How a Lack of Supply Chain Visibility Fuels Corruption Risk
Summary
TLDR在这段访谈中,Kroll的法证调查和情报实践部门的董事总经理Jordan Strauss讨论了供应链透明度不足如何加剧腐败风险。他指出,由于疫情和地缘政治风险,供应商背景的担忧达到了前所未有的高度。Strauss强调,组织需要进行风险调整的供应商审查,以确保供应链的完整性和弹性。他还建议组织关注地缘政治动态,培养供应链多样性,并考虑在岸化和战略资源收集作为长期解决方案。
Takeaways
- 📈 腐败和腐败风险在全球范围内呈上升趋势,特别是当前形势下。
- 🔍 行业对控制和缓解腐败风险的看法不一,对供应商背景的担忧比往年更高。
- 🌐 由于疫情影响,执法机构和政府在执行职责上面临挑战,增加了供应链中的风险。
- 🛑 一些公司因急需供应而转向假冒材料,这是一个短视且不可接受的行为。
- 🔢 报告发现46%的供应商、客户、代理人和分销商认为对第三方的缺乏可见性是贿赂和腐败的主要来源。
- 🏭 由于全球供应链的多层次性,确认供应链上游的来源变得越来越困难。
- 🌍 地缘政治风险和供应链挑战加剧了对产品来源和供应商可信度的担忧。
- 📊 腐败风险在高风险地理区域以及这些区域附近的地区尤为突出。
- 💼 全球经济衰退增加了人们通过腐败行为来赚钱的动机。
- 🏢 组织应进行风险调整的供应商审查,以确保供应链的完整性和弹性。
- 📚 组织应关注政策动态,以利用可能的税收激励或其他激励措施来鼓励供应链的本地化和战略资源收集。
Q & A
乔丹·斯特劳斯在Kroll的哪个部门担任管理职位?
-乔丹·斯特劳斯是Kroll公司法证调查和情报实践部门的董事总经理。
Kroll最近发布的全球欺诈和风险报告的主要发现是什么?
-报告发现腐败和腐败风险正在上升,特别是供应商背景的担忧,无论是腐败、假冒伪劣商品还是原产国风险,都比以往更高。
在疫情期间,执法机构和政府面临的挑战是什么?
-疫情期间,执法机构和政府面临的挑战包括难以外出执行职责,这导致了对供应链的监管和控制难度增加。
为什么一些公司在供应链中转向使用假冒材料?
-由于对供应的迫切需求,一些公司为了维持产品流通,采取了短视的行动转向使用假冒材料,尽管这是不可接受的。
报告中提到的46%的供应商、客户、代理人和分销商关注的是什么问题?
-报告指出46%的供应商、客户、代理人和分销商关注的是对第三方缺乏可见性,这是导致贿赂和腐败的主要源头。
为什么供应链的多级性质使得验证供应链的完整性变得更加困难?
-由于全球供应链的多级性质,要验证供应链的完整性,尤其是超越一级供应商的可见性,变得越来越困难。
为什么说供应链的完整性和道德标准对组织来说越来越重要?
-供应链的完整性和道德标准对组织来说越来越重要,因为消费者和最终用户期望他们的供应商能够反映出组织的价值观,并且符合道德标准。
腐败是一个涵盖广泛的术语,报告中提到的腐败的主要类型有哪些?
-报告中提到的腐败类型包括与产品本身相关的腐败,以及与商业行为如贿赂等相关的腐败。
在全球经济衰退的背景下,为什么腐败活动的风险会增加?
-在全球经济衰退的背景下,由于生存压力增大,人们更有可能通过腐败和其他非法手段来赚钱,以支持自己和家人。
组织如何维护适当的数据治理并防范供应链风险?
-组织可以通过风险调整的供应商审查、关注地缘政治动态、确保供应链的多样性以及考虑在岸化和战略资源收集等措施来维护数据治理并防范供应链风险。
为什么面对面接触在反腐败工作中仍然重要?
-尽管技术发展迅速,但面对面接触在反腐败工作中仍然重要,因为它有助于更直接地了解情况,实施监控和控制机制。
报告提到的风险管理如何成为供应链管理的良好商业实践?
