atc inst cust compliance en 30

ATC :: Compliance

Installation & Customizing

for SAP ERP

July 22, 2009

Trademarks are not explicitly marked as such in this product information as is the norm in technical documentation. All the product names used herein are assumed to be registered trademarks of the respective company. All trademarks are recognized. SAP is a trademark or registered trademark of SAP AG in Germany and many other countries. All rights, especially copyrights, are reserved. No part of this product information or the corresponding program may be reproduced or copied in any form (print, photocopy or other process) without the written consent of AEB GmbH. This product information is provided solely to customers of AEB GmbH for their internal use in conjunction with software licensed from AEB GmbH. This information may not be shared in any form with third parties, except the employees of the customer, without the written consent of AEB GmbH, and then also exclusively for use in conjunction with software licensed from AEB GmbH or AFI GmbH. The program may only be used in accordance with the conditions set forth in the license agreement. 2005-2009

ATC :: Compliance Installation and Customizing i

Contents

1 Record of Modifications 1

2 Manual Changes When Updating 2 2.1 From ATC :: Compliance 2.1 to 3.0 2 2.2 From ATC :: Compliance 2.0 to 2.1 2 2.3 From ATC :: Compliance 1.1 to 2.0 2

3 Requirements and Preparation 3 3.1 Technical Requirements 3 3.2 Which User Rights Are Required for Installation and Customizing? 3

3.2.1 Dialog Users 3 3.2.2 Communications Users (CPIC Users) 4

3.3 Importing Transports 6 3.3.1 Special Notes on Importing Transports to Version 4.7 or Later with Unicode 6 3.3.2 Importing the Transport Request 7

3.4 What to Consider after Installing a Service Pack Transport? 8 3.5 Filling In User Exits and Customer Exits 8

3.5.1 User Exits 8 3.5.2 Filling In User Exits 9

3.6 Filling In Customer Exits 11 3.7 Filling In Business Add-Ins 18

3.7.1 Process with Version 4.6c 18 3.7.2 Process with Version ECC 6.0 19

3.8 Setting Up Required System Languages 21 3.9 Additional Database Indexes 23 3.10 Tips and Tricks 26

3.10.1 Important Information for the Use of Unicode in an SAP System 26 3.10.2 Menu Names in the Monitor in an SAP R/3 4.7 System 26 3.10.3 Error Message "not_supported_gui" 26 3.10.4 Which SAP Tables Are Tested with ATC :: Compliance? 27 3.10.5 Which SAP Transactions Are Affected? 27

4 Customizing 29 4.1 Customizing for the Communication between ATC :: Compliance and Compliance Engine 29

4.1.1 Defining Target Systems for RFC Calls 29 4.1.2 Compliance Engine Settings 29 4.1.3 Compliance Alert Agent Settings 29

4.2 Customizing the Blocks 30

ii ATC :: Compliance Installation and Customizing

4.2.1 Defining Blocking Reasons for Billing/Shipping/FI 30 4.2.2 Assigning Z-Keys 33

4.3 Customizing for ATC :: Compliance Screening 34 4.3.1 Maintaining Roles for ATC :: Compliance Screening 34 4.3.2 Creating Jobs 39

4.4 Customizing for Compliance Screening for SAP CRM 41 4.5 Customizing for ATC :: Export Controls 41

4.5.1 Maintaining Roles for ATC :: Export Controls 42 4.5.2 What to Do if the Export Data Sheet is not Displayed with the Customer 43 4.5.3 Creating Jobs for Export Controls 46

4.6 Checking Customizing 46 4.7 Changing the Customizing in the Productive System 46

5 Enhancements and Entry Points for Project Developments 48 5.1 Enhancements of the Material for ATC :: Export Controls 48 5.2 Business Add-Ins 51 5.3 Interfaces for Customer Extensions 57

5.3.1 /AEB/CMP_EC_PUBLIC Access to the Export Controls Transaction 57 5.3.2 /AEB/CMP_PUBLIC_BLK_CHK Access to the Block Entries in the Monitor 57 5.3.3 /AEB/CMP_PUBLIC_INFO Access to Settings 58 5.3.4 /AEB/CMP_PUBLIC_SCR_CHECK Access to Checks, Logging and Mail

Functions 59

6 Appendix: Details on the Application Settings for Compliance Screening 64

6.1 Compliance Screening Settings for SD 65 6.2 Compliance Screening Settings for MM 67 6.3 Compliance Screening Settings for FI 68

ATC :: Compliance Installation and Customizing 1

1 Record of Modifications

Service Pack Modification Chapter (Cross Reference)

02/2009 Mit ATC :: Compliance geprfte SAP-Tabellen aktualisiert 3.10.4 04/2009 Transports / ZIP file ATC :: Compliance content and

installation details updated 3.3.2

04/2009 Customizing of Compliance Alert Agent settings updated 4.1.3 07/2009 Customizing for Compliance Screening for SAP CRM added 4.4 07/2009 New BAdIs /AEB/CMP_SALES_DC_04 and

/AEB/CMP_DLV_DC_03 added 5.2

07/2009 Interfaces for customer extensions added 5.3


2 Manual Changes When Updating

2.1 From ATC :: Compliance 2.1 to 3.0

Before the main transport can be installed, it is necessary to install the delete transport SP190637 for the implementation of the business add-in (/AEB/CMP_MD_SAVE). This transport can be found in the \lschtransport (\delete transport) directory on the installation CD.

Check the Customizing of the newly added Compliance Screening for FI, HR and the existing SD settings and correct as necessary.

The authorization for the batches and their overview must be stored in the SAP authorization profile (transaction /aeb/cmpbatches).

The customer exit in the include ZXM06U44 (function EXIT_SAPMM06E_013) must be adapted.

For the online check of the material document, the MD_DOCUMENT_SAVE BAdI needs to be implemented (see also chapter 3.7 on page 18).

In order to unblock documents in the Monitor, it is necessary to first define a Good Guy. Otherwise, the document will continue to appear as blocked in the Monitor.


Check the Customizing of the newly added Compliance Screening for MM and correct as necessary. In addition, fill in the appropriate user exits/customer exits.

In the Compliance Screening Settings for SD, set the new Sales document online check option to Active so that the sales document online check works.


In the Customizing (Engine settings), select the Engine client and Engine profile. If no profile exists, create one in the Engine.

Make sure that the threshold setting from version 1.1 and the list settings in the Engine profile are defined such that ATC :: Compliance behaves the same as before.

If the customer wishes to use ATC :: Export Controls as well, the relevant rights/roles may need to be created. See sections 3.3.2 or 3.4.2.

It may be necessary to extend the material view for ATC :: Export Controls in the material master.


3 Requirements and Preparation

3.1 Technical Requirements

The SAP system must be version 4.6C or later.

The Compliance Engine (CE) must already be installed and accessible on its own server.

The linked SAP systems and the Compliance Engine must all be on the same network.

3.2 Which User Rights Are Required for Installation and Customizing?

3.2.1 Dialog Users

The following authorizations are required in order to integrate and customize the ATC :: Compliance functions in the development system:

CMOD Table Enhancement SE80 ABAP Workbench SM30 Table View Maintenance SE38 ABAP Editor: Entry level (for starting ATC :: programs) SE11 ABAP Dictionary SE19 BadI Builder SMLT Language Management SE11 ABAPTM Dictionary SE16N General Table View SE24 Class Builder SE14 Database Utility SM51 SAP Server SPRO ATC :: settings under Sales and Distribution > Foreign

Trade/Customs > Legal Control > ATC :: Compliance) SM59 Display and maintain RFC destinations SBWP Start Business Workplace SO01 Business Workspace inbox OMR9 Payment Block Reasons ST22 ABAPTM Runtime Error SM21 SysLog: Local Evaluation


SU01 User Maintenance SMGW Gateway Monitor SM36 Job Definition SM37 Job Selection SE10 Transport Organizer STMS Transport Management System + Development User (i.e. development key)

Transactions from the SD environment for the dialog user:

XD01, XD02, XD03 Create, edit, display customer MK01, MK02, MK03 Create, edit, display vendor VA01, VA02, VA03 Create, edit, display order VL01N, VL02N, VL03N Create, edit, display delivery SE38 (for starting batch check reports)

AEB-specificworking with the Compliance Engine (after importing AEB transports to SAP system):

/aeb/cmpconsole Web front end Engine /aeb/cmpconsistence Consistency check /aeb/cmpmonitor ATC :: Compliance Monitor /aeb/cmpadrcheck Address check without login /aeb/cmpprotentry Manual notice of CE log entry /aeb/cmpbatches Dialog for the AEB batches

It is also advisable to give the user the role SAP_BC_ENDUSER.

