Topic041 - Compliance Checking V6

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					Topic 041 - Compliance Checking V6
TRAXi3 Reference Guide                                        Topic041 - Compliance Checking




 Precision Software Limited



Precision software products are copyrighted and all rights are reserved by Precision Software
Limited.

This document is copyrighted and all rights are reserved. No part of this document may be
reproduced, transmitted, adapted, translated or electronically stored without the prior written
consent of Precision Software Limited.

TRAXi3  i3ship , i3trade  i3Comply  and XM4  and are registered trademarks of Precision
Software Limited.
Progress  is a registered trademark of Progress Software Corporation.

Precision Software Limited shall not be liable for errors contained herein or for incidental or
consequential damage or loss in connection with the use of this document. Whilst every effort is
made to eliminate errors, Precision Software Ltd. cannot be held liable for erroneous information
contained herein.




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TRAXi3 Reference Guide                                Topic041 - Compliance Checking




Document Control


Issue Control

Issue            Date           Changes Made
1.0              01 July 05     Updated for V6
1.1              11 July 05     Updated




Cross Reference




Change Summary

Nr.         Description                             Date        By whom
1.1         Formatting change                       23/05/05    Mark McMonagle
1.2         TRAXi3 update                           14/07/05    Mark McMonagle
1.3         Formatting changes                      31/01/06    Angela Magee
1.4         Formatting changes                      30/03/06    Angela Magee
1.5         Data-Integrity checks section updated   30/03/06    Angela Magee
1.6         Formatting changes (Fonts, etc.)        05/04/06    Angela Magee
1.7         DPL Subset checking info added          09/05/06    Angela Magee
1.8         Program Parameters explained            22/06/06    Angela Magee
1.9         Minimum checks usage for DPL/EBC        02/07/06    Angela Magee
2.0         Updated Y2 system parameters section    11/07/06    Angela Magee




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TRAXi3 Reference Guide                                                                     Topic041 - Compliance Checking




Contents
  Document Control ...................................................................................................................... 3
        Issue Control........................................................................................................................3
        Cross Reference ..................................................................................................................3
        Change Summary ................................................................................................................3
  Contents ...................................................................................................................................... 4
  Introduction ................................................................................................................................ 7
         How Does TRAXi3 International Trade Compliance Module Help? ..................................7
  Content ........................................................................................................................................ 7
  Compliance checks overview ................................................................................................... 9
         Denied Party Screening .....................................................................................................9
         Key Word Searches ...........................................................................................................9
         Embargoed Countries ........................................................................................................9
         Product Classification & Checks ........................................................................................9
         ECCN and License Determination .....................................................................................9
         Data Integrity Checks .........................................................................................................9
         End User Questions ........................................................................................................ 10
         Red Flag Indicators ......................................................................................................... 10
         CE Mark .......................................................................................................................... 10
         Transport Compatible Checks......................................................................................... 10
         Comprehensive Audit Trail .............................................................................................. 10
         Compliance Results Screen ............................................................................................ 10
  Configuring Compliance ......................................................................................................... 13
         Compliance Check Categories (CK) ............................................................................... 13
         Configuring a User/ECO Officer to Receive e-mail Failure Notifications ........................ 15
              Notify Contacts at CK Level ..................................................................................... 15
              Y2/Shipment System Parameter Level .................................................................... 15
              Y2/Shipment Parameter Setting by User/Client....................................................... 17
         Transaction/Shipment Types (ZS) .................................................................................. 18
         Compliance Checks ........................................................................................................ 18
         Partner Types to Check for Compliance ......................................................................... 19
         Y2 Systems Values ......................................................................................................... 20
              DPL Subset Checking .............................................................................................. 24
              Hazmat Item Compatibility Checking ....................................................................... 25
  Denied Party List (DPL) ........................................................................................................... 26
         Configuring TRAXi3 for DPL Settings ............................................................................. 26
         DPL - Text Boxes ............................................................................................................ 27
         DPL - Define Roles to be Checked ................................................................................. 28
         DPL - White List Checking .............................................................................................. 28
         DPL - Blank Countries ..................................................................................................... 28
         DPL - Cached Result ...................................................................................................... 29
         DPL - Additional Parties Checking .................................................................................. 29
         DPL - Contact Information............................................................................................... 30
         Manually Adding a DPL „Custom‟ Check Category......................................................... 30
              DNAC01 Report ....................................................................................................... 34
         Manually Passing a DPL Compliance Failure (White List) ............................................. 38
         Manually Failing a DPL Compliance Pass ...................................................................... 42
  Keyword Search (KEY) ............................................................................................................ 43
  Embargoed Countries EBC (EX) ............................................................................................. 43
         Embargoed Countries – Blank Countries ........................................................................ 44
         ISO Country Codes ......................................................................................................... 44
         EBC and IEBC Additional Countries ............................................................................... 44



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  Embargoed Countries IEBC (IM) ............................................................................................ 45
        Embargoed Countries – Blank Countries ........................................................................ 45
  Product Classification & Associated Checks ....................................................................... 45
        Commodity 1/To Country - C1TC (EX) ........................................................................... 45
        Commodity 1/To Partner - C1TP (EX) ............................................................................ 46
        Commodity 2/From Country of Origin - C2FC (EX) ........................................................ 47
        Commodity 1/From Country - C1FC (IM) ........................................................................ 47
        Commodity 1/From Partner - C1FP (IM) ......................................................................... 48
        Commodity 2/To Country of Destination - C2TC (IM) ..................................................... 48
  Other Product Checks ............................................................................................................. 49
        Product/Countries (PRCT) (EX) ...................................................................................... 49
        Product / Partners (PRNR) (EX) ..................................................................................... 50
        Permitted Product/Countries (RPRC) (EX) ..................................................................... 50
        Product/Countries IPRC (IM) .......................................................................................... 52
        Permitted Product/Countries (IRPR) (IM) ....................................................................... 52
             Effective Date Range for Product Inclusion/Exclusion Checks ............................... 53
  ECCN and License Determination .......................................................................................... 54
        Business Overview .......................................................................................................... 54
        EAR99 ............................................................................................................................. 54
        NLR – (“No License Required”) ....................................................................................... 54
        License Required ............................................................................................................ 54
        License Exception ........................................................................................................... 54
  ECCN Compliance Checks ...................................................................................................... 55
        EXCT (ECCN/Countries) ................................................................................................. 55
        ECLI (ECCN Export License) .......................................................................................... 55
        ECCN Master .................................................................................................................. 55
        ECCN License Determination; How it Works .................................................................. 56
  Licensing .................................................................................................................................. 57
        Introduction and Creating a New License ....................................................................... 57
        Assigning a License to a Transaction ............................................................................. 58
        XL Option (After License Assigned to Transaction(s) ..................................................... 59
        LVS Exceptions ............................................................................................................... 60
             Restriction on Annual Value of LVS Orders............................................................. 60
        Assigning an LVS Exception to a Transaction ................................................................ 60
        XL Option and Other Exceptions..................................................................................... 61
  Data Integrity Checks .............................................................................................................. 62
        Cost_Per_Unit_Metric ..................................................................................................... 62
        ETA_VS_Promise_Date .................................................................................................. 62
        Partner_Valid_ISO .......................................................................................................... 63
        Product_Valid_CMOD1 ................................................................................................... 63
        Product_Valid_CMOD2 ................................................................................................... 63
        Product_Valid_CMOD_Group1 ....................................................................................... 63
        Product_Valid_CMOD_Group2 ....................................................................................... 63
        Product_Valid_COO ........................................................................................................ 63
        Product_Valid_ECCN_Exp ............................................................................................. 63
        Product_Valid_ECCN_US ............................................................................................... 63
        Product_Valid_HTS ......................................................................................................... 63
        Product_Valid_HTS_Group ............................................................................................. 63
        Product_Valid_NMFC ..................................................................................................... 63
        Setting up Data-Integ Checks ......................................................................................... 64
  Compliance Questionnaires ................................................................................................... 66
        Creating New Questions ................................................................................................. 66
        Attaching Questions to the Questions check .................................................................. 66
        Answering Questions ...................................................................................................... 67
        Master Table Level .......................................................................................................... 67
        Transaction Level ............................................................................................................ 67



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         How to Answer Questions in the Partner Master File (PR) ............................................. 67
  Red Flag .................................................................................................................................... 68
         Red Flag (REDF) ............................................................................................................ 68
         Red Flag Indicators - Things to Look for in Export Transactions .................................... 68
         CE Mark .......................................................................................................................... 69
  Maintainable Denied Party List Category .............................................................................. 70
         TRAXi3 Denied Party (TXDP) ......................................................................................... 70
  UN Hazardous Checks ............................................................................................................. 72
         Item Compatibility ............................................................................................................ 72
         Items on Shipment UNCI ................................................................................................ 72
         Items within Shipment Packs UNCP ............................................................................... 72
  Setting up Compliance with Workflow................................................................................... 73
         Compliance Status Check Task ...................................................................................... 73
         Compliance Checks - Full, Normal and Minimum ........................................................... 73
         Pre/Post Requisite Tasks ................................................................................................ 75
         Using the Program Parameters Field on Workflow Tasks Screen (WFWT02) ............... 76
              Recheck=YES or NO ............................................................................................... 77
              Allow Check Tasks or Compliance Check Tasks to be Moved to Other Statuses and
              Groups ..................................................................................................................... 77
  DPL Matches Algorithm .......................................................................................................... 79
  Soundex Algorithm .................................................................................................................. 81
         What is Soundex? ........................................................................................................... 81
              Soundex Rules ......................................................................................................... 81
              Soundex Key ............................................................................................................ 81
  Percent (%) Matching and how Scores are Arrived at ......................................................... 82
        1) Tested Name and Address (with limited address details, i.e. dots…).......................... 82
        2) Tested Name and Address (with more precise address line details) ........................... 83
  Working Example ..................................................................................................................... 85
         Running Compliance Against a Shipment Transaction .................................................. 85
         DPL (Denied Party Check) .............................................................................................. 86
         EBC (Embargoed Countries) .......................................................................................... 86
         ECLI ................................................................................................................................ 87
         ECCNs and an Export License ....................................................................................... 87
         C1TC ............................................................................................................................... 89
         Working with the Compliance Results Screen ................................................................ 91
         Results – Text Format ..................................................................................................... 93
         Results – Tree View ........................................................................................................ 94
  Compliance Reports ................................................................................................................ 96
         Partner Master Compliance Check (NRCOMP) .............................................................. 96
         Failed Compliance Report (CPL01) ................................................................................ 99
         Failed Audit Inquiry Report (CPL02) ............................................................................. 101
         Manually Passed Compliance Report (CPL03) ............................................................ 104
         Dynamic Name and Address Compliance Report (DNAC01) ....................................... 107
  Suggestions for Improved Documentation ......................................................................... 109




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Introduction
The purpose of this document is to give an understanding of the compliance functionality
available in TRAXi3. This should help you integrate compliance into your own business process
while ensuring that your transactions always comply with government regulatory requirements,
which can vary from country to country. In the US, for example, hundreds of companies are
penalized by the government for not adhering to government trade regulations for the importing
and exporting of goods. Should an illegal transaction be discovered, your company can incur
fines up to millions of dollars and your goods can be seized indefinitely. You may lose your
exporting privileges and in some cases civil and/or criminal prosecution and imprisonment may
follow.

Ensuring your transactions are in compliance with frequently changing government and
international trade regulations is quite a challenge. Various departments in the US, EU, Japan
and UN publish and maintain lists of individuals, companies and countries with which trade
cannot be conducted. As a company involved in international trade, you are responsible for
keeping up-to-date with changes to these lists.

How Does TRAXi3 International Trade Compliance Module Help?
This solution is designed to automate and optimise the compliance screening process, ensuring
that your transactions always comply with government regulatory requirements and your own
internal procedures. It enables you to perform Denied Party Screening, Key Word Searches,
Embargoed Country Checks, Product Classification and Checks, ECCN and License
Determination, Data Integrity Checks, Questionnaires, Transport Compatible Checks, and
provides a comprehensive audit trail.

TRAXi3 can be easily integrated with your existing system to monitor your export and import
transactions as they move through the transaction process. Not only can it check your sales and
purchase orders, but it can also validate new and existing customers against the lists provided by
our content department. You can repeat checks anywhere in the process from order entry to
despatch thus allowing you to rectify or cancel a transaction before it is processed.

When a transaction fails compliance, there is a notification system in place whereby users can be
notified by mail when an error occurs. In all cases a full audit facility is available after the fact to
present the checks made and actions taken, ensuring Due Diligence at all times.

By managing and automating compliance checking and screening activities, TRAXi3 eliminates a
substantial amount of time-consuming manual processing assuring high-level accuracy, improved
timeliness and reduced risks.


Content
Precision Software‟s central repository of trade information ensures that your company receives
highly accurate, consistent, real time trade data. We rely on our team of compliance officers to
research, gather and maintain daily updates and changes to our content database, which are
verified against official sources such as the Official Journal of the European Union and the US
Federal Register.

The following content is provided and maintained by Precision Software and customers are
updated as changes occur:

       Denied Party Lists (US, EU, UN, Japan)
       Embargoed Countries (EU, US, UN)
       Red-Flag Indicators (US)
       ECCN (EU & US)


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       Swiss Tariff Codes
       HS Codes (General)
       HTS and Schedule B codes ( US)
       ICN and Taric Codes (EU)
       German Zoll Tariff
       Canadian Tariff


The following information can also be provided if necessary, but is not maintained by Precision:

       ISO Countries
       Currencies
       Unit of Measures
       Modes of Transport
       Delivery Terms




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Compliance checks overview
Denied Party Screening
TRAXi3 can screen any parties associated with a transaction against Denied Party lists for
exporting or importing. Our content database maintains up-to-date information on the following
lists:

       BIS Denied Party List (US)
       BIS Entity List (US)
       BIS Unverified List (US)
       OFAC Specially Designated Nationals (SDN) List (US)
       Department of State Debarred Parties List (US)
       Department of State Designated Foreign Terrorist Organizations (US)
       Department of State Chemical & Biological Weapons Concerns (US)
       Department of State Terrorist Exclusion List (US)
       Department of State Missile Proliferators (US)
       United Nations & Department of State Terrorist List
       METI – Japanese Proliferator Concerns
       EU Terrorist List
       EU Taliban List
       OSFII (Individuals)
       OSFIE (Entities)

Key Word Searches
TRAX allows a list of keywords to be maintained which are checked against the partner name
address and partner address override records on a transaction.

Embargoed Countries
TRAXi3 provides screening of transactions against Embargoed Country lists in order to restrict
goods being exported to those countries deemed to be supporting terrorist activities or imported
from Embargoed Countries.

Product Classification & Checks
All shipment transactions entering or leaving a country must be assigned an identification code in
order to determine applicable government regulatory requirements e.g. US Schedule B code.
TRAXi3 is highly configurable which allows you to apply your own business related reasons why
a product/tariff code should not be shipped from/to a selected country/individual, thereby offering
significant visibility and optimal control.

ECCN and License Determination
The need for a license is determined by the ECCN code used in conjunction with the US and EU
Commerce Control Lists (CCL), which identifies items for export control purposes. License
information is stored in TRAXi3 and used to validate transactions, where appropriate, ensuring
complete trade compliance.

Data Integrity Checks
Within TRAXi3, Integrity Checks enable complete validation of specified transaction data to
ensure that a value exists or a specific value exists within a field. The Data Integrity checks
currently available include partner/country codes, product/country codes, product/commodity
code and valid product/ECCN codes.




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TRAXi3 Reference Guide                                          Topic041 - Compliance Checking


End User Questions
A group of compliance questions can be configured by users, which must be correctly answered
at a master or transaction level. Questions can be applied to a partner type, product and
transaction type. These questions can provide an additional safety net to the acceptance of
transactions and the approval of their movements e.g. C-TPAT questions which relates to
Customs-Trade Partnership against Terrorism. Refer to
http://www.cbp.gov/xp/cgov/import/commercial_enforcement/ctpat/ for more information


Red Flag Indicators
A list of Red Flag indicators can be stored in TRAXi3 and appear as a warning when compliance
is run for a transaction ensuring Due Diligence at all times.

