首席出口管制合规官致业务合作伙伴的季度通讯稿 – 2020年第三季度

Dear Valued Business Partner:
尊敬的业务合作伙伴:

At ZTE, we understand that export compliance benefits both our company and our business partners.  This update describes some of our efforts in Q3 2020 to ensure export control compliance  and to maintain strong relationships with our business partners.
中兴通讯了解出口合规能够让我们和我们的业务合作伙伴达到双赢。本篇通讯稿介绍了我们在2020年第三季度为确保出口管制合规以及为维护与业务合作伙伴稳固关系而作出的努力。

Export Control Law and Policy Tracking: In order to ensure compliance with the latest export control legal requirements, ZTE has established an effective export control law and policy tracking mechanism. During the quarter, ZTE keeps tracking the export control policy changes released by the US government, including the update of the Entity List, revision on the Foreign-Produced Direct Product Rule, and revocation of Hong Kong Special Status. According to the established mechanism, the Export Control Compliance(“ECC”) team shall respond immediately, and cooperate with external consultants to make professional analysis of the rule changes and assess the impact on the company's business. Meanwhile, according to the analysis results, ECC team works with business units to respond actively, including partner screening and supply chain stability assessment, so as to ensure the company's business stability and compliance and safeguard the common interests of the ZTE and our partners.
出口管制法律政策追踪:为了确保遵守最新的出口管制法律要求,中兴通讯建立了有效的出口管制法律政策追踪机制。在本季度,中兴通讯持续跟踪美国政府发布的出口管制相关政策变更,包括实体清单的更新,再次修订外国生产直接产品原则,撤销香港特殊出口管制地位等。公司出口管制合规(“ECC”)团队按照既定机制,在第一时间反应,并与外部咨询机构合作,对规则变动进行专业分析,评估对公司的业务影响。同时,按照分析结果,ECC团队协同业务单位积极应对,包括合作伙伴筛查,供应链稳定性评估等,从而确保公司业务稳定、合规,维护公司与合作伙伴的共同利益。

Risk Assessment: As the focus of ZTE’s 2020 export control compliance work plan, ZTE continues to pay attention to the risk assessment. For the business areas of ZTE Corporation, ZTE selects a pilot unit and collects relevant information in accordance with its project operation characteristics of the unit. Sort the risks according to project information, and give high priority to interview, inspection, and other assessment activities for projects with high risk levels. In terms of risk assessment of subsidiaries, ZTE shall promote the assessment and inspection of selected high-priority subsidiaries. At present, the risk assessment work in each area is carried out in an orderly manner, which will help ZTE effectively identify and control Export Control Compliance risks and ensure the compliance of ZTE's business.
风险评估:作为中兴通讯2020出口管制合规工作的重点,中兴通讯对风险评估投入持续关注。在股份公司业务领域,公司在选定试点单位,按照该单位项目化运作特点,收集相关信息。通过整理项目信息地进行风险排序,对风险级别较高的项目优先实施访谈、检查等评估动作。在子公司风险评估方面,则在选定高优先级子公司逐步推进评估检查。目前,各领域风险评估工作的有序进行,这将帮助中兴通讯有效识别和管控出口管制合规风险,确保公司业务合规。

Continued Progress of the SAP-GTS System Implementation Project: In Q3 of 2020, ZTE continued to enhance the screening capabilities of Global Trade Services (“GTS”), a more comprehensive product screening solution has been developed to adapt to different product sales models, improve the accuracy of screening results, and effectively reduce compliance risks. Through these measures, the company's automatic compliance control has been enhanced.
持续推进SAP-GTS系统实施项目:2020年三季度,中兴通讯持续增强全球贸易服务(“GTS”)的扫描功能,已经完成更加全面的产品扫描方案,以适配不同的产品销售模式,提升扫描结果的准确性,有效降低合规风险。通过这些举措,使公司自动化合规控制得到增强。

Continued Progress the ECCN Project: The ECCN classification management team keeps on following up the issues found in the interviews with the subsidiaries in the second quarter, and updating the ECCN training materials. Providing customized training according to the different business features of the subsidiaries, and strengthens the understanding of the requirements for the ECCN management and the operation specifications. Through the docking of the ECCN system and the subsidiaries' service systems,setting the control points of key business processes, the basic data can be managed effectively and to ensure that ZTE's export control classification work is effectively promoted.
持续推进ECCN项目:ECCN分类管理团队持续跟进子公司完成在上一季度访谈过程中所发现问题的整改情况,并优化了ECCN系列课程培训课件,针对子公司的不同业务特点进行了个性化培训,加强子公司业务人员对ECCN管理要求和操作规范的理解。通过ECCN系统与子公司业务系统的对接以及对关键业务流程的管控点设置,更好地实现了对基础数据的管理,确保公司出口管制分类工作有效推进。

Export compliance manual update: According to the update plan of ZTE's Export Control Compliance manual, ZTE divides the original Export Control Compliance manual into the Corporate-level manual, which states the general Export Control Compliance policies and overall requirements. The BU-Level Manuals are detailed description with the introduction of service scenarios based on the Corporate-Level Manual. And cases for complicated or special scenarios are also provided. Following up release of the Corporate-Level Manual in Q2, another 11 BU-Level manuals were released in this quarter. The release helps to improve ZTE's Export Control Compliance system and better guide business practice.
出口合规手册的更新:根据中兴通讯的出口管制合规手册的更新计划,中兴通讯将原出口管制合规手册被划分为总册和分册,其中总册作为公司级手册,陈述了公司通用出口管制合规政策和整体要求。业务分册,是在总册的基础上,引入业务场景后的进一步细化,并对部分较复杂或特殊场景加以案例辅助说明。继总册在二季度发布后,在该季度,又发布了11册业务领域分册。分册的发布,有助于完善中兴通讯的出口管制合规体系,更好地指导业务实践。

Cooperation with External Regulators:  ZTE has been actively cooperating with the external regulators in monitoring and continuously improving the Export Control Compliance governance system with the assistance of the external regulators. In this quarter, ZTE has continuously and well communicated with regulators about the optimization recommendations raised by them, and implemented the recommendations according to the company's procedures. As part of the Company's efforts to strengthen its Export Compliance Program, ZTE will continue to work closely with the SCC team and the Monitor team to further improve its export control compliance system. 
和外部监管机构的协作:中兴通讯一直积极配合外部监管机构的监察工作,在外部监管机构的助力下不断完善公司出口管制合规治理体系。在这个季度中,中兴通讯持续 就外部监管机构的优化建议进行了持续、良好的沟通并按照公司流程推动落地。作为公司强化其出口合规项目的一部分,中兴通讯将会继续与SCC团队和监察官团队密切合作,进一步完善公司的出口管制合规体系。

* * * * *
ZTE thanks our business partners for their continued support. If you have questions, please do not hesitate to contact ZTE by your point of contact.
中兴通讯感谢各位业务合作伙伴给予的一贯支持。如您有任何疑问,请随时与您的中兴通讯接口人联系。
  

                                                                                                Lawrence Koh
                                                                                                许绍勤
                                                                                                

                                                                                                Chief Export Control Compliance Officer 
                                                                                                首席出口管制合规官
                                                                                                ZTE Corporation
                                                                                                中兴通讯股份有限公司
                                                                                                Lawrence.koh@zte.com.cn
                                                                                               +65 84999511 (Singapore/新加坡)
                                                                                               +86 18588454350 (China/中国)

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