-风险管理成为供应链管理的良好商业实践,因为它帮助组织确保供应链的弹性和完整性,同时避免涉及不道德的行为,如腐败。
Outlines
📈 供应链透明度缺失与腐败风险上升
在与Jordan Strauss的对话中,讨论了供应链透明度不足如何增加腐败风险。Jordan是Kroll公司法证调查和情报实践的董事总经理。他们讨论了Kroll最近发布的全球欺诈和风险报告,指出腐败和腐败风险正在上升,特别是对供应商背景的担忧,包括腐败、假冒商品或原产国风险的关注度异常高。由于疫情导致的执法挑战,以及地缘政治风险和供应链问题,人们对产品来源和发送者的信任度表示出了前所未有的关注。报告发现,46%的供应商、客户、代理人和分销商认为对第三方的缺乏可见性是贿赂和腐败的主要来源。此外,Jordan强调了多层次全球供应链的可见性难以实现,以及需要实地调查和材料测试来确认供应链的完整性。
🌐 地缘政治风险与供应链腐败
讨论了在高风险地理区域进行交易的传统风险,以及近12至18个月来发生的变化。传统上,存在法治和监管挑战的地区,如需要支付海关人员以释放货物或贿赂政府以获得资源开采权的地方,总是存在风险。邻近这些高风险地区的地方也存在风险,因为非法货物需要转运到最近的港口或边境。然而,由于半导体和医疗行业的供应链变得紧张,关键商品的价格和腐败活动的诱惑力上升,加上全球经济衰退,人们寻找其他赚钱方式的动机增加,这增加了腐败和其他不正当行为的风险。此外,由于大多数白领员工在家工作,正常的监控和控制机制变得更加困难,这使得监管变得更加困难。
🛠️ 组织如何维护适当的数据治理
讨论了组织如何在当前环境下维护适当的数据治理。提出了一些快速的建议,包括进行风险调整的供应商审查,根据风险因素的变化调整审查的深度和信息的深度。建议组织了解其风险驱动因素的变化,以及地缘政治情况,并考虑是否有良好的供应链多样性。如果缺乏多样性,腐败的风险增加,需要增加审查的注意力,并培养更多样化的供应基础。对于资金充足的客户,长期考虑在岸化和战略性资源收集的可能性,以及通过金融工具确保实际货物的获取和存储。此外,建议组织与政策团队、法律团队或调查团队保持联系,了解即将到来的政策变化,并参与对话,以避免在政治和竞争上处于不利地位。
Mindmap
Keywords
💡供应链透明度
💡腐败风险
💡尽职调查
💡假冒材料
💡地缘政治风险
💡供应链多元化
💡合规性
💡数据治理
💡战略资源
💡政策激励
Highlights
供应链的可见性不足加剧了腐败风险
Kroll 发布的全球欺诈和风险报告指出,腐败和腐败风险呈上升趋势
行业对控制和缓解腐败风险的看法存在分歧
供应商背景的担忧比往年更高,包括腐败、假冒伪劣商品或原产国风险
执法机构和政府在疫情期间执行任务面临挑战
地缘政治风险和供应链挑战导致对商品来源的担忧达到历史最高点
一些公司因急需供应而转向假冒材料,尽管这是不可接受的
报告发现46%的供应商、客户、代理和分销商认为第三方的可见性不足是贿赂和腐败的主要来源
获取关键商品的访问权限可能导致难以验证是否参与非法供应链
全球供应链的多级性质使得超越一级供应商的可见性难以实现
组织希望确保其供应链不仅具有韧性,而且具有诚信,并反映组织的价值观
确认供应链深层来源的难度越来越大
客户要求实地调查和材料测试以确认来源
全球劳动力和消费者对供应链道德越来越敏感
腐败是一个涵盖许多事物的广泛术语,包括产品本身和商业行为如贿赂
处理高风险地理区域的交易始终存在挑战
与高风险地区邻近的地方因非法商品流动而存在更高的风险
半导体和医疗行业等关键商品的供应路线变得紧张,腐败活动的风险和回报增加
全球经济衰退增加了人们尝试通过腐败等方式赚钱的动机
在家工作的白领员工的正常监控和控制机制变得更加困难
组织应如何维护适当的数据治理并采取风险调整的供应商审查
审查的深度和信息的深度应根据风险进行调整
需要对风险驱动因素的变化保持警觉,并可能需要增加供应商审查和尽职调查的级别
了解地缘政治情况,供应商和提供商是否具有良好的供应链多样性
长期来看,本地化和战略性资源收集是否可能,以及是否有超越金融工具的方法来确保商品的获取和存储
华盛顿可能会增加活动,通过税收激励或其他激励措施鼓励美国企业本地化
与政策制定者、法律团队或调查团队保持联系,了解即将到来的政策变化
Transcripts
[Music]
how a lack of supply chain visibility
fuels corruption risk my guest is jordan
strauss he is managing director in the
forensic investigations and intelligence
practice of kroll hello jordan hi how
are you today i am excellent thank you
so much for joining me to talk about
this critical issue now kroll recently
issued a new global fraud and risk
report what's the big takeaway that you
came away with on that on this uh
version of the report well there are a
few so you know corruption and
corruption risk as as ever but
especially now are on the rise uh
there's a mixed view in industry about
how well controlled and well-mitigated
some of those risks are and
you know something that's relatively new
for this year is that the concern about
the background of suppliers
either from a corruption or counterfeit
or just bad goods or country of origin
risk is much higher than usual and and
that wouldn't be
a surprise given that
you know enforcers
uh and governments are are made of
people too and those enforcement
authorities and governments you know
they've been having challenges getting
out and doing their jobs just like the
rest of us during the pandemic but now
given sort of the confluence of
geopolitical risks the various supply
chain challenges that have arisen in the
last year and a half whether by din of
covet or other you know that your
audience is extremely familiar with
there there's kind of an all-time high
of concern about where stuff is coming
from and whether the the people who are
sending the stuff particularly since the
precursor materials
alloys anything energy um are are
trustworthy
indeed we hear about some companies that
are so desperate for supply that income
cases are even turning to counterfeit
materials uh you know in a very
short-sighted move to keep product
flowing which of course is unacceptable
to to all parties uh now get me uh
correct me if i'm wrong but i believe
that your report finds that 46 of
suppliers customers agents and
distributors cited a lack of visibility
over third parties as the leading source
of bribery and corruption is that
correct yeah that's right and we think
that that arises from a number of
sources so one a number of problems one
is very legitimate which is when you've
got access to critical goods especially
right now and you know whether in the
united states or around the world you
don't really want to give up your
ultimate downstream supplier because it
could put you at a tremendous
competitive disadvantage but of course
the outcome of that is that it's harder
and harder to verify
that
you're not participating whether as a
consumer or
a as a manufacturer
or as just a reseller supplier in
illicit supply chains in you know the
manufacturer or distribution of stolen
goods or goods that were prepared in