CE Mark
It is possible to identify all electrical and electronic products that require CE Marks and the
relevant countries where these products can be shipped.

Transport Compatible Checks
A list of hazmat classes, with mode of transport/product/country of destination combinations, can
be set up against another hazmat class to determine whether or not one hazmat class is
compatible with another.

Comprehensive Audit Trail
The system allows for an in-depth audit facility, highlighting key relevant data on all tasks and
checks carried out as an integrated part of the overall compliance and logistics process. These
records can be printed for audit purposes or output to a file for archiving.

Compliance Results Screen
The following screen shot displays a shipment transaction that has failed compliance.




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In this example we can see a single view of all checks that have been run for this transaction with
their latest results. It also shows the sub-checks of each check, if any.




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Note the colour code of the compliance checkboxes as follows:

Red X           = Compliance check has failed
Green Check     = Compliance check has passed

The compliance result text on the right side of the screen details the reasons why the check fails
or passes. The date and time are also recorded for auditing purposes.

There are a number of buttons (shortcuts) available to allow the user navigate directly to
maintenance functions without having to leave the results screen e.g.


      Country Maintenance

      Partner Maintenance

      Product Maintenance

      Commodity Maintenance

The buttons are available only when relevant to the category of the highlighted result.

Here is a list of the Commonly Used Buttons on the Compliance results Screen



Re-check button: Used to perform re-check over the compliance checks listed, except for those,
which have been manually overridden.



Re-check All button: Used to perform re-check over all the compliance checks listed, including
the ones, which have been manually overridden.



Compliance Check History button: Used to display the history of the checks run.



Compliance Check Manual Override History button: Used to display the history of the checks,
which have been manually over-ridden.



The Check status can be manually overridden if either (i) the user is an ECO or (ii) the check is
not a non-ECO check.



This button gives access to a URL when viewing results of license checks (ECLI, EXCT).



This button brings up the ECCN information stored in TRAXi3.



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Configuring Compliance
            Compliance Check Categories (CK)
            To add or maintain compliance check information in TRAXi3, the user must run the
            compliance check option by entering the fast path code CK, or clicking the compliance
            icon (left) on the Modules screen.

By default, TRAXi3 comes loaded with the following Compliance Checks where each entry in the
list corresponds to a compliance check that can be performed against a transaction in TRAXi3.
Some checks are shared between Export, Imports, Domestic Outbound and Domestic Inbound.

Note: ---           beside a check denotes content provided by Precision Software Limited.




The following fields are listed behind the CK check list (CK02 screen)

     Check type                 The character code for the check type, which is provided by
                                Precision Software Limited and should not be changed.

     Description                The description of the Check type.

     Sequence                   Determines the order in which compliance checks are run. Checks
                                with a low sequence are run first while those with a high sequence
                                value are run last. Same logic applies on the Compliance Results
                                Screen.



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     In Use                   This field determines if the check is included in the compliance
                              checking process or not. If flagged as not in use it is ignored by the
                              checking routine.

     URL for download         Where data exists on the internet relating to this category. This is
                              currently not in use.

     Date of last download    Where the information is downloaded, this is the date of the last
                              update or complete download. This is currently not in use.

     Non ECO check            If a compliance check fails, can any user override it?

                              Normally, only the ECO (Export Compliance Officer) has permission
                              to make manual adjustments to the compliance results (e.g. to
                              change status from Failed to Pass Manually).

                              However, if the Non ECO Check flag is turned on for a check, then
                              any user can manually change the result of that particular check.

                              To make a check Non-ECO you should ensure that this flag is set
                              on.

                              To identify a user as an ECO the employee partner code associated
                              with the user id is checked in the Partner (NR) option for “Shipping
                              Officer Type” radio button to be set to ECO.

                              Similarly a non ECO user‟s partner code would be set up with a
                              shipping officer type of “standard user”.


Sample screen shot of CK02 Compliance check screen, per fields listed above:




The Compliance Check option CK may suit companies that export or import only.




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Configuring a User/ECO Officer to Receive e-mail Failure Notifications
Return

When a transaction fails compliance, or passes with warnings, the compliance engine can control
who should be notified to carry out which tasks e.g. by sending an email to the Export
Compliance Officer (ECO). Administrators can also configure which Partner, Role or Contact
should receive notification when a specific compliance check fails.

Notify Contacts at CK Level
From the compliance check category option (CK) Select the „Notify Contacts‟ button as seen
below:




Select the Create icon (F6) to add a list of Partner, Role or Contacts that should be notified when
compliance checks fail.

The partners listed here must be set up in the Partner Master File (NR) and the contacts must be
set up in the partner sub-option „Contacts‟ with an email address entered for each contact to be
notified e.g.




Y2/Shipment System Parameter Level

By default, the following parameter is used to store the User Id‟s of those users that should
receive notification when compliance fails on a shipment if the „Notify Contacts‟ option (per
above) is not being used:

Category: SHIPMENT
Key                                 Default                 Comment
ECO                                 Qconfig,amagee          Holds ECO User (User Id must exist
                                                            in TRAXi3).

                                                            A list of valid TRAX users should be
                                                            entered here (comma separated
                                                            values), users who will receive
                                                            Notification when compliance failed
                                                            manually or passed with warnings.




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The value entered in the above parameter must be a VALID User Id. in TRAXi3 with the
EMPLOYEE field completed with the corresponding Partner Address book record (NR), which in
turn will hold the e-mail address that will be used to send the notification upon compliance failure.

E-mail notification set-up on failure of compliance:
With the correct parameter set-up (as above) notification can be sent via the following methods if
compliance has failed on a shipment, failed manually or passed with warnings and the current
shipment compliance status is not the same as the previous one:

    1) E-mail sent to a user or the EXPORT COMPLIANCE OFFICER (ECO)
    2) A TRAXi3 Diary Note will be created if the compliance has failed on a shipment.

Example of the warning message that is sent to the ECO‟s e-mail address, upon failure of
Compliance on a shipment:




As to who will get the notification is as follows:
(i) shofcr (shipping officer)
(ii) a list of users who are specified in the system value - Category: Shipment; Key: ECO.

Ensure that the Contact / Shipping officer on the shipment exist in the Partners table (NR) and
has a valid email address set-up. If it is required that the email notification be cc to ECO‟s, set-up
the ECO‟s in the above mentioned system value (Shipment>ECO) in a comma separated list
form. These values must be valid Users set-up in TRAXi3 (US table).

The „from‟ email address is determined by the setup of system value:

Category: Compliance;
Key: From email-address taken from.

Possible values are:
(i) shofcr (shipping officer)
(ii) shuser (last shipment modified user)
(iii) gv-user (the current session user) - gv-user is the default.




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Y2/Shipment Parameter Setting by User/Client

A new System Parameter can be set-up for e-mail notification per Compliance check where one
can list a user or multiple users in the value field, i.e. "ECO - <COMPLIANCE CHECK>"

Y2 CATEGORY: COMPLIANCE
KEY: ECO - <COMPLIANCE CHECK>

If the "ECO - <COMPLIANCE CHECK>" system value is defined, these are the users notified
should this compliance check fail at shipment creation time.

If the system value "ECO - <COMPLIANCE CHECK>" does not exist, or if it exists but none of the
users in the system value are valid, the users in "ECO" system value will be notified (per entry 1
below).




EXAMPLE:
1) ECO - COM parameter set-up to send e-mails to 4 users: amagee,qmurphy,areilly,dsmyth
2) ECO - DPL parameter set-up to send e-mails to 4 users: amagee,qmurphy,rsheire,dkurts

Note, the users amagee and qmurphy are in both lists.

EXPECTED RESULTS
Shipment fails on both ECO-COM and on ECO-DPL. E-mail notifications should be sent to all
users in both parameters above, i.e. amagee,qmurphy,areilly,dsmyth,rsheire,dkurts on ONE mail
notification only.

However if the Shipment fails on ECO-COM and passes with warnings on ECO-DPL, then only
AMAGEE and QMURPHY will get the e-mail failure notification as they are common users in both
parameters - NO other users get the e-mail failure notification.

When both ECO-COM and ECO-DPL fail for the same shipment, the users common to both lists
will get the SAME email, because the logic tries to send as little emails as possible by grouping
people that should receive the same message; in this scenario, the users of AMAGEE and
QMURPHY will be recipients of the same email, that contains details about both checks.

At the same time (provided users and employees are set-up correctly with valid e-mail addresses
NR), another email will be sent to ARIELLY and DSMYTH with failure details on ECO - COM
check, and a third email will be sent to RSHEIRE and DKURTS with failure details on ECO - DPL.

Same happens when ECO - COM fails and ECO - DPL pass with warnings; 3 separate emails will
be sent, the difference from the case when both fail is in the content of the email body, i.e. ECO -
DPL will be listed as passed with warnings.




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Transaction/Shipment Types (ZS)

If your business process requires more than one type of transaction to be carried out e.g. export,
import, domestic outbound, or domestic inbound you will be required to run different compliance
checks for each transaction type. The transaction type option (ZS) allows you to set up a different
set of compliance checks per shipment type i.e. one set of checks for exports, imports etc. The
compliance checks used here are selected from the predefined list in compliance check option
CK. When compliance is run the checks that are set up in the CK option are ignored, as the ZS
list of checks takes precedence.

Compliance Checks
To set up compliance checks against a transaction type, enter the fast-path code ZS, then
choose the shipment type you wish to work with, e.g. 01 = Export Shipments and go to the sub-
options listing by selecting the relevant sub-options icon or F11. Select the sub- option called
„Compliance Checks‟,




Select the „Create‟ icon (F6) to add a compliance check, updating the following fields:

 Compliance Check type              Select a check type from the drop down list that is required
                                    when running compliance for this type of transaction.

 Checking sequence                  Enter the sequence number in which the compliance check
                                    should be carried out when the transaction is being checked.
                                    The check sequence numbers which are set up in fast-path
                                    option „CK‟ will not be used when compliance is run, as the ZS
                                    table set-up here will take precedence.

 In Use                             Set this flag to „In Use‟ if this check is to be included when
                                    running compliance for this transaction type.

 Comment                            Comments entered here are for information purposes only and
                                    do not appear on the compliance results screen.

 User Defined Fields 1 -5           Extra fields in TRAXi3, currently not in use.

Example of various check types set-up against transaction Type 01:




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Partner Types to Check for Compliance
The various Partner Types listed here determine which partners on a transaction will be screened
for the following checks when compliance is run for a specific transaction type:

         Denied Party Listing (DPL)
         Keywords (KEY)
         TRAXi3 Denied Parties (TXDP)
         Red Flag (REDF)
         Questionnaires (END USE)




To set up partner types for the above compliance checks, select the sub-option called
„Compliance Checks – check partner types‟, Select the „Create‟ icon (F6) to add a compliance
check updating the following fields:

 Compliance Check                   Select a check type from the drop down list that is required
                                    when running compliance for this type of transaction.

 Partner Type                       Select a partner type from the drop down list that you wish
                                    to associate with the compliance check selected.

 In Use                             Set this flag to „In Use‟ if this check is to be included when
                                    running compliance for this transaction type.

 Comment                            Comments entered here are for information purposes only
                                    and do not appear on the compliance results screen.

 User Defined Fields 1 -5           Extra fields in TRAXi3, currently not in use.


If this table is blank against the transaction type, TRAXi3 will automatically check the consignee
(Role 01) and customer (Role 04).




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Y2 Systems Values
The following table details the system values used by TRAXi3 to configure and customise
Compliance Checking within TRAXi3. These have to be set up in System Values (Y2).

Note 1: See Topic 19, System Values, under the keyword, Compliance, for these values.

Note 2: If a Partner address record has no country associated with it, it automatically will fail
compliance.

 Key                                            Default
 ACTION ON DPL SUBSET                           Fail
                                                (Returns a list of entries from the DPL list, the entries of
                                                which are a superset of the name entered. This can cause
                                                compliance to fail; either full fail or warning.
                                                Example 1 –
                                                We have the DPL List for SOUZA, Francisca Antonio. The
                                                Name to check is Fran Antonio Souza. This would give an
                                                88% match (approx.), when it should really fail. Our
                                                recommendation was a 90% threshold for names, so
                                                previously this would have been a warning.

                                                Example 2 –
                                                Improved Matching Technique - does not match the same
                                                name more than once. Say we have the DPL List for
                                                Robert Anderson, and the Name to check is Andrea
                                                Anderson. Anderson should be matched but Andrea
                                                should not be matched with Anderson as well. Takes the
                                                highest scoring match.

                                                Example 3 –
                                                Improved Matching Technique - when checking names on
                                                the DPL List that contains hyphens, a check will be done
                                                against the words combined - ie - the hyphens will be
                                                removed. For example, say we have the DPL List for Ad-
                                                Dar Al Jamahiriya; the Name to check is Jama Addar. This
                                                would be found through a combination of this modification
                                                and the subset change. Previously, there would have
                                                been no link)
                                                Follow this link for more details

 BKPROCESS - PASS STATUSES                      PA,PM

 BKPROCESS - RECHECK INTERVAL                   10

 BKPROCESS - WORKFLOW GROUP                     CKCOMP

 BLANK COUNTRY ALLOWED                          NO (When set to yes the EBC check will pass if the
                                                country of destination is blank. In the case of IEBC, the
                                                check will pass if the country of origin is blank)

 COMPLIANCE AUDIT FILE DIR                      C:\Trax\output\ (Specifies the default name of the
                                                directory/path that will be used when outputting
                                                Compliance Audit files)




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COUNTRY MANDATORY           NO (Used by the DPL matching program. If set to “YES”
                            then parties must be associated with a country in order for
                            a check to be performed. If set to “NO” then the country is
                            not required)

DPL ADDITIONAL PARTIES      xtjdedpl.p (To retrieve a list of additional partners to check,
                            through a plug-in program mechanism (plug-in program
                            specified as system-parameter))
                            Click this link for more information on this plug-in program

DATA-INTEGRITY CHECKS       DATA-INTEG

DPL ALGORITHM               Soundex (Allows the user the choice of using the Soundex
                            or Metaphone searching algorithms, with Soundex being
                            the default used)

DPL DEBUG MODE              NO (If set to YES, when Compliance checks are being run
                            for the Denied Party Listing, the user will get pop-up
                            messages advising what checks are being carried out
                            against what parties)

DPL MINIMAL WORD LENGTH     1

DPL SCORE DECIMAL PLACES    1

DPL_LOAD_VESSELS            No (Load denied vessel information. Currently, this
                            information is not used and, therefore, not required to be
                            uploaded)

DPL_RUN_C/O_CHECK           YES (This allows the 1st line of the address to be checked
                            against the DPL names. It carries out the comparison,
                            only if address line 1 has C/O as part of the text)

DPL_RUN_ISMATCH             70 (Threshold value used to determine whether or not
                            match with a denied party is made by address)

DPL_RUN_NAME_CHECK          BIS,UNVERIFIED,ENTITY,OFAC,DEBARRED,FTO,CBW,
                            MP,JPC,UNC,EUTR,EUTL

                            (Lists the various Denied Party Listing that checks are run
                            against when running the report DNAC01 – Dynamic
                            Name and Address Compliance Report)

DPL_RUN_NAME_CHECK-2        BIS,UNVERIFIED,ENTITY,OFAC,DEBARRED,FTO,CBW,
                            MP,JPC,UNC,EUTR,EUTL,TEL

DPL_RUN_NAME_ISMATCH_WARN   Half the FAIL threshold (If the score value for a name DPL
                            search is greater than the percentage value specified with
                            this system value and less then the
                            “DPL_RUN_NAME_ISMATCH” value then the match is
                            considered to be a warning)

DPL_RUN_ISMATCH_WARN        Half the FAIL threshold (If the score value for an address
                            DPL search is greater than the percentage value specified
                            with this system value and less then the



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                         “DPL_RUN_ISMATCH” value then the match is
                         considered to be a warning)

DPL_RUN_NAME_ISMATCH     90 (Threshold valued used to determine whether or not
                         match with a denied party is made by name)

DPL_UPDATE_COMMON        (List of common words found in addresses/name checks
                         that should be ignored while performing the checks). User
                         can enter a comma separated list of common words which
                         will then be ignored in the DPL checking. Note: Single
                         letters are also considered as common words as TRAXi3
                         considers a single letter in an address name as a word,
                         i.e. Customer is called U C I or S M I – TRAXi3 DPL
                         engine considers each letter as a single word and will
                         probably find a 100% match with single letters in DPL
                         party address, so it is recommended that such letters are
                         included as Common words to avoid failures happening
                         particularly on overrides addresses

                         The primary purpose of this system parameter is to ignore
                         certain "words" during a DPL check, which otherwise
                         would've lowered the overall score, e.g. Ltd, Apt. etc.

