2022年关于出口管制合规的管理层承诺声明
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2022年中兴通讯关于出口管制合规的管理层承诺声明

DATE:         15 September 2022

日期:        2022年9月15日

TO:             Directors, Officers, Employees, and Contract Employees

致:           全体董事、管理人员、员工和合同工

FROM:       Li Zixue, Chairman of ZTE Corporation

                 Xu Ziyang, President of ZTE Corporation

自:         李自学,中兴通讯股份有限公司董事长

                徐子阳,中兴通讯股份有限公司总裁

SUBJECT:     2022 Export Control Compliance Management Commitment Statement

主题:         2022年关于出口管制合规的管理层承诺声明

ZTE Corporation and its majority owned or controlled subsidiaries and affiliates (collectively, "ZTE") are fully committed to compliance with all applicable export control and economic sanctions laws and regulations. ZTE has committed and will continue to commit substantial resources to ensure compliance with applicable export control and economic sanctions laws and regulations around the world. Throughout this past year, ZTE has continued to expand its Export Compliance Program, including initiating new projects to implement enhanced compliance measures and providing additional internal and external training programs. 
中兴通讯股份有限公司及其控股或控制子公司和附属机构(统称“中兴通讯”)完全致力于遵守所有可适用的出口管制和经济制裁法律法规。中兴通讯已经并将继续投入大量资源,确保在全球范围内遵守可适用的出口管制和经济制裁法律法规。在过去的一年里,中兴通讯持续深化其出口合规项目,包括设立旨在执行提升举措的新项目以及额外的内外部培训项目。

The Export Compliance Committee— which is the chief organization for ZTE's export compliance management—and all ZTE management fully support ZTE's ongoing goal to have a world-class Export Compliance Program based on industry best practices. This past year, ZTE made significant advancements in export compliance and will continue to build on that progress to further enhance its Export Compliance Program. It is the responsibility of every individual to fully support this effort.  
中兴通讯出口合规管理的主要组织——出口合规委员会,以及中兴通讯全体管理层将全力支持中兴通讯的持续性目标,即基于行业最佳实践,打造世界一流的出口合规项目。过去的一年,中兴通讯在出口合规方面取得重大进展,并将继续在此基础上使得出口合规项目更上一层楼。每一位员工都有责任为此项工作提供全力支持。

ZTE's Export Compliance Program will continue to be subject to audits, monitoring and assessments (including regular announced and unannounced site visits), by the Special Compliance Coordinator ("SCC"), appointed by the U.S. Department of Commerce, Bureau of Industry and Security[ The term of the Monitor, James M. Stanton, ended as scheduled on March 22, 2022 (U.S. time).]. Any failure to fully comply with ZTE's Export Control Compliance Policy and Management Commitment Statements regarding cooperation and honesty with the Export Control Compliance Department (“ECC”) or the SCC will result in significant discipline up to and including termination.
中兴通讯的出口合规项目将继续接受由美国商务部工业安全局任命的特别合规协调员(“SCC”)的审计、监督和评估(包括定期进行事先告知或不予事先告知的现场访问)[ 监察官(“Monitor”)James M. Stanton的任期已于原定的2022年3月22日(美国时间)届满结束。]。任何未能遵守中兴通讯的《出口管制合规政策》和《管理层承诺声明》中有关于与出口管制合规部(“ECC”)、SCC诚信合作要求的行为,将导致严重的纪律处分,最高可至(包括)解除劳动关系。