3.2.2 Communications Users (CPIC Users) A TCP/IP RFC destination is created under which the program ID is stored. The Compliance Engine must also registered with the SAP system in order to import the

interface definitions. This requires an SAP CPIC user with the authorization to retrieve interface definitions.

Users who wish to use the repository service must be authorized in the SAP system to call RFMs via the RFC (authorization object S_RFC, ACTVT: 16 RFC_TYPE: FUGR). Depending on the SAP release, these are the following function groups:

Version Function groups 4.6A and later RFC1, SDIF, SG00, SRFC, SYST, SYSU 4.6D and later RFC1, SDIFRUNTIME, SG00, SRFC, SYST, SYSU

To check the connection between the Engine or WSM and the SAP system, the CPIC user requires the following additional rights: Call up the function modules of the function group /AEB/IF_CMP_RFC_LAYER_CHK (authorization object: S_RFC; ACTVT: 16; RFC_TYPE: FUGR)


SAP note 460089: Authorizations for SAP Java Connector (JCo) The following applies to CPIC users (communications users): Authorizations for SAP Java Connector (JCo) Version: 2; Language of note: German; Release date: April 26, 2002 Symptom: insufficient RFC authorizations when using the SAP Java Connector (JCo) Additional terminology: JCo, SAP Java Connector, authorization, authorization objects, RFC Origin and requirements: The SAP Java Connector offers a repository service that dynamically reads out the interface definitions of a remote-capable function module from the SAP data dictionary. This service itself calls up several function modules (RFMs) internally in the SAP system. This requires specific authorizations to access function groups. Solution: Users who wish to use the repository service must be authorized in the SAP system to call RFMs via the RFC (authorization object S_RFC, ACTVT: 16 RFC_TYPE: FUGR). Depending on the SAP release, the following function groups are involved: Users who do not use the repository service do not need the authorizations RFC1, SUNI,

SDIF or SDIFRUNTIME. For security reasons, we recommend setting up the repository accesses through a special user in a JCo program, while normal users who call up RFMs are granted only the reduced authorization.


Depending on the SAP release, these are the following function groups:

Version Function Groups 3.1I and later RFC1, SG00, SRFC, SUNI, SYST 4.0A and later RFC1, SDIF, SG00, SRFC, SYST, SYSU, SUNI 4.6A and later RFC1, SDIF, SG00, SRFC, SYST, SYSU

3.3 Importing Transports

3.3.1 Special Notes on Importing Transports to Version 4.7 or Later with Unicode

The transport profile parameter setunicodeflag must be set to true before importing to a 4.7 or later Unicode system, as outlined in SAP note 330267. This action must be repeated for each system to which the transport is imported (development, consolidation, production).

How are transport profile parameters added/modified? The transport profile parameters can only be modified from the transport domain controller. Log on to the transport domain controller. Launch the STMS transaction. From the Overview menu, select System Overview (Shift+F6).

Double-click on the system of your choice.


Switch to the Transport tool Sheet.

Here the setunicodeflag parameter can be added. After the TMS configuration is saved, it must be distributed. Please confirm the message that

follows.

3.3.2 Importing the Transport Request

The transport request files including documentation can be found in the AEB customer portal at www.myaeb.com (regarding login details and instructions for use, please get in touch with your AEB contact person). Please make sure that you take the correct version. The ATC_CMP_*.zip file contains the following: \doc\ Documentation about installation, application and interface. \trans\ Basis transport \Servicepaket\trans\ Service pack transport

Copy these files to any client in your SAP R/3 development/test system, then load the system through a tp import (from the STMS transaction). Copy the following files to the central transport directories: File Rnnnnnn.xxx to the data folder File Knnnnnn.xxx to the cofiles folder

The transport can be installed on versions 4.6C or later.

After the files have been copied from the CD, they are by default write-protected on the target directory. Remove the write protection.


When the transport is imported, the material master (MARC table) is extended to include fields for ATC :: Export Controls.

For this reason, we recommend importing the transport when the system load is low as otherwise performance problems may occur.

Please import the transport synchronously.

Several warnings will appear as the transport is imported. These warnings are system-related. Adding the transport request to the queue Clicking on the truck icon in the STMS transaction brings you to the import overview. From there, select the correct import queue. (If the transport is not directly visible, add it via

Extras > Other requests > Add.) Importing Select the request and go to Request > Import (not Queue > Import).

When updating from ATC :: Compliance 2.1 to ATC :: Compliance 3.0, please note the hints in chapter 4.1 on page 29.

Please note the correct sequence for importing transports! Always begin by importing the transports for the base installation (\trans directory) before importing the transports for the service pack (servicepack directory).

Select a target client, read the transport synchronously and start the import. Perform these steps for each individual client that is used.

Checking the import log No import error > 4 is allowed.

For the consolidation and productive system, please use the transports provided by AEB (basis and service pack transports from the ZIP file in the AEB customer portal and the two Workbench and Customizing transports created during installation). Do not create your own transports for this purpose.

3.4 What to Consider after Installing a Service Pack Transport?

Restart the RFC connection to the affected SAP systems. First restart the Engine. There, you need to open the SAP Settings entry in the Administration Cabinet. Select the desired line(s) and initiate restart via the RFC server menu.

3.5 Filling In User Exits and Customer Exits

3.5.1 User Exits

Please request object keys from SAP for the following objects if they have not yet been unlocked. You should have these object keys ready prior to installation. Object Object key R3TR PROG MV45ATZZ


Object Object key R3TR PROG MV45AFZZ R3TR PROG MV50ATZZ R3TR PROG MV50AFZ1

Important information

Object keys can be obtained from the SAP Service Marketplace at the following address: http://service.sap.com/sscr. Please ensure you have the correct base release and installation number.

3.5.2 Filling In User Exits

Start the SE38 transaction, then open the user exits named below. If you have not yet stored the object keys, you must enter the object key (access key) to unlock the relevant SAP object.

The SAP code for ATC :: Compliance may only be modified using the Modification Assistant. The functions Insert, Replace, Delete and Cancel are available here.

To insert an enhancement in the SAP code, place the cursor at the desired position and click the Insert button. Your SAP system creates an insert at this position. The blue asterisk indicates the position where an entry is possible:

All that remains now is to fill in the new code and save the include. If possible, activate the code. (Make sure you activate the includes of the data declarations *ATZZ before the corresponding save includes *AFZZ!) It may be necessary to create a transport request that will be needed for the subsequent transport into the productive system.


Make the following entries in the individual user exits:

MV45ATZZ

* ===================================================================== * Start: ATC::Compliance Screening * --------------------------------------------------------------------- INCLUDE /AEB/CMP_ORD_GLOBAL_DATA. * --------------------------------------------------------------------- * Ende: ATC Compliance Screening * =====================================================================

MV45AFZZ : USEREXIT_SAVE_DOCUMENT

* ===================================================================== * Start: ATC Compliance Screening * --------------------------------------------------------------------- INCLUDE /AEB/CMP_ORD_AFTER_SAVE. * --------------------------------------------------------------------- * Ende: ATC Compliance Screening * =====================================================================

MV45AFZZ : USEREXIT_SAVE_DOCUMENT_PREPARE

* ===================================================================== * Start: ATC Compliance Screening * --------------------------------------------------------------------- INCLUDE /AEB/CMP_ORD_BEFORE_SAVE. * --------------------------------------------------------------------- * Ende: ATC Compliance Screening * =====================================================================

MV50ATZZ

* ===================================================================== * Start: ATC Compliance Screening * --------------------------------------------------------------------- INCLUDE /AEB/CMP_DELV_GLOBAL_DATA. * --------------------------------------------------------------------- * Ende: ATC Compliance Screening * =====================================================================

MV50AFZ1 : USEREXIT_SAVE_DOCUMENT

* ===================================================================== * Start: ATC Compliance Screening * --------------------------------------------------------------------- INCLUDE /AEB/CMP_DELV_AFTER_SAVE. * --------------------------------------------------------------------- * Ende: ATC Compliance Screening * =====================================================================

MV50AFZ1 : USEREXIT_SAVE_DOCUMENT_PREPARE

* ===================================================================== * Start: ATC Compliance Screening * --------------------------------------------------------------------- INCLUDE /AEB/CMP_DELV_BEFORE_SAVE. * --------------------------------------------------------------------- * Ende: ATC Compliance Screening


* =====================================================================

3.6 Filling In Customer Exits

How are customer exits filled in? Create a development class or packet in the SE80 transaction.

