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TRADE COMPLIANCE MANAGEMENT

GTM Internal Status Designations
Restricted Party List | Sanctioned Countries | Control
Screening | Product Lookup Classification | Related Topics

GTM assigns internal status designations to track whether

screening tasks have been performed, completed, or failed.

Status buttons are located on the following managers:

 Party Manager
 Transaction Manager
 Transaction Line Manager
 Location Manager
 Registration Manager
 Product Classification
Click the Status button on any of these managers to see the
statuses that have been assigned.

The tables below outline the statuses you may encounter.

Restricted Party List Statuses

Object Status Value Explanation
Party RPLS_NOT_STARTED The restricted party
(Contact) list screening has
not yet been
initiated.

RPLS_PASSED Restricted party

screening has been
executed and one of
the following
conditions has
occurred:
 No restricted
party list
 records have
been matched.
 One or more
restricted party
list records
have matched
and all of them
have been
resolved as Not
A Match.

RPLS_FAILED Restricted party

screening has been
executed and at
least one restricted
party list record was
resolved as a verified
match.

RPLS_REQUIRES_REVIEW Restricted party

screening has been
executed and one of
the following
conditions exists:
 Restricted
party records
were matched
but are not yet
resolved (i.e.
they are still
designated as
potential
matches).
 Restricted
party records
were matched,
none have been
resolved as
verified
matches, and
there are still
match records
 waiting to be
resolved.

RPLS_ESCALATED The status value has

been set to
escalated because
either
the Escalate button
has been clicked or
the Change
Restricted Party
Status action has
been used. You can
employ a saved
query to pull up
records with this
status

Trade TL_RPLS_NOT_STARTED The restricted party

Transaction list screening has
Line not yet been
initiated.

TL_RPLS_PASSED Restricted party

screening has been
executed and one of
the following
conditions has
occurred:
 No restricted
party list
records are
matched.
 One or more
restricted party
list records
have matched
and all of them
have been
resolved as Not
 A Match.

TL_RPLS_FAILED Restricted party

screening has been
executed and at
least one restricted
party list record was
resolved as a
Verified Match.

TL_RPLS_REQUIRES_REVIE Restricted party

W screening has been
executed and one of
the following
conditions exists:
 Restricted
party records
were matched
but are not yet
resolved (i.e.
they are still
designated as
potential
matches).
 Restricted
party records
were matched,
none have been
resolved as
verified
matches, and
there are still
match records
waiting to be
resolved.

Trade TS_RPLS_NOT_STARTED The restricted party

list screening on the
Transaction trade transaction
has not yet been
initiated.

TS_RPLS_PASSED Restricted party

screening has been
executed on the
trade transaction
and one of the
following conditions
has occurred:
 No restricted
party list
records are
matched.
 One or more
restricted party
list records
have matched
and all of them
have been
resolved as Not
A Match.

TS_RPLS_FAILED Restricted party

screening has been
executed on the
trade transaction
and at least one
restricted party list
record was resolved
as a verified match.

TS_RPLS_REQUIRES_REVIE Restricted party

W screening has been
executed on the
trade transaction
and one of the
following conditions
exists:
 Restricted
party records
were matched
 but are not yet
resolved (i.e.
they are still
designated as
potential
matches).
 Restricted
party records
were matched,
none have been
resolved as
verified
matches, and
there are still
match records
waiting to be
resolved.

Sanctioned Countries Status

Object Status Value Explanatio
n
Trade TL_SANCTION_COUNTRIES_NOT_STAR Complianc
Transactio TED e screening
n Line has not
been
performed
against the
trade
transaction
line.

TL_SANCTION_COUNTRIES_PASSED Complianc
e screening
has been
performed
and no
compliance
rule with
category =
sanction
 has been
hit.

TL_SANCTION_COUNTRIES_FAILED Complianc
e screening
has been
performed
and a
compliance
rule with
category =
sanction
has been
hit.

Trade TS_SANCTION_COUNTRIES_NOT Complianc

Transactio STARTED e screening
n has not
been
performed
against the
trade
transaction
.

TS_SANCTION_COUNTRIES_PASSED Complianc
e screening
has been
performed
and no
compliance
rule with
category =
sanction
has been
hit for any
trade
transaction
line.