                         A secondary usage would be to add words that you would
                         like to be ignored in the process. **It may not work though
                         for name subset and C/O name subset checks.

                         Note: A DPL check consists of 5 different sub-checks:
                         address check, name check, name subset check and
                         when first address line starts with C/O, it also runs c/o
                         name check and c/o name subset check.

                         If this is running on a NR partner, PSL would recommend
                         using the NRXC sub-option to specify not to run DPL
                         check on that particular partner.

                         This system parameter is used by the upload process on
                         one hand, the DPL partner words (from name/address)
                         found in this list will receive a lower "weight factor" - 0.3 as
                         opposed to the higher weight factor of 1. You can see that
                         column by going in option XPXF. That will affect the score
                         at runtime; that is if you match two words with lower
                         "weight-factor" it will score less then if those words had
                         the normal weight factor of 1. I believe we also use this
                         one with a blank value here in PRECISION when
                         preparing the content.

                         This parameter is also used by the DPL checking process;
                         that is on the customer side, to ignore partner name /
                         address words found in this list. EXAMPLE: if checking
                         Precision Software Ltd, that is 3 words being checked, Ltd
                         is a fairly common word, and it may trigger matches with
                         XYZ Software Ltd - 2 words matched out of 3, 66%. By
                         adding the Ltd to the above system parameter, only
                         Precision and Software are being used in the matching
                         process, resulting for the same match a score of 50%.


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DPL_UPDATE_DIR                  C:\trax.60_S\db.edu\content (Directory path where
                                TRAXi3 can locate the DPL files)

DPL_UPDATE_FORMAT               MP (Currently only supports OFAC and MP (Missile
                                Proliferators).del files (0). Precision use only)

DPL_UPDATE_IGNORE               P.O.BOX (List of common words found in addresses that
                                should be ignored. Precision use only). This system
                                parameter is only used in the upload process done by the
                                content group using the DPLGO and the words listed in
                                there are removed from the DPL name / address details at
                                upload time (that is from the search words, not from the
                                actual displayed name). This is only used when preparing
                                / uploading the content in PRECISION and is used I
                                believe with a blank value (no words ignored)

DPL_UPDATE_TYPE                 1 (Type of update, changes only (0) or a full update (1))

ECCN MANDATORY GROUPS           US

EXPORT LICENCE CHECK            FULL (If set to "FULL" then Shipment Item Lines will
                                always be checked for Export Licence requirements.
                                Otherwise, Item lines will only be checked if the Product
                                Master record for the Item Line Product has the field
                                "Licence Required" set to TRUE)
FROM-EMAIL ADDRESS TAKEN FROM   Possible values being:
                                    (i)      shofcr (shipping officer)
                                    (ii)     shuser (last shipment modified user)
                                    (iii)    gv-user (the current session user)
                                    (iv)     gv-user is the default.
                                Follow this link for further details on setting up ECO‟s

FULL SOUNDEX CHECK              NO (We recommend setting this to NO. Please see the
                                algorithm below for more information)

ITRAX COMPLIANCE QUEUES         ITRAX

MESSAGE-HDR-DEFAULT-USR         YES

MESSAGE-HDR-FIELDS              CLIENT,Branch Plant:,SHCONO,Consignor
                                :,SHSHIP,Reference :,DATE,Date           :,USER,User :
MAN OVERRIDE DFLT PARTNER       If an override cannot be associated with a partner then the
                                manual override information will be stored against the
                                partner code entered in this system value

MULTI CUSTOMS CLASSIFICATIONS   Yes

NOTIFICATION                    Value can be DIARY or EMAIL. This parameter holds the
                                EMAIL or DIARY Method employed to notify the shipping
                                officer and ECO of compliance failure/warning. If EMAIL,
                                then uses POSTIE or MAPI. POSTIE/MAPI system
                                values settings must be set up in the Y2/EMAIL Category.
                                For MAPI, the value should be API_MAPI
                                For POSTIE, the value should be POSTIE
                                Follow this link for further details on setting up ECO‟s



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 NOTIFICATION STATUSES                          FA,FM,PW

 PARTNER IGNORE RED FLAG OFF                    FALSE (The standard default is that all new partners will
                                                be set up with Ignore Red Flag switched on. If you prefer
                                                that this is not the case set this parameter to YES)

 PARTNER TYPE FOR NR DPL CHECK                  01,02,03,04,09,22 (Enter a list of comma separates values
                                                for Partner Roles that will be used when running the
                                                Denied Party Check (CPL01 report))

 QUESTION CHECKS                                C-TPAT,END-USE,SUP-COO,QST_CPRF01

 RED FLAG NOTE                                  By default when the check fails, this note is shown on the
                                                Compliance Check Results screen.

                                                Example defaults: Things to look for:
                                                1. The customer or its address is similar to one of the
                                                parties found on the Commerce Department's [BXA's] list
                                                of denied persons.
                                                2. The customer or purchasing agent is reluctant to offer
                                                information about the end-use of the item.

 RED FLAG NOTE ALWAYS SHOWN                     YES (When the red flag check passes, the note can also
                                                be shown by changing the following system value to
                                                „YES‟)

 RESULT DISPLAY MODE                            NEW (Used to indicate the preferred view. This should be
                                                set to “NEW” in order for the “Enhanced View” button to
                                                be selected by default.)

 RUN-NUMBER                                     826

 USE CACHED COMPLIANCE RESULTS                  PW,PA,FA (Used to define a list of DPL statuses that can
                                                be used with caching, e.g. “PA,PW,FA”. By default
                                                caching is disabled)

 USE CACHED DPL RESULTS                         PW,PA,FA (Use to define a list of DPL statuses that can
                                                be used with caching, e.g. “PA,PW,FA”. By default
                                                caching is disabled)


DPL Subset Checking

Technically it tries to find full or partial matches for all partner name words in a denied party
name, e.g. partner = Al Jackson; denied party = Alan Jackson

Question:
How does it score the values?
Partner = Al Jackson; denied party = Alan Jackson - 2 matches?
Partner = Jack Jones; denied party = Bernard Jackman - 1 match?

Answer:
It tries to match ALL partner words, so the first one is a valid name subset match, while the
second one isn't because Jones isn't included into Bernard or Jackman... if all words are




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"matched" it failed or passes with warnings as configured by ACTION ON DPL SUBSET system
parameter

Return

Hazmat Item Compatibility Checking

The following y2 system value is used with the Compliance Check categories for Item
Compatibility – UNCI and UNCP:

 Category: HAZMAT
 Haz Mat Check Keys                  Default                 Comment
 DFT COMPATIBILITY CHECK             COMPATIBLE (or          This determines the default option for
 RESULT                              Incompatibl)            compatibility, if nothing is set up in
                                                             the Hazmat Compatibility sub
                                                             option (behind the UN option).


This determines the default result for compatibility if nothing is set-up in sub option "Hazmat
Compatibility" behind the UN Master Table (UN).



Compliance checks will now be run to test against the UN Class No. on the Shipment Item:

1) Compatibility of items on shipment: Checks that all item records are compatible using Product
Code (siprod), Transport Mode (shmode), Country of Destination Code (shcdt1), Shipment Item
Hazmat Class (siclas) and UN Hazmat Compatibility table (sub-option off UN table).

2) Compatibility of items within shipment packs.
Same idea/rules as the Shipment item checks above.

The same product code can be on the same shipment but would need to be packed separately.
Each Shipment Pack is checked to ensure that all Items in the same Pack are compatible.




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Denied Party List (DPL)
TRAXi3 can screen any parties associated with a transaction against DPL lists. The data behind
this check comes pre-loaded with various names and addresses of known terrorists on various
lists, which are verified against official sources such as the Official Journal of the European Union
and the US Federal Register.

This compliance check requires a sequence number and „In use‟ flag to be set.
When the check is in use, the compliance engine examines the corresponding transactions
partner names and the addresses of all of the partner types listed, for a match with an uploaded
list of denied parties. If there are no Partner types set up against the shipment type, the shipment
consignee and customer will be checked for export while the shipment consignor will be checked
for import.

TRAXi3 also performs checks over the shipment‟s partner address override records, which
contain the partner types that are listed to be checked.

Configuring TRAXi3 for DPL Settings

By default, TRAXi3 uses the Soundex Algorithm to match words or sounds from a Partner on a
transaction against words or sounds on a Denied Party List. (The Metaphone Algorithm can also
be used depending on the System value selected). If a match is found, a score is calculated and
compared to the % threshold that is stored in the system values. The thresholds are used in the
DPL checking program to generate either failure of warnings if the thresholds are met or
exceeded. The administrator can explicitly define the thresholds in system values under the
category called „Compliance‟, using the following key fields:

“DPL_RUN_ISMATCH”
“DPL_RUN_NAME_ISMATCH”
“DPL_RUN_ISMATCH_WARN”
“DPL_RUN_NAME_ISMATCH_WARN”

 Category         Key                          Default            Information
COMPLIANCE        DPL_RUN_ISMATCH              70                 Threshold value used here will determine whether or
                                                                  not a match with a denied party is made by address,
                                                                  i.e. if match of 70% or higher is made on the
                                                                  address, then the DPL check will fail.

COMPLIANCE        DPL_RUN_NAME_ISMATCH         70                 Threshold valued used here will determine whether
                                                                  or not a match with a denied party is made by name,
                                                                  i.e. if match of 70% or higher is made on the name,
                                                                  then the DPL check will fail.

COMPLIANCE        DPL_RUN_ISMATCH_WARN         Half the fail      If the score value for an address DPL search is
                                               threshold          greater than the percentage value specified with this
                                                                  system value and less then the
                                                                  “DPL_RUN_ISMATCH” value then the match is
                                                                  considered to be a warning. If no value is specified
                                                                  here then the default is half the address fail match.

COMPLIANCE        DPL_RUN_NAME_ISMATCH_        Half the fail      If the score value for a name DPL search is greater
                  WARN                         threshold          than the percentage value specified with this system
                                                                  value and less then the
                                                                  “DPL_RUN_NAME_ISMATCH” value then the match
                                                                  is consider to be a warning. If no value is specified
                                                                  here then the default is half the name fail match.




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DPL - Text Boxes
A denied party check can be performed on data in text boxes. Text boxes may be used to hold
name and address data that is to be printed on a document. This information is checked against
the DPL list.

The data integrity check has been extended so that a new data check, “DPL-TEXTS”, which tests
text boxes for DPL matches, is now available. This check should be added to the system value
list of data integrity checks.

 Category                Key                      Default        Information
 COMPLIANCE              DATA-INTEGRITY           DATA-          The check “DPL-TEXTS”
                         CHECKS                   INTEG          should be added to the list of
                                                                 data integrity checks.

A new “DPL-TEXTS” compliance check record should be created using option “CK”.




To define which texts boxes are to be tested add compliance check detail records to this
compliance check category. For example if we wanted to check a test box “NPIC”, a compliance
check detail record should be created using an element code “NPIC”. The program “xtdpltxt.p”
should be specified.




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An option “ROLE” parameter can be specified. This allows the system to link the text box data
back to a TRAXi3 partner. If running version 6.02 of TRAXi3 or higher this will allow the user to
save any manual passes or fails for this text box.

The compliance result will include the “DPL-TEXTS” category under which the texts tested will be
listed.




DPL - Define Roles to be Checked
The roles to be tested within a DPL check can be specified on the Workflow task. It is possible to
identify only those roles that can possibly change when a task is run; and have a compliance
check set-up for them specifically for when that task is run, which will only perform a DPL check
on the roles that may have changed (i.e. a subset of the roles associated with the transaction
type).

To do this the compliance check looks at the following “ROLES” program parameter, which can
be used to specify the roles to check.




DPL - White List Checking
This is the ability to inform the system of incorrect matches (false positives) so that they do not
appear as matches the next time the partner is checked against the DPL. The system will
remember that the partner is not a match for specific DPL entries and will not show them as
matches. It will continue to check the partner against all other DPL entries. The matches are
permanent and will remain after DPL uploads unless of course the entry was removed from the
DPL. The incorrect matches can be reset for partners if required.

Matches are saved to the Partner master record (NR) under the sub-option called „Compliance –
White List‟ (Previously known in other V6.0 TRAXi3 releases as „Partner manually/passes fails‟.



DPL - Blank Countries
TRAXi3 can be configured so that a party with no country code associated with it can still undergo
a denied party check. (TRAXi3 6.02 only)

 Category                 Key                        Default   Information
 COMPLIANCE               COUNTRY MANDATORY          NO        Used by the DPL matching program. If set to
                                                               “YES” then parties must be associated with
                                                               a country in order for a check to be
                                                               performed. If set to “NO” then the country is
                                                               not required.




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DPL - Cached Result
DPL results can be determined from previous cached results. Each time a partner is DPL tested
the result is also stored against the partner in TRAXi3. When testing the partner again on another
shipment this information can be used rather than performing a DPL search.

The cached result is only valid for a given version of the DPL data. Once new DPL data is
uploaded a DPL search will automatically be performed. Saved manually passed or failed results
are not cached.

 Category        Key                      Default   Information
 COMPLIANCE      USE CACHED DPL                     Use to define a list of DPL statuses that can be
                 RESULTS                            used with caching, e.g. “PA,PW,FA”.
                                                    By default caching is disabled.

 Important Fields                                              Version 5.0         Version 6.0+
 Cached Version Stamp: The partner record is stamped           xmnref0.nrpdir      xmnref0.nrcver
 with a version number comprising of the DPL version
 identifier (xmckco0.ckvrid) and the partner record id
 (xmnref0.nrupid). The cached value can only be used if
 the version stamp of the cached result matches the
 current version stamp.
 Cached Run Number: The run number is a unique                 xmnref0.nrurl       xmnref0.nrrunn
 number that identifies what compliance check should be
 used as the cached compliance result.


DPL - Additional Parties Checking
As per standard JDE interface, the Orders interfaced from JDE may have more than one
Consignee and these are stored at item level (on virtual table XMSMDS0), and the requirement is
to be able to DPL check these partners also at line level.

The DPL compliance checking program was therefore extended, so that it will be able to retrieve
a list of additional partners to check, through a plug-in program mechanism (plug-in program
specified at system-parameter).

Y2/Compliance category new parameter
DPL ADDITIONAL PARTIES - The value of this system parameter will be the name of a plug-in
program (e.g. xtjdedpl.p), e.g.




The Compliance Engine was modified so that when it is performing a DPL check, it will look up
the above system parameter and run the program that is specified. The program that is called
will take the shipment key fields as its input parameters and should return a comma separated list
of partner type and partner code pairs (e.g. 01;ABCFRT,04;ABCCUST...). The compliance
engine should add the relevant data returned by the plug-in program to the list of parties that it
will perform a denied party check on.

Note: The plug-in program(s) would be written by the Services teams, with logic customized for
each Customer. Return



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DPL - Contact Information
Denied party checking can be performed on contact information.



Manually Adding a DPL „Custom‟ Check Category
Certain business and compliance scenarios require the capability to allow customers to create
their own internal DPL list. TRAXi3 allows you to manually add and update a DPL check category
based on internally defined screening parameters and security variables.

From the Compliance Check table (fast-path = CK) highlight the DPL category and double click or
press F11 to access the sub-options.




This screen details all DPL list entries as uploaded by PSL from the various US, EU and UN
agencies.




To create a customised list, select the „Create icon‟ (F6) as highlighted below;




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The Denied Parties create screen will appear as check type DPL‟ and loaded from „CUSTOM‟,
i.e.




The Party Identifier and Address Identifier are inherited from the DPL data-delimited files that PSL
used to import content from, and they are used in the upload process to specify that a name or
address are different than the others. The user will need to type in a value for both fields, i.e.
0001 as Party identifier and 0001 as Address identifier (recommendation is to keep both values
the same) or simply use the next available number for the list - i.e. filter by CUSTOM list, find the
id number and start with that.