It may be necessary to create a transport request that will be needed for the subsequent transport into the productive system. Customer exits require an enhancement project. Use the CMOD transaction to create an enhancement project.


Enter the project name, select Enhancement assignment and click Create. Next, create a short text and click Enhancement assignments.

A development class or a packet is requested first. Enter the development class or packet created above.

Now enter all the enhancements for the enhancement project: MM06E005, SAPMF02D and SAPMF02K.


Click the Components button to fill the corresponding customer exits.

Double-click the relevant customer exit (function exits: EXIT_SAPMF02D_001, EXIT_SAPMF02K_001, EXIT_SAPMM06E_013) to jump to the associated function module.


Double-click here to select the entered include. If it is not available, a system query appears asking whether you wish to create the include. Confirming the dialog and assigning the development class or packet created above brings you to the include. Here the AEB program code must be entered.

Make the relevant entries for all the includes and activate them.


Return to the project overview and activate it to apply the includes.

You can see that the project has been activated when the red alerts have changed into green lights.

Make the following entries in the includes of the customer exits:

In the include ZXF04U01 (function EXIT_SAPMF02D_001) * ===================================================================== * Start: ATC Compliance Screening * --------------------------------------------------------------------- INCLUDE /AEB/CMP_START_CUST_ONL_CHECK. * --------------------------------------------------------------------- * Ende: ATC Compliance Screening * =====================================================================

In the include ZXF05U01 (function EXIT_SAPMF02K_001) * ===================================================================== * Start: ATC Compliance Screening * --------------------------------------------------------------------- INCLUDE /AEB/CMP_START_VDR_ONL_CHECK. * --------------------------------------------------------------------- * Ende: ATC Compliance Screening * =====================================================================

In the include ZXM06U44 (function EXIT_SAPMM06E_013) * ===================================================================== * ATC::Compliance checks start


* --------------------------------------------------------------------- INCLUDE /AEB/CMP_START_PD_ONL_CHECK. * --------------------------------------------------------------------- * ATC::Compliance checks end * =====================================================================

Note: SAP offers six screen exits in the enhancement MM06E005 for purchasing documents. The screens for these exits have to be implemented.

How are customer exit screens implemented empty? Double-click on the corresponding screen exit.

The following system information window appears:

The Screen Painter is then displayed:


Do the following: Enter a brief description. Select Subscreen as the screen type. It is now possible to customize the layout. Click Save to continue. You are then prompted for the development class or packet:

The screen can then be activated ( ).


The screen exit is now implemented.

All six screens of the exit must be implemented in this manner, as interruptions in SAP may otherwise result.

3.7 Filling In Business Add-Ins

Depending on the version of your SAP system, there are different processes how to implement a business add-in.

3.7.1 Process with Version 4.6c

A business add-in is used to integrate the online check of the material document. To implement the business add-in, please open transaction se19.

There you can specify an implementation name of your choice within the Z or Y namespace. Click the Create button. You will be prompted to enter a name for the definition. Enter MB_DOCUMENT_BADI and click Apply. You are then required to enter a short text of your choice for the implementation. Next, switch to the Interface Sheet and double-click on the MB_DOCUMENT_BEFORE_UPDATE method. Now select the development class or packet that was created earlier and assign the implementation to a transport request.


The following entry must be made in the method of the business add-in implementation:

* ===================================================================== * Start: ATC Compliance Screening *----------------------------------------------------------------------* INCLUDE /AEB/CMP_START_MD_ONL_CHECK. *----------------------------------------------------------------------* * Ende: ATC Compliance Screening * =====================================================================

Click the Save button, then use the Back button to return to the overview of business add-ins. Here you must now click the Activate button. This completes the implementation for the online check of the material documents.

Please refer to the chapter entitled Business Add-Ins on page 51 for further information on implementing business add-ins.

3.7.2 Process with Version ECC 6.0

A business add-in is used to integrate the online check of the material document. To implement the business add-in, please open transaction se19. Please select a classic business add-in under Create Implementation. Under BadI Name please enter MB_DOCUMENT_BADI..

Now click the Create impl. button. In the next window, you can specify an implementation name of your choice within the Z or Y namespace (e.g. ZATC_MD_SAVE). You are then required to enter a short text and save the implementation. After saving, you are prompted for a development class or a packet. Choose the development class or packet that you created in chapter 3.6 on page 11. Afterwards, you are prompted for the transport. The development class or packet and the transport may have to be selected twice.

Now you create the enhancement implementation. To do so, click on the

button in the next window. Choose a name (e.g. Z_ATC_MD_SAVE) and a short text for the enhancement implementation.


After having created the enhancement implementation, select again a development class or packet of your choice and a transport (see also chapter 3.6 on page 11). The development class or packet and the transport may have to be selected twice. Afterwards select the enhancement implementation and confirm.

Now switch to the Interface Sheet and double-click on the mb_document_before_update method.

The following entry is to be made in the BAdI implementation method: * ===================================================================== * Start: ATC Compliance Screening *----------------------------------------------------------------------* INCLUDE /AEB/CMP_START_MD_ONL_CHECK. *----------------------------------------------------------------------* * Ende: ATC Compliance Screening * =====================================================================


After having inserted the code, please save the method and click the Back button. Now you can

activate the BadI by clicking .

The implementation of the BadI is finished.

3.8 Setting Up Required System Languages

ATC :: Compliance is supplied with complete English and German versions. If additional logon languages are installed in the SAP system, it is necessary to define a so-called supplementation language (usually English) for each additional logon language and then complete the language.

How are supplementation languages set up and filled in? In the SMLT transaction, you can specify a supplementation language for languages that dont have the translation degree of 1. If a text is not available in the corresponding language, the text is drawn from the supplementation language. This setting is irrevocable. Double-click on the folder entry in the language overview to open the Detail Information About Language dialog, where you can also define the Supplementation language.


Since text symbols and similar objects are not automatically passed on, they must be filled in at this point. Open the folder of the language and double-click on the Supplementation entry.

The default settings are generally fine. Click on Select to select all relevant tables.


Click Execute to schedule a corresponding supplementation job. After the job is complete, all texts should be available. If this step is overlooked during installation, many of the dialogs and on-screen messages in ATC :: Compliance will be illegible. If this happens, it is always possible to run the language supplementation process later.

3.9 Additional Database Indexes

ATC :: Compliance stores all the necessary database indexes in separate tables during the installation process. (They are included in the copied transport.) ATC :: Compliance Monitor also performs database accesses to blocked SD documents for which no appropriate DB index exists in the SAP standard system. We therefore recommend creating the following additional indexes, especially when there are more than 100,000 documents, in order to maintain fast response times in ATC :: Compliance Monitor: Table LIKP (deliveries): MANDT, LIFSK, FAKSK Table VBAK (sales documents): MANDT, LIFSK, FAKSK

How are database indexes set up?

Please note that if you have a large number of documents in your database, creating the index may take some time and draw heavily on the database during this time. The index will also use a significant amount of disk space. For these reasons, please consult first with the administrator of your SAP database.

Start the SE11 transaction and click Display to see the desired SAP table, LIKP for deliveries.


Now click Indexes to create a new index. In the small dialog window that appears, click Create or press F5.


Assign an unused Index ID, e.g. ZAT, and click OK to confirm.

Now enter a meaningful Short description and the desired index fields. Keep the initial values of the SAP system for the remaining settings.

The index is made available once it has been saved, assigned to a transport request and activated. If in doubt, you can also check its use directly in the monitor using the SAP performance trace.


Follow the same procedure to create a database index for the VBAK table.