Please review ZTE's 2022 Export Control Compliance Policy, and understand and follow the requirements of the Policy. All directors, officers, employees and contract employees must comply with all applicable export control and economic sanctions laws and regulations as well as all policies and procedures promulgated by ZTE to ensure compliance. Under no circumstances will exports, re-exports or transfers (in-country) be made contrary to laws and regulations or policies by any individual or entity on behalf of ZTE. For example, ZTE’s import and export activities are subject to the Export Control Law of the People's Republic of China when certain products are subject to China dual-use controls. In addition, ZTE makes certain products incorporating U.S. content that are fully controlled by the U.S. export control and economic sanctions laws and regulations, including products subject to national security/dual-use controls. Accordingly, all directors, officers, employees and contract employees must fully understand how export control and economic sanctions laws and regulations apply to the work that they do, participate fully and in good faith in all applicable compliance training, report any actual or potential compliance issues or violations to the appropriate compliance personnel, ensure that business documents, records, data and information are accurate and complete and that required records are maintained and filed in the proper locations, and ask questions of BU Compliance Team, ECC or the Chief Export Compliance Officer (“CECO”) if they are uncertain as to what requirements might apply.
请审阅《2022年中兴通讯出口管制合规政策》,理解并遵循该政策的要求。所有董事、管理人员、员工和合同工都必须遵守所有可适用的出口管制和经济制裁法律法规以及中兴通讯为确保合规而颁布的政策和流程。在任何情况下,任何个人或实体均不得代表中兴通讯在违反法律法规或政策的情况下开展出口、再出口或转移(国内)活动。例如,当特定产品受中国军民两用管制时,中兴通讯的进出口活动会受到《中华人民共和国出口管制法》管辖。又如,中兴通讯制造的特定产品会并入受美国出口管制和经济制裁法律法规管控的美国成分,包含因美国国家安全/军民两用管制规定而受控的产品。因此,所有董事、管理人员、员工和合同工必须充分理解出口管制和经济制裁法律法规如何适用于其工作,充分地、诚信地参与所有适用的合规培训,向适当的合规人员报告任何实际或潜在的合规问题或违规行为,确保业务文档、记录、数据和信息准确完整,并对上述信息做好记录保存,以及在合适的位置归档,同时在不确定哪些要求可能适用时,向BU合规团队、出口管制合规部或首席出口管制合规官(“CECO”)提出咨询。

Violations of the export control and economic sanctions laws and regulations may result in serious consequences for ZTE and responsible individuals, including criminal and/or civil fines, sanctioned party designation and even imprisonment, or re-imposition of the Suspended Denial Order as well as damage to ZTE's and the individual’s reputation. Anyone found to be in violation of the laws and regulations or policies will be subject to disciplinary actions by the Company, up to and including termination, in addition to legal responsibilities.
违反出口管制和经济制裁法律法规将为中兴通讯及相关责任人招致严重后果,包括刑事和/或民事罚款、被列为受制裁方甚至被处以监禁,或者暂停的《拒绝令》被重新实施,同时使中兴通讯和个人的声誉遭受损害。任何人如若被发现违反法律法规或政策,除需要承担法律责任外,还将受到公司的纪律处分,最高处分可至开除。

Compliance not only protects value, but it also creates value. ZTE has been building its value for its customers, shareholders, and employees, through the dedication and vigilance to export compliance of every individual. We ask each of you to continue to take this matter very seriously and to continue to report all export compliance concerns, questions, actual or potential violations that you identify. If you have any questions concerning potential violations, procedural uncertainties, or if you have suggestions to improve our Export Compliance Program, please contact BU Compliance Team, ECC, the CECO, Compliance Audit Department, and/or other compliance reporting options listed in the appendix of this statement.
合规不仅守护价值,还能创造价值。通过每个人对出口合规的奉献与谨慎,中兴通讯一直在为我们的客户、股东和员工创造价值。请您务必持续严肃地对待此事,并上报您所发现的任何出口合规问题、疑问、实际或潜在违规行为。如果您就潜在违规行为、流程不确定性有任何疑问,或者您就改进出口合规项目有任何建议,请联系BU合规团队、出口管制合规部、首席出口管制合规官、合规稽查部,和/或通过本声明附录中列出的其他合规举报途径。

Li Zixue Chairman of ZTE Corporation 李自学 中兴通讯股份有限公司董事长

Xu Ziyang President of ZTE Corporation  徐子阳 中兴通讯股份有限公司总裁



Appendix
附录

Selected Export Control Compliance Department Points of Contact

出口管制合规部主要联络人


Name

姓名

Title

职务

Regional
Responsibility

负责区域

Email

电子邮箱

Phone

电话

Koh Sow Koon (Lawrence Koh)