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Enter the required data into the fields available as shown below, name and address details being
essential:




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Save the new entry by selecting the green check mark and continue to build your Custom name
and addresses. One can then search under CK>DPL for customs entries by entering CUSTOM in
the search box and F9 to find, as shown below:




This action of manually creating CUSTOM entries and saving them to the TRAXi3 database then
automatically generates an entry for each partner in the “Denied Parties Search Data” table (fast-
path XPXF). The system will automatically generate the Party identifier and Address identifier,
which are unique records to each name and address added as a Customs entry, e.g.




There is no easy way to see the search words for a particular DPL entry. Above example is where
                                         rd
one can search by Surname using the 3 search window. XPXF has different keys than CK/DPL;
the first search window would be the word type (1 for name, 3 for address) per above. The
second search window/field is called CRC32, which for type 1 is calculated from the name, and
for type 3 is calculated from the address + city + country.
                      nd
Searching using the 2 window (CRC32) using ID Number produces two records, one for first
             nd
name and a 2 one for the surname, i.e.




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One must also add „CUSTOM‟ as an entry in the following y2/compliance system value
DPL_RUN_NAME_CHECK, i.e.




DNAC01 Report

The Dynamic Name and Address Compliance Report allow the user to enter a name and address
for checking against various Denied Party Lists, (BIS, OFAC, CUSTOM, etc) based on the above
system value, DPL_RUN_NAME_CHECK). This report is sometimes used where a once-off
check needs to be made on a name & address e.g. a visitor arriving in reception, query from a
sales agent etc. This utility will display the results of this check.




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For previous versions of TRAXi3 software (pre V6.0 #A05 patch), it was necessary to do the
following after manually adding a CUSTOM entry to the DPL category in CK:

From the DPL category screen enter „CUSTOM‟ into the first search field and select the search
command button or F9 to search. All the customised DPL entries will appear. Highlight the
particular partner created or select all and press the “Generate Search Data” command button as
shown below;




Select the DPL Utility entitled “Custom” per below screen shot and click the “Generate Search
Data” as indicated below;




This action generates an entry for each partner selected and this entry can be viewed within the
“Denied Parties Search Data” (fast-path XPXF).

The system will generate the Party identifier and Address identifier, which are unique records to
each name and address added as a Customs entry:




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Manually Passing a DPL Compliance Failure (White List)
If a DPL compliance check fails for a partner, the ECO can manually override the result in the
shipment compliance results screen and manually pass the failed check. The user selects the
check status of „Passed manually‟ from the dropdown menu and saves the change as shown on
next page.

When you select this check status of „Passed manually‟, the text editor opens up to allow you
enter a reason/description of why you want to manually pass this compliance failure, per screen
shot over.

Enter a reason for manually passing and then select the save icon, as shown below:




The following pop-up message is then shown:




Select YES to save them to the „Compliance white-list‟ partner sub-option.

If you select NO, then compliance will fails for this same ship-to (Partner role 01) or customer
(partner role 04) when a new shipment is created and most probably will find a match with the
same names and addresses as listed previously.

When you say „YES‟ the following pop-up screen appears:




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All results are selected automatically to allow you save them to the White-list behind that partner.

You can chose to de-select some of these records by simply holding the ctrl key down on the
keyboard and by then select the records that you wish to exclude from saving against the white-
list, i.e.




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Select the green check mark to proceed to saving the records to the white-list and the Shipment
compliance results screen will now show this record as being manually passed, i.e. where the
little blue man icon shown below indicates that this record was passed manually.




One can then check the Partner master record for this example „AD‟ in the NR table to see the
entries saved behind the sub-option „Compliance white-list‟, i.e.




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By manually saving these records to the NR table, a record is also behind the partner for each
related DPL entry stored behind the Compliance Check (fast-path „CK‟) category „DPL‟ as shown
here;




Manually Passing DPL results can include override information per the system value below.

 Category                Key                           Default   Information
 COMPLIANCE              MAN OVERRIDE DFLT PARTNER               If an override cannot be associated
                                                                 with a partner then the manual
                                                                 override information will be stored
                                                                 against the partner code entered in
                                                                 this system value.




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Manually Failing a DPL Compliance Pass
If a DPL compliance check passes for a partner, the ECO can manually override the result and
manually fail the passed check. The user selects the appropriate check status from the dropdown
menu and saves the change as shown below;




The following message box will then appear indicating if the override should be remembered in
the future i.e. the DPL check will remember the parties listed in the original compliance check
pass detailed message and fail the compliance check in the future.




The following screen then appears where the user selects which DPL entries and lists the partner
should fail against in the future.




Manually failing DPL results can include override information per the system value below.

 Category                 Key                           Default   Information
 COMPLIANCE               MAN OVERRIDE DFLT PARTNER               If an override cannot be associated
                                                                  with a partner then the manual
                                                                  override information will be stored
                                                                  against the partner code entered in
                                                                  this system value.




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Keyword Search (KEY)
Any Keywords added to this compliance check (for example, Bomb, Missile) are checked against
the name and address of the corresponding transaction‟s partner names and addresses. It also
performs checks for the transaction partner address override records. If any of the addresses
contain a keyword (exact match), this compliance check will be considered to have failed.

If the transaction type option ZS is being used to run compliance for a particular transaction type;
then the compliance check „Keyword‟ along with the partner types associated with this check
must be set up in the sub-option „partner types to check for compliance‟. If not, the shipment
consignee and customer will be checked for export.




The Keywords compliance check screen consists of the following fields.

 Keyword                        Words to be checked such as Bomb or Missile

 Remarks                        A remark for the keyword - Do not ship to PO Box Numbers.

 Warning Only                   Indicates that this compliance check should issue a warning
                                message rather than halt the shipment.



Embargoed Countries EBC (EX)
TRAXi3 provides screening of transactions against Embargoed Country lists in order to restrict
goods being exported to those countries deemed to be supporting terrorist activities. Our content
database maintains up-to-date information on government published lists.

This compliance check requires a sequence number and „In use‟ flag to be set.
The data behind this check comes pre-loaded with TRAXi3.

The compliance engine will check the following:
    The transaction‟s country of destination code against each country code listed here
      (EBC)
    The country code on the consignee‟s shipment partner override address
    The transaction‟s ultimate country of destination code, which is matched against each
      country code listed in the table

If an exact code match is found, the transaction will be considered to have failed this Compliance
Check.

The Compliance Check Details screen consists of the following fields:



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 Country                  A list of Country Codes where goods cannot be exported to

 Remarks                  Any remarks relating to this check may be entered here. The remark is
                          used when generating a shipment compliance note on the result record.

 Warning Only             Indicates that this compliance check should issue a warning message
                          rather than halt the shipment. A warning message will be sent to the
                          (ECO) using the email feature in TRAXi3.


Embargoed Countries – Blank Countries
The system can be configured so that a blank country of destination does not result in the
embargoed country check failing based on the following parameter:

 Category                 Key                        Default        Information
 COMPLIANCE               BLANK          COUNRTY     NO             When set to yes the EBC check will
                          ALLOWED                                   pass if the country of destination is
                                                                    blank.




ISO Country Codes
It is possible for customers to use their own country codes rather than the codes delivered by
PSL, normally interfaced from ERP/Order Processing system. In order for the compliance checks
to work correctly the ISO Country code (CTISO) on the country master has been made
mandatory and must be maintained by the customers to provide the mapping between their
country code and ISO equivalent.



EBC and IEBC Additional Countries
The compliance engine can be configured to call a plug-in program for EBC and IEBC checks, to
return a list of additional countries.

The following system parameters can be used to determine the plug in programs.

CATEGORY: COMPLIANCE
KEY: EBC ADDITIONAL COUNTRIES

CATEGORY: COMPLIANCE
KEY: IEBC ADDITIONAL COUNTRIES

The value of each system parameter should be a name of a plug-in program (e.g. xtxxxebc.p).

The compliance engine will lookup up each of the system values, and run the plug-in program,
passing in the shipment keys, and getting a comma separated country list (e.g. IE,CU,IQ).

These countries returned by the plug-in program will be added to the standard list of countries for
each of the checks, not having the same country twice in the list.

Note: The plug-in program(s) would be written by the Services teams, with logic customized for
each Customer.




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Embargoed Countries IEBC (IM)
As with Embargoed Countries this compliance check requires a sequence number and „In use‟
flag to be set. The data behind this check comes pre-loaded with TRAXi3.

The compliance engine will check the following:
    he transaction country of origin code
    The country code on the consignor‟s shipment partner override address, which is
      matched against each country code listed

The Compliance Check Details screen consists of the following fields:

 Country               A list of Country Codes where goods cannot be imported from.

 Remarks               Any remarks relating to this check may be entered here.
                       The remark is used when generating a shipment compliance note on the
                       result record.

 Warning Only          Indicates that this compliance check should issue a warning message
                       rather than halt the shipment. A warning message will be sent to the
                       (ECO) using the email feature in TRAXi3.

Embargoed Countries – Blank Countries
The system can be configured so that a blank country of origin does not cause embargoed
country check to fail.

 Category                 Key                       Default        Information
 COMPLIANCE               BLANK          COUNRTY    NO             When set to yes the IEBC check
                          ALLOWED                                  will pass if the country of origin is
                                                                   blank.




Product Classification & Associated Checks
All shipment transactions entering or leaving a country must be assigned an identification code in
order to determine applicable government regulatory requirements e.g. the US Schedule B code.
TRAXi3 is highly configurable which allows you to apply your own business related reasons why
a product/tariff code should not be shipped from/to a selected country/individual.

Commodity 1/To Country - C1TC (EX)

This category displays a list of commodity code/country code combinations that are not permitted
to be exported to a certain country of destination.

The compliance engine will check the following for a match with the records listed here:
    Each transaction item lines commodity code 1 (xmsitm0.sicmod) and the shipment‟s
      country of destination code (xmshdr0.shcdt1)

       Each transaction item lines commodity code 1 (xmsitm0.sicmod) and the country code on
        the consignee‟s shipment partner override address (xmsnam0.snccde) and

       Each transaction item lines commodity code 1 (xmsitm0.sicmod) and the shipment‟s
        ultimate country of destination code (xms2dr0.s2ucdt) (Shipment Header Compliance
        Data screen).


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The C1TC compliance check screen consists of the following fields:

     Classification Group       Enter the classification group associated with the commodity code, e.g. EU
                                Intrastat Classification Nomenclature (ICN Group), US Schedule B Codes
                                (SCHB)

     Commodity Code             Enter the commodity code used in conjunction with the „Country of
                                Destination‟ field, which is entered next, indicating that the commodity
                                code cannot be exported to the country of destination.

     Country Of                 The country of destination entered here is used in conjunction with the
     Destination                „commodity code‟ field indicating that the commodity code cannot be
                                exported to the country of destination.

     Warning Only               Indicates that this compliance check should issue a warning message
                                rather than halt the shipment. A warning message will be sent to the
                                (ECO) using the email feature in TRAXi3.

     Remarks                    Any remarks required regarding this check may be entered here.




Commodity 1/To Partner - C1TP (EX)

This category displays a list of partners that cannot have certain products shipped to them,
based on the product‟s commodity code.

The compliance engine will check the following for a match with the records listed here:
    Each transaction item line‟s commodity code 1 (xmsitm0.sicmod) with the shipment‟s
      consignee (xmsitm0.shcnse) and customer (xmshdr0.shcust) codes. If a match is found,
      the transaction will then be considered to have failed this compliance check.

The C1TP compliance check screen consists of the following fields:


     Classification Group       Enter the classification group associated with the commodity
                                code e.g. EU Intrastat Classification Nomenclature (ICN Group),
                                US Schedule B Codes (SCHB)

     Commodity Code             The commodity code entered here is used in conjunction with the
                                „partner‟ field entered next; indicating that this commodity code
                                cannot be shipped to this partner.

     Partner Type/Partner       The Partner Type identifies the type of Partner that the
                                Commodity Code cannot be shipped to e.g.
                                01 = Consignee, 04 = Customer

     Warning Only               If this flag is checked on, it indicates that this compliance check
                                should issue a warning message rather than halt the shipment
                                and fail compliance. A warning message will be sent to the (ECO)
                                using the email feature in TRAXi3.

     Remarks                    Any remarks required for this check may be entered here.




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Commodity 2/From Country of Origin - C2FC (EX)

A list of commodity code 2/country code combinations that are not permitted should be added
here.

The compliance engine will check the following for a match with the records listed:
    Each transaction item line‟s Commodity code 2 and the transactions Country of origin
      code
    Each transaction item line‟s Commodity code 2 and the Country code on the consignor‟s
      shipment partner override address

If an exact code match is found, the transaction will be considered to have failed this compliance
check.

The C2FC compliance check screen consists of the following fields:

     Classification Group         Enter the classification group associated with the commodity
                                  code e.g. EU Intrastat Classification Nomenclature (ICN
                                  Group), US Schedule B Codes (SCHB)

     Commodity Code               Enter the commodity code used in conjunction with the country
                                  of origin field, which is entered next, indicating that this
                                  commodity code cannot be exported to the country of origin.

     Country Of Origin            The country of origin is entered here in conjunction with the
                                  „commodity code‟ field indicating that the commodity code
                                  cannot be exported to the country of origin.

     Warning Only                 Indicates that this compliance check should issue a warning
                                  message rather than halt the shipment. A warning message will
                                  be sent to the (ECO) using the email feature in TRAXi3.

     Remarks                      Any remarks required for this check may be entered here.

Commodity 1/From Country - C1FC (IM)

This category displays a list of commodity code/country code combinations that are not permitted
to be imported from a certain country of origin.

The compliance engine will check the following for a match with the records listed here:
    Each transaction item lines commodity code 1 (xmsitm0.sicmod) and the shipment‟s
      transaction country of origin code (xmshdr0.shcorg)
    Each transaction item lines commodity code 1 (xmsitm0.sicmod) and the country code on
      the consignor‟s shipment partner override address (xmsnam0.snccde).

If an exact code match is found, the transaction will be considered to have failed this compliance
check. The C1FC compliance check screen consists of the following fields:

     Classification Group       Enter the classification group associated with the commodity
                                code e.g. EU Intrastat Classification Nomenclature (ICN Group),
                                US Schedule B Codes (SCHB)

     Commodity Code             Enter the commodity code that cannot be imported from the
                                country of origin code.



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     Country of Origin         Enter the country of origin from which the commodity code cannot
     Code                      be imported.

     Warning only              If this flag is checked on, it indicates that this compliance check
                               should issue a warning message rather than halt the shipment
                               and fail Compliance. A warning message can be sent to the
                               (ECO) using the email feature in TRAXi3..

     Remarks                   Any remarks required for this check may be entered here.



Commodity 1/From Partner - C1FP (IM)

Partners that cannot have certain products imported from them, based on their product‟s
Commodity code, should be added here.

The compliance engine checks (for an exact match) each transaction item line‟s Commodity code
1 (xmsitm0.sicmod) with the transactions consignor code (xmsitm0.shcono). If a match is found,
the transaction will then be considered to have failed this compliance check.

The C1FP compliance check screen consists of the following fields:

     Classification Group      Enter the classification group associated with the commodity
                               code e.g. EU Intrastat Classification Nomenclature (ICN Group),
                               US Schedule B Codes (SCHB)

     Commodity Code            The commodity code entered here is used in conjunction with the
                               „Partner‟ field entered next; indicating that this commodity code
                               cannot be imported from this partner.

     Partner Type/Partner      The partner type identifies the type of partner e.g. 14 = Consignor
                               - that the commodity code cannot be imported from.

     Warning Only              If this flag is checked on, it indicates that this compliance check
                               should issue a warning message rather than halt the shipment
                               and fail Compliance. A warning message will be sent to the
                               (ECO) using the email feature in TRAXi3.

     Remarks                   Any remarks required for this check may be entered here.



Commodity 2/To Country of Destination - C2TC (IM)

A list of commodity code 2/ country code combinations that are not permitted should be added
here.

