从地缘政治风险，到环境、社会、治理（ESG）考量，再到技术革命与数字化转型，中国企业的供应链正面对愈发多元的挑战，律师也在助力企业供应链合规中扮演日益重要的角色。
2024年底，比亚迪在巴西的一家电动车工厂因劳工待遇事件被临时关闭，中国企业的全球供应链合规问题再度受到关注。事实上，后疫情时代，全球政局风云变幻，ESG大旗被不断举起，中国企业的供应链开始遭遇重重挑战。2023年底，中国启动举办年度性的“国际供应链促进博览会”，希望在重点产业，协助企业搭建更具韧性的供应链体系。
虽然挑战十分多元，但企业如今也有更多科技工具，用以展开供应链管理及风险防范。此外，中国律师在协助企业应对供应链危机、展开供应链合规方面也积累起更丰富的经验。
外部挑战加剧
中国的经济体量，意味着其在世界供应链中扮演着举足轻重的角色，中国企业既是全球其他企业的供应商，也是采购者，但过去两年复杂的国际局势、各国对法律工具的频繁运用，给供应链正常运转带来了极大压力。
通商律师事务所合伙人郭小明律师重点服务于半导体、高端制造、生物科技等产业的供应链合规问题，他告诉ALB，目前中国企业面临的供应链挑战主要来自两方面。
“首先，企业在维持自身供应链稳定上遭受挑战。由于一系列经济制裁与出口管制措施，部分中国企业在技术、生产原材料、基础设施设备等方面的供应受阻。”郭律师说。
他举例道，“在技术供应环节，一些先进的芯片制程技术及相关设计软件、工业自动化控制技术、生物医药研发技术等受到封锁，中游制造产能因此受限；生产原材料供应环节，半导体产业需要的高纯度硅片、稀有金属材料，生物医药产业需要的原料药、药用辅料，机械制造产业需要的高性能合金等的获取受限，导致部分企业原材料短缺”。
“基础设施和科研设备供应环节也存在风险，例如美国对光刻机、刻蚀机等芯片制造高端设备的出口管制，对流式细胞仪、质谱仪等的出口禁令，阻碍企业科研创新和产品制造。这些方面都对企业供应链稳定造成重大压力。”
此外，供应链问题还会导致中国企业出海受阻，难以进入海外市场。
郭律师举了个典型的例子：在机械制造产业，美国的《购买美国货法案》（Buy American Act）对联邦政府采购项目中使用的机械产品提出了严格的“美国制造”要求。“这意味着中国机械制造企业若想参与美国联邦政府采购项目，其产品从原材料采购、零部件制造到最终组装，都需满足该法案规定的‘美国成分’比例标准”。
“类似的法律法规和行业标准还有很多，它们从技术、成分、质量、安全等多个供应链因素角度对中国企业出海构成障碍。”郭律师坦言。
过去两年，尤其在制裁与出口管制领域，郭律师和团队协助多家中国企业处理了相关危机，例如协助中国某知名消费品制造企业从美国财政部SDN制裁清单移除，以及协助被美国国土安全部边境和海关管理局扣留的商品核验后放行等。过程中，他特别观察到中国企业目前在应对供应链危机时的不足。
“企业对制裁和出口管制法规政策跟进往往不及时，并且不能将要求传递至业务部门。”郭律师说，“各国会不定期更新制裁主体、扩大制裁物项、更新制裁措施，公司法务需在外部顾问的配合下紧盯动态，并将最新规则及时传递给经营管理层以及前段业务同事。”
其次，郭律师发现，“一旦外国对关键零部件、关键技术出口进行封锁，中国企业往往难以在短期内获得成熟的国产替代方案”。在这种情况下，律师往往要参与到新供应商的寻找之中，协助“判断替代供应商是否达到了公司所需的技术标准，能否确保避免知识产权风险、提供稳定供应、具备良好的信誉和履约能力等，帮助企业快速解决供应链问题”。
内部压力兼具
国际挑战加剧之外，在中国国内，企业面临的供应链压力也愈发多元。
刘华英律师是国枫律师事务所合伙人、合规业务组牵头召集人，在过去三年中重点为医药、半导体产业提供供应链合规服务。他介绍道，针对医药产业，“2023年以来行业掀起了全领域、全链条、全覆盖的反腐风暴，不仅要求医药企业在业务的各个环节对贿赂及腐败风险及时进行识别、评估与控制，还需对供应商、经销商等的关联行为进行有效监督与管理”。
2025年1月，市场监督管理总局发布《医药企业防范商业贿赂风险合规指引》，“进一步要求医药企业从准入选聘、合同签订、合规承诺、履约审核、违约处置及合规评价环节对供应链进行全流程有效管理”，刘律师说。
而在半导体产业，除了常规的供应链管理问题，刘律师和团队特别注重知识产权、商业秘密保护与信息网络安全问题导致的供应链风险，例如“在委托、合作开发场景下未明确知识产权归属导致的后续争议；采购过程中未进行充分尽调，导致供应商产品可能包含侵犯他人知识产权的风险；以及在供应链各环节未采取有效措施，导致商业秘密泄露”等。
除此之外，近年ESG引发的供应链危机正变得更加显现、频繁，刘律师也协助客户处理了若干代表性事件。
