Compliance Rule: Controls

This page is accessed via Master Data > Power Data > Compliance Rules > Compliance Rules. Then click the Controls tab or the Controls button at the bottom of the page.

In order to see the Compliance Rule Control tab, select a control category from the drop-down list on the identification page. The fields that appear on the Control tab differ based on your control category selection on the Compliance Rule tab.

Control Tab Fields

Data Assignment

Select this option to automatically assign different types of data (e.g. remarks, reference numbers, user-defined codes, involved parties, trade preference, trade program, etc.) to a business object like a trade transaction, trade transaction line, declaration, or declaration line when the compliance rule is executed. The following fields appear on the Controls tab:

Sequence: identifies the sequence in which data is assigned to a business object.
Action: identifies what data is assigned to which object. For example, select the Assign Remarks option to automatically assign remarks to a trade transaction when the compliance rule is executed.
Action Details: click Details to enter the particulars of the data to be assigned. The fields that appear in the new window differ based on your selection from the Action drop-down list. Select an ID of the specific data, and enter a code/value for the data selected. Select the Override check box if this data is to replace any existing value for the business object. Click Save and then click OK. The details are displayed in the Action Details text box.

Note: You have to provide short name of the trade program on the compliance rule to assign it to a transaction line/declaration line.

Determine Policy

Policy Qualifier ID: identifies the policy qualifier.
Policy ID: identifies the compliance policy.

Document (Controls)

Document Type: identifies the type of document.
Text Template: identifies the text template. If the text template is not specified, all the text templates of the specified document type are stored as the result.

Document (Reviewer)

Document Type: identifies the type of document.
Party ID: identifies the party who will be examining the document.
Involved Party Qualifier ID: identifies the role of the reviewing party.

Document (Subscriber)

Document Type: identifies the type of document.
Party ID: identifies the subscriber party, that is, the party who will be using the document.
Involved Party Qualifier ID: identifies the involved party.

Item Structure

Date Qualifier ID: identifies the date qualifier used to check the effective date and expiration date of the trade item structure.
Constraint Set: identifies the constraint set to be applied to the item structure.

License, License Exception

Regime ID: identifies the regime which has jurisdiction.
Control Type: identifies the control type.
Control Code: identifies the control code associated with the control type.
Party Qualifier ID: identifies the party qualifier.

Other

You can use this control category to screen and put on hold transactions for any business or regulatory purpose that do not fall under other control categories like license, sanction, document, etc.

Control Type: identifies the control type.
Control Code: identifies the control code associated with the control type.

Other Exception

Use this control category to release a hold that a compliance rule with a category of OTHER puts in place.

Regime ID: identifies the regime which has jurisdiction.
Control Type: identifies the control type.
Control Code: identifies the control code associated with the control type.
Party Qualifier ID: identifies the party qualifier.

Report, Report Exception

Regime ID: identifies the controlling regime.
Control Type: identifies the type of compliance control which will be used for screening.
Control Code: identifies the specific control code which will be applied.

Sanction

Control Type: identifies the type of compliance control which will be used for screening.
Control Code: identifies the specific control code which will be applied.

Value Formula

Note: This control category is deprecated as of version 6.4.3 and will be removed in a later release. Instead, use the control category VALUE SET to assign the value qualifiers and control category VALUE QUALIFIER FORMULA to calculate the values of the assigned qualifiers.

Value Formula ID: identifies the specific value formula which will be used.

Value Qualifier Formula

Value Qualifier: identifies the value qualifier that will be assigned to a trade transaction, trade transaction line, declaration, or declaration line.
Formula Expression: identifies the formula applicable for the selected value qualifier and calculates the value of the qualifier.
Formula Rank: identifies the specific formula (from among multiple compliance rules) that will be assigned to the selected value qualifier. There are some cases, where more than one rule apply or match the conditions on the shipment. If you foresee this possibility, you should provide ranking to the rules.

Note: A formula with a lower rank is given higher priority; i.e. a formula with rank 1 is considered for assignment rather than a formula with rank 2.

The formula rank is used to differentiate between general and specific compliance rule conditions and to identify a single formula that can be assigned to a value qualifier.

Value Set

Value Set: identifies a specific value set which will be used to assign value qualifiers, defined for the selected value set, to a trade transaction, trade transaction line, declaration, or declaration line business object.

Control Tab Details

Using the information outlined above, enter the information necessary to build you controls
Click Save.
Continue to add as many controls as you require, clicking Save after entering each control.
Click Finished.

Using Templates with Compliance Rules

You can associate a text template with a compliance control.

Create a text template.
Define a document type and associate the new template to it.
Create a compliance rule with Document designated as the control category. On the Controls tab, use the Document Type field to identify the type you created in Step 2.
Click Finished.
Add the new compliance rule to a compliance rule set group.
Perform a compliance screen against a transaction and use the compliance rule set group created in step 5. If the rule is matched, the associated template text will appear in the results as a transaction line.