1

2
3
Welcome to the Global Trade Management Release 6.2 Transfer of
Information Functional Overview for stand-alone services.

4
This session is intended to:
• Provide an introduction and overview of Oracle Global Trade Management
(GTM) stand-alone services including:
– Restricted party screening
– Sanctioned territory screening
– Product classification screening
– Compliance rule screening
• Help you find additional release information and resources

5
This session will cover the various stand-alone services available for
GTM and includes the following sections:
• Stand-alone Services Overview
• Restricted Party Screening Service
• Sanctioned Territory Screening Service
• Product Classification Screening Service
• Compliance Rule Screening Service
• Additional Resources

6
First, let’s discuss an overview of the stand-alone services available
for GTM.

7
• One of the options available in GTM is to use the stand-alone services. GTM
provides a callable engine which provides different services.
• Using the stand-alone services enables you to send a request from another
system for a screening. This request contains certain parameters which tell GTM
the data you want to process.
• The request is processed synchronously and GTM immediately sends a
response back.
• It’s important to note that GTM is simply processing this data. These
transactions are not stored in GTM. This also means there is no state for these
transactions in GTM.
• GTM ships with default settings on how you can process this data. For certain
services there are service preferences and service parameters, which are
optional, that you can set to tell GTM how you want to process your data.

8
When using the GTM stand-alone services, you will need both the
GTM schema and the OTM schema since the GTM schema refers to
the OTM schema. Each XML schema is defined with a namespace as
shown on this slide.
XML documents being sent inbound to GTM are not required to
specify the namespace in the XML. When XML documents are sent
outbound from GTM, the namespace attribute is specified. You can
disable the namespace attribute in outbound transactions.

9
All interactions with the GTM services through integration are made
using the ServiceRequest element. The ServiceRequest element is
used to invoke a screening service in GTM. When GTM receives the
ServiceRequest XML, the request is processed synchronously and the
ServiceResponse XML is generated and sent as a response to the
caller. Both the ServiceRequest XML and the ServiceResponse XML
are contained within the
Transmission/TransmissionBody/GLogXMLElement element.
Note that the Transmission/TransmissionHeader/TransmissionType
element tells GTM that the inbound transmission is a query. This
element must be set to SERVICE for the synchronous processing to
occur.

10
The ServiceRequest element contains different options available for
stand-alone services including:
• RestrictedParty which is used for transactional screening of a specific contact to
verify if it is on a restricted parties list.
• SanctionedTerritory which is used for transactional screening of territories.
• Classification which is used for transactional screening pertaining to global
classification based on product description.
• ComplianceRule which is used for transactional screening of personal
information, product and usage information, location information, and user-
defined conditions.

These options will be discussed in greater detail throughout this TOI.

Please see the GLogXML-GTM.xsd for more information on the GTM

schema.

11
There are two ways you can send data inbound into GTM:
• Via HTTPPost
• Via a web service to the application tier

Let’s talk about each of these options in greater detail.

12
One way to send data inbound into GTM is to send the data via
HTTPPOST to the WMServlet which is the default servlet. You can
access this servlet through
http://hostname/GC3/glog.integration.servlet.WMServlet. This servlet
resides on the web server.
Depending on the data you are sending, there are other servlets that
you can use including:
• LargeTransmissionServlet for sending exceptionally large transmissions.
• TransformerServlet which applies an XSL transformation to the XML to convert it
into a valid GTM Transmission XML.
• DirLoadServlet enables you to bypass the application server and can be used
for inserting or creating data.

13
You can also send data via web services to the application server.
• This option is only available if you are using the WebLogic or OAS platforms.
• There are three web services that you can use for GTM:
– The IntGtmXmlService is used to send an inbound transmission XML
containing GTM transactions
– GTMRestrictedPartyService is used to execute a restricted party screening
– GTMSanctionedTerritoryService is used to execute a sanctioned territory
screening
• In addition, a servlet is available which points to the URL for the WSDL based on
the application server. You can access the servlet through the Business Process
Automation > Integration > Integration Manager > Retrieve WSDLs menu option.
The servlet relies on the following properties to form the correct URL:
– appserver
– appserver.port.webservice.weblogic
– appserver.port.webservice.oas

14
Service preferences provide a collection of preferences which you can
set for a screening service. You can have different service preferences
for different services.
• Using the user preference functionality, you can assign a service preference for
a specific user, user role, user level, or domain level.
• When a service is invoked:
– The service preference specified in the user preference of the current user
is used
– If a service preference is not specified in the user preference, then the
default service preference values in GTM are used
• The services which support a service preference are:
– Restricted party
– Product classification
– Compliance rule
The configuration for the service preference varies depending on the
service you are using. Configuration will be discussed in greater detail
later in this TOI.