The compliance engine will check the following for a match with the records listed:

      Each transaction item line‟s commodity code 2 and the transactions country of
       destination code
      Each transaction item line‟s commodity code 2 and the Country code on the consignee‟s
       shipment‟s partner override address
      Each transaction item line‟s commodity code 2 and the transactions ultimate country of
       destination code.



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The C2TC compliance check screen consists of the following fields:


     Classification Group       Enter the classification group associated with the commodity
                                code e.g. EU Intrastat Classification Nomenclature (ICN Group),
                                US Schedule B Codes (SCHB)

     Commodity Code             Enter the commodity code used in conjunction with the „country of
                                destination‟ field, which is entered next, indicating that this
                                commodity code cannot be imported to the country of destination.

     Country Of                 The country of destination entered here is used in conjunction
     Destination                with the „commodity code‟ field indicating that the commodity
                                code cannot be imported to the country of destination.
     Warning Only               Indicates that this compliance check should issue a warning
                                message rather than halt the shipment. A warning message will
                                be sent to the (ECO) using the email feature in TRAXi3.

     Remarks                    Any remarks required for this check may be entered here.




Other Product Checks
Product/Countries (PRCT) (EX)

A list of product code / country code combinations that are not permitted should be added here.

The compliance engine will check the following for a match with the records listed:

       Each transaction item line‟s product code and the transactions country of destination
        code
       Each transaction item lines product code and the country code on the consignee‟s
        shipment partner override address
       Each transaction item lines product code and the transactions ultimate country of
        destination code

If an exact code match is found, the transaction will be considered to have failed the check.

The PRCT compliance check screen consists of the following fields:

     Product Code               The product code that cannot be shipped to a country of
                                destination.

     Country of                 The country of destination that is associated with the product
     Destination                code, as explained above.

     Warning Only               Indicates that this compliance check should issue a warning
                                message rather than halt the shipment. A warning message will
                                be sent to the (ECO) using the email feature in TRAXi3.

     Remarks                    Any remarks relating to this check may be entered here.




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Product / Partners (PRNR) (EX)
A list of product code / partner combinations that are not permitted should be added here.

The compliance engine will check the following for a match with the records listed:

       Each shipment‟s transaction item lines product code for an exact match with the
        shipment consignee and customer codes for export. If a match is found, the shipment will
        be considered to have failed this compliance check.

The PRNR compliance check detail screen consists of the following fields:

     Product                    The product code that cannot be shipped to a certain partner
                                record.

     Partner                    The partner that the product code cannot be shipped to.

     Warning Only               Indicates that this compliance check should issue a warning
                                message rather than halt the shipment. A warning message will
                                be sent to the (ECO) using the email feature in TRAXi3.

     Remarks                    Any remarks required for this check may be entered here.




Permitted Product/Countries (RPRC) (EX)

A list of product code / country code combinations that are permitted should be added here. The
compliance engine will first check if each transaction item line‟s Product code (from the product
code master file – PR) is flagged as „check for inclusion‟, e.g.




For an explanation on the use of this field, the following question must be asked:

When running this compliance check, is it mandatory that this product should exist in the
permitted product/country inclusion compliance category? If this flag is set on then in this
permitted product/country‟ category, it must be specified that the product is permitted to ship to
the country of destination, otherwise compliance will fail on the shipment, e.g.




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If the Product is flagged as „check for inclusion‟, then the following checks will be carried out for
that transaction item line‟s product code:
              The transaction item line‟s product code and the transaction country of
                  destination code
              The transaction item line‟s product code and the country code on the consignee‟s
                  shipment partner override address
              The transaction item line‟s product code and the shipment‟s ultimate country of
                  destination code for a match with the records listed here

The RPRC compliance check screen consists of the following fields:

     Product                    The product code that is permitted to be shipped to a country of
                                destination.

     Country                    The country of destination that is associated with the product
                                code as explained above - and is permitted to be shipped to the
                                country of destination.

     Remarks                    Any remarks required relating to this check may be entered here.




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Product/Countries IPRC (IM)

A list of product code/country code combinations that are not permitted should be added here.

The compliance engine will check the following for a match with the records listed:
    Each transaction item lines product code and the transaction country of origin code
    Each transaction item line‟s product code and the country code on the consignor‟s
       shipment partner override address

If an exact code match is found, the transaction will be considered to have failed this compliance
check.

The IPRC compliance check screen consists of the following fields:

     Product Code                The product code that cannot be imported from a certain country
                                 of origin.

     Country of Origin           The country code for country of origin that is associated with the
                                 product code, as explained above.

     Warning Only                Indicates that this compliance check should issue a warning
                                 message rather than halt the shipment. A warning message will
                                 be sent to the (ECO) using the email feature in TRAXi3.

     Remarks                     Any remarks relating to this check may be entered here.




Permitted Product/Countries (IRPR) (IM)

A list of product code / country code combinations that are permitted should be added here. The
compliance engine will first check if each shipment item line‟s Product code (from the Product
Master file – PR) is flagged as „check for inclusion‟, i.e.




For an explanation of the use of this field, the following question must be asked:

When running this compliance check, is it mandatory that this product should exist in the
permitted product/country inclusion compliance category?

If this flag is set on, in this permitted product/country‟ category, it must be specified that the
product is permitted to import from the country of origin, otherwise compliance will fail on the
shipment.

If the Product is flagged as „check for inclusion‟, then the following checks will be carried out for
that shipment item line‟s product code:
      The transaction item line‟s product code and the transaction country of origin code
      The transaction item line‟s product code and the country code on the consignor‟s
         shipment partner override address


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If an exact code match is not found, the transaction is considered to have failed this compliance
check.

The IRPR compliance check detail screen consists of the following fields:

     Product                     The product code that is permitted to be imported from a certain
                                 country of origin.

     Country                     The country code for the country of origin that is associated with
                                 the product code as explained above - and is permitted to be
                                 imported from the country of origin.

     Remarks                     Any remarks required relating to this check may be entered here.


Effective Date Range for Product Inclusion/Exclusion Checks

V6.0 #A07 patch has allowed for product inclusion/exclusion checks to be effective in a specific
date range. The CKXD02 maintenance screen has been changed for PRCT, IRPC, RPRC and
IRPR checks to allow for a product entry to be valid in a specified date range. If the dates are left
blank, the entry will always be considered by the compliance engine, regardless of the shipment
despatch date. If a date range is being specified, the despatch date of the shipment has to be in
this date range for the entry to be considered by the compliance checking engine.




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ECCN and License Determination
The need for a license is determined by the ECCN code used in conjunction with the US and EU
Commerce Control Lists (CCL), which identifies items for export control purposes. License
information is stored in TRAXi3 and used to validate transactions.

Business Overview
The Export Control Classification Number (ECCN) is issued in the US by the Bureau of Industry
and Security (BIS) and in Europe by the official Journal of the European Communities for items
that require an export license. The ECCN is an alpha-numeric code, e.g., 3A001, that describes a
particular item or type of item, and shows the controls placed on that item. A list of EU and US
ECCN codes can be provided by Precision Software Ltd. as part of Content.

EAR99
If the item you are exporting is classified by the ECCN but not listed on the CCL, it is designated
as “EAR99”. These items generally consist of low-technology consumer goods and do not require
a license in many situations. However, if your proposed export of an EAR99 item is to an
embargoed country, to an end-user of concern or in support of a prohibited end-use, you may be
required to obtain a license.

NLR – (“No License Required”)
Most exports do not require a license, and are therefore exported under the designation “NLR.”
Except in those relatively few transactions when a license requirement applies because the
destination is subject to embargo or because of a proliferation end-use or end-user, no license is
required when:

       The item to be shipped is not on the CCL (i.e. it‟s EAR99); or
       The item is on the CCL but there is no “X” in the box on the Country Chart under the
        appropriate reason for control column on the row for the country of destination.
In each of these situations, you would enter “NLR” on your export documents.

License Required
If the item you are exporting is classified by the ECCN and is listed on the CCL with an „X‟ in the
box on the country chart under „Reasons for Control‟ for the ultimate country of destination, an
Export License is required. License information is stored in TRAXi3 and used to validate
transactions.

License Exception
If a license is required for your transaction, a license exception may be available. If your export is
eligible for a license exception, you would use the designation of that license exception (e.g. LVS,
GBS, TMP) on your export documents. TRAXi3 stores a list of valid License exceptions
applicable to each ECCN code as part of Content.




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ECCN Compliance Checks
EXCT (ECCN/Countries)
When this check is in use, the compliance engine will check each item on the transaction to
ensure it has an ECCN Code associated with it. If blank, compliance will fail and advise the user
of the relevant product line affected.

ECLI (ECCN Export License)
When this check is in use, the compliance engine will check the following fields on a transaction
for a match with the countries listed in the ECCN country group (supplied as Content by PSL).

       Consignee Country
       Ultimate Country of Destination
       Country of Destination.

If an exact match is found, compliance will fail.

ECCN Master
The ECCN Master holds the available ECCN list provided by PSL as part of Content. The ECCN
group code is used to separate ECCN codes issued by different countries. The ECCN group to
be checked can now be assigned via the country master file. This ensures that the correct ECCN
is checked for each originating country i.e. EU or US groups.

The ECCN master contains the full list (ECCN + sub-ECCN) with descriptions.

Sub-options:

       Reason for control
        An ECCN may be controlled for various reasons such as Anti-Terrorism (AT), Chemical &
        Biological Weapons (CB), or Crime Control (CC). This list is provided by PSL as part of
        Content and does not need to be maintained by the customer. If Reason for Control,
        Other Government Agencies (OGA) is present, this means that the current ECCN is
        controlled by other agencies and you cannot use only the CCL rules to determine if it is
        controlled for your destination. This automatically fails compliance.

       Country Groups
        The Consignee country, Ultimate country and Country of destination on a transaction are
        checked against the ECCN country group. If an exact match is found, compliance will
        fail.




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An example of an ECCN entry from the US CCL is shown below;

0C002 "Special fissile materials" and "other fissile materials"; except, four "effective
grams" or less when contained in a sensing component in instruments

License Requirements

Reason for Control:

Items described in 0C002 are subject to the export licensing authority of the Nuclear
Regulatory Commission (see 10 CFR part 110).

License Exceptions

   LVS: N/A
   GBS: N/A
   CIV: N/A


List of Items Controlled

   Unit: N/A
   Related Controls: N/A
   Related Definitions: N/A
   Items:

The List of Items Controlled is Contained in the ECCN heading.



ECCN License Determination; How it Works
   1. If the current ECCN has more than 5 characters i.e. (subECCN), search for the ECCN
      root (5 character code)
   2. Display Reasons for Control. If OGA is present, fail compliance and display the OGA
      note. Skip to step 5.
   3. Check the destination country against the ECCN Country Groups. If the country is found
      in any of the groups, the ECCN is controlled. If it is not controlled, go to step 5.
   4. Check and display the License Exception compatible with the ECCN code. The user will
      see the list of License Exceptions (if any).
   5. Check if there are licenses attached to the current transaction. If a license is found but
      the ECCN is not controlled, then compliance will fail.




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Licensing
Introduction and Creating a New License

        To add/maintain license information in TRAXi3, run the Licenses option by entering the
        fast path option XL.

From the fast-path code XL, complete the following steps to create a License code for an Export
Shipment:

1) Select the icon to „create a new entry‟ or F6 and enter a License Code or Name, also
specifying the License is for an Export Shipment, e.g.




Complete the relevant/required fields on the screen shown below (XL02)




Add license „Allowed product‟ details using the XLPR02 screen (sub-option of XL).



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Product Code: If a product is attached to the license then this license is applicable only to that
product. However this field may be left blank and the ECCN number field used instead to cover a
wide range of products.

ECCN Number: Enter the ECCN number associated with the license. Transaction items with this
ECCN number will be covered by this license.




More than one product can be attached to a license if required.




Assigning a License to a Transaction
To attach an export license to a transaction, enter the fast-path FLOW and highlight the
transaction that you wish to attach a license to and go to the sub-option – Items. Double click on
the items sub-option and select the option Export Licenses. A license line will be created with an
unknown license attached. (See screen shot over-leaf)




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Highlight the license line and select the update icon or press F7 to enter a valid license code.
The license value and item quantity will automatically default from the transaction for products
with the same ECCN number as that on the license.




XL Option (After License Assigned to Transaction(s)
The „Current Value‟ field held in sub-option „Licenses – Allowed Products‟ (XLPR02), will be
updated automatically with the license value from the transaction.




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LVS Exceptions

Restriction on Annual Value of LVS Orders
If a license is required for your transaction, an LVS license exception may be available. This
means that the total value of exports per calendar year to the same ultimate or intermediate
consignee of items classified under a single ECCN may not exceed 12 times the LVS value limit
for that ECCN; however, there is no restriction on the number of transactions provided that value
is not exceeded. This annual value limit applies to transactions to the same ultimate consignee
even though the transactions are made through more than one intermediate consignee. There is
no restriction on the number of orders that may be included in a transaction, except that the
annual value limit per ECCN must not be exceeded.

For example, a company is allowed to ship up to $60,000 a year but none of the transactions can
be greater than $5000 and provided the product value does not exceed the LVS value per ECCN
on the transaction.

You can use more than one LVS exception for one transaction: (See example below)

 Item Line          Product Code   Product Value    ECCN Code           LVS Value        Use LVS
 10                 PR 1           4000             ECCN1               5000             Yes
 20                 PR 2           3000             ECCN2               3000             Yes
 30                 PR 3           10000            ECCN3               7000             No

Line 30 cannot be shipped against an LVS exception because the value is bigger than the
allowance.

In the table above we ignored the over all balance for all the lines.

A license line will be created for each ECCN-LVS that will be used with a tolerance ratio of 12 and
a licensed value of the LVS allowance (e.g. licensed value for 0A018.b LVS exception is $5000).
You will be able to use your entire quota because of the tolerance % that is set for the LVS
license exceptions. The balance will be checked before allowing you to assign the license and if
your quota was already used up the transaction will be stopped. e.g.

 Item        Product Code    Product          ECCN Code        LVS Value      LVS shipped      Use LVS
 Line                        Value                                            previously
 10          PR 1            4000             ECCN1            5000           30000            Yes
 20          PR 2            3000             ECCN2            3000           35000            No
 30          PR 3            10000            ECCN3            7000           0                No

Item line 20 cannot use the license exception because the balance will become (35000 + 3000) =
38,000 which is greater than the maximum LVS value of 36, 000 (12 * 3000).

Assigning an LVS Exception to a Transaction
To attach an LVS exception to a transaction, enter the fast-path FLOW and highlight the
transaction that you wish to attach the exception to and go to the sub-option – Items. Double
click on the items sub-option and select the option Export Licenses. A license line will be created
with an unknown license attached.

Highlight the license line and select the update icon or press F7 to update the license line. Type
LVS in the License field and tab out of the field. The following message will appear:




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Select ok and an LVS exception will be created in the format LVS-2005 (the year is taken from
the date of despatch). The license value and item quantity will automatically default from the
transaction for products with the same ECCN number on the license.

The following validations will be carried out for this license exception:
    Check that the year of the despatch date is yyyy (e.g. 2005 for LVS-2005).
    Check that the LVS license exception is valid for the current transaction. This check will
         use the ECCN content provided by Precision Software Limited.
    Check that the current item value is not bigger than the LVS allowance
    Check that the overall balance for the LVS license line corresponding to the current item
         line is not going to be bigger than 12X LVS allowance.

Unlike other licenses in XL, the LVS-yyyy license entries are Precision maintained only and no
manual changes are allowed.

XL Option and Other Exceptions
The „Current Value‟ field held in sub-option „Licenses – Allowed Products‟ (XLPR02), will be
updated automatically with the license value from the transaction.




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In a similar way to the LVS handling; dummy licenses will be maintained for every other license
exception used. The only difference is that this is only done for statistic purposes. The result of
the compliance check is not affected by the balance checks. A customer will be able to see how
much they shipped against every license exception.