“在环境领域，我曾为某高新技术企业提供服务，该企业约定由第三方企业根据环保规范进行固体废物的安全处置和回收再利用，然而第三方公司将含有甲苯和丁酮成分残留的空桶转卖给了无资质的废品站，造成环境污染。”了解情况后，刘律师发现根源在于客户企业没有及时关注一般固体废物与危险废物的最新分类，而企业日常很重视ESG管理，还得到了若干ISO认证。“我们就此与案件承办机关开展沟通，成功化解了刑事风险。”
而在治理领域，某头部外资汽车企业合规服务项目让刘律师印象深刻。“由于子公司员工向客户行贿，导致公司被牵连而承担贿赂刑事风险。我们对公司供应链进行全面溯源后，发现其供应链管理问题由来已久，为内部人员贿赂创造了灰色空间。”值得注意的是，这家企业实际在制度与管理规范上已相当完备，但在运行中却流于形式。“伴随企业规模与布局扩大，企业需要注重将治理有效性延伸到供应链的各个端点。”刘律师提醒道。
刘律师留意到，虽然ESG法律服务已有所发展，且ESG合规在国际上已成为普遍要求，但“整体上，目前国内企业对于ESG合规的重要性认知仍不足……企业仅将ESG合规作为应对监管机构的任务，直到风险实际发生后才回过头补救。这使得律师在为企业预防ESG合规风险时往往会遭遇阻力，难以真正与企业达成理念上的一致”。
善用工具、保持关切
两位受访律师都表示，在协助企业处理合规专项以外，他们近年也曾系统性地帮助企业梳理供应链合规情况，“我们团队会针对原材料采购、生产、销售和物流环节进行全面审查，识别风险，提供合规策略”，郭小明律师说。
刘华英律师则指出，合规尽职调查是此类系统性工作的核心环节，而调查不仅要针对外部，也要“聚焦内部，例如需要明确各个业务、职能部门的职责、分工；审查实际的工作流程、业务衔接与部门配合等情况，最终以此为基础识别并评估各个环节的合规风险，并为企业提供针对性的风险管理与应对方案”。
两位律师同时指出，虽然供应链管理、合规工作看似繁琐，但目前已有不少技术工具能够帮助企业减轻工作量，“例如道琼斯制裁筛查库或中兴通讯的ECSS合规系统，都能够有效帮助企业提升合规效率，降低风险发生的可能性”，郭律师介绍道。
“现在通过云计算平台，企业可以高效整合供应链上下游的数据资源；而物联网技术可以实现供应链中的货物、设备乃至整个物流过程的可追踪、可监控，提高供应链的透明度和响应速度；最后，AI在供应链管理中的应用也十分广泛，包括需求预测、库存管理、运输路线优化等，可以辅助企业做出更加精准的决策。”刘律师补充道。
“对于律师而言，相关工具能够帮助我们及时、准确获取企业供应链运行中的信息，分析其中的数据并发现潜在的合规风险和问题，以制定更有效的应对与控制措施，提供更精准建议。”她说。
2025年1月，世界正式迈入“特朗普2.0时代”，新一年的国际局势或许面对着更多的不确定性。刘律师认为，中美竞争态势可能会更加激烈，“以中国为代表的发展中国家的产业结构升级，将会对欧美等传统制造强国的优势地位继续产生冲击；逆全球化思潮与区域冲突等因素引发的制裁和出口管制会更多，全球化下的分工管理面临更大挑战”。
“另一方面，在全球变暖趋势以及中国国内碳中和目标背景下，加上当前国际形势下的以人权为由的制裁日益增多，企业的供应链ESG管理面临新挑战，企业针对ESG管理将负有更高的治理、监管与披露义务。”她预测道。
对于中国企业下一阶段将面临的供应链风险，郭律师也有着类似预测，他为企业提供了若干建议，防患于未然。
“第一，建议企业优化供应链结构网络，采取多元化采购和区域化采购，在多个地区建立生产基地；第二，建立风险识别、评估与应急响应机制，优化库存管理，保障企业供应链物项储备充足。”
“第三，加强数字化建设和技术创新，加大对供应链相关技术研发投入，利用数字化工具实时监测、预测供应链风险；第四，注重可持续发展，将环保、劳工权益等理念持续融入供应链。”郭律师说。
Securing resilience
From geopolitical risks to environmental, social, and governance (ESG) considerations, and the ongoing wave of technological innovation and digital transformation, Chinese companies are navigating increasingly complex supply chain challenges. And lawyers are playing an increasingly pivotal role in ensuring compliance throughout these global networks.