3.10 Tips and Tricks

3.10.1 Important Information for the Use of Unicode in an SAP System

Under Administration, go to the SAP settings entry and enable the Unicode system option. If you are using the AEB Web Service Manager (WSM) communication module for the connection between the SAP system and the Compliance Engine, this Unicode marker is maintained in the WSM, not in the Compliance Engine. If the SAP system uses Unicode, specify that the target system is a Unicode system in the RFC connection parameters as well.

3.10.2 Menu Names in the Monitor in an SAP R/3 4.7 System

If the menu names in the Monitor of an SAP R/3 4.7 system consist only of question marks ("?????????"), the Monitor application must be regenerated; the usual automatic functions in the SAP system do not work here for reasons that are not clear. Correct this problem in one of the following manners: Transaction SE80, display and double-click the "/AEB/CMP11_MONITOR" program and select

the menu item Program > Generate. When the generation is complete, be sure to enter the command "/$CUA" on each application server to reset the CUA buffer (see SAP Service Marketplace, SAP Support Portal note no. 29197).

or

Transaction SE38 or SA38, run "SAPRSEUG" program in the background(!) (run time: approximately 20 minutes). When the report is complete, be sure to enter the command "/$CUA" on each application server to reset the CUA buffer (see SAP Service Marketplace, SAP Support Portal note no. 29197).

The second option regenerates all applications. Based on our experience, it is sufficient for ATC :: Compliance to use the first option, which takes only a few seconds.

3.10.3 Error Message "not_supported_gui"

Frequent short dumps with the error message not_supported_gui are an indication that an outdated SAP GUI is installed. See SAP Service Marketplace, SAP note no. 680072. This error typically occurs in the following scenarios: When the long text of an entry is opened in the log entries in ATC :: Monitor When unblocking objects in ATC :: Monitor When releasing documents that ATC :: Export Controls has flagged for possible export

restrictions


3.10.4 Which SAP Tables Are Tested with ATC :: Compliance?

Table Description Compliance Screening

Export Controls

KNA1 + ADRC Customer master X LFA1 + ADRC Vendor master X BNKA + ADRC Banks X VBAK + associated VBPAs, VBADRs, ADRCs Sales documents X X LIKP + associated VBPAs, VBADRs, ADRC Deliveries X EKKO + associated EKPAs + ggfs. ADRC Purchasing

documents X

MKPF + associated MSEGs (movement types 101 + 103)

Material document X

PB4004 + associated PB0002 + PB0006 Applicant master X PA0003 + associated PA0006 + PA0002 HR master X BKPF + associated BSEG + associated BSEC Accounting

documents X

3.10.5 Which SAP Transactions Are Affected?

Transaction Description Compliance Screening

Export Controls

XD01 Create Customer X XD02 Modify Customer X XK01 Create Vendor X XK02 Modify Vendor X VA01 Create Order X X VA02 Modify Order X X VL01N Create Delivery X VL02N Modify Delivery X VA11 Create Inquiry X X VA12 Modify Inquiry X X VA21 Create Quotation X X VA22 Modify Quotation X X VA31 Create Scheduling Agreement (Sales) X X VA32 Modify Scheduling Agreement (Sales) X X VA41 Create Contract (Sales) X X VA42 Modify Contract (Sales) X X ME21N Create a Purchase Order X ME22N Modify Purchase Order X ME31K Create Contract (Purchasing) X ME32K Modify Contract (Purchasing) X ME31L Create Scheduling Agreement (Purchasing) X ME32L Modify Scheduling Agreement (Purchasing) X ME41 Create Inquiry (Purchasing) X


Transaction Description Compliance Screening

Export Controls

ME42 Modify Inquiry (Purchasing) X MIGO (only for items with transaction type 101/103)

Goods Receipt for Purchase Order X

Please note that this list includes only the most frequently used dialog transactions. There are also various other SAP transactions and programs that serve user exits, customer exits and business add-ins used by ATC :: Compliance so that Compliance functionality is automatically available in all these transactions as well. In this way, ATC :: Compliance ensures that batch processes and background processing are not interrupted by on-screen messages while always allowing Compliance checks and any business object blocks to take place, log entries to be generated and SAP Office mails to be sent.


4 Customizing

4.1 Customizing for the Communication between ATC :: Compliance and Compliance Engine

4.1.1 Defining Target Systems for RFC Calls

In Customizing (SPRO transaction), open the branch Sales and Distribution > Foreign Trade/Customs > Legal Control > ATC :: Compliance > Technical settings > Define Target Systems for RFC Calls. Set up the RFC Destination here to allow the Compliance Engine to register with your SAP system. Registration is carried out using a TCP/IP connection (type T) and a Program ID which must be identical to the Engines Program ID. Under Connection type, select Registration; for the Program ID, use ATCC, for example. Next, test the connection by clicking on the Test connection button. This will work only when the Compliance Engine has been properly configured and registered correctly with the SAP R/3 system.

Important information for Unicode in a 4.7 system

In the RFC connection parameters of an SAP 4.7 system with Unicode, select the Special Options tab, locate the Target system field in the Character width field group and check the Unicode option. Further information For further information please refer to the documentation of your SAP system.

4.1.2 Compliance Engine Settings

In Customizing (SPRO transaction), open the branch Sales > Foreign Trade/Customs > Legal Control > ATC :: Compliance > Application settings > Compliance Engine settings. Begin by entering the name of the RFC destination for the Compliance Engine that was created earlier in the Destination field. Continue by selecting an Engine client and Engine profile. These entries originate from the Compliance Engine. If it is not possible to make a selection here, the Engine is not fully connected to the SAP system! The Engine profile defines the settings for the compliance screening. This includes, for example, the threshold value for similarity checks or the restricted party lists used for the screening.

4.1.3 Compliance Alert Agent Settings

The Alert Agent offers the possibility of an automatic emergency deactivation for ATC :: Compliance in case the connection to the Compliance Engine is disrupted for a longer period of time. If such an emergency deactivation occurs, all checks of ATC :: Compliance will be deactivated. This will be recorded in log entries and your administrators will be notified via SAP office mail. The configuration of the Alert Agent is not mandatory. It should only be made if you really need this automatic emergency deactivation.


The Alert Agent analyzes the calls made to the Compliance Engine for 15 minutes. If the defined percentage of error calls is exceeded, ATC :: Compliance will be deactivated.

If an emergency deactivation occurred, ATC :: Compliance can only be reactivated manually by using transaction /AEB/CMPEMERGENCY. See also chapter 4.7 on page 46).

To make the Alert Agent work, two steps are required:

Setting up the Alert Agent

Set up the report /AEB/CMP_ALERT_AGENT as a batch job in the client screened by ATC :: Compliance. The job is to be scheduled with a period of one minute.

Defining settings for the Alert Agent

In Customizing (SPRO transaction), open the branch Sales > Foreign Trade/Customs > Legal Control > ATC :: Compliance > Applications Settings and open Compliance Alert Agent settings there.

Activate the Agent using the Activate option in the main settings. Define the minimum amount of calls required within the analysing period of 15 minutes in

order to enable the analysis. If the Compliance Engine is called less often within this period, the analysis for this period will be canceled.

Define the percentage of error calls in order to provoke an emergency deactivation.

For example, if you enter 50% here and the Agent would check 100 calls, the system would switch to emergency mode after 50 error calls.

The transaction /AEB/CONSISTENCY tells you whether the configuration is complete.

4.2 Customizing the Blocks

4.2.1 Defining Blocking Reasons for Billing/Shipping/FI

In Customizing (SPRO transaction), open the branch Sales > Foreign Trade/Customs > Legal Control > ATC :: Compliance > Technical Settings > Define Blocking Reasons for Billing/Define Reasons for Blocking in Shipping/Define Payment Blocking (FI Documents). Here, free values can be used in your SAP system (Z1 and Z2, for example) so that you can define Compliance Blocking Reasons and Compliance Inactive (when network errors occur, for example). The same applies to deliveries.

How are blocking reasons defined? Open the menu for defining blocking reasons for billing.


The billing blocking reasons and their blocking reason keys are defined under Billing: Blocking Reasons. Here Compliance and Compliance Inactive must be entered with a key that you are not yet using.

After having set the blocks, you can translate them into other languages via Goto Translation. The blocking reason keys defined above are assigned to the billing types under Assign Blocking Reasons to Billing Types. For each billing type you use (ideally, all that are in use), both of the aforementioned billing reasons should be entered. An example for the F2 invoice:

Open the menu for defining blocking reasons for shipping.