violation of of labor laws or prepared
immorally
and indeed this becomes all the harder
because of the multi-tier
nature of global supply chains the
visibility up past tier one must be
really hard to achieve these days is
that what your report is showing you
yeah that's true and you know it's it's
in our experience and obviously we work
with a lot of organizations that want to
make sure that their supply chain not
just
is um is as resilient as possible in
these times but that also
it has integrity and it reflects the
values
not just of the organization but that uh
consumers and end users of product uh
now expect
uh expect their suppliers to have and i
will tell you you know having
led a number of these investigations and
having colleagues who read tons of them
it does get harder and harder to
confirm sources the deeper into a supply
chain you go and you know we find that
you can do a lot with desk side research
but at some point you really do need to
put people in the field need to do
certain kinds of for example materials
testing uh and source inquiries and
increasingly we're seeing clients asking
us to do that again not just because
they're worried about their business and
their supply chain resilience but also
because they don't want to be involved
with um with anything nefarious and
again not just because of the extreme
criminal civil or reputational risks
there you know
i would say thankfully uh you know the
global workforce and the global consumer
base and the business consumer base is
becoming much more sensitized to
uh uh to to to supply chain ethics now
the word corruption is such a broad term
and incorporates so many things and you
have just cited a number of them part
some of them relating to the product
itself some of them relating to business
practices such as bribery where are the
biggest uh risks today i mean is it
possible to say that in any of the area
anything that falls under the term
corruption some are more dangerous and
susceptible now than they have been or
is it just one big thing that we have to
be looking out for
uh so that's a great question i think
that
let me talk first about what the the
normal answer to that would be and then
what our findings and our anecdotal
experience has been about the changes
over the last 12 to 18 months right
so normally
uh
dealing in high-risk geographies which
is to say
uh uh parts of the world where there's a
repeated demonstrated
challenge with things like rule of law
and oversight where the the cultural
expectation might be that you need to
pay off for example a customs agent to
release goods or
uh that a government might need to be
bought off in order to
be granted access to you know certain
kinds of uh say mineral exploitation
things like that right those have always
been concerns uh
next to that are places that are next to
places like that because if you're
uh in a sanctioned environment and
you're trying to move
goods unlawfully um you know be they
conflict diamonds the products of you
know child or or slave labor
or uh
or or you know the product of some other
environmental problem right uh you need
to move lots of stuff and you want to
try to move lots of stuff to whatever
the closest port or border is so
uh you know you'd have a heightened
level of concern about dealing with
geographies that are in close proximity
to to those geographies so that's that's
always been the case right what has
changed is that uh supply routes have
become so pinched and items have become
uh so highly critical particularly
um in like the semiconductor industry in
the medical industry you know anything
anything to do with chips right
that the uh uh uh prices have gone up
and the rewards for corrupt activity
have gone up right so uh
you know that's come at a at the same
time that there's been a global economic
depression or recession i don't mean
that it's a political statement i just
you know different economy reality yeah
different people you have weathered this
the last 18 months differently so
there's much more incentive uh to try to
find other ways to make money for people
to support themselves and their families
and that's going to include things like
corruption and and you know bribe giving
bribe demanding kickback giving kickback
demanding uh and then finally uh with
most of the world's white-collar
workforce you know at least working
temporarily at home normal surveillance
and controls mechanisms are harder
you know it's harder to know what your
people are up to
and uh enforcement which and i say this
is somebody who worked in doj and in
enforcement for a good amount of time
it's just much harder because people
