Quarterly CECO Newsletter to Business Partners – Q1 2020

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 Q1 2020 to ensure export control compliance, to prevent future problems 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年第一季度为确保出口管制合规、防患风险以及为维护与业务合作伙伴稳固关系而作出的努力。

Export Control Compliance work during the epidemic period: Due to the outbreak of the Coronavirus Disease 2019(“COVID-19”), the normal operation of the company has been affected to some extent. In order to minimize the impact,  the ZTE Compliance Depts. have adopted countermeasures such as remote working, personnel in key positions working on site under the prerequisite of ensuring safety, online compliance training performed batch by batch, information exchanging with compliance-related parties in a timely manner. Through the efforts of all employees, most of the tasks on Export Control Compliance are still orderly carried out as originally planned.
疫情期间的出口管制合规工作:因疫情爆发的原因,公司的正常运作受到了一定的影响。为了将影响降到最低,中兴通讯合规部门上下齐心,采取远程办公,关键岗位人员在确保安全的前提下现场值守,线上分批推进合规培训,及时与合规相关方保持信息互通等方式。通过全员的努力,最大限度保障了出口管制合规工作按原计划有序推进。

Export compliance manual update: In order to make the Export Control Compliance system better, ZTE made an export control compliance manual update plan in 2019. In this plan, ZTE divided the compliance manual into Corporate-Level Manual and Business-Unit-Level Manuals. As the Corporate-Level Manual, the general Export Control Compliance policies and overall requirements are stated in the manual. The Business-Unit-Level Manuals are detailed description with the introduction of service scenarios. They clarify the compliance risks, compliance management and control requirements as well as the compliance management and control plans in common service scenarios in each business field. They also provide supplementary cases to help explaining complicated or special scenarios. This innovation takes into account both the principle and practicality of the compliance manual, and provides more comprehensive and systematic guidance for a group companies like ZTE.
出口合规手册的更新:为了更好地建设出口管制合规体系,中兴通讯在2019年制定了出口管制合规手册的更新计划。在这个计划中,中兴通讯将原有的手册被划分为总册和分册,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,明确了业务领域中常见业务场景下的合规风险及合规管控要求及管控方案,并对部分较复杂或特殊场景加以案例辅助说明。该创新兼顾了合规手册的原则性和实用性,对中兴通讯这样的集团公司有更全面系统的指导意义。

Continued Progress the ECCN project: to promote the work of subsidiary's  Export Control Classification Number (“ECCN”) online publishing and to improve data integrity and accuracy, the ZTE ECCN team has conducted a compliance interview with the subsidiaries about the ECCN online publishing. At the same time, the ECCN team will provide subsidiaries the Subsidiary ECCN Publication Operation Guideline to guide them to effectively complete the work of the ECCN online publishing.  
持续推进ECCN项目:为了促进子公司出口管制分类编码(“ECCN”)上网发布工作,提升ECCN分类数据的完整性和有效性,ECCN管理团队就子公司的ECCN上网发布采取了合规访谈。此外,ECCN团队还会向子公司提供《子公司的ECCN上网发布操作指引》,指导其有效完成ECCN上网发布工作。

Risk assessment of the subsidiary: As the focus of ZTE 2020 Export Control Compliance's work, in terms of risk assessment of the subsidiary, ZTE quantified the risks of export control of entities, and produced risk assessment reports for different types of entities   according to different risk levels. This assessment provides basic support and guidance for Export Compliance Program (“ECP”) construction and normalization check/self-check for different types of entities. 
子公司风险评估:作为中兴通讯2020出口管制合规工作的重点,在子公司风险评估方面,中兴通讯评估了各子公司的出口管制风险等级,并分别输出不同类型子公司风险评估等级报告,以此为基础支持和指导子公司出口合规计划(“ECP”)建设和常态化检查/自查。

Continued progress of the SAP-GTS system implementation project: In order to promote the management and control of SAP-Global Trade Services (“SAP-GTS”) system input and prevent possible export control compliance risks, ZTE SAP-GTS system implementation team conducted an audit on IT general control execution of 14 SAP-GTS-related IT feeder systems, audit scope includes access control management, version release process and change management etc. At the same time, SAP-GTS system implementation team has further optimized the Legal and Compliance Management (“LCM”) system party screening on country field to reduce and avoid any miss determination of the country field on restricted party screening and help users to better and more strictly identify the risk of restricted parties.  
持续推进SAP-GTS系统实施项目:为更好地管控SAP-全球贸易服务(“SAP-GTS”)系统输入,防范可能的出口管制合规风险,中兴通讯SAP-GTS系统实施团队对14个SAP-GTS相关业务系统的IT管控策略执行情况进行审计,审计内容包括权限管理、版本发布流程、变更管控等。同时,SAP-GTS系统实施团队还对法律及合规管理(“LCM”)系统主体扫描中的国家字段进行优化,以降低和避免国家字段对限制主体扫描的任何误判,帮助业务部门更好、更严格地识别业务伙伴是否存在受限制主体的风险。

Cooperation with external regulators: In February 2020, ZTE Chief Export Compliance Officer (“CECO”) Mr. Xu Shaoqin (Lawrence Koh)  held discussions with the Special Compliance Coordinator(“SCC”) and the Monitor in Washington DC  , USA. Through this kind of  discussions, ZTE and the external regulators have gained deeper understanding of each other and helped establish a further cooperation of mutual benefit and trust. 
和外部监管机构的协作:2020年2月份,中兴通讯首席出口管制合规官(“CECO”)许绍勤先生(Lawrence Koh)在美国华盛顿和特别合规协调员(“SCC”)和监察官进行了会谈。中兴通讯通过开展此类会谈,加深了和外部监管机构对彼此的了解,有助于建立更进一步互利互信的合作关系。

* * * * *
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)
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