2019年出口管制合规政策

出口管制合规政策

DATE:          6 September 2019

日期：         2019年9月6日

TO:             Directors, Officers, Employees & Contract Employees 

致：            全体董事、管理人员、员工及合同工

FROM:         Li Zixue, Chairman of ZTE

                   Xu Ziyang, President of ZTE

自：            李自学，中兴通讯董事长

                   徐子阳，中兴通讯总裁

SUBJECT:    2019 Export Control Compliance Policy 

主题：        2019年出口管制合规政策

Export Compliance is critical to the business of ZTE.  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. ZTE requires employees to work together, including with the Export Control Compliance team, and the Business Unit Compliance team to make ZTE stronger. Export compliance is everyone’s responsibility.
出口合规对于中兴通讯的业务来说至关重要。合规不仅可以守护价值，还可以创造价值。通过每一位员工对出口合规的奉献和谨慎，中兴通讯一直在为我们的客户、股东和员工创造价值。中兴通讯要求员工与出口管制合规团队以及BU合规团队一起合作，将公司建设得更加强大。出口合规是每个人的责任。

I.   Management Commitment to ZTE Obligations
Ⅰ.   管理层对中兴通讯义务的承诺

On June 8, 2018, the U.S. Department of Commerce Bureau of Industry & Security (BIS) approved the Superseding Settlement Agreement (“SSA”) with ZTE.  ZTE also entered into the following agreements in March 2017: (1) Plea Agreement with the U.S. Department of Justice; (2) BIS Settlement Agreement; and (3) Office of Foreign Asset Control (OFAC) Settlement Agreement. 
2018年6月8日，美国商务部工业与安全局（BIS）批准了其与中兴通讯达成的替代和解协议（“SSA”）。中兴通讯还于2017年3月签订了以下协议：（1）与美国司法部达成认罪协议；（2）BIS和解协议；（3）外国资产管理办公室（“OFAC”）和解协议。

It is the policy and commitment of ZTE to cooperate fully with the U.S. Court-appointed Monitor, James Stanton and his team, and the BIS-appointed Special Compliance Coordinator (“SCC”), Roscoe C. Howard, Jr. and his team. ZTE has made numerous commitments under the SSA, such as:
中兴通讯的政策和承诺是与美国法院指定的监察官James Stanton及其团队以及BIS指定的特别合规协调员（“SCC”）Roscoe C. Howard，Jr.及其团队充分合作。中兴通讯在SSA下做出了多项承诺，例如：

     ●Building a world-class export control compliance program based on industry best practices;
       基于行业最佳实践制定一流的出口管制合规体系；
     ●Numerous Export Compliance Program enhancements;
       就出口合规项目做出多项改进；
     ●Enhanced internal and external compliance training programs;
       加强内部和外部合规培训项目；
     ●Publication of the export classification of products; and
       发布产品的出口管制分类编码；以及
     ●Increased export compliance guidance and procedures.
        增加出口合规指引和流程。

These commitments require work and cooperation by everyone, no matter whether you are an employee from a business unit, act as a compliance practitioner within the Company, or are a contract employee  of ZTE.
这些承诺需要每个人的工作和合作，无论您是业务部门的员工，还是公司内的合规人员，或是中兴通讯的合同工。

II.  Management Commitment to Compliance with Export Control Laws
Ⅱ.  管理层对遵守出口管制法律的承诺

It is ZTE policy to comply fully with all local rules and regulations, as applicable, including restrictions under economic sanctions and export control laws and regulations, of the countries in which it operates its businesses. Compliance with ZTE’s Export Compliance Program and the regulations on which it is based is an essential requirement for ZTE’s employees, contract employees, and businesses.
中兴通讯的政策是完全遵守其开展业务所处国家的可适用的法律法规，包括经济制裁和出口管制法律法规的各项限制。遵从中兴通讯的出口合规项目及其所依据的法规是对中兴通讯员工、合同工和业务部门的基本要求。

ZTE is also committed to taking steps on an export compliance risk basis to ensure that transactions undertaken by anyone operating on behalf of ZTE, including agents, distributors, and resellers are in compliance with applicable export control and sanctions laws. This commitment extends to promoting compliance on an on-going basis with terms and conditions of export authorizations.  This commitment includes conducting enhanced due diligence of ZTE’s third parties on an export compliance risk basis. 
中兴通讯还承诺基于出口合规风险评估采取措施，以确保代表中兴通讯的任何人（包括代理商，经销商和分销商）进行的交易符合可适用的出口管制及制裁法律法规。上述承诺包括持续推进对出口授权条款和条件的遵守。该承诺还包括，基于风险评估，对第三方实施尽职调查。

