首席出口管制合规官致业务合作伙伴的季度通讯稿 – 2020年第四季度

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 Q4 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年第四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。

Continue to drive the building of the operational subsidiaries compliance system: To further support the construction of the operational subsidiaries' independent compliance system and impart the compliance practice experience to the tier-1 operational subsidiaries, the Operational Subsidiaries Compliance Enhancement Program (OSCEP) in-house consultancy team hosted the second compliance symposium of operational subsidiaries from December 4 to 5. The General Managers, Chief Compliance Officers, Export Compliance Point of Contacts (ECPOC) and compliance managers of the tier-1 operational subsidiaries attended the symposium. The theme of this symposium is "Risk-oriented, Deepening compliance system building." Focusing on compliance empowerment, this symposium focuses on the supervision mechanism of the in-house consultancy team, ECP elements, pilot and planning of the subsidiary compliance manual and anti-commercial bribery compliance. It also shared contents such as EAR policy update interpretation and cutting-edge developments of external law offices. At the same time, the symposium set up a speech-speaking session on common compliance questions. The OSCEP consultancy team held a centralized discussion and answered questions. By disseminating the compliance concept and practice experience through the compliance symposium platform, the company has expanded its strategic landscape, and played an important role in continuously improving the compliance operation level of operational subsidiaries and improving the compliance system.
持续推动经营型子公司合规体系建设:为进一步支撑经营型子公司构建独立自主的合规体系,向一级经营型子公司传授合规实践经验,经营型子公司合规提升项目(OSCEP)顾问团队于12月4日至5日举办了第二届经营型子公司合规峰会,一级经营型子公司总经理、首席合规官、出口合规联系人(ECPOC)、合规经理等相关人员参加了这次峰会。本次峰会主题为“以风险为导向,深化合规体系建设”,整个峰会以合规赋能为主,重点介绍了顾问团队监管机制、ECP要素、子公司合规手册试点和规划及反商业贿赂合规,并分享了EAR政策更新解读与外部律所前沿动态等内容。同时,峰会设置了合规共性问题讨论发言环节,OSCEP顾问团队对与会者关注的问题进行了集中研讨和答疑。通过合规峰会平台,传播了合规理念与实践经验,拓展了战略格局,对持续提升经营型子公司合规经营水平、不断完善合规体系建设具有重要作用。

Release of the first domestic Export Compliance Scan System (ECSS): The ECCN project team adheres to the idea of "compliance creates value," and uses the product-based thinking to lead the design of the first domestic Export Compliance Scan System (ECSS). The first official version was released on November 28. ECSS has leading advantages in terms of architecture design, deployment mode, multiple legal entities support of group company, and adaptation of global export control laws and regulations. It enables the scanning process and results to be visible and traceable. The launch of ECSS reflects ZTE's commitment to complying with all applicable export control laws and regulations and to building a world-class Export Control Compliance system. In 2021, ECSS will be deployed in ZTE's operational subsidiaries to assist the subsidiaries in the systematic management and control of Export Control Compliance.
发布国内首款出口合规扫描系统ECSS:ECCN项目团队坚持“合规创造价值”的理念,运用产品化思维,主导设计了国内首款出口合规扫描系统ECSS,首个正式版本已在11月28日发布。ECSS在架构设计、部署方式、集团多法人支持、全球出口管制法律法规适配等方面具备领先优势,实现了扫描过程与结果可视及可追溯。ECSS的上线,体现了我司致力于遵守所有适用的出口管制法律法规及致力于建立全球一流的出口管制合规体系的努力。2021年,ECSS将在中兴通讯经营型子公司进行部署,助力子公司实现出口管制合规的系统化管控。