Chief Export Compliance Officer

首席出口管制合规官

Head of ECC

出口管制合规部主任

Global

全球

Lawrence.koh

@zte.com.cn

China中国: +86 157-6825-0208

Singapore新加坡 +65 8499-9511

Xie Xianxin

谢贤新

Deputy Head of the ECC Department

出口管制合规部副主任

Global

全球

Xie.xianxin

@zte.com.cn

 

China中国: +86 186-7553-6545

Wang Songtao

汪松涛

Director of Compliance

部长

China and the Americas

中国和美洲

Wang.songtao

@zte.com.cn

China中国: +86 139-2655-9115

Hu Zhe

胡喆

Director of Compliance

部长

China

中国

Hu.zhe

@zte.com.cn

China中国: +86 138-2879-2755 

Deng Yiqian

邓艺乾

Compliance

合规总监

China

中国

Deng.yiqian

@zte.com.cn

China中国: +86 150-1280-6330

Zheng Weiwei

郑伟伟

Director of Compliance, China and APAC

中国和亚太地区,合规总监

China and APAC

中国和亚太地区

 

Zheng.weiwei2

@zte.com.cn

 

 

China中国: +86 136-8880-5511

Mfundisi
Ncube

Director of Compliance, MEA

中东和非洲,合规总监

Middle East and Africa

中东和非洲

Mfundisi.ncube

@zte.com.cn

UAE阿联酋: +971 52 82 5519

Sergey Dovgulya

ECC Regional Contact of EU and Russia

欧洲以及俄罗斯出口管制合规区域接口人

Europe and Russia

欧洲和俄罗斯

Dovgulya.sergei

@zte.com.cn

 

Russia俄罗斯:

+7 91 472 36 79



Compliance Reporting Options

合规举报途径
If you are uncomfortable reporting matters directly to ECC or BU compliance team, you can also utilize ZTE’s other reporting options including some which allow you to remain anonymous.
如果您不希望直接向出口管制合规部或BU合规团队进行举报,您还可以利用中兴通讯其他举报方式(包括匿名的举报方式)进行举报。

●ZTE Compliance Audit Department  中兴通讯合规稽查部
  Website 网站:
  https://www.zte.com.cn/china/whistleblowing/report (for employees in China)
  https://www.zte.com.cn/global/whistleblowing/report (for employees overseas)
  Email 电子邮箱:
  Complianceaudit@zte.com.cn
●LCM 法律合规管理系统:
  http://lcm.zte.com.cn - Compliance Audit-Violation Report
  http://lcm.zte.com.cn - 合规稽查 - 违规线索报告
●Letter/Visit 信函/亲临:
  Compliance Audit Dept., ZTE R&D Building, 55 Hi-Tech South Road, Nanshan District, Shenzhen
  深圳南山区科技南路55号,中兴通讯研发大楼,合规稽查部
●Independent third-party compliance reporting platform 独立第三方合规举报平台
  Website 网站: 
  http://www.tip-offs.com.cn/ZTE
  Email 电子邮箱: 
  ZTEWhistleblowing@tip-offs.com.cn
  Hotlines 热线: 
  400-0707-099 (Mainland China) 
  400-0707-099 (中国大陆)   
  + 8621-3313-8584 (Overseas, Hongkong,Macao and Taiwan)
  + 8621-3313-8584(海外 、香港、澳门、台湾)

In addition to the above options for reporting actual or potential violations, the SCC team has also established the Special Compliance Coordinator Confidential Reporting Program for export compliance-related questions and concerns. The SCC reporting program can be accessed through:
除上述针对实际或潜在违规举报途径以外,SCC团队也成立了针对出口合规相关疑问困惑的SCC保密举报计划。您可通过以下途径访问SCC举报计划:
https://sccforzte.ethicspoint.com 
or by calling the independent Compliance Reporting Line at +1-202-831-6700.
或通过拨打独立的合规举报热线+1-202-831-6700。
Violations or concerns can be reported directly to the SCC by sending emails to Reporting@scc1.org.
您可发送邮件至Reporting@scc1.org,向SCC团队举报违规行为或者其他问题。

出口管制合规的管理层承诺声明