The blocking reasons and their blocking reason keys for deliveries are defined here as well as the sales document in which the block is active. The delivery blocking reasons are defined under Deliveries: Blocking Reasons/Criteria.

After having set the blocks, you can translate them into other languages via Goto Translation. In addition to just creating the blocking reasons for ATC :: Compliance, flags are set for controlling the blocks. It is a good idea to completely activate the Compliance blocking reasons. The blocking reason keys defined above are assigned to the delivery types under Deliveries: Blocks. For each delivery type you use (ideally, all that are in use), both of the aforementioned billing reasons should be entered. An example for the LF delivery:

Open Define Payment Blocking (FI Documents). Here you can define the blocking reasons and the blocking reason keys for posting documents.


After having set the blocks, you can translate them into other languages via Goto Translation.

How are blocking reasons translated? For optimal clarity of the on-screen messages in other logon languages, the blocking reasons Compliance and Compliance inactive for the billing and delivery block should be translated into all available languages. To perform the translations for the blocks, highlight the blocking reasons and select the menu

command Goto > Translate. You can then select the languages into which you wish to translate the blocks.

4.2.2 Assigning Z-Keys

In Customizing, open each of the following branches: Sales > Foreign Trade/Customs > Legal Control > ATC :: Compliance > Application settings > Technical settings > Z-Key Assignment for Billing Blocks > Z-Key Assignment for Delivery Blocks > Z-Key Assignment for Payment Blocks

Here, you define which code stands for Compliance and Compliance Inactive in your SAP system. The same applies to delivery blocks and payment blocks. Further information For further information please refer to the documentation of your SAP system.


4.3 Customizing for ATC :: Compliance Screening

In Customizing (SPRO transaction), open the branch Sales > Foreign Trade/Customs > Legal Control > ATC :: Compliance > Application settings > Compliance Screening settings for SD > Compliance Screening settings for MM > Compliance Screening settings for FI

Here, you define the parameters for the ATC :: Compliance Screening module within the framework of your SAP modules, irrespective of your processes and environment. Further information Details about the individual Compliance Screening settings can be found in the following sections: Compliance Screening Settings for SD (see page 65) Compliance Screening Settings for MM (see page 67) Compliance Screening Settings for FI (see page 68) For further information please refer to the documentation of your SAP system.

4.3.1 Maintaining Roles for ATC :: Compliance Screening

In the SAP user administration (SAP menu > Tools > Administration > User Maintenance > SU01 - Users), users can be assigned one or more roles, which may include the authorization object ZAEB_CMPAD. This role must first be created, however.

How are roles created and maintained? Any user who requires additional authorizations to use ATC :: Compliance must have the following authorization objects available in his or her profile. It is best to create a separate role for this. The PFCG transaction brings you to role maintenance. Enter a role name here. Then click Create. ZAEB_CMPAD for use of the Compliance Monitor ZAEB_CMPTA for the batches and their overview ZAEB_CMPEC for the rights for export control (see also section 4.5.1 on page 42) AB SP 08/2007 ZAEB_CMPEM for use of the emergency program (see also section 4.7 on

page 46)


To create an authorization profile, switch to the Authorizations tab. You will be prompted to save the role. Click Yes to confirm.


Click Change authorization data to create a new profile.

Do not select templates.


Now click Manually and enter the authorization object (e.g. ZAEB_CMPAD for the ATC :: Compliance Administrator).

This adds one more authorization to the role. Click on the pen icon to set this. When all rights have been defined correctly, the role status is automatically set to green. Click Manually to enter the authorization object ZAEB_CMPTA as well and define the rights.

The following transaction codes must be entered in the authorization profile. For this, click again on the Manually button and enter the authorization object S_TCODE.


Enter the following transaction in the authorization object. /aeb/cmpconsole Web front end Engine /aeb/cmpconsistence Consistency check /aeb/cmpmonitor ATC :: Compliance Monitor /aeb/cmpadrcheck Address check without login /aeb/cmpprotentry Manual notice of CE log entry /aeb/cmpbatches Dialog for the AEB batches


The role must then still be generated ( ). On the User tab, enter all the users to whom you wish to assign this role. When you are finished, click the User compare button and select Full comparison.

Further information For further information please refer to the User Manual and the documentation of your SAP system.

4.3.2 Creating Jobs

You can create different jobs to check the various address types and documents in your SAP system and to delete old log entries. The results of the individual job runs are displayed in ATC :: Compliance Monitor. Proceed as follows to configure the jobs: 1. Open the ATC :: Compliance Batches application using the transaction /N/AEB/

CMPBATCHES.

2. Click the icon to the right of the desired job.


3. You can use the fields in the Filter field group to scale the job and limit the check to various subsets of the address data. If you leave the filter parameters blank, the check includes all relevant address data (all customers, for example) of the current client.

4. In the ATC :: Compliance Engine parameters field group, you can define settings for Destination, Engine client and Engine profile that differ from the parameters in the Compliance Engine settings (SPRO SAP reference IMG). This allows you to select from different profiles. For example, you can use a different threshold for the nightly batch check than you use for the online check. (Online checks are launched when an address defined under the Compliance Engine settings is edited, for example.)

5. The Job settings or Job parameters field group is available for only some of the jobs described here. Here you can define settings that apply to blocks.

Details on various job types can be found in the next section.

You can also use transaction SE38. Here you can use the program names listed under Program names and transactions of individual job types on page 41.

Details on specific job types Check customer master data: In the Compliance Screening settings for SD (SPRO SAP reference IMG), you can define the default values for blocks to be set. These default values can be overwritten in individual jobs. The Job settings field group offers the Update each KNEX date option. Enabling this option means that the Boycott date field on the Export data Sheet is updated when the customer is screened. This date is set whenever a customer is first blocked. It is updated in subsequent batch runs only if this option is enabled. Check sales documents: If the Compliance inactive filter criterion in the Filter field group is selected, the batch examines all the documents that have the Compliance inactive block as the delivery or billing block. The Job settings field group on the General sheet lets you define whether you wish to run a simulation in which no blocks are set or lifted. Select the appropriate option and configure the other job settings as you normally would. The simulation also generates messages and log entries. If you have also installed the Export Controls module, the Job parameters field group offers the following additional options: The General sheet lets you define whether you wish to run a simulation in which messages

and log entries are generated but no blocks are set or lifted. The Export Controls sheet lets you define whether blocks should be set or overwritten if export

restrictions are detected. Check vendor master data: In the Compliance Screening settings for SD (SPRO SAP reference IMG), you can define the default values for blocks to be set. These default values can be overwritten in individual jobs. Check employee master data: In the Compliance Screening settings for SD (SPRO SAP reference IMG), you can define whether the job may be run. Check applicant master data: In the Compliance Screening settings for SD (SPRO SAP reference IMG), you can define whether the job may be run. Check bank master data: In the Compliance Screening settings for FI (SPRO SAP reference IMG), you can define a default value for whether banks should be flagged as suspicious and added to ATC :: Compliance Monitor. This default value can be overwritten in individual jobs.


Check financial documents: In the Compliance Screening settings for FI (SPRO SAP reference IMG), you can define a default value for whether blocks should be set. This default value can be overwritten in individual jobs.

Program names and transactions of individual job types

Job type Name of program Transaction Check customer master data

/AEB/CMP_DEBITOR_CHECK_FOR_JOB /AEB/CMP_DEB_CHECK

Check sales documents /AEB/ CMP_SALES_DC_CHK_FOR_JOB /AEB/CMP_SALES_CHECK Check vendor master data /AEB/CMP_VENDOR_CHECK_FOR_JOB /AEB/CMP_VDR_CHECK Check employee master data

/AEB/CMP_EMPL_CHECK_FOR_JOB /AEB/CMP_EMPL_CHECK

Check applicant master data /AEB/CMP_APPL_CHECK_FOR_JOB /AEB/CMP_APPL_CHECK Check bank master data /AEB/CMP_BANK_CHCK_FOR_JOB /AEB/CMP_BANK_CHECK Check financial documents /AEB/ CMP_FI_ACC_DC_CHK_FOR_JOB /AEB/CMP_FI_DC_CHECK Delete log entries /AEB/CMP_DELETE_LOG_FOR_JOB

4.4 Customizing for Compliance Screening for SAP CRM

If you use the Compliance Screening for SAP CRM module, in Customizing (SPRO transaction) you open the branch Sales > Foreign Trade/Customs > Legal Control > ATC :: Compliance > Application settings > Compliance CRM Intergration Settings.