Proactive Outreach with external parties on compliance research and compliance system construction experience sharing:In this quarter, a number of domestic organizations contacted ZTE to discuss the experience in export control and ZTE compliance system construction. ZTE proactively shared experience in compliance research and compliance system construction with domestic and foreign business partners and government organizations, including seven domestic communications on export control and three communications with key overseas customers. At present, the 2nd Multinational Enterprise Trade Compliance Forum on “Building a Compliance Business Environment” hosted by ZTE is under preparation. By strengthening communications and cooperation with academia, the legal profession, and the business community, ZTE has demonstrated its excellent compliance corporate image and continuously improved its compliance brand recognition.
积极对外交流合规研究与合规体系建设经验:本季度,多家国内机构联系我司研讨出口管制与中兴通讯合规体系建设经验,公司积极地与国内外商业伙伴、政府机构等进行了合规研究与合规体系建设经验交流,其中有关出口管制的国内交流7次,与国外重要客户交流3次。目前,由中兴通讯主办的以“共建合规营商环境”为主题的第二届跨国企业贸易合规论坛正在有序筹备中。中兴通讯通过强化与学界、律界及商界的交流与合作,展现了中兴通讯优秀的合规企业形象,持续提升了公司合规品牌认可度。

The compliance effort of the Company was recognized by the Monitorship:In the fourth quarter of 2020, customers of ZTE communicated with the Special Compliance Coordinator (SCC) team. During the communication, the SCC team recognized the efforts and commitment made by ZTE to strengthen compliance work, and considered ZTE to have good performance in terms of supervision cooperation and Superseding Settlement Agreement execution. On the other hand, the customer also recognized the importance ZTE attached to compliance, and the transparency, seriousness, and efforts of ZTE made good impression on the customer.
公司合规投入获得外部监管认可:在2020年第四季度,我司客户与特别合规协调员(SCC)团队进行了沟通交流,交流中SCC团队认可我司为了加强合规工作所做的努力与投入,同时认为我司在监管配合程度、替代和解协议执行等方面都有良好的表现。另一方面,客户也对我司高度重视合规工作表示认可,我司在合规工作上的透明、严肃与努力给客户留下了好的印象。

Review of key ECP construction in 2020: In this year, ZTE selected the R&D field to conduct risk assessment in the business field of ZTE Corporation, with risk-oriented, to collect relevant information and determine priorities and to conducting interviews, checks and other assessment activities for the projects with high risk priority. In terms of recordkeeping, ZTE has completed the implementation of six recordkeeping requirements embedded into the process work and revised the response specifications. The compliance manual project team held a press conference on official release of the new Export Control Compliance Manual. We will continue to push the pilot of the subsidiary’s compliance manual. In terms of training, we have completed the review of the pilot training of the engineering service, and started the training of the project management positions of the outsourced personnel and outsourcers of the engineering service. In terms of system control, the ECCN risk early warning tool has been put into operation, and the export compliance scan system ECSS has been launched. The GTS system of the subsidiary has completed the compliance end-to-end test, output the report, completed the Information Technology General Control (ITGC) audit of the subsidiary and output the report. These actions would help ZTE effectively identify and control Export Control Compliance risks, improve Export Control Compliance governance, and strive to build a world-class Export Control Compliance system.
2020年重点ECP建设回顾:本年度,我司选定研发领域进行了股份公司业务域风险评估,以风险为导向,收集相关信息,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;记录保存方面,我司完成了6项记录保存要求嵌入流程工作并修订了响应规范;合规手册项目组召开了新出口管制合规手册发布会,并持续推动子公司合规手册的编写试点工作;培训方面,完成了工服试点培训复盘,并启动工服外包租赁人员及外包商项目管理岗位培训;系统管控方面,ECCN风险预警工具上线,并推出了出口合规扫描系统ECSS;公司GTS系统完成了合规端到端测试并输出了报告,完成了子公司ITGC审计并输出报告。这些行动将帮助中兴通讯有效识别和管控出口管制合规风险,提升出口管制合规治理水平,努力打造全球一流的出口管制合规体系。

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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
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