Data Integrity Checks
Within TRAXi3, Integrity Checks enable complete validation of specified transaction data to
ensure that a value exists or a specific value exists within a field. The Data Integrity checks
currently available are as follows:




Cost_Per_Unit_Metric
       This check ensures that the estimated cost per unit weight on a shipment is within a
        certain range.
       There are 2 system parameters which are used to store the Min cost / weight and the
        Max cost / weight. They are:

        CATEGORY: COMPLIANCE
        KEY: MAX COST/WEIGHT UNIT

        CATEGORY: COMPLIANCE
        KEY: MAX COST/WEIGHT UNIT

       The cost per unit weight is the total of all expenses on the shipment divided by the gross
        weight. If this value is outside the range defined by these values this data-integrity check
        will fail on the shipment.

ETA_VS_Promise_Date
       This check ensures that the expected date of arrival on a shipment is less than or on the
        same date as the promise date.



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      If the shipment has a promise date, and the ETA data is greater than the promise date,
       then the compliance check on the transaction will fail/warn.

Partner_Valid_ISO
      Checks the participating partners on a transaction for having the ISO code filled on their
       country master records.
      If an address is overridden, then that country will be checked, instead of the one from
       the partner.

Product_Valid_CMOD1
      Validates that the commodity code 1 on the transaction lines exists on the commodity
       Master table.

Product_Valid_CMOD2
      Validates that the commodity code 2 on the transaction lines exists on the commodity
       master table.

Product_Valid_CMOD_Group1
      Validates that the commodity group 1 on the transactions lines exists and that they are
       the same for all item lines on the transaction.

Product_Valid_CMOD_Group2
      Validates that the commodity group 2 on the transactions lines exists and that they are
       the same for all item lines on the transaction

Product_Valid_COO
      Checks that each item on a transaction has a valid country of origin associated with it.
      The country code can be specified on the item line itself using the 'Products' screen.
      If no country of origin is specified on the item, then the country of origin specified on the
       product master file is used.
      The country code itself must be valid, i.e. a country record exists for the code specified
       and the ISO field (XMCTRY0.CTISO) on the country record is set.

Product_Valid_ECCN_Exp
      Checks that each item on a shipment has a valid ECCN for the exporting country.
      Checks that the EECN is set up on the ECCN master file.

Product_Valid_ECCN_US
      Checks that each item on a shipment has a valid ECCN for the US.
      Checks that the EECN is set up on the ECCN master file.

Product_Valid_HTS
      Checks every item has a valid commodity code 1 & 2 by checking the entry exists within
       the Commodity table.

Product_Valid_HTS_Group
      Checks that each item on a shipment has a valid commodity code group.
      The group must be the same for all items on the shipment.

Product_Valid_NMFC
This check allows for validation of NMFC Codes on the Product Master/Shipment Item. It is used
for US and Canadian Domestic Shipping.



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      Checks that each item on an LTL shipment has a valid NMFC Code for the product
      Checks that the NMFC is set up on the NM master file. (option NM)
      Checks if the product being shipped has a valid NMCF Number for LTL Shipments

Note: The data integrity check types that are created must be also set-up as a comma separated
list within the system values category „Compliance‟.

Key                   User          Client     VRC code        Value                 In use
DATA-INTEGRITY CHECKS                          *STANDARD       DATA-INTEG             +++



Setting up Data-Integ Checks
From the Compliance Check Master file (Fast-path „CK‟) select the DATA-INTEG option by
double clicking. The DATA-INTEG screen will appear and the user must select the “Create”
button (F6), which activates the DATA-INTEG Create screen below;




The method defaults as “Program” and the user selects the appropriate Element (Program name)
as appropriate from the dropdown menu. The following screen appears where the user can enter
if the check is a Fail or Warning and also an additional remark, which will appear within the
compliance check results screen if the Integrity Check fails.




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Compliance Questionnaires
A group of compliance questions can be configured, which must be correctly answered before the
check can pass the comprehensive checking procedures to ensure compliance. Questions can
be configured by partner type, product and transactions type. These questions can provide an
additional safety net to ensure „Due Diligence at all times.

If the transaction type option ZS is being used to run compliance for a particular transaction type;
then the compliance check „Questionnaires‟ along with the partner types associated with this
check must be set up in the sub-option „partner types to check for compliance‟. If not, the
shipment consignee and customer will be checked for export.

Creating New Questions
To enter questions the user must go to the Questions Master file to create the question/s (fast-
path „QE‟). Select the create option and a question id or code is entered as shown below;




The Questionnaire compliance check screen consists of the following fields:

     Question                   The text of the question to be answered.

     Answer Type                Answer Type, i.e. Logical, Character, Integer, Decimal, Date.

     Answer Operator            Answer Compare, i.e. =, <, <=, >, >=, <>.

     Correct Answer             Yes or No

     Answer Level               Master or Transaction Level
                                If master level is selected the answer should be predetermined
                                and available on a master table before compliance is run.

                                Transaction level questions are answered when the shipment has
                                been generated and before compliance has been run.

     Comment                    General comment relating to the question


Attaching Questions to the Questions check
When the question has been set, the user must assign the question to the compliance check by
entering the Compliance Check Master (fast-path „CK) and selecting the appropriate compliance
check question type.

Note: The question „check type‟ must be setup as a comma separated list within the system
values category „Compliance‟.

Key                      User    Client VRC code           Value                            In use
QUESTION CHECKS                         *STANDARD          C-TPAT,END-USE,SUP-COO           +++



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The user double clicks the appropriate compliance check question type to open the sub-options
and selects the “Create” option as shown below. The user can select what level the question
should be answered at.




A screen appears where the user can enter if the check is a Fail or Warning and also the remark
that will appear within the compliance check results screen if the check fails.




Answering Questions
Questions can be answered before or after shipment creation:

    -   Before = Master Table Level
    -   After = Transaction Level

Master Table Level
The answer is determined by reference to TRAXi3 Master tables i.e. relevant shipment partner or
shipment product. The answer must be entered prior to running compliance.

Transaction Level
The user answers question in Workflow after shipment creation and before running compliance.

How to Answer Questions in the Partner Master File (PR)
To answer questions at this level, enter the fast-path code NR for partners. Highlight the partner
you wish to answer the question for and select the sub option icon. Double click on the sub option
„Compliance Questions, Partner level‟ to view the question that was configured within the
Compliance check (CK) question category. See example below




To answer a specific question click on the “Answer” field to activate the responses available as
shown below;




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After the user has selected the appropriate answer they should click on the next question to see
the saved answer as shown below;




When all questions have been answered successfully, the user should return to the workflow
screen and run the compliance check.

Similarly at transaction level a sub option exists to answer applicable Compliance Questions that
have been configured in the Questionnaire with answer level of „Transaction‟.



Red Flag
TRAXi3 takes into account any abnormal circumstances in a transaction that indicate that the
export may be destined for an inappropriate end-use, end-user, or destination. A list of Red Flag
indicators can be stored in TRAXi3 and appear as a warning when compliance is run for a
transaction ensuring Due Diligence at all times.

Red Flag (REDF)
This check requires a sequence number and In use flag to be set.

Each partner record, if flagged, can be checked for Red Flag Indicators when compliance is run
based on the following System Values.

Category: Compliance
Key: Partner Ignore Red Flag Off

If set to „false‟ the field „Ignore Red Flag‟ on the partner master file is set on, therefore no checks
are carried out for red flag indicators when compliance is run.

If set to „true‟ the field „Ignore Red Flag‟ is switched off, therefore checks are carried out for red
flag indicators when compliance is run.

Note: The Red Flag Indicators must be set-up within the system values category:
„Compliance‟
 Key: Red Flag Note

Red Flag Indicators - Things to Look for in Export Transactions
Use the following as a checklist to discover possible violations of the Export Administration
Regulations:

 The customer or its address is similar to one of the parties found on the Commerce
Department's [BIS's] list of denied persons.

  The customer or purchasing agent is reluctant to offer information about the end-use of the
item.

 The product's capabilities do not fit the buyer's line of business, such as an order for
sophisticated computers for a small bakery.



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  The item ordered is incompatible with the technical level of the country to which it is being
shipped, such as semiconductor manufacturing equipment being shipped to a country that has no
electronics industry.

 The customer is willing to pay cash for a very expensive item when the terms of sale would
normally call for financing.

 The customer has little or no business background.

  The customer is unfamiliar with the product's performance characteristics but still wants the
product.

 The customer declines routine installation, training, or maintenance services.

 Delivery dates are vague, or deliveries are planned for out of the way destinations.

 A freight-forwarding firm is listed as the product's final destination.

 The shipping route is abnormal for the product and destination.

 Packaging is inconsistent with the stated method of shipment or destination.

  When questioned, the buyer is evasive and especially unclear about whether the purchased
product is for domestic use, for export, or for re-export.



CE Mark
The CE mark is the official marking required by the European Community for all electric and
electronic equipment that will be sold, or put into service for the first time, anywhere in the
European community. (See Appendix 2 for more information on the CE Mark).

It is possible to identify all electrical and electronic products that require CE Marks and the
relevant countries where these products can be shipped. This check requires a sequence number
and the „In use‟ flag to be set.

This compliance check tests whether a transaction with a particular product, partner (consignee)
and country (of destination) combination has a valid CE mark configuration or not.

Partner Master (NR)
Does the consignee require that a product have a CE Mark for goods that are classified as
requiring a CE Mark? If so, then the following flag should be set on:




Product Master (PR)
A list of country codes that require CE Marks can be set up against the product by first entering
the fast-path option PR. Select the relevant product and update the record using the F7 key or
update icon. At the bottom of the screen the following flag is available – „CE Mark required‟.




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If a product requires a CE Mark, this flag should be checked, then by choosing the product
master sub option called „Product Country - CE Mark available‟, the user can enter a valid list of
country codes (of destination) that the product requires a CE Mark for, before shipping to it.

The User defined fields are currently not in use on the Product master sub-option „Product
Country - CE Mark available‟, i.e.




If the flag „CE Mark required‟ is set on, and a list of country codes are NOT set-up in the sub-
option „Product Country – CE Available‟, then compliance will fail, i.e.

When the CE check is in use, the compliance engine checks whether:

        The consignee on the transaction require products to have the CE Mark (xmnref0.nrcemk
         – per screen print on previous page) and if
      The Item/s on the transaction (from the product master - xmprod0.prcemk) requires a CE
         Mark.
If both of these flags are checked, TRAXi3 will check whether the product code and country code
combination matches the records listed. If an exact code match is not found, the shipment will be
considered to have failed this compliance check, per screen shot overleaf.




Maintainable Denied Party List Category
TRAXi3 Denied Party (TXDP)
This check requires a sequence number and In use flag to be set. If the transaction type option
ZS is being used to run compliance for a particular transaction type; then the compliance check
„TRAXi3 Denied Party‟ along with the partner types associated with this check must be set up in
the sub-option „partner types to check for compliance‟

When the check is in use, the compliance engine will check if the corresponding shipment‟s
partner records of all of the partner types listed are flagged as denied. The check will fail if any
partner has been flagged as denied. If there are no partner types set up against the shipment
type, the shipment consignee and shipment customer will be checked for export.




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TRAXi3 also performs checks for the transactions partner address override records, which
contain the partner types listed for checking.

Partner Master Table
On the Partner Master file (NR ), the following field can be used to scan addresses using the
NRCOMP option to see if they are included on a Denied Party Listing or not:




The Partner Compliance screen can be accessed via fast-path NRCOMP.




The “On Denied Party List?” checkbox is automatically updated if the partner fails the Partner
Denied Party Check.




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UN Hazardous Checks
Item Compatibility
A list of hazmat classes, with mode of transport/product/country of destination combinations, can
be set up against another hazmat class to determine whether or not one hazmat class is
compatible with another.

This check requires a sequence number and In use flag to be set, but relies on set up behind the
Hazmat class master table (UN).

Items on Shipment UNCI
When this check is in use, the compliance engine will check each item on the transaction that has
a hazmat class attached to see if all hazmat class/mode of transport/product/country of
destination combinations on the shipment are compatible with the records listed in the Hazmat
Compatibility table.

Items within Shipment Packs UNCP
When this check is in use, the compliance engine will check those items within shipment packs
that have hazmat classes attached to see whether all hazmat class/mode of transport/
product/country of destination combinations within the shipment pack are compatible with the
records listed in the hazmat compatibility table.

If an exact code match is found and the record is flagged as Compatible, the shipment will be
considered to have passed this compliance check. However, if the UN record attached to the item
is flagged as Incompatible, the shipment will be considered to have failed this compliance check.

However, if an exact match is not found, everything will depend on the setup of the following
system value:

Category: HAZMAT
Key: DFT COMPATIBILITY CHECK RESULT

If the value is set to compatible, the shipment will be considered to have passed this compliance
check; however, if it is set to incompatible, the shipment will be considered to have failed this
compliance check. On the other hand, if no value is set up, it is considered to be compatible.




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Setting up Compliance with Workflow
The following tasks are considered mandatory when setting up a workflow code in order to run
compliance:
    Compliance Status
    Compliance check (Full)
    Compliance check (Normal)
    Compliance check (Minimum)
    View Compliance results

Note: It is assumed that the user is familiar with setting up and configuring Workflow codes in
TRAXi3 for different transaction types e.g. Orders, Shipments, Exports, Imports, etc) and also
configuring same codes either via Rules (RU) or Transaction Types (ZS).

See screen shot below for example of these tasks set-up against a Workflow code (WF option)




Compliance Status Check Task
If the compliance result is a pass, the compliance status task is checked with a green check
mark, if it fails for some reason such as a Denied Party matching or Embargoed Country, the task
will fail with a red X against the task.

Compliance Checks - Full, Normal and Minimum
When setting up these compliance tasks within a workflow they will be flagged as Check task
types as opposed to Standard tasks, as they are required to work as back-ground tasks. These
tasks will also have „parameters‟ specified in the „program parameters‟ field, which will be used to
run a full, minimum or normal check.




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The Full Compliance check has the following parameters listed:
checks=*all,fchecks=*all,recheck=yes,message=no,stop=yes,settask=COMP_STAT

The Normal Compliance check has the following parameters listed:
checks=*all,fchecks=,recheck=no,message=no,stop=yes,settask=COMP_STAT

The Minimum Compliance check has the following parameters listed:
checks=,fchecks=,recheck=no,message=no,stop=yes,settask=COMP_STAT

Explanations of the parameters for these checks can be viewed by selecting the INFO button to
the right of the „Program parameters‟ field, per screen shot below:




You will note the difference in the Full check compared to the other two, in that the Full check has
*all listed for all checks being checked and also all checks will be checked again when
compliance is run more than once on a transaction.

The parameters specified in these checks are pre-loaded in TRAXi3 and it is recommended that
they be left as such when creating new or modifying existing compliance workflow codes. Should
you require assistance in modifying these checks, please contact your Precision Software
Technical consultant.




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Pre/Post Requisite Tasks
You can also set-up the Full, Normal or Minimum compliance tasks as pre or post requisites
against other tasks e.g. the Documents task can include a prerequisite task Compliance Status
(for passed), which means documents cannot be produced/printed until the compliance has a
Passed status. This allows the user to set up scenarios for when a task can or cannot be run.

Note 1: A task can be complete but not successful. Pre/Post requisite logic only checks if
complete or not, hence the „Complete if Unsuccessful‟ flag for a task when setting up against a
workflow (WF).

Note 2: When associating Compliance tasks as a pre or post requisite (Full, Normal or Minimum
checks – see screen shot below - Figure 1), you will have the extra option/flag that indicates
whether the check should always be run (See screen shot overleaf – Figure 2). If this flag is set
on it will always run the post or pre requisite check regardless of whether the task was successful
or not. If this is switched off, it should only the run the check on success of completing the task
(F2 or green check mark).




Figure 1: Compliance tasks that can be associated as a pre or post requisite to another task




Figure 2: Extra check to allow Compliance task to be „Always run‟ or not

These pre and post requisites tasks are not visible to the user as tasks on the workflow itself
when working with shipments; they are back-ground tasks. The following screen shot shows
examples of pre and post requisites against other tasks.