Please make the following settings: Main settings field group: Activate the Show CRM screening folders option. Afterwards the

additional sheets CRM business partners and CRM business transactions will be shown in the ATC :: Compliance Monitor.

Connection settings field group: Here you enter the RFC connection to your SAP CRM system.

4.5 Customizing for ATC :: Export Controls

In Customizing, open the branch Sales > Foreign Trade/Customs > Legal Control > ATC :: Compliance > Application settings > Export Controls settings.


Here, you define the parameters for the ATC :: Export Controls module, irrespective of your processes and environment. With Export Controls active you can activate the entire module. In the Sales documents field group you can define the settings matching your specific

requirements. With the Block documents option, you can define whether or not you want to block sales

documents including hints to export control restrictions. If this settings is not activated, the sales documents will not be blocked, but you (i.e. the Compliance Administrator) will still be notified about the screening results.

You have existing blocks overwritten if hints to possible export restrictions have been found

Here you define whether already existing blocks are to be overwritten if the Compliance Engine has detected hints to export control restrictions.

the Compliance Engine is not accessible The existing blocks are overwritten if communication with the Compliance Engine is not working properly.

Further information For further information please refer to the documentation of your SAP system.

4.5.1 Maintaining Roles for ATC :: Export Controls

In the SAP user administration (SAP menu > Tools > Administration > User Maintenance > SU01 - Users), users can be assigned one or more roles, which may include the authorization object ZAEB_CMPEC. Maintain the role as described in Chapter 3.3.1, Maintaining Roles for ATC :: Compliance Screening. Follow the same procedure to create a role or enhance an existing Compliance role. The authorization object ZAEB_CMPEC for Export Controls must be added to the role.

Authorizations can be granted for the following types of test results: Todo License required


Restriction Error Once the authorization has been granted, the user can release the Export Controls test results of the corresponding type. Further information For further information please refer to the User Manual and the documentation of your SAP system.

4.5.2 What to Do if the Export Data Sheet is not Displayed with the Customer

This sheet only appears depending on the account group! /xd02 The account group can be found with the Customer under Details >> Administration data (Shift + F8) (A Treasury Customer has the account group DEBI, for example).

Now you can check in the SAP Customizing which pictures are assigned to an account group.


/spro Logistics in general >> Business partners >> Customers >> Control >> Defining account groups and field selection customers


Open the DEBI account group and double-click on General Data in the Field Status field group.

Then you can see which status the Foreign Trade group has. With a double-click, you can see whether the field status group is suppressed from display, whether it is an optional or a mandatory entry or whether it is only displayed.

A further criterion within Customizing is the dependency between field structure and transaction. This has also an impact on the field status. Hence, there may be a difference if the customer is displayed with /vd02 or /xd02.


4.5.3 Creating Jobs for Export Controls

You can create jobs to check the various sales documents in your SAP system. The results of the individual job runs are displayed in the Compliance Monitor. Details can be found in section 4.3.2 on page 39.

4.6 Checking Customizing

The transaction /N/AEB/CMPCONSISTENCE allows you to check the installation and customizing.

We recommend starting this transaction after finishing the initial installation and after installing service packs and new releases.

Even if ATC :: Compliance does not work properly, the ATC :: Compliance Consistence Checker should be called first to exclude errors in the customizing as being the reason for the malfunctioning.

When doing this, the customizing is not changed, but the ATC :: Compliance Screening Consistence Checker will give you some hints. It is displayed per client which settings and parameters are o.k. (OK at the end of the line) and which are not (!!! at the beginning of the line).

4.7 Changing the Customizing in the Productive System

Normally, it is not possible to change customizing settings in the productive system. For emergencies, however, the software offers a program accessible through the transaction /aeb/cmpemergency that shuts down the main switch for ATC :: Compliance and Export Controls.

This emergency transaction deactivates all compliance and export controls checks and should be used only in an emergency!

This transaction requires a user authorization. Authorized users must have the authorization object ZAEB_CMPEM. This transaction is client-dependent. This means that settings can be changed only for the client that was used to call up this transaction. The user deactivates the checks as follows:


Once the user has launched the transaction /aeb/cmpemergency, the DEACTIVATE command can be entered in the command box. Pressing the Execute button (F8) executes deactivation. Every deactivation is logged in the Compliance Monitor and, if possible, in the Compliance Engine. SAP mails are also sent to the administrators in charge. The old customizing settings are stored. As soon as the problem is fixed, the user enters ACTIVATE and clicks on the Execute button (F8) to reactivate the compliance and export controls. Activation restores the original customizing settings. This action also triggers a log entry and SAP mails. Changes are not copied to a transport and are also not recorded in the SAP revision history.


5 Enhancements and Entry Points for Project Developments

5.1 Enhancements of the Material for ATC :: Export Controls

ATC :: Export Controls requires enhancement of the export session of the material by one subscreen. The various layers can be configured to one material in the SAP system. The SAP material master screen sequence defines the sequence of information elements. ATC :: Compliance Transport already includes its own function group, /AEB/CMP_EC_MARC_GUI. This function group contains the prepared screen 2000, which can be integrated into the export session.

How are material master screen sequences maintained in the SAP system? The views of a material can vary by user, industry sector, material type, plant and entry/display transaction. Adding a field group to a view is one step. Another step is to assign when a view is used for whom and in which cases.

Define Structure of Data Screens for Each Screen Sequence

Here it is the enhanced screen sequence 21 (industry standard short screens).


Highlight screen sequence 21 and double-click on Data screens.

Next, highlight the entry 21 / 12 Foreign Trade: Export Data and double-click on Subscreens.


All subscreens numbered 0001 are empty subscreens and can be replaced.


This requires entering the program name /AEB/SAPLCMP_EC_MARC_GUI and the screen no. 2000. Now save the setting.

Maintaining user settings

You still must maintain the user settings for the new screen sequence.

Example:

5.2 Business Add-Ins

The following overview shows the business add-ins for ATC :: Compliance. For further information, refer to the online documentation for the business add-ins (SE19 transaction).

Name Area Function(s) /AEB/CMP_ACC_DC_03 Financial

document batch check

Trigger additional mails/actions if: a partner was classified as suspicious. an error occurred during the check. a partner was not classified as suspicious.

/AEB/CMP_APPLICAN_03 Applicant batch check

Trigger additional mails/actions if: the applicant was classified as suspicious. an error occurred during the check. the applicant was not classified as suspicious.

/AEB/CMP_BANK_03 Bank batch check Trigger additional mails/actions if: the bank was classified as suspicious. an error occurred during the check. the bank was not classified as suspicious.


Name Area Function(s) /AEB/CMP_CUSTOMER_01 Customer online

check Determine whether individual customers should

be checked. Define different Engine parameters (destination,

Engine client, Engine profile) for the check of this customer.

/AEB/CMP_CUSTOMER_02 Customer online check

Trigger additional mails/actions if: the customer was classified as suspicious. an error occurred during the check. the customer was not classified as suspicious.

/AEB/CMP_CUSTOMER Customer batch check

Trigger additional mails/actions if: the customer was classified as suspicious. an error occurred during the check. the customer was not classified as suspicious. a previously suspicious customer was reclassified

as unsuspicious. /AEB/CMP_DLV_DC_01 Delivery online

check Determine whether individual deliveries should be

checked. Define different Engine parameters (destination,

Engine client, Engine profile) for the check of this delivery.

/AEB/CMP_DLV_DC_02 Delivery online check

Trigger additional mails/actions if: the delivery includes suspicious addresses. an error occurred during the check. the delivery does not include any suspicious

addresses. /AEB/CMP_DLV_DC_03 Delivery online

check Exclude partner from the screening.

/AEB/CMP_EC_ORDER_01 Sales documents Export Controls

Determine whether individual sales documents are subject to the Export Controls check.

/AEB/CMP_EC_ORDER_02 Export Controls Modify the generated Export Controls data to be checked by the Compliance Engine.

