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SPL Data XML format - list type activation

Former Member
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Hi all,

Data provider supply data in XML format. It has reference codes of all. Here the requirement is for certain countries all is not required, only few they need. I can do configuration in SAP GTS, creating legal regulations and assigned list types whatever client is choosing. I have a doubt, the XML data provided by data provider will have complete lists. When I upload XML data, whether the system will through data inconsistency error. The scenario is like this, I am getting 50 list types from data provider but all legal regulations doesn't need fifty. I am activating 20 for SPLA, 20 for SPLB and 10 for SPLC

I will get one file from data provider which will have all list types. I want data should update matching the individual legal regulations. Whether the system will through data inconsistency error when I try to upload.

Can anybody clarify

Regards,

Ramji

Accepted Solutions (0)

Answers (2)

Answers (2)

Former Member
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You may be lucky enough to have the service provider parse out the list although I have my doubts as that would probably open a can of worms for them. essentially they would be creating a custom list for customers which won't be in their best interest.

I think you probably could manipulate the file and delete the unwanted list entries but then you'd have to do that for all updates etc. That to me seems like a lot of extra non-value added work.

Why can't you just use the lists provided if those other lists aren't really relevant 1) you probably won't get many if any hits on those and 2) even if you did you can release them as basically false positives.

The only other idea I can think of is to configure all the lists but then expire all the records for those lists. Again this would be a lot of work for little value though.

Chris

Former Member
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Hi Chris,

Removing false positives is the additional burden for the business that is the reason business don't want to add few list types for certain countries.

Manipulating data file by deleting the unwanted entries is not only unwanted extra work but also not advisable in the compliance perspective. The data provided should be uploaded the same manner without modification then only we can expect accountability from data provider for the data supplied from their end.

Yes, getting the parsing file the way we want from data provider is the big challenge

I have an option setting the validity with past date. My doubt is, it may cause audit issue

@Dave Willis any input from your end

Please share

Regards,

Ramji

Former Member
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Ramji,

Just to let you know - we were able to get the XML files by list type from custom info.

Please check with them and they will be able to help you with the initial loads by list type.

I got - ACL/BOE/CITA/FBI/HKMA/SECO/WB etc.

Regards

Rajesh

Former Member
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Hi Rajesh,

Thanks for the information. As far as I know, Customs Info is providing Tariff information, not SPL data. They able to provide, but, SPL data providers generally prepares data with the information they are getting from various sources. In general, they update in one file and share it with clients. Anyhow, I will check with data provider as you suggested

Once again thanks for your inputs and suggestion

Regards,

Ramji

Former Member
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Hi Ramji,

Customs info took over Mk-Denial and now its just customs info Descartes.

Good luck with your follow up. Thanks.

Regards

Rajesh

former_member215181
Active Contributor
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Hi Ramji,

No, no comment from me.

Over the years, I've tried occasionally to get interested in checking names & addresses, but always failed.  In my view, SPL should be part of the HR module, so that all of the boring functionality can be in the same place .  Moving goods across borders is my excitement!

Regards,
Dave

shrinivas_hosmani
Active Participant
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Hi Ramji,

My 2 cents on how the service providers work. Pardon me, if I may be going off topic a little here but should give insight on why the service provider sends all lists on the files and how you should deal with it. There is no doubt if you get many list types and they aren't defined in the system, you will have errors for those list types which didn't get loaded.

The service providers charge based on the certain lists that you request. They have a generic file which comes with various lists which are listed (all OFAC related one like SDGT, SDNT, SDNI, IRAN, SDNZ and many more). Why the generic file has so many of them, here's a bird's view from the Treasury Dept of US. If you look at it, you will find SDN and non-SDN lists together.


https://www.treasury.gov/resource-center/sanctions/Programs/Pages/Programs.aspx

Again from a US business standpoint, OFAC (office of foreign assets control) expects all US incorporate entities and their foreign branches to screen all the business partners against the relevant lists updated by OFAC. Customs Info procures data from OFAC as one of the sources.

https://build.export.gov/main/ecr/eg_main_023148

Similar to OFAC, the dept of Commerce publishes another list which has a different set of objectives

which the business are expected to perform from a screening standpoint and Customs Info uses this also as a source https://build.export.gov/main/ecr/eg_main_023148

Finally, we have another kind of file which is a premium content file, expensive in nature than the generic files on an annual basis. The premium content files are based on a business specific requirement you carry out in certain countries again, like CTL ( canadian restricted entities, BOE (Bank of England), GSA, FBI etc.  All UK based business are screened against BOE list type.

So if your business or the country you are operating doesn't require a specific list type, ask Customs Info to disable that list type on the file when they are generating or sending updates, subscription for that specific list type is disabled. The service provider will/should be able to do it. I have requested this on quite a few occasions based on the business requirement.

Again, this is not a system manager (IT) decision, this is a business decision before requesting to stop receiving the list type from the service provider which the Compliance Manager needs to decide.

Good luck!

-Shrini

Former Member
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Hi Dave,

Thanks for your response

True. I agree, but, RPL screening is not only of Employees, it is also checked, customers and vendors. Content is the key factor in compliance and tariff classification decisions. Former decides whether we can receive or ship.,Latter gives a correct picture about duty calculation .  Future of SAP GTS offering will be based on the content providing to the clients. Other GTM vendors are offering this, but, SAP is not. How you envisage SAP GTS market ?

Regards,

Ramji

Former Member
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Hi Shrini,

Thanks for the information. Welcome back ,after a long time  ... I still remember AMAT days... How are the things for you...

By the way, yes, we can ask the content provider to filter the list. But, in this case, we need to switch on or off based on scenarios. What we decided to do is, the system accepts the uploading combination of Legal Regulation and Type of SPL lists. Data provider will send data in XML format, many list types will be there. Whichever the legal regulation and list types combination we activated that will get uploaded .

For example ,

PLUS activated with SDGT and SDNT . XML has many list types ERL, UNS , SDGT and SDNT . The system uploads SDGT and SDNT only

Of course, this is a business decision. Business side compliance team only has to decide which one to add , which one to remove. The reason for not activating is many false positive cases and workload for compliance team.

Content is going to be the key factor in the areas of SPL screening and tariff classification. SPL list types growing every day , there is one GTM software vendor offers 218 lists. SAP GTS is not offering content. what will be the future of it, I am asking the same question what I asked to Dave.

Thanks once again for your valuable inputs

Regards,

Ramji

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Hi Ramji,

Usually you should have all the lists configured for the relevant Legal regulations irrespective of usage. But you can also upload based on list type, if you look at SPL XML upload screen you can see type of list field may be you can try this option, but not sure how far this works.

Please let me know if this works.

Thanks

RK

Former Member
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Hi Ramakrishna

Thank you so much for your reply. I understood your logic what you are saying. My concern is, I will get content from data provider with all list types. The content has to be exactly connect with activated legal regulation. Since, list type is not there,system should not generate consistency error. The problem is data provider will not generally split files and transfer the data we want. If I rule out the possibility of consistency error due to list type not available, then I believe can be managed the way you said. So far, I uploaded data for legal regulation activated for all list types. I haven't done by switching on and off list types like this. Do you have any experience like that

Once again thanks for your quick response

Regards

Ramji

0 Kudos

Hi Ramji,

I have never tried this, but splitting may not be possible in my view ...however you can still write an email to the Data provider for clarification.

Thanks