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Using the Program Parameters Field on Workflow Tasks Screen (WFWT02)

Possible values being:
[CHECKS={LIST-OF-CHECKS};...,FCHECKS={LIST-OF-
CHECKS};...,RECHECK={YES|NO},STOP={NO|YES},HISTORY={YES|NO},MESSAGE={YES|N
O},SETTASK={TASK_KEY}],ON_PASS_CHANGE={STATUS};{GROUP_OWNER};{USER},ON_
FAIL_CHANGE={STATUS};{GROUP_OWNER};{USER}]

Where:
'CHECKS'= is used to identify a list of checks to run, separated by ';', or *ALL for all checks.
'FCHECKS'= is used to identify a list of checks that should be run even if manually overridden,
separated by ';', or *ALL for all checks
'ROLES'= is used to indicate what roles should be checked, separated by ';'.
'RECHECK'= is used to indicate if a check is re-run even if nothing appears to have changed.
'STOP=' is used to indicate if checking is to stop once a reason to fail has been found.
'HISTORY'= is used to indicate whether the check(s) history will be written.
'MESSAGE'= is used to indicate if a result message is to be displayed.
'SETTASK=' is used to indicate the task to set that indicates compliance has passed.
'HIGHWAY_TARGET'= is used to indicate what target endpoint to use if the compliance check is
to be run in the background. By specifying a value here it is assumed that the check is to be run
in the background.
'HIGHWAY_TARGET2'= is used to indicate what target endpoint to use if the initial endpoint is
unreachable.
'HIGHWAY_TARGET3'= is used to indicate what target endpoint to use if the failover endpoint is
unreachable.
'ON_PASS_CHANGE'= is used to specify a new object status, new group owner and new user of
the object, separated by ';', if the compliance passes. (e.g. 87;COMPLIANCE;CKUSER). See
Note 1 over leaf.
'ON_FAIL_CHANGE'= is used to specify a new object status, new group owner and new user of
the object, separated by ';', if the compliance fails. (e.g. 86;COMPLIANCE;CKUSER). See Note 1
over leaf.

Example:
'CHECKS=*ALL,FCHECKS=EBC;TXDP,RECHECK=NO,STOP=NO,HISTORY=NO,MESSAGE=
NO,SETTASK=COMP_STAT'




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Recheck=YES or NO

'RECHECK'= is used to indicate if a check is re-run even if nothing appears to have changed.

If the RECHECK parameter is changed to RECHECK=NO, this has consequences if re-
interfacing an existing order that has already gone through the compliance engine.

CHECKS THAT ARE NOT RE-RUN WHEN THE PARAMETER IS SET TO NO (i.e. don‟t re-run
the checks again should something change on an order and it is re-interfaced from JDE,
for example):
     EBC – Embargoed Country
     IEBC – Embargoed Country (Import)
     C1TC – Commodity/Country
     EXCT – ECCN/Country (EX)
     C1FC – Commodity/Country (Import)
     C1TP - Commodity / Partner
     C2FC - HS Code / Country
     C2TC – HS Code/Country (Import)
     C1FP – HS Code/Partner
     PRCT – Product/Country
     IPRC – Product/Country (Import)
     PRNR – Product/Partner
     RPRC – Inclusion – Required Product/Country
     IPRC – Inclusion – Required Product/Country (Import)
     CEM – CE Mark
     UNCI – Hazmat compatibility of items on a shipment
     UNCP – Hazmat compatibility of items within shipment packs
     DPL – Denied parties

CHECKS THAT ARE RE-RUN WHEN THE PARAMETER IS SET TO YES or NO
    DPL-TEXTS
    ECLI – EXPORT LICENCES
    END USE QUESTIONS
    EXLI (REDUNDANT IN VERSION6)
    IMLI (REDUNDANT IN VERSION6)
    DATA INTEGRITY CHECKS
             nd
i.e. The 2        set of checks are run whether the recheck flag is set or not

Note 1:

Allow Check Tasks or Compliance Check Tasks to be Moved to Other Statuses
and Groups

ON_PASS_CHANGE, ON_FAIL_CHANGE
New parameters have been added to the existing list (per Page 69) which allow check tasks or
compliance check tasks to be moved to other statuses and groups. The new parameter are
ON_PASS_CHANGE and ON_FAIL_CHANGE both of them consist of 3 possible values status,
owner group, user separated by a ; .

The purpose of these parameters is to change the status and/or owner, and/or user of a
transaction based on the result of a check status. The ON_PASS_CHANGE will indicate what
should be changed on the transaction if the check passes and the ON_FAIL_CHANGE will
indicate what should change on the transaction if the check fails.


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These parameters can be set-up in WF in the Program Parameters field.




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DPL Matches Algorithm
TRAXi3 employs its own matching routine to determine whether a given address matches a
denied party address. The technique used is described below.

Each denied party loaded into TRAXi3 should be associated with a TRAXi3 Country code. When
a TRAXi3 partner is passed to the DPL matches algorithm, the country associated with this
country is used to narrow down the number of denied party records that are examined for a
favourable match. For example, if a TRAXi3 partner has a Country code of LY, only denied
parties associated with LY would be examined. It is therefore important that the denied party
country mapping values are correct. If no country is specified as part of the Partner address the
„matches‟ algorithm will search through all denied parties.

Let us assume that an address we wish to test as to whether it is a denied party consists of „n‟
words - W 1, W 2, W 3, …W n.

The algorithm begins by looping through those words that are greater or equal to four characters
in length, and do not belong to the list of words that must be ignored - as in the following:

     each W i where length(W i) > 3 and W i  ignore list (where 1  i  n).

For each of these words, each denied party address associated with the same country as that of
the partner address is examined for an exact word match. This provides an initial group of denied
parties that are to be examined very closely for a favourable match. Therefore, if, at least, one
exact word match is not made, the routine will assume that there is no match and the partner is
not on the DPL.

Let‟s call this initial group G; assume that G contains „m‟ denied party addresses. A word in one
of these addresses is denoted by Gi,a where „i‟ indicates the address in the group that we are
referring to, and „a‟ indicates the word in the address – as in the following:

     G2,6 would imply the sixth word of the second address in the group of addresses.

Each word, W 1, W 2, W 3, W n, is compared with each of the words in each group address. The
degree to which one of these words matches a group word is scored. This is done as follows:

- If a word W i is five or more characters in length, it is assigned a length weight value of 2.0.
Words less than five characters in length are assigned a length weight value of 1.0.

- If a word W i is listed as a common word, it is assigned a usefulness weight of 0.3; otherwise, its
usefulness weight is 1.0.

- Taking the first word W 1, a comparison is made with each word in the first address in the denied
parties group that has been identified for closer examination. So, W 1 will be compared to G1,1 ,
G1,2 , … G1,n where n is the number of words in the first address.

- If a word W i exactly matches a word in the first group address, then the word scores:

     Word Scorei = length weighti  1.0

- If no exact match is found, a Soundex match is performed. This is similar to the exact match
above except the Soundex codes for the words are examined for an exact match.
If a Soundex match is made, the word scores - as in …



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     Word Scorei = (length weighti  1.0)  1.5

- If a Soundex match cannot be made, a partial match is checked for. If the word W i begins with a
word in the address, or vice versa, the following score is computed:

     Word Scorei = (length weighti  1.5)  2.0

- Finally, if a partial match cannot be made, a partial Soundex match is checked for. If the
Soundex code for the word W i matches the first 3 or 2 characters of a Soundex code of a word in
the address, the following score is computed:

     Word Scorei = (length weighti  0.6)  2.0                if first 3 characters match
     Word Scorei = (length weighti  0.4)  2.0                if first 2 characters match

This provides a word, W i, with a score when compared to a word in an address. The word score
used is the maximum score for a word when compared to all the words in an address multiplied
by the word‟s „usefulness‟ weight. Therefore, the score for an address when compared to another
address is the sum of these maximum word scores divided by the total possible score. The value
is multiplied by a hundred to give a percentage matching score.

All of this works provided that we can match at least one word from our address/name against
one in the search data. If this fails and no matches are found, then we‟ll try a SOUNDEX match in
case all of the words in the name/address are misspelled. In case of any SOUNDEX match, the
algorithm described above is fired and a check performed. If you want to run this check
independent of the full match, you can set the system value FULL_SOUNDEX_CHECK to YES.




If the country of destination is used, the equation above is modified slightly as the country name
match will not be scored. The scoring equation will become …




If an address matching score is greater than a specified threshold value, a match with a denied
party is assumed and the DPL compliance check fails. If a score is greater than half the threshold
value, a „Pass with a warning‟ will be the result. Otherwise, the compliance check is flagged as
Passed.




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Soundex Algorithm
What is Soundex?
The Soundex code is an indexing system which translates words into a 4 digit code consisting of
1 letter and 3 numbers. The advantage of Soundex is its ability to group words according to their
sound rather than exact spelling. Take, for example, the name Paine. A census recorder or a
family might spell the name variously as Paine, Pain, Pane, Payn, Payne, and so on. On the
other hand, the Soundex code for all of these is P500.

Soundex Rules

     1).       All Soundex codes have 4 alphanumeric characters (no more, no less) consisting
               of 1 Letter, followed by 3 Digits.

     2).       The Letter of the name is the first character of the Soundex code.

     3).       The 3 digits are defined sequentially from the name using the Soundex Key below.

     4).       Adjacent letters in the name, which belong to the same Soundex Key code number,
               are assigned a single digit (see examples 2 and 3 below).

     5).       If the end of the name is reached prior to filling 3 digits, zeroes are used to complete
               the code.

     6).       All codes have only 4 characters, even if the name is long enough to yield more.



Soundex Key

           1             bpfv

           2         cskgjqxz

           3               dt

           4                l

           5              mn

           6                r

       No            aehiouyw
      code




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Percent (%) Matching and how Scores are
Arrived at
Example names and addresses for testing DPL matches


1) Tested Name and Address (with limited address details, i.e. dots…)
 PRIMER FRANCE DIRECT
 .
 .
 .
 FRANCE (FR)

TEST RESULT:
Test: Does the above name/address match any parties in the denied party lists?

Score: 100%

Conclusion: The consignee (PRIMER FRANCE DIRECT) has an override name/address/
name&address which matches a denied party entry. This has caused the compliance check to
fail.

Tip: See result details below for additional information on matches found

For the above address (with the dots), % score is arrived at as follows:




Using the above address example (with dots…) a 100% match has been found on the last
address line of FRANCE with the below address as a match. This DPL party was listed as a
Denied Party in the UNC DPL listing, and looking at how TRAXi3 arrived at this conclusion, we
can see from the above matrix that a 100% match was found for the word FRANCE. Example of
a DPL address found with a 100% matching being:
        Global Relief Foundation (UNC)
        49 rue du Lazaret, 67100 Strasebourg
        FRANCE

Note: We are referring here to address check only.




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2) Tested Name and Address (with more precise address line details)
 PRIMER FRANCE DIRECT
 ANY COMPANY
 ANY BUILDING
 ANY STREET
 .
 FRANCE (FR)

TEST RESULT:
Test: Does the above name/address match any parties in the denied party lists.

Score: 0%

Manually Passed Previously: NO

Conclusion: No matches found


TEST PARAMETERS:
 Name Threshold:    90%
 Address Threshold: 90%
 Common Words:
 System Values:     DPL_UPDATE_COMMON=
                    ACTION ON DPL SUBSET=Warn

DPL_RUN_NAME_CHECK=BIS,UNVERIFIED,ENTITY,OFAC,DEBARRED,FTO,CBW,MP,JPC,
UNC,EUTR,EUTL,TEL,OFACIR,OSFII,OSFIE,OFAC NSPLC,FINCEN,UKPC
        FULL_SOUNDEX_CHECK=
        FULL_METAPHONE_CHECK=
        DPL_RUN_C/O_CHECK=YES
        DPL_RUN_ISMATCH=90
        DPL_RUN_ISMATCH_WARN=75
        DPL_RUN_NAME_ISMATCH=90
        DPL_RUN_NAME_ISMATCH_WARN=75
        DPL ALGORITHM=Soundex
        DPL DEBUG MODE=NO
        COUNTRY MANDATORY=
        DPL MINIMAL WORD LENGTH=1
        DPL SCORE DECIMAL PLACES=1

Note: We are referring here to address check only.

For the above example address with ANY building, Any Company, etc. the score is too low (90%
threshold used), so the check passes. For those exact details, it won't return any DPL matches
for the address check, only a couple of DPL entries with 50% for name check (Secours Mondial
de France), but the score is too low to find a match up to 90%, so the check passes.

See scoring chart on next page for details of % found




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Working Example
Running Compliance Against a Shipment Transaction

Here is a working example of a shipment transaction running compliance.

Note: It is assumed that the user is familiar with the workflow screen and creating transaction
records either manually or through the standard TRAXi3 interface screen as seen here.




In this example we are exporting from the US to IRAQ using the following compliance checks,
which are set up against the shipment transaction type 01 in the fast-path option ZS.




The Compliance results can be viewed with the following screen. This can be accessed via the

View Compliance Check Result button (right) within Workflow




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In this example the shipment transaction has failed compliance based on the following check
results.

DPL (Denied Party Check)
The compliance check has been carried out for both the Consignee (Role 01) and Customer
(Role 04), whereby TRAXi3 has matched both names and addresses against the various Denied
Party Lists that are supplied as part of Content.

       The Consignee address has passed with warnings, meaning that the Partner is on a
        denied party listing but only as a warning. Therefore the goods can still be shipped to the
        Consignee as it has passed compliance but simply giving the Compliance Officer a
        warning.
       The Customer address has failed completely meaning that TRAXi3 has found a %
        matching (based on y2/compliance parameters for % thresholds) on both the Name and
        Address.

EBC (Embargoed Countries)
This check has passed with warnings, as IRAQ is set-up only as a warning to the Compliance
Officer, so while it is flagged as an embargoed country, the exporter still has permission to ship to
this Country. This set-up for warnings only is done in the CK option in TRAXi3 behind the EBC
category.




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ECLI
This compliance check has failed because no ECCN number existed for product line 10. In order
to correct this, the Compliance Officer must go to back to the Shipment Items, double click
product line 10 and select the sub-option called „Product Export Classification‟. A relevant ECCN
Number for the US Export Group will then need to be added in manually. Once the information is

saved, go back to the Compliance results screen and run Compliance again using the      „re-
check‟ icon and provided the ECCN Number associated doesn‟t need an Export License, then
Compliance should pass on the next run.




ECCNs and an Export License
The ECLI Compliance category is used with ECCN Codes and Licenses, and the ECCN Code
itself will determine if a License is required or not. Some ECCN‟s can be shipped under LVS
terms – Low Value shipments – meaning that a license is NOT required for certain ECCN‟s.

While a Shipment Item can have a valid ECCN Code (as above), Compliance can still fail if a
valid License is not found.

In the screen shot overleaf, you will see that Compliance has failed for ECCN Code 0A018
because a valid license has not been found.




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To add a valid license to the ECCN Code for the Item, the Compliance Officer must do the
following:
      Go to the Shipment Items option, double click on it and select the sub-option called
         „Export Licenses‟.
      A „dummy‟ record of UNK_US (Unknown license for US ECCN Code) is shown for the
         License Group US (as it is a US ECCN Code that the Shipment Item has that requires the
         license).




      High-light the above record shown and select update icon (F7).
      Select a License from the list available in the drop down (F4) box.
      Select a License Line for the license being added. NOTE: The License itself is set-up in
       the XL table and MUST have an „ALLOWED Product‟ associated with it in order to
       complete this field „License Line‟.
      The ITEM QUANTITY is automatically updated with the same value as the Item Shipment
       Quantity, e.g.




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       Save using green check mark and go back to the Compliance results screen using the
        red arrow to go back 3 times.
       Re-run compliance and compliance should now pass provided correct license has been
        associated with the Item, e.g.




C1TC
This compliance check tests whether a shipment with the Commodity code ('SCHB')
„26201900000‟ and country 'IQ' (IRAQ) is permitted or not. This compliance check has failed
because the commodity code cannot be shipped to the country Iraq.

In this instance, the Compliance officer can choose to MANUALLY Pass the compliance check in
order to allow the shipment to go ahead and be shipped.




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      Using the field called „Check Status‟ select the down arrow to the right and use the option
       called „PM – Passed manually‟ and a red box will appear below to allow
       details/description on why this option is being passed manually.

      Save using the         icon.




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Working with the Compliance Results Screen


The Compliance results screen cane be accessed via the View Compliance Check Result

button (right) within Workflow.