/AEB/CMP_EMPLOYEE_03 Personnel master batch check

Trigger additional mails/actions if: the personnel master record was classified as

suspicious. an error occurred during the check. the personnel master record was not classified as

suspicious. /AEB/CMP_MAT_DC_01 Goods receipt

online check Determine whether individual goods receipts

should be checked. Define different Engine parameters (destination,

Engine client, Engine profile) for the document check.

/AEB/CMP_MAT_DC_02 Goods receipt online check

Trigger additional mails/actions if: the document includes suspicious addresses. an error occurred during the check. the document does not include any suspicious

addresses. /AEB/CMP_MONITOR_01 Monitor/deliveries Trigger additional mails/actions if:

delivery is unblocked. /AEB/CMP_MONITOR_02 Monitor Define different Engine parameters (destination,

Engine client, Engine profile) for the Good Guy definitions, unblocking and restricted parties.


Name Area Function(s) /AEB/CMP_MONITOR_03 Monitor Additional filter options for the Monitor to determine

whether entries should be shown. Implemented for: Customers Vendors Sales documents Deliveries Purchasing documents Material documents Banks Financial documents Personnel master Applicants master

/AEB/CMP_PURCH_DC_01 Purchasing document online check

Determine whether individual documents should be checked.

Define different Engine parameters (destination, Engine client, Engine profile) for the document check.

/AEB/CMP_PURCH_DC_02 Purchasing document online check


addresses. /AEB/CMP_SALES_DC_01 Sales document

online check Determine whether individual documents should

be checked. Define different Engine parameters (destination,

Engine client, Engine profile) for the document check.

/AEB/CMP_SALES_DC_02 Sales document online check


addresses. /AEB/CMP_SALES_DC_03 Sales document

batch check Trigger additional mails/actions if: a partner was classified as suspicious. an error occurred during the check. a partner was not classified as suspicious.

/AEB/CMP_SALES_DC_04 Sales document online and batch check

Exclude partner from the screening.

/AEB/CMP_VENDOR_01 Vendor online check

Determine whether individual vendors should be checked. Define different Engine parameters (destination, Engine client, Engine profile) for the check of this vendor.

/AEB/CMP_VENDOR_02 Vendor online check

Trigger additional mails/actions if: the vendor was classified as suspicious. an error occurred during the check. the vendor was not classified as suspicious.


/AEB/CMP_VENDOR_03 Vendor batch check

Trigger additional mails/actions if: the vendor was classified as suspicious. an error occurred during the check. the vendor was not classified as suspicious. a previously suspicious vendor was reclassified

as unsuspicious.

How are ATC :: Compliance business add-ins customized? Example: You wish to except certain goods receipt documents from checks. Launch the SE19 transaction.

Select any implementation name (usually in the Z range).

Select the appropriate AEB business add-in name as the definition name (e.g. /AEB/CMP_MAT_DC_01).


Maintain the short text. Double-click the method you wish to edit.

Clicking on Example implementation class and Definition document provides other useful information.

Implement the coding. Example:


METHOD /aeb/if_ex_cmp_mat_dc_01~is_object_to_check. * Do not subject goods receipt for order to Compliance check IF im_mkpf_to_check-vgart ='WF'. ch_is_object_to_check = space. ENDIF. ENDMETHOD.

Click Signature to display the inbound and outbound parameters. Save. Attention! During the initial creation, activation generates errors. In this case, just save

and return to the main overview, from where you can activate the entire implementation.

This implements the business add-in. It will run before the compliance check is called.


5.3 Interfaces for Customer Extensions

For the interface, there is a functional group available containing defined functional modules which ensure controlled access to the data of ATC :: Compliance. These functions are divided into four groups: Functions allowing access to export controls transactions (/AEB/CMP_EC_PUBLIC) Functions allowing access to blocked entries in the ATC :: Compliance Monitor

(/AEB/CMP_PUBLIC_BLK_CHK) Functions allowing access to settings (/AEB_CMP_PUBLIC_INFO) Functions allowing access to checks, logging and mail functions

(/AEB_CMP_PUBLIC_SCR_CHECK) The individual functions are described in the following:

5.3.1 /AEB/CMP_EC_PUBLIC Access to the Export Controls Transaction

Function module: FUNCTION /aeb/cmp_delete_ec_for_vbeln

With this function, all relevant export controls data relating to a specific sales document will be deleted. The function expects a key of the sales document as import parameter (VBELN_VA). Import parameter:

IM_VBELN TYPE VBELN_VA

5.3.2 /AEB/CMP_PUBLIC_BLK_CHK Access to the Block Entries in the Monitor

Function module: FUNCTION /aeb/cmp_chk_if_md_is_blocked

With this function, it is checked whether a material document has already been blocked. The function expects the number of the material document as import parameter (MBLNR). A boolean is returned. X means that the document is blocked. Import parameter:

IM_MKPF_MBLNR TYPE MBLNR

Export parameter:

RE_IS_BLOCKED TYPE /AEB/BS_E_BOOLEAN

Function module: FUNCTION /aeb/cmp_chk_if_pd_is_blocked

With this function, it is checked whether a purchasing document has already been blocked. The function expects the number of the purchasing document as import parameter (EBELN). A boolean is returned. X means that the document is blocked.

Import parameter:

IM_EKKO_EBELN TYPE EBELN

Export parameter:



Function module: FUNCTION /aeb/cmp_chk_if_sd_is_blocked

With this function, it is checked whether a sales document has already been blocked. The function expects the number of the document as import parameter (VBAK_VBELN). A boolean is returned. X means that the document is blocked.

Import parameter:

IM_VBAK_VBELN TYPE VBAK-VBELN

Export parameter:


5.3.3 /AEB/CMP_PUBLIC_INFO Access to Settings

Function module: FUNCTION /aeb/cmp_pb_sd_faksk_comp

With this function, you can read out the block identifier for the billing block in case of Compliance active. Export parameter:

EX_FAKSK TYPE FAKSK

Function module: FUNCTION /aeb/cmp_pb_sd_faksk_comp_inac

With this function, you can read out the block identifier for the billing block in case of Compliance inactive.

Export parameter:

EX_FAKSK TYPE FAKSK

Function module: FUNCTION /aeb/cmp_pb_sd_lifsk_comp

With this function, you can read out the block identifier for the delivery block in case of Compliance active.

Export parameter:

EX_LIFSK TYPE LIFSK

Function module: FUNCTION /aeb/cmp_pb_sd_lifsk_comp_inac

With this function, you can read out the block identifier for the delivery block in case of Compliance inactive.

Export parameter:

EX_LIFSK TYPE LIFSK


5.3.4 /AEB/CMP_PUBLIC_SCR_CHECK Access to Checks, Logging and Mail Functions

Function module: FUNCTION /aeb/cmp_addr_chk_for_addr1val

With this function, you can perform a compliance check of an address by using the complete address as import parameter. Import parameter:

IM_ADDR1_VAL TYPE ADDR1_VAL

IM_SUPPRESS_ENGINE_LOGGING TYPE CHAR1

IM_RFC_DESTINATION TYPE RFCDEST

IM_ENGINE_CLIENT TYPE /AEB/CMP_ENGN_CLIENT

IM_ENGINE_PROFILE TYPE /AEB/CMP_ENGN_PROFILE

IM_REF_COMMENT TYPE CHAR255

Export parameter:

RE_IS_SUSPICIOUS TYPE CHAR1

Exceptions: ENGINE_NOT_REACHED

ENGINE_REMOTE_ERROR

UNSPECIFIED_ENGINE_ERROR

Function module: FUNCTION /aeb/cmp_addr_chk_for_addnr

With this function, you can perform a compliance check of an address by using the address number as import parameter. Import parameter:

IM_ADDRNR TYPE ADDR1_VAL-ADDRNUMBER






Export parameter:



ENGINE_REMOTE_ERROR


ADDRESS_INDETERMINABLE


Function module: FUNCTION /aeb/cmp_addr_chk_for_handle

With this function, you can perform a compliance check of an address by using IM_ADDRHANDLE as import parameter. Import parameter:

IM_ADDRHANDLE TYPE ADDR1_VAL-ADDRHANDLE






Export parameter:



ENGINE_REMOTE_ERROR


ADDRESS_INDETERMINABLE

Function module: FUNCTION /aeb/cmp_customer_scr_check

With this function, you can perform a compliance check of a customer. Import parameter:

IM_KNB1 TYPE KNB1

IM_KNA1 TYPE KNA1

IM_KNVV TYPE KNVV


Export parameter:



ENGINE_REMOTE_ERROR



Function module: FUNCTION /aeb/cmp_vendor_scr_check

With this function, you can perform a compliance check of a vendor. Import parameter:

IM_LFA1 TYPE LFA1

IM_LFB1 TYPE LFB1

IM_LFM1 TYPE LFM1


Export parameter:



ENGINE_REMOTE_ERROR


Function module: FUNCTION /aeb/cmp_md_scr_check

With this function, you can perform a compliance check of a material document. Import parameter:

IM_MKPF_TO_CHECK TYPE MKPF


Export parameter:



ENGINE_REMOTE_ERROR


Funktionsbaustein: FUNCTION /aeb/cmp_pd_scr_check

With this function, you can perform a compliance check of a purchasing document. Import parameter:

IM_EKKO_TO_CHECK TYPE EKKO


Export parameter:



ENGINE_REMOTE_ERROR



Function module: FUNCTION /aeb/cmp_send_mail

With this function, you can send the SAP Office mails for a VKORG (sales organization). The administrators defined in the settings are taken as recipients. Import parameter:

IM_SUBJECT_TEXT TYPE STRING

IM_BODY_TEXT TYPE STRING

IM_SD_VKORG TYPE VKORG

Exceptions: ALL_PARMS_MUST_BE_FILLED

Function module: FUNCTION /aeb/cmp_send_mail_for_fi

With this function, you can send SAP Office mails to the administrator defined in the FI settings. Import parameter:

IM_SUBJECT_TEXT TYPE STRING

IM_BODY_TEXT TYPE STRING

Exceptions:

ALL_PARMS_MUST_BE_FILLED

Function module: FUNCTION /aeb/cmp_write_critical_log

With this function, you can generate a log entry having the status Critical. Import parameter:

IM_SHORT_TEXT TYPE ANY

IM_LONG_TEXT TYPE ANY

IM_BO_KEY TYPE ANY

IM_BO_NAME TYPE ANY

IM_SEND_IT_TO_ENGINE_TOO TYPE CHAR1

IM_RFC_DEST TYPE RFCDEST

Function module: FUNCTION /aeb/cmp_write_error_log

With this function, you can generate a log entry having the status Error. Import parameter:



IM_BO_KEY TYPE ANY

IM_BO_NAME TYPE ANY



Function module: FUNCTION /aeb/cmp_write_info_log

With this function, you can generate a log entry having the status Info. Import parameter:




IM_BO_KEY TYPE ANY

IM_BO_NAME TYPE ANY



Function module: FUNCTION /aeb/cmp_write_warning_log

With this function, you can generate a log entry having the status Warning. Import parameter:



IM_BO_KEY TYPE ANY

IM_BO_NAME TYPE ANY




6 Appendix: Details on the Application Settings for Compliance Screening

In Customizing (SPRO transaction), open the branch Sales and Distribution > Foreign Trade/Customs > Legal Control > ATC :: Compliance > Application Settings. The following sections contain details about the following settings: Compliance Screening Settings for SD (see page 65) Compliance Screening Settings for MM (see page 67) Compliance Screening Settings for FI (see page 68)


6.1 Compliance Screening Settings for SD

In the Main settings, you can control all plug-ins in the SAP system concerning the SD module.


The Main administrator is the recipient of all SAP office mails for ATC :: Compliance Screening for SD and ATC :: Export Controls. You are offered two buttons: Other administrators button

Here, you can define an administrator for each individual sales organization. In this case, the Compliance administrator of this sales organization will receive SAP office mails and not the main administrator, i.e. the administrators of the sales organizations will be used instead of the Compliance administrator.

Additional recipients button Here, you can define further recipients of SAP mails for each individual sales organization. The recipients from each sales organization will be used in addition to the Administrator. If the VKORG field (sales organization) is not filled, the recipient will receive an SAP mail in any case.

Sales documents online check field group Here, you can activate or deactivate the screening for all SD documents without impairing the entire screening (see above).

With the help of the other settings, you can define orders and/or deliveries are also to be blocked if the Compliance Engine cannot be reached via the SAP destination. It can also be defined how the system is to react if a document is already blocked due to other reasons. Here, ATC :: Compliance Screening can overwrite the blocks or they can be retained. Hence, if Compliance Screening is not possible due to technical reasons, it may be necessary that the document processing is continued in the SAP system. In this case, the system will sent a message to the administrator.

If errors occur during screening, there is the possibility of suppressing the error messages. Mails and log entries are written nevertheless.

Example: If an order is blocked due to credit limit check and if the screening returns a match with an address on a restricted party list, the block is overwritten by Compliance if the Overwrite option has been set. If the addresses are rectified in the document and the blocks can be deleted by ATC :: Compliance Screening, the previous credit limit check block will be restored. The document remains blocked because other employees are in charge of these processes.

Overwritten blocks are reset after your addresses have been rectified. Vendor online check field group

Here, you can activate the option Online check active. With the Prevent saving option, you define whether or not suspicious vendors are allowed to be saved. Here, you can also define which blocks are to be set. If only the Block suspicious vendors option is chosen, it is only the ATC :: Compliance Screening block that is set. The vendor is


then marked as suspicious in the ATC :: Monitor. The ATC :: Compliance Screening block does not have an impact on the vendor processing. Here, you can also define whether or not error messages are to be displayed to the user.

Vendor batch check field group Here, you can set the parameters defining if, in case of a match, a vendor is to be blocked and which blocks are to be set.

Customer online check field group Here, you can activate the option Online check active. With the Prevent saving option, you define whether or not suspicious customers are allowed to be saved. You can also define which blocks are to be set and you can define whether or not error messages are to be displayed to the user.

Customer batch check field group Here, you can set the parameters defining if, in case of a match, a customer is to be blocked and which blocks are to be set.

Personnel batch check and Applicant batch check field groups Here, the option needs to be set to active to make the batch start at all.

6.2 Compliance Screening Settings for MM

In the Main settings, you can control all plug-ins in the SAP system concerning the MM module. The Main administrator is the recipient of all SAP office mails for ATC :: Compliance Screening for MM. You are offered two buttons: Other administrators button

Here, you can define an administrator for each individual purchasing organization. In this case, the Compliance administrator of this sales organization will receive SAP office mails and not the main administrator, i.e. the administrators of the purchasing organizations will be used instead of the Compliance administrator.

Additional recipients button Here, you can define further recipients of SAP office mails for each individual purchasing organization. The recipients from each purchasing organization will be used in addition to the Compliance Administrator. If the EKORG field (purchasing organization) is not filled, the recipient will receive an SAP office mail in any case.


Purchasing documents online check and Material documents online check field groups In both field groups, you can define the Online check as being active. In addition, you can define whether or not error messages are to be displayed to the user.

6.3 Compliance Screening Settings for FI

In the Main settings, you can control all plug-ins in the SAP system concerning the FI module. The Main administrator is the recipient of all SAP office mails for ATC :: Compliance Screening for MM. Bank batch check and Financial documents batch check field groups

In both field groups, you can define settings in regards to blocks. For the financial documents, you can define in details in which cases blocks are to be set.

AEB GmbH, AFI GmbH COMPANIES OF THE P. M. BELZ GROUP

Headquarters

Julius-Hlder-Strae 39 D-70597 Stuttgart Tel. +49/711/7 28 42-0 Fax +49/711/7 28 42-333

E-mail [email protected]

Offices in Germany

Bremen Dsseldorf Soest Mainz Munich

Internet www.aeb-international.com

AEB (International) Ltd

Warwick Innovation Centre Warwick Technology Park Gallows Hill Warwick CV34 6UW United Kingdom Tel: +44 1926 623050 Fax: +44 1926 623055

AEB (Asia Pacific) Pte Ltd

1 North Bridge Road #24-02, High Street Centre Singapore 179094 Tel: +65 6337 9300 Fax: +65 6337 9667

atc inst cust compliance en 30

Documents

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compliance engine settings

sap system

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sap erp

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sap transactions