Compliance Rule: Identification

This page is accessed via Master Data > Power Data > Compliance Rules > Compliance Rules.

Use this page to view the existing rules available to you. You can configure screening to fit any combination of rules or policies that you deem to be necessary. Compliance rules can be added to a rule set, rule sets can be added to rule set groups, and rule set groups can be combined into a compliance policy which is then used in transaction screening.

Identification

1. Enter an ID in the Compliance Rule ID field. You will use this ID when you refer to this rule.
2. Select a control category from the Control Category drop-down list. Controls are organized into categories. The categories give you the ability to construct rules of different types. For example, if you wanted to write a control to screen for a particular license exception, you would select License Exception. More information about the categories is located at Compliance Rule: Controls.

   Note: Once you have selected a category and moved to another tab or saved the rule, you will not be able to edit this field.

3. Enter a description of the rule in the Description text box.
4. Select the domain where this rule will be active from the Domain Name drop-down list.
5. If this rule will relate directly to an existing regulation, enter the regulation's ID in the Regulation Reference ID field.
6. If needed, select the exact date the license exception is to occur (effective date) and the final day on which the license exception is effective (expiration date).
7. If the new rule will be active immediately, select the Active check box.
8. If this rule is to apply at the transaction line, select the For Transaction Line check box.

Rule Parameters

Note: The use of rule parameters is optional.

Item

Use this section to record item details that you wish included in your compliance rule.

1. Enter an item ID in the Item ID field.
2. As needed, enter values in the Commodity ID and User-defined Commodity ID.

Item Remarks

Use this section to record any remarks pertaining to the item.

1. Enter an ID in the Remark Qualifier ID field.
2. Enter related text in the Remark Text field.
3. Click Save.

Item Reference Numbers

Use this section to record any reference numbers pertaining to the item.

1. Enter an ID in the Reference Number Qualifier ID field.
2. Enter related text in the Reference Number field.
3. Click Save.

Product Classification

Use this section to define the classification of an item.

1. Enter an ID in the Product Classification Type ID field.
2. Enter a code in the Product Classification Code field.
3. Enter a group ID in the Product Classification Group ID field.

Product Classification Code Attribute

Use this section to add additional classification information. In addition, product attribute information added via integration will be displayed here and will be considered by the compliance screening process.

1. Enter an ID in the Product Classification Type field.
2. Enter a classification code  attribute name in the Name field.
3. Enter a value in the Value field.

Parties

Enter a party group ID in the Party Group ID field.

Party Classification (User-defined Codes)

1. Select a qualifier from the Involved Party Qualifier ID drop-down list.
2. Select a user-defined code category from the Category drop-down list.
3. Select a user-defined code type from the Type drop-down list. The available options are determined by your choice of category in the previous step.

4. Select a user-defined code value from the Type Code drop-down list. The available options are determined by your choice of type in the previous step. For easy understanding of the user, this drop-down list displays description of the user-defined code values instead of only the codes.

5. Click Save.

Party Remarks

Use this section to record any remarks pertaining to the party.

1. Enter an ID in the Party Qualifier ID field.
2. Enter an ID in the Remark Qualifier ID field.
3. Enter related text in the Remark Text field.
4. Click Save.

Party Reference Numbers

Use this section to record any reference numbers pertaining to the party.

1. Enter an ID in the Party Qualifier ID field.
2. Enter an ID in the Reference Number Qualifier ID field.
3. Enter related text in the Reference Number field.
4. Click Save.

Transaction

1. Enter country codes in the Country of Origin and Country of Manufacture fields.
2. Enter an ID in the Date Qualifier ID field. When compliance rule screening is performed, this qualifier will be used to compare the effective and expiration dates on a compliance rule with the date specified on the trade transaction.

Note: If the For Transaction Line check box is selected, screening will take place against the date mentioned on the transaction line.

1. Select an override control type from the Override Control Type drop-down list.
2. Select a control code from the Override Control Code drop-down list.
3. Select a mode of transport from the Transport Mode drop-down list.
   OR
   Select a mode profile from the Transport Mode Profile ID drop-down list.
4. Enter an appropriate Incoterm (International Commercial Term) in the Incoterm ID field.
   OR
   Select a profile ID from the Incoterm Profile ID drop-down list.
5. Enter an ID in the Transaction Type ID field to include a trade transaction type in the compliance rule.
   OR
   Enter an ID in the Transaction Type Profile ID field to include a transaction type profile in the compliance rule.
6. Enter an ID in the Declaration Type ID field to include a declaration type in the compliance rule.
   OR
   Enter an ID in the Declaration Type Profile ID field to include a declaration type profile in the compliance rule.