Export control regulations include export control laws and regulations of China, Hong Kong, the European Union, the United States and other countries/regions. As examples, (1) ZTE makes certain products incorporating U.S. content that are fully subject to the U.S. export control and economic sanctions regulations, such as the Export Administration Regulations (“EAR”) administered by the U.S. Commerce Department’s Bureau of Industry and Security (“BIS”) and economic sanctions regulations administered by the U.S. Treasury Department’s Office of Foreign Assets Control (“OFAC”); and (2) shipments via Hong Kong should comply with the Import and Export (Strategic Commodities) Regulations.  ZTE is committed to the compliance of its global businesses with applicable export control and economic sanctions laws. This Policy generally applies to directors, officers, employees, and contract employees  of ZTE departments, branches, and subsidiaries and affiliates over which ZTE Corporation has majority ownership or control.
出口管制法律法规包括了中国大陆、香港地区、欧盟、美国和其他国家/地区的出口管制法律法规。例如，（1）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，如BIS经管的《出口管理条例》（“EAR”）和OFAC经管的经济制裁规定；又例如，（2）途径香港的货运需要遵守香港的《进出口（战略物品）规例》。中兴通讯致力于使其全球业务遵守可适用的出口管制及经济制裁法律法规。 本政策适用于中兴通讯拥有多数股权或控制的中兴通讯部门、分支机构、子公司、和关联公司的董事、管理人员、员工和合同工。

Violations of these laws and regulations may result in serious criminal and civil penalties, including fines, imprisonment, exclusion from the export licensing process, denial of export privileges and other sanctions which would impact the entire global business of ZTE. Non-compliance with this Policy, these laws, and the procedures the Company has established will not be tolerated. Employees who violate this Policy will be subject to disciplinary action and/or termination.
违反上述法律和法规可能导致严重的刑事和民事处罚，包括罚款、监禁、不得获取出口许可、被剥夺出口特权以及其他可能影响中兴通讯整体全球业务的制裁。公司对违反本政策、违反上述法律法规及公司相关流程的行为零容忍。违反本政策的员工将面临纪律处分和/或遭到解雇。

The Export Compliance Program has our full support and that of the Board of Directors and the Export Compliance Committee. ZTE is committed to providing sufficient resources and expertise to ensure continued compliance with applicable export control and sanctions laws. We understand that compliance creates value, and we ask each of you to support this effort to create value for ZTE and take your compliance responsibilities very seriously. The success of ZTE depends on your full cooperation and support of this critical mission. We will depend on your participation to create value for ZTE.
中兴通讯公司董事会和出口合规委员会对出口合规项目予以全力支持。中兴通讯承诺提供充分的资源和专业支持，以确保持续遵守可适用的出口管制及制裁法律法规。我们理解合规创造价值，我们要求您全力支持这一工作，为中兴创造价值，并严肃对待您的合规责任。中兴通讯的成功取决于您对这一重要使命的全力配合和支持。您的参与将会为中兴通讯创造价值。

The ZTE Export Control Compliance Policy requires the following:
中兴通讯出口合规政策要求如下：

●Employees and contract employees must complete a certification regarding compliance with the Export Control Compliance Policy.
所有员工和合同工必须完成关于遵守出口管制合规政策的证明的签署。

●Employees and contract employees must comply with applicable export control and economic sanctions laws and regulations, as well as all relevant policies and procedures promulgated by ZTE to ensure compliance.
所有员工和合同工均必须遵守可适用的出口管制及经济制裁法律法规，以及中兴通讯为确保合规颁布的所有相关政策和流程。

●Employees must provide accurate, complete and timely information to Export Control Compliance personnel, Business Unit Compliance team, outside counsel, the Monitor, and the SCC.  If employees are aware that inaccurate or misleading information has been provided to Export Control Compliance personnel, Business Unit Compliance team, outside counsel, the Monitor, or the SCC, they are required to provide the accurate information or correct any misleading statements.
所有员工必须向出口管制合规部人员、BU合规团队、外部法律顾问、监察官和SCC提供准确、完整和及时的信息。如果员工知悉向出口管制合规部人员、BU合规团队、外部顾问、监察官、SCC提供的信息存在不准确或误导性，则他们需提供准确信息或更正任何误导性言论。