TS_SANCTION_COUNTRIES_FAILED Complianc
e screening
has been
performed
against the
 trade
transaction
and a
Complianc
e Rule with
category =
sanction
has been
hit for any
trade
transaction
line.

Control Screening Status

Object Status Value Explanation
Trade TL_CONTROL_SCREENING_NOT_STA Control
Transacti RTED screening has
on Line not been
performed
against the
trade
transaction
line.

TL_CONTROL_SCREENING_ON_HOLD Control
Screening (i.e.
Compliance
rule screening)
process has
been executed
and
compliance
rules with
category=cont
rol have been
hit and not all
of them have a
compliance
rule with
category=exce
ption
 associated or
have not been
assigned one
or
more licenses
for the total
quantity
indicated in
the line.

TL_CONTROL_SCREENING_PASSED Control
screening (i.e.
Compliance
rule screening)
process has
been executed
and one of the
following
conditions
have occurred:
 No
complian
ce rule
with
category
= control
has been
hit.
 Complian
ce rules
with
category
= control
have
been hit
and all of
them
have a
complian
ce rule
with
category
=
 exception
associate
d or have
been
assigned
one or
more
license
for the
quantity
indicated
in the
line.

TL_CONTROL_SCREENING_FAILED You manually

change the
status from
hold to failed
when the
decision is
that the
transaction
line should be
removed or it
violates any
regulation.

Trade TS_CONTROL_SCREENING_NOT_STA Control

Transacti RTED screening has
on not been
performed
against the
trade
transaction.

TS_CONTROL_SCREENING_ON_HOLD Control
Screening (i.e.
Compliance
rule screening)
process has
been executed
and
compliance
rules with
 category=cont
rol have been
hit at any trade
transaction
line and (not
all of them
have a
compliance
rule with
category=exce
ption
associated or
have not been
assigned one
or more
license for the
total quantity
indicated in
the line).

TS_CONTROL_SCREENING_INCOMPL Control
ETE Screening (i.e.
Compliance
rule screening)
process hasn't
been executed
for all the
trade
transaction
lines.

TS_CONTROL_SCREENING_PASSED Control
screening (i.e.
Compliance
rule screening)
process has
been executed
to all the trade
transaction
lines and one
of the
following
conditions has
occurred:
 No
complian
ce rule
with
category
= control
has been
hit at any
trade
transacti
on line.
 Complian
ce rules
with
category
= control
have
been hit
at any
trade
transacti
ons line
and all of
them
have a
complian
ce rule
with
category
=
exception
associate
d or have
been
assigned
one or
more
licenses
for the
total
quantity
indicated
 in the
line.

TS_CONTROL_SCREENING_FAILED You manually

change the
status from
hold to failed
when there is
at least one
line in status
Failed.

Product Classification Lookup Status

Object Status Value Explanatio
n
Trade TL_PRODUCT_CLASSIFICATION_NOT The
Transacti STARTED process
on Line has not
been
performed
against the
transaction
line.

TL_PRODUCT_CLASSIFICATION_COMPLE The
TE process
has been
performed
against the
trade
transaction
line and
the
classificati
on codes
correspond
ing to the
classificati
on type
indicated
in the
 service
preference
have been
assigned
to the line.

TL_PRODUCT_CLASSIFICATION_INCOMP The
LETE process
has been
performed
against the
trade
transaction
line and
not all of
classificati
on codes
correspond
ing to the
classificati
on type
indicated
in the
service
preference
have been
assigned
to the line.

Trade TS_PRODUCT_CLASSIFICATION_NOT The

Transacti STARTED process
on has not
been
performed
against the
transaction
.

TS_PRODUCT_CLASSIFICATION_COMPL The
ETE process
has been
performed
against the
trade
 transaction
and the
classificati
on codes
correspond
ing to the
classificati
on type
indicated
in the
service
preference
have been
assigned
to the
transaction
.

TS_PRODUCT_CLASSIFICATION_INCOMP The
LETE process
has been
performed
against the
trade
transaction
and not all
of the
classificati
on codes
correspond
ing to the
classificati
on type
indicated
in the
service
preference
have been
assigned
to the
transaction
.
Related Topics
Status Types

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