complex expressions
Boolean operators (AND, OR, NOT…)
Highlighting / HTML conversion
Content Snippets (Abstracts)
Trex supports multiple languages
o Monitoring SPL Master Data
o Checking Upload Logs
Can be downloaded in excel format
Oracle has six GTM match engine to choose from
- Exact Match
- Sub string match
- Key word match
If Comparing John Paul to Jon Pal
System breaks into four string combinations
- John compared to Jon
- Paul compared to Pal
- John compared to Jon
- Paul compared to Pal
Bigram factor is calculated for each combination
- [ JO, OH , HN ] with [ JO , ON]
Field Match factor
Weighted against the length to calculate Field match factor
Every bigram combination is weighted against total word length
If Field match factor > threshold in Service Parameter
Then Multiply Field match factor by Weight in Service Parameter
Determine if total value in last step is greater than threshold in Service Preference
You now have the ability to define the match direction (forward, reverse, both) and threshold at the individual field level when using the Dice Engine. This capability allows you to configure GTM’s RPLS matching logic to calculate a match factor for the forward case i.e., match factor based on party value length and/or the reverse case where the match factor is based on the denied party value length. This enhancement improves the overall match quality by reducing the number of false positives.
The Dice Engine now supports Reverse Matching (i.e. with respect to Denied Party) • Available options are Forward, Reverse and Both • The Match Direction and Threshold can now be set at the Individual Field Level
In Oracle GTM 6.3.4 , work flow can be created separately for contract party screening (Batch) and transaction party screening. The Denied Party List Data Download now automatically checks the current Agency Code List to insure that Agency Codes included in the latest download already exist in the Agency Code list – if they do not already exist the new Agency Codes are automatically added to the list. Null fields ignored for determining match considerably reduce false positive cases
Review match factor helps to compare how match calculated between a party and restricted party . It provides the following information
Forward Matching Threshold
Reverse Matching Threshold
Highlights the matched Word
Modified Match Factor (based on weight age)
Overall Tolerance Check
Display the actual match value with tolerance values
Like SAP GTS, oracle GTM supports adhoc screening, but simulation without updating in the database is not available in GTM
Amber road is supplying content to clients. That gives bigger benefits for client, because Amber road supplies restricted party screening (RPS) software as part of Export Management suite.It enables exporters to quickly screen customers, suppliers, and other trading partners against over 300 restricted party lists from government institutions worldwide. Providing accurate and up to date content of restricted parties is the strength of Amber road. Since Amber road’s is not sharing publicly documentation, knowledge has to be acquired from information available in Internet domain. Integration of content and software is generally challenge in SAP GTS and GTM, but here it is minimized, since vendor supplying both software and trade content (Sanctioned Party Lists). Since company is taking ownership of content, client not necessary to bother much about audit issues. Also company is providing automated feeds integrated with software so that real time update of content is possible. If you depend on third party service provider there will be possibility of time lag and delay in update causing slipping of sanctioned party potentially cause non-compliance.
Amber road use advance word matching technologies, exact matching is not sufficient to demonstrate reasonable care, solution should be capable to compare how similar trade party and sanctioned party. Typical text matching algorithm can produce results with 90% accuracy and 35% false positive. But, Computational linguistics matching can bring 99.6% accuracy and less than 1 % false positive, lesser false positive rates can result in tremendous gain in productivity for compliance team.
Amber road also offered as on demand software (or) Software as a Service [SAAS]