You can access the service preference page from the Trade Master
Data > Screening Service Configuration > Service Preference menu
option.

15
Please refer to the integration guide for additional information about:
• The GTM XML schema
• Disabling namespaces on outbound transmissions
• Sending data into GTM using HTTPPOST
• Sending data into GTM via a web service and obtaining the WSDLs
• Sending data into GTM using OAQ

16
Let’s discuss the restricted party screening service.

17
The restricted party screening service enables you to send in a query
for a specific contact or company and receive a response. You can
find out if any of the parties with which you do business are on the
restricted parties list.

18
When using the restricted party screening service, you can create a service parameter which tells the
matching engine the fields that should be analyzed during a screening. By creating a service parameter,
you are able to set the weights and thresholds at the field level which gives you more control over your
search results. If you do not create a service parameter, values which are hardcoded into GTM are
used.
To access the Service Parameter page, click the Trade Master Data > Screening Service Configuration
> Service Parameter menu option. On the Service Parameter tab shown at the top of the slide, you can
see a Service of RESTRICTED PARTY SCREEN is selected.
On the Service Parameter Details tab shown at the bottom of the slide, you can specify details for one to
many parameters. When performing a screening, GTM only uses the parameters you specify on the
Service Parameter Details tab during screening and matches records based on one parameter at a time.
For each service parameter, you can specify:
• Parameter Name. GTM ships with a list of parameter names from which you can select. Each
parameter is a field which helps GTM determine if there is a match between your search criteria
and a party on the restricted party list. Available Parameter Names include first name, last name,
company name, and address information.
• Threshold is the minimum threshold value for a parameter and controls the matching engine. This is
used in determining which value is considered a match when performing a screening. The value of
threshold is set between 0 and 1.0 for each Parameter Name. If the value is set to 1.0, then GTM
must find an exact match between the search criteria you entered and the restricted party records.
If the value is set to less than 1.0, a restricted party record is only considered a match to your
search criteria if the calculated match factor for that parameter name is greater than the threshold.
This calculation is performed for every field, or Parameter Name, you specify. In this example,
you’ve specified two parameters. GTM will analyze each parameter separately. For the parameter
of lastName, only records which have a match factor above the Threshold of 0.5 will be considered
a match. The same is true for the firstName. Any records which have a match factor below the
threshold of 0.5 will not be considered a match.
• Weight determines if a match exists when multiple parameters are used. You should set the most
important parameter to the highest weight value. The sum of the weight field across all parameter
names must equal 1.0. In this example, you are most concerned with matching the lastName so
you set the Weight to 0.75. You then want to search based on firstName which has a Weight of
0.25.
• After the matching engine examines each parameter name to determine if it should be considered a
match, a weighted average is calculated for all of the parameters that are currently being
considered a match based on their calculated match factor and their weight. This weighted average
is compared to a minimum match factor, or threshold, you specify on the service preference. This is
discussed on the next slide.
• Since we are discussing the restricted party screening service functionality, the Match Default and
Disable Highlighting fields do not apply.

19
For a restricted party screening, GTM uses the service preference to
determine how the restricted party matching engine works. In the
Service Preference, select a Service of Restricted Party Screening.
Then, click the i icon to the right of the Service Preference
Configuration field. GTM displays the Service Preference
Configuration: RESTRICTED PARTY SCREEN page as shown at the
right. The preferences you can specify include:
• Match Engine enables you to specify the match engine you want to use during
your screening. GTM supports various match engines such as Dice and
Soundex.
• Threshold determines what records are considered a match between the search
criteria you enter and the restricted party data. GTM compares the weighted
average for all the parameters, as discussed on the previous slide, to the value
in the Threshold field. The weighted average must be greater than the Threshold
for a record to be considered a match.
• Days Back is used if you have received recent updates to your restricted party
data and need to re-screen records. For example, if you set this field to 7, GTM
will scan the appropriate restricted party records looking for the date on the most
recently updated record. It will then screen 7 days back from that date to
determine if a contact is one of the restricted party records updated recently.
• Screening Field Parameter is where you can specify a service parameter. This is
the link between the service parameter you created on the previous slide and
the minimum threshold a record must meet to be considered a match. This is an
optional field.