Transaction Classification (User-defined Codes)

Use this section to define details of the transaction that you want to have considered during compliance screening.

1. Select a transaction classification category from the Category drop-down list.
2. Select a classification type from the Type ID drop-down list. The available options are determined by your choice of category in the previous step.
3. Select a value from the Type Code drop-down list. The available options are determined by your choice of type in the previous step. For easy understanding of the user, this drop-down list displays description of the user-defined code values instead of only the codes.
4. Click Save.

Transaction Remarks

Use this section to record any remarks pertaining to the transaction.

1. Enter an ID in the Remark Qualifier ID field.
2. Enter related text in the Remark Text field.
3. Click Save.

Transaction Reference Numbers

Use this section to record any reference numbers pertaining to the transaction.

1. Enter an ID in the Reference Number Qualifier ID field.
2. Enter related text in the Reference Number field.
3. Click Save.

Transaction Line Remarks

Use this section to record any remarks pertaining to the transaction.

1. Enter an ID in the Remark Qualifier ID field.
2. Enter related text in the Remark Text field.
3. Click Save.

Transaction Line Reference Numbers

Use this section to record any reference numbers pertaining to the transaction.

1. Enter an ID in the Reference Number Qualifier ID field.
2. Enter related text in the Reference Number field.
3. Click Save.

Transaction Line Values

This section enables you to set up the values needed for the reporting determination service.

1. Select a value qualifier from the Value Qualifier ID drop-down list. This indicates the currency qualifier that should be used for the aggregation of currency on transaction lines.
2. Select the Aggregate check box if this line should be aggregated to use with the Automatic Export System (AES). This option will determine whether the currency comparison should be done with or without aggregation of currencies of all the transaction lines.
3. Enter the appropriate classification type in the Product Classification Type field. The transaction lines used for aggregation must be classified under the specified product classification type.

Note: The Product Classification Type and the Aggregate fields are deprecated as of release 21A. As an alternative, you can use the aggregate constraint set to aggregate the lines by classification type and product classification code. Values on a compliance rule should be used for direct value comparison with declaration line without aggregation.

4. Select an operator from the Operator drop-down list. This is the operator that will be used for comparison.
5. Enter a value in the Value field. This is the currency value to be used for comparison.
6. Select a currency from the drop-down list.
7. Click Save.

Transaction Line Saved Query

1. Enter a saved query in the Saved Query field.
2. Click Save.

Regions

1. Select a qualifier ID from the Region Qualifier ID drop-down list.
2. Enter an ID in the Region ID field.
3. Select the Included check box if the region is to be included in the qualifier. This means that when the region qualifier is used in a compliance rule, the rule will apply to anything that is part of this qualifier. However, whenever the check box is NOT selected, the compliance rule will not apply to any transactions that apply to this region qualifier.
   
   Also, a region qualifier that is NOT included, does not automatically enforce all remaining data to be included. This means that multiple region qualifiers must be assigned for exclusive criteria to have the effect of true exclusivity. A compliance rule with only a NOT inclusive region qualifier will automatically exclude everything, unless a more encompassing qualifier is also assigned.
4. Click Save.

Country

1. Select a qualifier ID from the Country Qualifier ID drop-down list.
2. Enter an ID in the Country Code field.
3. Click Save.

Note:
Region criteria on compliance rule: When you define multiple region records on a compliance rule, the region criteria are prepared by taking a union (OR condition) of all the included regions minus the excluded regions defined for the same region qualifier.
For example, for a compliance rule with 3 region records - 1) SHIP_FROM,EU_REGION, 2) SHIP_FROM,CHILE_REGION, and 3) SHIP_TO, USA, GTM prepares 2 region criteria SHIP_FROM,(EU_REGION + CHILE_REGION) and SHIP_TO,USA.
Any trade transaction or its line with SHIP_FROM country as part of either EU_REGION or CHILE_REGION will be considered as a match to SHIP_FROM region criteria.

All other grids on compliance rule: Each record on any of the grids of compliance rule is considered as an independent criterion. All the criteria must match with the compliance rule to apply any controls.

Saved query criteria: Transaction Line GID is passed as input to saved query for any line compliance rule. Transaction GID is passed as input to saved query for any non-line compliance rule (like policy, transaction level document, etc.). Each saved query criteria is taken as independent criterion and must match.

Copy Compliance Rule

If you are editing an existing compliance rule, you have the option of copying the rule in order to build a new rule.

1. Click Copy Compliance Rule. The page refreshes and contains the same information, but the Compliance Rule ID field is blank.
2. Make any changes to the rule if needed.
3. Enter the new ID in the Compliance Rule ID field.
4. Click Finished.