In late 2024, BYD's electric vehicle factory in Brazil faced a temporary shutdown due to labour treatment issues, once again drawing attention to global supply chain compliance for Chinese enterprises. Indeed, in the post-pandemic era, the shifting global political landscape and rising emphasis on ESG standards have created mounting obstacles for China’s supply chains. By the end of 2023, China had launched its annual International Supply Chain Expo, aiming to help key industries build more resilient supply chain systems.
While these challenges are diverse, companies now have access to a wider range of technological tools to enhance supply chain management and risk mitigation. Additionally, Chinese legal professionals have accumulated deeper expertise in helping businesses navigate supply chain crises and ensure compliance on the global stage.
Mounting external pressures
The scale of China's economy positions it as a critical player in global supply chains, serving as both supplier and purchaser. However, over the past two years, a complex international landscape and frequent use of legal tools by various countries have placed significant strain on the smooth operation of these supply chains.
Guo Xiaoming, a partner at Commerce & Finance Law Offices specializing in supply chain compliance for industries like semiconductors, advanced manufacturing, and biotech, highlights two primary challenges faced by Chinese companies.
"First, maintaining supply chain stability has become increasingly difficult. Economic sanctions and export controls have disrupted the supply of technology, raw materials, and infrastructure equipment for certain Chinese companies," Guo explains.
For example, advanced chip manufacturing technologies, design software, industrial automation control systems, and biopharmaceutical research tools have been restricted, limiting midstream manufacturing capabilities. On the raw materials side, key inputs such as high-purity silicon wafers and rare metals for semiconductors, active pharmaceutical ingredients and excipients for biopharma, and high-performance alloys for machinery are also in short supply.
"Even infrastructure and research equipment face export controls," Guo continues, citing U.S. restrictions on high-end semiconductor equipment like lithography and etching machines, as well as bans on scientific instruments such as flow cytometers and mass spectrometers. "These restrictions significantly pressure supply chain stability, hindering both innovation and production."
Beyond these issues, supply chain challenges have also impeded Chinese companies’ efforts to expand into international markets.
Guo points to the Buy American Act as an example. This U.S. legislation imposes strict "Made in America" requirements for machinery products used in federal government procurement. "For Chinese machinery manufacturers to participate in these projects, their products—from raw material procurement to component manufacturing and final assembly—must meet the act's domestic content thresholds," he explains.
"Similar laws and industry standards abound," Guo notes, "posing obstacles for Chinese companies entering overseas markets across dimensions like technology, composition, quality, and safety."
In the past two years, particularly in sanctions and export controls, Guo and his team have helped numerous Chinese companies navigate related crises. For instance, they successfully assisted a well-known Chinese consumer goods manufacturer in being removed from the U.S. Department of the Treasury’s SDN sanctions list and helped goods detained by U.S. Customs and Border Protection gain clearance after verification.
Through these cases, Guo identifies notable shortcomings in how Chinese companies currently address supply chain crises.
"Many companies struggle to stay updated on evolving sanctions and export controls or to effectively communicate compliance requirements across teams," Guo notes. "In-house teams must closely monitor changes and ensure timely updates reach management and frontline staff."
Guo also highlights that export restrictions on key components often leave Chinese firms without immediate domestic alternatives. "Lawyers play a critical role in sourcing new suppliers, assessing technical standards, mitigating IP risks, and ensuring reliability to address supply chain disruptions efficiently," he says.