20
If you have not associated a service parameter to your service
preference, GTM still must follow certain rules when screening your
restricted party data including:
• At least one of the following three fields are required as part of your search
criteria: first name, last name, and/or company name.
• If all three are specified, then only the first name and last name are used for
matching purposes by the matching engine.
• If both the first name and last name are specified, the first name and last name
are concatenated.
• If only a company name is specified, then the restricted party service only
matches against the company name of the restricted party.
• Once GTM has match results, they are then filtered by company name if it is
specified, in addition to the first and/or last name.
• The match results can also be filtered by country name and/or postal code.
• All secondary filtering is a case-insensitive exact match for not null values. For
example, when filtering by country name, if a match result has the exact case-
insensitive country name, or does not have a value specified in the country field
altogether, it is returned as a potential match.

21
When you use the restricted party screening service, you can query
using certain screening criteria. This criteria is the same whether you
are using the user interface or the stand-alone services. For
discussion purposes, the restricted party screening page in GTM is
shown on this slide. Since you will be sending in XML with your
screening details, you would not use this page when performing a
screening using stand-alone services. Your screening criteria must
include at least one of these three fields:
• First Name
• Last Name
• Company Name
In addition, you can also add additional screening criteria and
reference information including:
• Address information
• Transaction ID can be used to specify a reference number from the other system
• Source System which can be used to specify the other system sending in the
service request
• Service Preference ID
In this example, you are performing a query for a contact with a name
of OSAMA BIN LADEN. This contact will be compared to the
restricted party list.

22
Once GTM processes your query, it sends a response back to the other system. The
response data is the same whether you are using the user interface or the stand-alone
services. For discussion purposes, the Restricted Party Screening – Potential Matches
results page in GTM is shown on this slide. Since GTM will be responding to a separate
system using XML, you would not use this page when performing a screening using stand-
alone services. GTM returns the results that most closely match the criteria you entered first.
The more data you enter, the more accurate the screening will be. Only the fields populated
in the restricted party data will be populated in the results returned to the other system. You
can see how good the match is based on the value in the match factor field.
The restricted party screening results include:
• ID
• First name
• Last name
• Company name
• City
• Province
• Postal code
• Country
• Source
• List code
• Federal regulation URL
• Match factor which tells you how closely the criteria you entered is to the result. A Match Factor of
100% means that it is an exact match.

Also note that on the user interface, GTM highlights the match values that are an exact match
to the criteria you entered. Since you entered a first and last name of OSAMA BIN LADEN,
GTM highlights all instances of the keywords OSAMA, BIN, and LADEN in the results. When
triggering a screening using stand-alone services, this highlighting does not apply.

23
This slide shows an example of the XML that is used to send a
restricted party screening request to GTM.
1. The TransmissionHeader contains general GTM information.
2. The ServiceRequest element contains the details for the request.
3. The ServiceName element indicates the GTM service you want to use. In this
example, you are sending in a query for the RESTRICTED PARTY SCREEN.
4. Within the RestrictedParty element, you can specific the contact for which you
are querying. Similar to the GTM user interface, you can search for
FirstName, LastName, or CompanyName. In this example, you have specified
a contact with a FirstName of OSAMA and a LastName of BIN LADEN.

24
Based on the request you specified, GTM may return zero to many
results. The request discussed previously returned multiple results,
one of which is shown on this slide. The query sent into GTM provided
a result that includes:
1. A LastName of OSAMA BIN LADEN
2. The Country is UNKNOWN
3. An EffectiveDate of 2005-09-16
4. The FederalRegulationUrl is also displayed
5. An EntryDate of 2005-09-16

25
Next, let’s discuss the sanctioned territory screening service.

26
The sanctioned territory screening service enables you to send in a
query for a specific territory and receive a response. You can find out
if any of the territories you ship to or ship from have a sanction in
place.

27
When you use the sanctioned territory screening service, you can
query using certain screening criteria. This criteria is the same
whether you are using the user interface or the stand-alone services.
For discussion purposes, the Sanctioned Territory Screening page in
GTM is shown on this slide. Since you will be sending in XML with
your screening details, you would not use this page when performing
a screening using stand-alone services.
The sanctioned territory screening user interface in GTM is shown on
this slide. The screening criteria includes:
• Compliance Rule Set Group ID
• Involved Country Qualifier
• Country Code

If the Involved Country Qualifier is specified, the Country Code must

also be specified. You can specify multiple combinations of Involved
Country Qualifier and Country Code. In addition, you can also add
additional screening criteria such as Transaction Date.
In this example, you are performing a query for cargo originating in the
USA with a destination of Cuba.