Below is a list of the commonly used buttons on the compliance results screen.



Save button: Used to save any changed information: for example, manually overridden check
status.



Re-check button: Used to perform re-check over the compliance checks listed, except for those
which have been manually overridden.



Re-check All button: Used to perform re-check over all the compliance checks listed, including
the ones, which have been manually overridden.



Compliance Check History button: Used to display the history of the checks run.



Compliance Check Manual Override History button: Used to display the history of the checks,
which have been manually over-ridden.



The Check status can be manually overridden if either (i) the user is an ECO or (ii) the check is
not a non-ECO check.




The above screen is split into two:



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A – This shows a list of checks that have been run with their latest results. It also shows the sub-
checks of each check (if any).

B – This details the reasons why the check fails or passes with warning. As with the Check
status, this can be manually overridden if either (i) the user is an ECO or (ii) the check is not a
Non-ECO check.

The history of the checks can be viewed with the following screen. This can be accessed via the
Compliance Check History button on the View Compliance Check Result screen.




Note the colour code of the compliance checkboxes as follows;

Orange =         The initial compliance run result has been changed in a subsequent compliance
check run.

Red   =          Compliance check has failed
Green =          Compliance check has passed.

Also note that the date and time are available to the right of the RUN number.
The date and time are stamped at the check category level as well as the individual check and
this is displayed at the category level.
A button is available to give access to a URL when viewing results of license checks (ECLI,

EXCT).

In addition there is another button available to bring up the ECCN information stored in TRAXi3
for these particular checks.     . The colour, date and time can be seen clearly below in the
example over-leaf.




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The history of the checks, which have been manually overridden, can be viewed with the
following screen. This can be accessed via the Compliance Check Manual Override History

button (below) on the View Compliance Check Result screen.

Results – Text Format
The compliance result text has been modified as follows:
           a) Pass information is provided for the DPL, EBC and IEBC checks.
           b) The result for the DPL, EBC and IEBC checks includes what was tested along
               with certain test parameters which describe what parameters were set when the
               test was performed.
       c)      Each denied party listed in the result is categorised as a warning or
             pass

       TESTED NAME AND ADDRESS:
       ========================
        osama bin laden

       TEST RESULT:
       ============
         Test: Does the above name/address match any parties in the denied party lists.
         Score: 100%
         Conclusion: The also notify (osama bin laden) has a override name/address/name&address which matches a
       denied party entry. This has caused the compliance check to fail.
         Tip: See result details below for additional information on matches found.

       RESULT DETAILS: *** BY NAME ***
       ===============================
       Subset of
        BIN LADEN, Osama (OFAC)
        Osama Bin Laden (UNC)
        [There is one more occurrence of this name but the address may be different.]
       End of Subset Section [Current action is: FAIL]

       (100.0% [FAIL])
         BIN LADEN, Osama (OFAC)

       (90.5% [FAIL])
         BIN LADIN, Osama (OFAC)

       (90.5% [FAIL])
         BIN LADIN, Osama bin Muhammad bin Awad (OFAC)

       TEST PARAMETERS:
       ================
        Name Threshold: 90%
        Address Threshold: 80%
        Common Words:
        System Values:
       DPL_UPDATE_COMMON=INTERNATIONAL,PUBLIC,SHIPPING,Street,avenue,ave,rue,suite,LIMITED,CO,C
       OMPANY,LTD,Road,INC,TRADING,SA,AB,BV,GMBH
                ACTION ON DPL SUBSET=FAIL

       DPL_RUN_NAME_CHECK=BXA,OFAC,ENTITY,FTO,DEBARRED,JPC,ETC,UNVERIFIED,MP,CBW,GPC,UK
       PC
               FULL_SOUNDEX_CHECK=
               FULL_METAPHONE_CHECK=



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                DPL_RUN_C/O_CHECK=Yes
                DPL_RUN_ISMATCH=80.00
                DPL_RUN_ISMATCH_WARN=65.00
                DPL_RUN_NAME_ISMATCH=90.00
                DPL_RUN_NAME_ISMATCH_WARN=75.00
                DPL ALGORITHM=Soundex
                DPL DEBUG MODE=No
                COUNTRY MANDATORY=NO
                DPL MINIMAL WORD LENGTH=1
                DPL SCORE DECIMAL PLACES=1


Results – Tree View
The compliance results screen has been modified as follows:
       (a) New icons have been introduced to represent saved manually passed/failed results
           as well as cached passed/passed with warnings/failed results. A help legend is also
           available with a description for each possible icon.




       (b) The compliance check tree window is now a tabbed area. The tabs allow the user to
           view only those checks that have failed, passed with warnings or passed without
           warnings as well as the default all checks regardless of their status.
       (c) The compliance check tree information can now be presented in an enhanced view.
           This view replaces the role code with the role description for the DPL type checks.
           Other codes are replaced with more informative descriptions for the EBC, IEBC,
           DPL-TEXTS check categories.
       (d) A scroll pin button is available when viewing DPL results. This button can be toggled
           to lock/unlock the scrolling of the tested name and address section of the result
           allowing the user compare the tested value with the matches without having to scroll
           up and down.




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        Category
        COMPLIANCE       RESULT DISPLAY MODE   OLD        Used to indicate the preferred view.
                                                          This should be set to “NEW” in order
                                                          for the “Enhanced View” button to be
                                                          selected by default.




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Compliance Reports
Partner Master Compliance Check (NRCOMP)

SUMMARY:
The Denied Party Compliance check can be applied to Partner maintenance (NR table). This is
particularly useful where overrides on names & addresses are not required on an order/shipment
– allowing the DPL check to be carried out once at the time of adding new customers. The DPL
check automatically updates the TRAXi3 Denied Party flag on the Partner file (fast path NR) if it
finds a match against a TRAXi3 Denied Party (DPL), flag being:




System Values:
Category>Compliance

Check Keys                          Value                   Comment
PARTNER TYPE FOR NR DPL             01,04,05
CHECK

The report only checks certain types of partners (roles) which are set-up as comma separated
values as indicated above where 01 = Consignee, 04 = Customer, etc. The report can be run for
a single partner, a multi select of partners or all partners.

The report details partners that have:
    failed compliance,
    been manually set to fail compliance
    previously failed compliance but now pass
    no country code available

If the partner does not match the criteria no lines are generated for the report and you get the
standard message „No detail lines‟.

There are two icons on the Partner screen that allow for this or it can be accessed from the fast-
path option NRCOMP also.




The two relevant icons, in the middle of the above screen are …




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The icon on the left provides a denied party check for a single partner or multi select of partners.
The icon on the right provides a denied party check for all partners.

Highlight a partner (not necessary for ‘all partners’ check) and choose one of the above icons to
bring you to the following screen:

Report Selection Screen:




Report Selection Parameters:

 Printer                         Select the required output device/printer to be used

 Number of Copies                Indicate the number of copies of the report required.

 Print Cover Page                This box is checked if the report is to be preceded with a page,
                                 which will detail the selections made for the report that follows.

 Process Option                  One of the following must be checked:
                                 - Preview - See the output on screen
                                 - Print - Send the output to selected Printer
                                 - Output information to a file – create a CSV file

 File Name                       When creating a CSV file, the report document to be created
                                 should be named here.

 Report Type                     One of the following must be selected:
                                 - Detail – Partner Detail & Denied Party Match Detail
                                 - Summary – Partner Detail Only

A report (NDPL01) is then produced, that contains a list of partners that are denied, as well as a
list of partners that are no longer denied. An example of the report, run for one partner that has
been matched 100% against a DPL entry is shown overleaf, hence the NR flag will be updated
automatically to say it is now a Denied Party.




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Failed Compliance Report (CPL01)

SUMMARY:
This report allows users to view a record of all shipments which have failed Compliance, with
details given of the shipment number, country of origin/destination and consignor/consignee.

Report Selection Screen:




Report Selection Parameters

 Contact                 Select Contact (Shipping Officer) or leave blank for all to be included.

 Shipment Type           Select Shipment Type. One of the following must be checked:
                         Import/Export.

 Country                 Select Country of Origin for imports/ Country of Destination for exports
                         or leave blank for all to be included.

 Final Destination       Select Country of Destination or leave blank for all to be included.

 Ult. Country of         Select Ultimate Country of Destination or leave blank for all to be
 Destination             included.

 Order Date From         Those transactions are to be selected whose order date falls within
                         these from/to dates. Leave blank for all. NOTE: The SHORDN field
                         (order number) must be completed on the shipment header in order to
                         get output details.

 Order Date To           Those transactions are to be selected whose order date falls within
                         these from/to dates. Leave blank for all.



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 Copies                  Indicate the number of copies of the report required.

 Printer                 Select the required output device.

 Process Option          One of the following must be checked:
                         - Preview - See the output on screen
                         - Print - Send the output to selected Printer

 Print Cover Page        This box is checked if the report is to be preceded with a page, which
                         will detail the selections made for the report that follows.


EXAMPLE OUTPUT




Issue 1.0                                                                   Page 100 of 109
TRAXi3 Reference Guide                                        Topic041 - Compliance Checking


Failed Audit Inquiry Report (CPL02)

SUMMARY:
This report allows a company to report (after the fact) on why a shipment failed compliance. It will
detail the partners that failed along with associated information, such as the user who checked
the shipment. It is a history of what happened, and would be shown to an auditor, for example.

Report Selection Screen:




Report Selection Parameters

 Consignor                      Select Consignor or leave blank to have report include shipments
                                for all Consignors.

 Customer                       Select Customer or leave blank for shipments for all Customers to
                                be included on the report.

 Warehouse                      Select Warehouse or leave blank for all to be included in the
                                report.




Issue 1.0                                                                     Page 101 of 109
TRAXi3 Reference Guide                                   Topic041 - Compliance Checking


 Country of Origin         Select Country of Origin or leave blank for all to be included.

 Country of Destination    Select Country of Destination or leave blank for all to be included.

 From Date                 Those transactions are to be selected whose date falls within
                           these from/to dates. Leave blank for all.

 To Date                   Those transactions are to be selected whose date falls within
                           these from/to dates. Leave blank for all.

 From Shipment Number      Those transactions are to be selected whose shipment number
                           falls within these two shipment numbers. Leave blank for all.

 To Shipment Number        Those transactions are to be selected whose shipment number
                           falls within these two shipment numbers. Leave blank for all.

 EIN Number                Select the EIN Number or leave blank for all to be included.

 Report Type               One of the following must be selected:
                           - Current Detail – Details of the last result for each shipment.
                           - Current Summary – Summary of the last result for each
                           shipment.
                           - History – History of all results for each shipment.

 Display Comments          This box is checked if the report is to include additional system
                           comments as to why the check failed.

 Output Information to a   This box is checked if the report is to be output to a CSV file and
 File                      if checked on, the user will get the following example pop-up
                           message to say CSV file has been created in a pre-defined
                           directory (y2 systems values).




                           NOTE: When outputting information to a file, the user will NOT
                           get a printed version of this report.

 Printer                   Select the required output device.

 Number of Copies          Indicate the number of copies of the report required.

 Print Cover Page          This box is checked if the report is to be preceded with a page,
                           which will detail the selections made for the report that follows.

 Process Option            One of the following must be checked:
                           - Preview - See the output on screen
                           - Print - Send the output to selected Printer




Issue 1.0                                                                  Page 102 of 109
TRAXi3 Reference Guide   Topic041 - Compliance Checking


EXAMPLE OUTPUT




Issue 1.0                              Page 103 of 109
TRAXi3 Reference Guide                                       Topic041 - Compliance Checking


Manually Passed Compliance Report (CPL03)

SUMMARY:
This report allows users to view a record of all shipments that have been manually passed,
showing details such as the shipment number, country of origin/destination and
consignor/consignee.

Report Selection Screen:




Report Selection Parameters:

 Transaction type             Specify if you wish to run the report for a Shipment transaction or
                              an order transaction (i.e. two tabs in FLOW probably in use, one
                              for Shipments and one for Orders0

 Consignor                    Specify if you wish to run the report only for transactions for a
                              particular consignor

 Customer                     Specify if you wish to run the report only for transactions for a
                              particular customers

 Warehouse                    Specify if you wish to run the report only for transactions from a
                              particular warehouse, the warehouse being a partner address on
                              the transaction, probably mapped via the ERP system.



Issue 1.0                                                                     Page 104 of 109
TRAXi3 Reference Guide                                     Topic041 - Compliance Checking


 Country of Origin         Specify if you wish to run the report only for transactions for a
                           particular country of origin

 Country of Destination    Specify if you wish to run the report only for transactions to a
                           particular country of destination

 From date/To date         Specify if you wish to run the report for transactions from a
                           particular despatch date to a particular despatch date, i.e.
                           SHDDTE field on TRAXi3 transaction (Route details screen)

 From Shipment number/     Specify if you wish to run the report from a particular shipment or
 To shipment number        range of shipment numbers


 EIN Number                Specify if you wish to run the report for a particular EIN Number,
                           where the EIN Number is normally associated with a particular
                           partner, i.e. Consignor, Consignee, Carrier, etc. a field located on
                           the Partner Master address record in NR – NREIN. When
                           processing shipments, if the EIN number of the Shipment's
                           Consignor does not match the EIN specified on the report screen,
                           that shipment is not included in the report.

 Report Type               Specify if you wish to run the report in detail or by summary

 Display comments          When running the report by SUMMARY, this field becomes active
                           to allow on to display extra comments on the report or not

 Output information to a   Specify if you wish to output the report to a file, in which case if you
 file                      do, one will receive a pop-up message advising that a csv file has
                           been created in a pre-defined directory (y2 system values set-up),
                           e.g.




 Printer                   Select the required output device/printer to print the report to

 Number of copies          Indicate the number of copies of the report to be printed

 Print cover page          This box is checked if the report is to be preceded with a page,
                           which will detail the selections made for the report that follows.

 Process                   One of the following must be checked:
                           - Preview - See the output on screen
                           - Print - Send the output to selected Printer




Issue 1.0                                                                   Page 105 of 109
TRAXi3 Reference Guide   Topic041 - Compliance Checking


EXAMPLE OUTPUT:




Issue 1.0                              Page 106 of 109
TRAXi3 Reference Guide                                           Topic041 - Compliance Checking


Dynamic Name and Address Compliance Report (DNAC01)

SUMMARY:
The Dynamic Name and Address Compliance Report allow the user to enter a name and address
for checking against various Denied Party Lists, (BIS, OFAC etc) based on the system value
below). This report is sometimes used where a once-off check needs to be made on a name &
address e.g. a visitor arriving in reception, query from a sales agent etc. This utility will display the
results of this check.

Category >Compliance




Report Selection Screen:




Report Selection Parameters

 Name Address Lines 1-4            The name and address details of the party to be checked should
 Place Zip/Postal Code             be entered here.
 Country

 Printer                           Select the required output device/printer to print the report to

 Number of Copies                  Indicate the number of copies of the report to be printed




Issue 1.0                                                                         Page 107 of 109
TRAXi3 Reference Guide                                       Topic041 - Compliance Checking


 Process Option                 One of the following must be checked:
                                - Preview - See the output on screen
                                - Print - Send the output to selected Printer
                                - Output information to a file – send to CSV

 Print Cover Page               This box is checked if the report is to be preceded with a page,
                                which will detail the selections made for the report that follows.

 Output information to a file   Allows one to specify if information should be output to a text file
                                in a particular directory, as opposed to printing or print
                                previewing a version.

                                If one does NOT want to output information to a text file, but
                                wants to print or print preview a version instead, then one should
                                leave this field and next field called „File Name‟ BLANK.

 File Name                      When creating a CSV file, the report document to be created
                                should be named here, i.e. comp. This will then create a TXT
                                (text) file and give the user a message to say where the text file
                                has been created, i.e.




                                NOTE: When outputting the information to a text file using this
                                field, a report will NOT be printed or print previewed. It

EXAMPLE OUTPUT:




Issue 1.0                                                                     Page 108 of 109
TRAXi3 Reference Guide                                    Topic041 - Compliance Checking




Suggestions for Improved Documentation
Please report any suggestions that you feel would improve Precisions documentation and return
via Email: education@precisionsoftware.com




Issue 1.0                                                                Page 109 of 109

				
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