●Employees and contract employees must fully understand how export control and economic sanctions laws apply to the work that they do, participate fully and in good faith 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), Chief Export Compliance Officer (herein after “CECO”), Export Control Compliance, Business Unit Compliance personnel, or the Export Compliance Committee if they are uncertain as to what requirements, including U.S. restrictions, might apply.
所有员工和合同工均必须充分了解出口管制及经济制裁法律法规如何适用于其工作，并充分地、诚信地，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、数据和信息准确完整，并对上述信息做好文档保存，在不确定哪些要求（包括美国限制）可能适用时，向首席出口合规官（以下简称“CECO”）Lawrence Koh、出口管制合规部或BU合规人员、出口合规委员会提出咨询。

●Before exporting, reexporting, procuring, or otherwise transferring goods, software or technology, or providing related services, the proper export classification(s) of the software or items must be confirmed, and ZTE must confirm that no prior authorization or license is required from the U.S. Government or a non-U.S. government. In this regard, certain products manufactured and/or sold by ZTE are subject to U.S. dual-use export controls. To the extent that prior export authorization is required, ZTE must not provide any services (e.g., testing, repair, return, support, procurement) or export, reexport, or otherwise transfer goods, software, or technology without first obtaining the authorization.
在出口、再出口、采购或以其他方式转移货物、软件或技术之前，或者在提供相关服务之前，必须确认其正确出口分类编码，而且，中兴通讯必须确认上述转移不需要获得美国政府或其他政府的事先授权或许可。部分由中兴通讯制造和/或出售的产品受限于美国军民两用出口管制规定。如果上述转移依赖于事先的出口授权，则中兴通讯在未获得授权之前，不得提供任何服务（例如测试、维修、退回、支持、采购），亦不得出口、再出口或以其他方式转移货物、软件或技术。

●Currently, ZTE will not conduct business with any parties located, headquartered, registered, or operating in countries or regions that are sanctioned by the United States (“Restricted Regions,” currently, Iran, Sudan, Syria, North Korea, Cuba, and Crimea), whether or not U.S.-origin items are involved and whether or not the goods or services are provided to or through these countries. This means that ZTE should not conduct any business with companies from the Restricted Regions as the vendor, order party, bill-to party, consignee, end-user, intermediary, logistics provider, bank, carrier/vessel, or as any other party to the transaction. The only exception is with regard to ZTE’s exit from business in these countries. Any activities related to ZTE’s exit from business in these countries must be reviewed in advance by Koh Sow Koon (Lawrence), CECO, or his designees, for export compliance purposes.
目前，中兴通讯不会与位于、或其总部位于、或注册于或经营地位于受美国制裁的国家或地区（即“受限地区”，现为伊朗、苏丹、叙利亚、朝鲜、古巴和克里米亚地区）的任何当事方开展业务，无论是否涉及美国原产的物品，也无论是向该等国家或地区提供物品或服务，亦或是过境该等国家或地区。这意味着中兴通讯不得与来自受限地区的公司（供应商、订购方、付款方、收货人、最终用户、中间人、物流供应商、银行、承运人/船方或交易的任何其他方）开展任何业务。唯一例外是中兴通讯在该等国家的退出业务。任何与中兴通讯在该等国家退出业务相关的活动，必须事先由CECO（Lawrence Koh）或其指定人员，基于出口合规目的进行审查。

●ZTE does not engage in any business with Restricted Parties, such as parties that are sanctioned by the United States or other governments, including but not limited to those that relate, directly or indirectly, to individuals and entities identified on (i) the OFAC List of Specially Designated Nationals (“SDN”) or (ii) the Denied Persons or Entity Lists maintained by BIS, except activities which are in full compliance and have been reviewed in advance by Koh Sow Koon (Lawrence), CECO, or his designees[ For example, the CECO or his designees may approve a transaction involving a non-EAR item to a party on the Entity List.], including with regard to ZTE’s exit from business with such parties.
中兴通讯不得与任何受美国或其他政府制裁的受限方开展业务，包括但不限于直接或间接与(i)OFAC经管的《特别指定国民清单》（“SDN”）；或(ii)由BIS经管的《被拒绝主体清单》或《实体清单》中指明的个人或实体开展业务，但完全合规，并经CECO（Lawrence Koh）或其指定人员[ 例如，CECO或其指定人员可以批准与实体清单上一方进行的涉及非EAR管辖物项的交易。]
，事先审查的活动除外（包括中兴通讯与该等相关方之间退出业务相关的活动）。