28
Once GTM processes your query, it sends a response back to the
other system. The response data is the same whether you are using
the user interface or the stand-alone services. For discussion
purposes, the Sanctioned Territory Screening – Potential Matches
results page in GTM is shown on this slide. Since GTM will be
responding to a separate system using XML, you would not use this
page when performing a screening using stand-alone services.
GTM displays all sanctions that are in place between the countries
you defined. Only the fields populated in the sanctioned territory data
will be populated on this results page.
As you can see, there is a sanction in place, specifically an embargo,
when shipping from the USA to Cuba.

29
This slide shows an example of the XML that is used to send a
sanctioned territory screening request to GTM. Notice in this example
there are two instances of the LocationInfo element. These elements
contain the same data that you can enter on the user interface,
specifically, Involved Country Qualifier and Country Code. In this
example:
1. The first LocationInfo element contains an Xid for the InvolvedCountryQualifier
of EXPORTER with a corresponding Xid for the CountryCode of USA.
2. The second LocationInfo element contains an Xid for the
InvolvedCountryQualifier of IMPORTER with a corresponding Xid for the
CountryCode of CUB.

Similar to the GTM user interface discussed previously, you are

querying to see if there are any sanctions between an exporting
country of USA and an importing country of Cuba. The XML response
that is sent to the other system is shown on the next slide.

30
Based on the request you specify, GTM may return zero to many
results. The request discussed previously returned one control:
1. A ControlCode of EMBARGO TO CUBA with a ControlCategory of
SANCTION.
2. The PassFail element indicates this query has failed due to an embargo when
shipping from the United States to Cuba.

31
Now, let’s talk about the product classification screening service.

32
The product classification screening service enables you to send in a
query containing a product classification type, which is required, plus
a specific classification code or product description. GTM sends a
response back to the other system including a classification code and
a description.

33
For a product classification screening, GTM uses the service
preference to determine how the product classification engine works.
On the Service Preference page, select a Service of Product
Classification. Then, click the i icon to the right of the Service
Preference Configuration field. GTM displays the Service Preference
Configuration: CLASSIFICATION SCREEN page as shown at the
bottom of the slide. The preferences you can specify include:
• Language ID is the language of the description of potential lookup
classifications.
• Match Factor is used to determine which classification is a potential match to the
description you enter. Entering a Match Factor of 1.0 means the description
must be an exact match. For values that are less than 1.0, the algorithm assigns
a decimal value indicating how close the match is. You can use the match factor
to tune your lookup results.
• Maximum Matches only returns the top product classification results sorted by
match factor. For example, a Maximum Matches of 100 indicates that only the
top 100 matches are returned by GTM.

34
When you use the product classification screening service, you can
query using certain screening criteria. This criteria is the same
whether you are using the user interface or the stand-alone services.
For discussion purposes, the Product Classification Lookup page in
GTM is shown on this slide. Since you will be sending in XML with
your screening details, you would not use this page when performing
a screening using stand-alone services. The product classification
screening user interface in GTM is shown on this slide. The screening
criteria includes:
• Product Classification Type which is a required field
• One of the Product Classification Code or Description

In addition, you can also add additional screening criteria such as:
• Language is the language of the description of potential lookup classifications
• Transaction ID can be used to specify a reference number from the other system
• Source System which can be used to specify the other system sending in the
services request
• Service Preference

35
Once GTM processes your query, it sends a response back to the
other system. The response is the same whether you are using the
user interface or the stand-alone services. For discussion purposes,
the Product Classification Lookup results page in GTM is shown on
this slide. Since GTM will be responding to a separate system using
XML, you would not use this page when performing a screening using
stand-alone services. GTM displays the results that match the criteria
you entered.
The results page displays the product classification data that most
closely matches the criteria you entered including:
• Product Classification Code
• Description

Also note that on the user interface, GTM highlights the match values
that are an exact match to the criteria you entered. Since you entered
a description of AMMUNITION, GTM highlights all instances of the
keyword AMMUNITION. This highlighting does not pertain to a query
from another system.

