How a Lack of Supply Chain Visibility Fuels Corruption Risk

Summary

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

00:00

📈 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。

05:01

🌐 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。

10:02

🛠️ 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。

Keywords

💡供应链透明度

供应链透明度指的是企业能够清晰地了解和管理其供应链中各环节的能力。在视频中，供应链透明度的缺失被认为是增加腐败风险的一个因素，因为当企业无法追踪其供应商的背景时，它们可能无意中参与到非法供应链中，比如使用假冒材料或违反劳动法的产品。

💡腐败风险

腐败风险涉及到企业在运营过程中可能遇到的非法、不道德或不透明的商业行为的风险。视频中提到，由于当前全球形势的复杂性，包括疫情和地缘政治风险，腐败风险正在上升，企业对供应商背景的担忧也比以往任何时候都要高。

💡尽职调查

尽职调查是指企业在与第三方建立业务关系前，对其进行的一系列调查和评估活动，以确保合规性和风险最小化。视频中提到，46%的供应商、客户、代理人和分销商指出，对第三方的缺乏了解是导致贿赂和腐败的主要源头。

💡假冒材料

假冒材料指的是那些非法制造或未经授权的产品，它们可能质量低劣或存在安全隐患。视频中提到，一些公司因迫切需要供应而转向使用假冒材料，这是一种短视行为，因为它不仅违法，还可能损害所有相关方的利益。

💡地缘政治风险

地缘政治风险涉及政治因素对企业运营可能产生的影响，如贸易限制、制裁或政治不稳定等。视频中提到，由于地缘政治风险的增加，供应链挑战也随之增加，这导致企业对供应链的来源和信任度更加担忧。

💡供应链多元化

供应链多元化是指企业拥有多个供应商和供应来源，以减少对单一供应商的依赖并增强供应链的韧性。视频中建议，企业应评估其供应链的多元化程度，以降低腐败风险，并在必要时增加对供应商的审查和尽职调查。

💡合规性

合规性是指企业遵守相关法律法规和行业标准的程度。视频中强调，企业不仅要确保其供应链的韧性，还要确保其合规性和诚信，以反映组织的价值观和消费者的期望。

💡数据治理

数据治理涉及企业如何管理、保护和使用数据的策略和实践。视频中提到，在当前的环境下，组织如何维护适当的数据治理是一个重要问题，这涉及到风险调整的供应商审查和尽职调查。

💡战略资源

战略资源是指对企业运营至关重要的资源，如关键原材料或技术。视频中讨论了企业如何通过内部化生产（onshoring）和战略性地收集这些资源来增强供应链的韧性和减少腐败风险。

💡政策激励

政策激励是指政府为了鼓励某些行为或实践而提供的奖励或激励措施，如税收优惠等。视频中提到，企业应该关注政策动态，利用政策激励来优化其供应链管理，减少腐败风险。

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