2020 Export Control Compliance Management Commitment Statement

DATE:         25 September 2020

日期:        2020年9月25日

TO:             Directors, Officers, Employees and Contract Employees

致:           全体董事、管理人员、员工和合同工

SUBJECT:   2020 Export Control Compliance Management Commitment Statement

主题:        2020年关于出口管制合规的管理层承诺声明

ZTE Corporation and its subsidiaries and branches (collectively, "ZTE") are fully committed to compliance with all applicable export control and sanctions laws and regulations. ZTE has committed and will continue to commit substantial resources to ensure compliance with applicable export control and sanctions laws around the world.  Throughout this past year, ZTE has continued to expand its export control compliance program, including new projects to implement enhanced measures and additional internal and external training programs. 
中兴通讯股份有限公司及其子公司和分支机构(统称“中兴通讯”)完全致力于遵守所有可适用的出口管制及制裁法律法规。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及制裁法律法规。在过去的一年里,中兴通讯持续深化其出口管制合规项目,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 control and sanctions 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管制和制裁合规体系。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。支持此项工作,人人责无旁贷。

ZTE's Export Compliance Program will continue to be subject to audits, monitoring and assessments (including regular announced and unannounced site visits), by the Independent Compliance Monitor (“Monitor”), appointed by the U.S. Court, and the Special Compliance Coordinator ("SCC"), appointed by the U.S. Department of Commerce, Bureau of Industry and Security. Any failure to fully comply with ZTE's Export Control Compliance Policy and management's statements regarding cooperation and honesty with the Monitor, the SCC, the Export Control Compliance Department, or ZTE's outside counsel and support teams 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法院任命的独立合规监察官(“Monitor”)和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)。任何未能遵守中兴通讯的出口管制合规政策和管理层声明中有关于与监察官、SCC、出口管制合规部或中兴通讯的外部法律顾问和支持团队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 2020 Export Control Compliance Policy, and follow and understand the requirements of the 2020 Export Control Compliance Policy.  All directors, officers, employees, and contract employees must comply with all applicable export control and 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 law or policy by any employee or entity on behalf of ZTE.  For example, ZTE makes certain products incorporating U.S. content that are fully subject to the U.S. export control and economic sanctions 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 apply to the work that they do, participate fully in all compliance training, report any potential compliance issues or violations to the appropriate compliance personnel, ensure that records, data and information are accurate and complete and that required records are maintained, and ask questions of Koh Sow Koon (Lawrence Koh), Chief Export Compliance Officer, Export Control Compliance Department, or BU Compliance team if they are uncertain as to what requirements, including U.S. restrictions, might apply.
请审阅中兴通讯2020年的出口管制合规政策,遵循并理解该政策的要求。全体董事、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,任何员工或实体均不得代表中兴通讯在违反法律或政策的情况下开展出口、再出口或转移(国内)活动。例如,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规定管辖的美国成分,该成分包括受美国国家安全/军民两用出口管制规定管辖的产品。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如何适用于其工作,全面参与所有合规培训,向适当的合规人员报告任何潜在的合规问题或违规行为,确保记录、数据和信息的准确性和完整性,并确保所需记录得到保存,同时在不确定哪些要求(包括美国限制)可能适用时,向首席出口管制合规官Koh Sow Koon (Lawrence Koh)、出口管制合规部、BU合规团队提出咨询。

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, as well as damage to the individual’s and ZTE's reputation, or re-imposition of the Suspended Denial Order.  Any director, officer, employee, and contract employee found to be in violation of the laws 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,使个人和中兴通讯声誉遭受损害,或者暂停的《拒绝令》被重新实施。任何董事、管理人员、员工和合同工,如若被发现违反法律或政策,除需要承担法律责任外,还将受到公司的纪律处分,最高可至(包括)解除劳动关系。

Compliance not only protects value, but it also creates value. ZTE has been building its value for our customers, shareholders, and employees, through the dedication and vigilance to export compliance of every employee. I ask each of you to continue to take this matter very seriously and to continue to report all export compliance concerns, questions, or potential violations that you identify. If you have any questions concerning potential violations, procedural uncertainties, or if you have suggestions to improve our compliance program, please contact Koh Sow Koon (Lawrence Koh), Chief Export Compliance Officer, his colleagues at the Export Control Compliance Department, BU Compliance Team, Compliance Audit Department, 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。通过每位员工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,或者您就改进合规项目有任何建议,请联系首席出口管制合规官Koh Sow Koon (Lawrence Koh)及其在出口管制合规部、BU合规团队、合规稽查部的同事,或者在本声明附录中列出的其他合规举报途径。

Li Zixue, Chairman of ZTE            Xu Ziyang, President of ZTE 
李自学,中兴通讯董事长              徐子阳,中兴通讯总裁

Appendix
附录
Selected Export Control Compliance Department Points of Contact
主要出口管制合规部联络人

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 the ECC Department

出口管制合规部部长

Global

全球

Lawrence.koh

@zte.com.cn

China中国: +86 185-8845-4350

Singapore新加坡 +65 8499-9511

Xie Xianxin

谢贤新

Deputy Head of the ECC Department

出口管制合规部副部长

Global

全球

Xie.xianxin

@zte.com.cn

China中国: +86 186-7553-6545

Wang Songtao

汪松涛

Director of Compliance

合规总监

China

中国

Wang.songtao

@zte.com.cn

China中国: +86 139-2655-9115

Chen Xuexiang (Ella)

陈雪翔

Director of Compliance

合规总监

China

中国

Chen.xuexiang

@zte.com.cn

China中国: +86 755-2677-5897

Zeng Li

曾莉

Director of Compliance

合规总监

China

中国

Zeng.li

@zte.com.cn

China中国: +86 755-2677-6245

Ou Leping

欧乐平

Director of Compliance

合规总监

China

中国

Ou.leping

@zte.com.cn

China中国: +86 138-0880-8611

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

合规总监,中东和非洲

Middle East & Africa

中东和非洲

Mfundisi.ncube

@zte.com.cn

UAE阿联酋: +971 52 820 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 & Russia

欧洲和俄罗斯

Dovgulya.sergei

@zte.com.cn

Russia俄罗斯:

+7 910 472 36 79

Debbie Mires

Director of Compliance, the Americas

合规总监,美洲

The Americas

美洲

Debbie.mires

@zte.com.cn

US美国:

+1 972-671-8885 X 81104


Compliance Reporting Options
合规举报途径

If you are uncomfortable reporting matters directly to the Export Control Compliance Department, 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"

●Letter/Visit 信函/亲临:
  Compliance Audit Dept., ZTE headquarters, 55 Hi-Tech South Road, Nanshan District, Shenzhen
  深圳南山区科技南路55号,中兴通讯总部,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 potential violations of U.S. export control laws and regulations, the SCC team has also established the Special Compliance Coordinator Confidential Reporting Program for compliance-related questions and concerns. The SCC reporting program can be accessed through:
除上述针对美国出口管制法律法规的潜在违规举报途径以外,SCC团队也成立了针对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://secure.ethicspoint.com/domain/media/en/gui/60779/index.html 

or by making a phone call. Dialing instructions for different countries/regions are available on the website by clicking File a Report.
或通过电话。 您可在网站点击“提交举报”获得不同国家/地区的拨号指导。

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。


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