have not been able to travel
and you know finally folks have gotten
sick and that includes government
counterparts who you might normally deal
with if you're in an enforcement
environment so you add all those
ingredients together
and it really just skyrockets all of the
other risks and that's reflected in you
know what the first of our two volume
global fraud risk and uh risk review uh
is identifying this year yeah
distressing to kind of hear you saying
all of the above in terms of the types
of corruption
facing today and also ironic that in the
age of the glories of technology and
zoom and whatever
face to face uh contact is still
important
against the backdrop of what we're going
through today though how can
organizations maintain proper data
governance give me a few quick tips in
the very short time that we have
available it's it's it's a great
question so uh you know if you think
about sort of the act of diligence there
are two reasons to do it right uh number
one because you have tuned because you
should right so sort of a check the box
uh and number two because it's a good
practice because it's the moral thing to
do and because if you really care about
your business succeeding and also i
would say succeeding and not you know
harming or contributing to
things like the collapse of governments
the collapse of rule of law due to
corruption right you wanna you want to
have these these files so uh you know so
what do you want to do a little bit
differently well most of our clients do
some
version of risk adjusted vendor vetting
right so the depth of research and the
depth of information this is everything
from self-certification to
uh hiring a firm like kroll to do desk
side research to hiring a firm like
kroll to actually go and investigate and
do source inquiries and you know
other confirmatory activities right
because the expense and the time
associated with doing those different
levels of diligence uh varies greatly
you do it in a risk-adjusted way so i'd
say the first thing would be
look at your uh at your risk drivers and
see if they've changed right as the
price and availability of certain kinds
of commodities has has changed so
drastically during
uh
during the the pandemic
do you need to be applying
a higher risk level of vendor vetting
and diligence to an organization that
you might traditionally not need that
right um number two do you have a close
sense of what what's going on
geopolitically um i'm not going to name
you know the countries that are uh
involved in escalating trade
activity uh or trade restrictions but i
i think we all know who they are right
do you have good diversity and do your
suppliers do your providers have good
supply chain diversity if no the risk of
corruption goes up and you need to not
just again increase the the amount of
attention you're giving to vetting um
but also you need to cultivate uh a more
diverse uh supply pace and then finally
i'd say you know longer term and this is
especially the case for
well-funded or clients that are able to
think a couple of years in advance uh is
onshoring and strategic
collection of resources a possibility uh
and are there ways beyond mere financial
instruments like options of securing not
just the uh the price that you pay but
the actual goods and storing them and
that's really becoming increasingly
important i think well i know you're
going to see increased activity from
washington probably in the form of tax
incentives or other incentives to
encourage at least american businesses
to do that so you know are you are you
in touch with your policy shop does your
legal team or your you know your
investigative team do they have a good
sense of what's coming are you
participating in that dialogue and by
the way if not are you at a serious
political uh and competitive
disadvantage for not doing so and i'd
say that for many industries right now
the answer that is yes so those are i
think are my big three right now those
are some good ones it's really
interesting how risk management has
become just good business practice for
supply chain management i mean it's it's
the foremost in everyone's minds these
days and what you just told me in the
last few minutes just it seems to me to
be governing the way to
the way one should be dealing with
global supply chains today so that's
that's some great advice jordan strauss
of kroll thank you so much for joining
me today to kind of outline some of the
big concerns and some possible solutions
thank you very much for being with me
today real pleasure thanks so much
you
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