●ZTE employees must exercise appropriate due diligence and follow company procedures established to reduce these risks. Such compliance processes at ZTE include, but are not limited to: entering accurate and complete name and address information in ZTE systems for business partners, including vendors, customers, and other partners, properly classifying ZTE products, understanding all the parties involved, directly or indirectly, in business transactions, screening third parties against Sanctioned Parties Lists, seeking representations, on an export compliance risk basis, from third parties regarding operations or affiliations in Restricted Regions, special scrutiny of transactions in regions posing a heightened risk of diversion to, or involvement of, Restricted Regions (e.g., the Middle East), obtaining end-use or end-user statements when required, and identification of warning signs that indicate an export may be destined to an unlawful end-user or end-use or that a business transaction might involve a Restricted Region or a company on one of the Sanctioned Parties Lists.
中兴通讯员工必须开展尽职调查并遵循公司为降低风险而建立的合规流程。中兴通讯的该等合规流程包括但不限于：在中兴通讯系统中录入商业合作伙伴（包括供应商、客户和其他合作伙伴）准确、完整的名称和地址信息；对中兴通讯产品进行正确分类；了解所有直接或间接参与商业交易的相关方；根据受制裁方清单扫描第三方；基于出口合规风险要求，获取第三方就在受限地区存在的业务或关联方所作的相关陈述；对在高风险（易向受限地区转移或涉及受限地区）地区（比如中东）进行的交易进行特别检查；必要时获得最终用户或最终用途声明；发现显示出口的最终用户、最终用途涉嫌违法或某项商业交易可能涉及受限地区或受制裁方的危险信号。

●Exceptions to this Policy require advance legal advice and guidance from Koh Sow Koon (Lawrence), CECO or his designated delegate.
本政策豁免情形需要事先获得CECO（Lawrence Koh）或其指定代表的法律建议和指导。

●ZTE employees may not publicly comment on the March 2017 Settlement Agreement, March 2017 Plea Agreement, and June 2018 Superseding Settlement Agreement (collectively, “the Settlement Agreements”), the conduct giving rise to the Settlement Agreements, the SCC, the U.S. Court-appointed Monitor, or any other related matter in any public forum, including on any external instant messaging or social media communication platforms without the prior approval of the Export Control Compliance.
在未获得出口管制合规部事先批准的情况下，中兴通讯员工不得就2017年3月签署的《和解协议》、2017年3月签署的《认罪协议》和2018年6月签署的《替代和解协议》（统称，“和解协议”），以及导致《和解协议》的行为、SCC、美国法院指定的监察官，或其他相关事项，在任何公共论坛、包括在任何外部即时通讯或社交媒体通讯平台上公开评论。 

●If you have any questions concerning this Policy or the legality of a particular transaction, please contact immediately Koh Sow Koon (Lawrence)(lawrence.koh@zte.com.cn, +65 8499-9511 (Singapore Mobile), or +86 185-8845-4350 (China Mobile)), and his colleagues at the Export Control Compliance Department. 
如您对本政策或某一特定交易的合法性有任何疑问，请及时联系Lawrence Koh（电子邮箱：lawrence.koh@zte.com.cn，移动电话：+65 8499-9511（新加坡手机）或+86 185-8845-4350（中国手机））及其出口管制合规部的同事。

●Employees and contract employees are required to report any potential export compliance issues or violations. Any reports of potential violations may be made to the Export Control Compliance Department or anonymously, and under no circumstances will any ZTE employee or contract employee be subject to retaliatory action for reporting in good faith an actual or suspected violation.  
员工和合同工必须报告任何潜在的出口合规问题或违规行为。任何潜在违规的报告可直接向出口管制合规部或匿名提出，且在任何情况下，任何中兴员工或合同工均不会因正当举报实际或疑似违规行为而遭受报复。

●Additionally, if a ZTE employee or contract employee has knowledge of potential violations and fails to report such potential violations to the Export Control Compliance Department, he/she may be subject to disciplinary action and/or termination.  
此外，如果中兴通讯员工或合同工知道潜在违规行为但没有向出口管制合规部报告此类潜在违规行为，他/她可能会受到纪律处分和/或遭到解雇。

If you are uncomfortable reporting matters directly to the Export Control Compliance leadership 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领导团队进行举报，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。