Internal pressures persist
Beyond international challenges, Chinese companies are facing increasingly diverse supply chain pressures domestically.
Liu Huaying, a partner at Grandway Law Offices and head of its compliance practice group, has focused on supply chain compliance in the pharmaceutical and semiconductor industries over the past three years. In the pharmaceutical sector, Liu notes that since 2023, a sweeping anti-corruption campaign has demanded companies not only identify, assess, and control bribery and corruption risks at every business stage but also supervise the conduct of suppliers and distributors.
In January 2025, China’s State Administration for Market Regulation issued the Guidelines for Preventing Commercial Bribery Risks in Pharmaceutical Enterprises, requiring end-to-end supply chain management, from supplier selection and contract signing to compliance assessments and breach handling, Liu adds.
In the semiconductor sector, Liu emphasizes risks tied to IP, trade secrets, and cybersecurity. For instance, disputes often arise from unclear IP ownership in joint development agreements, inadequate due diligence exposing companies to suppliers with infringing products, or ineffective measures leading to trade secret leaks.
ESG-related supply chain crises are also becoming more frequent, Liu notes. In one case, a high-tech firm contracted a third party for environmentally compliant waste disposal, but the contractor resold hazardous waste containers, causing environmental pollution. Despite the firm’s strong ESG practices and ISO certifications, its failure to track updated waste classifications led to the issue. Liu’s team thus mitigated the criminal risks by working with authorities.
In another instance, an international automaker faced bribery charges after employees at a subsidiary bribed clients. A thorough supply chain audit revealed long-standing management gaps that facilitated such misconduct. "Although the company had comprehensive policies in place, these were poorly enforced, creating vulnerabilities as the business expanded," Liu explains, stressing the need for governance to extend across the entire supply chain.
While ESG compliance is gaining traction, Liu observes that domestic companies often lack awareness of its importance. "Many see ESG compliance as merely a regulatory task, responding only after risks materialize. This reactive approach often makes it difficult for lawyers to align with companies on proactive risk prevention," Liu admits.
Leveraging tools and staying vigilant
Both lawyers emphasize that, beyond handling specific compliance cases, they have increasingly helped companies systematically review supply chain compliance. "Our team conducts comprehensive inspections of procurement, production, sales, and logistics to identify risks and provide compliance strategies," says Guo Xiaoming.
Liu Huaying highlights that due diligence is the cornerstone of such efforts, focusing on both external and internal factors. "Internally, it’s essential to clarify departmental roles, examine workflows, and evaluate collaboration between teams. This forms the basis for identifying compliance risks and crafting tailored risk management solutions," Liu explains.
Lawyers also stress that while supply chain management and compliance may seem tedious, technological tools can significantly reduce the burden. "For instance, Dow Jones sanctions screening tools or ZTE's ECSS compliance system can enhance efficiency and lower risk," Guo notes.
Liu adds, "Cloud computing platforms allow companies to integrate upstream and downstream supply chain data efficiently, while IoT technology makes it possible to monitor goods, equipment, and logistics in real time, increasing transparency and responsiveness. AI further supports demand forecasting, inventory management, and transportation optimization, enabling more precise decision-making."
For legal professionals, these tools are invaluable for accessing real-time data, analyzing risks, and developing effective strategies. "They help us provide companies with more accurate, actionable advice," says Liu.
As the world enters the "Trump 2.0 era" in January 2025, global uncertainties are expected to intensify. Liu predicts heightened U.S.-China competition, with China's industrial upgrading challenging traditional manufacturing powerhouses in the West. "Rising de-globalization, sanctions, and export controls stemming from regional conflicts will further strain global supply chain coordination."
She also flags ESG as an escalating challenge. "Amid global warming and China’s carbon neutrality goals, coupled with increasing sanctions tied to human rights, companies face greater governance, oversight, and disclosure obligations in supply chain ESG management."
Guo stresses the need for proactive strategies to strengthen supply chains. He recommends diversifying sourcing, regionalizing production with multiple bases to reduce dependency, and building effective risk management systems while optimizing inventory reserves.
He also underscores the importance of digitalization, urging companies to invest in R&D and use digital tools to monitor and predict risks. Sustainability should also be integrated into supply chain practices, prioritizing environmental protection and labour rights. These steps, Guo concludes, can help businesses navigate challenges and build resilience.