36
This slide shows an example of the XML that is used to send a
product classification screening request to GTM. Note that:
1. The ServiceName element indicates the GTM service you want to use. In this
example, you are sending in a query for the CLASSIFICATION SCREEN.
2. The Description element is where you can specify text which you want to use
in your screening.
3. The ProdClassType indicates the product classification type you want to
query. This is a required element.
There is also a ClassificationCode element, not shown on this slide,
which you can use to enter a specific classification code you want to
screen. Either the ClassificationCode element or Description element
must be present.
In this example, which is similar to the GTM user interface discussed
previously, you are querying for the product classification codes and
descriptions for the product classification type of HTS US and a
description of AMMUNITION.

37
Based on the request you specify, GTM may return zero to many
results. The request discussed previously returned multiple
ClassificationResponse elements. Three of these elements are shown
on this slide. The second ClassificationResponse element includes:
1. A ClassificationCode of 9306900060.
2. A Descriptions which starts with: Arms and ammunition; parts and accessories
thereof:…

38
Finally, let’s discuss the compliance rule screening service.

39
The compliance rule screening service supports the transactional
screening of personal information, product and usage information,
location information, and user-defined conditions. GTM matches the
conditions in the transactions to conditions present in the compliance
rules to determine if there is a match. You can find out if there are any
compliance rules set up in GTM that impact your ability to transport
cargo. Compliance rules have a control category associated with them
which defines if the compliance rule is a license, a license exception,
or a sanction.

40
For a compliance rule screening, GTM uses the service preference to
determine how the compliance rule matching engine works. In the
Service Preference, select a Service of Compliance Rule Screening.
Then, click the i icon to the right of the Service Preference
Configuration field. GTM displays the Service Preference
Configuration: COMPLIANCE RULE SCREEN page as shown at the
bottom of the slide. You can specify a Compliance Rule Set Group ID
which is a grouping of Compliance Rule Sets. Compliance Rule Set
Groups tell GTM which Compliance Rules should be analyzed during
a compliance rule screening.

41
When you use the compliance rule screening service, you can query
using certain screening criteria. This criteria is the same whether you
are using the user interface or the stand-alone services. For
discussion purposes, the Compliance Rule Screening page in GTM is
shown on this slide. Since you will be sending in XML with your
screening details, you would not use this page when performing a
screening using stand-alone services. The compliance rule screening
user interface in GTM is shown on this slide. The screening criteria
includes:
• Compliance Rule Set Group ID
• Item Information
• Product Classification Type and Code Information
• Involved Parties
• Territory Information
• User-defined Code Information
• Rule Conditions

In this example, you are performing a query using a Compliance Rule

Set Group ID of TOI_RULE GROUP and a User-defined Commodity
ID of UDC2.

42
Once GTM processes your query, it sends a response back to the other system. The
response is the same whether you are using the user interface or the stand-alone
services. For discussion purposes, the Compliance Rule Matches results page in
GTM is shown on this slide. Since GTM will be responding to a separate system
using XML, you would not use this page when performing a screening using stand-
alone services. The compliance rule screening user interface in GTM is shown on
this slide. Only the fields populated in the compliance rule data will be populated in
the results returned to the other system including:
• Compliance Rule ID
• Control Category
• Control Type
• Control Code
If an exception to the compliance rule exists, the following fields are populated:
• Exception Rule ID
• Exception Control Type
• Exception Control Code

In this example, based on the search criteria you entered on the Compliance Rule
Screening page, GTM indicates that a license is required. The Control Type and
Control Code tell you more information about the license that is required. Since a
license exception does not exist, the Screening Results field displays a red ‘X’
indicating the screening failed due to a license requirement.

43
This slide shows an example of the XML that is used to send a
compliance rule screening request to GTM. Note that:
1. The RuleGroupGid element contains an Xid for the RuleGroupGid of
TOI_RULE GROUP. This relates to the Compliance Rule Set Group
previously discussed.
2. The UserDefinedCommodityGid element contains an Xid for the
UserDefinedCommodityGid of UDC2.

Similar to the GTM user interface discussed previously, you are

querying to see if there are any compliance rules that exist with a
User-defined Commodity ID of UDC2.

44
Based on the request you specify, GTM may return zero to many
results. The request discussed previously returned one control:
1. A RuleID of TOI_RULE.
2. A ControlType of EAR CONTROL.
3. A ControlCode of CC.
4. A ControlCategory of LICENSE.
5. The PassFail element indicates this query has failed due to an license which
exists.

45
46
For more information about Oracle Applications, Education, Support,
My Oracle Support, or Product documentation, please refer to these
links.

47
This slide includes GTM specific resources such as TOI and My
Oracle Support information.

48
49
50