2018年11月致业务合作伙伴之出口合规函

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

ZTE is updating and enhancing its export compliance program.  ZTE is committed to ensuring export compliance and preventing any future problems for the Company or our business partners.  
中兴公司正在继续更新及加强其出口合规项目。中兴公司致力于确保出口合规以防止公司或我们的业务合作伙伴以后出现任何问题。

●Our Senior Management Commitment to Compliance: President Xu Ziyang and other senior executives have issued and continue to issue statements to express senior management’s full commitment to export controls compliance.   This commitment is shared by leaders of our business units. 
我司高级管理层合规承诺：徐子阳总裁及其他高管已经发表声明并会继续发表声明，以表达高级管理层对出口管制合规的充分承诺。我们各业务部门的领导也共同承诺同样的内容。  

●Enhancing our Curriculum of Export Controls Training:  ZTE has provided extensive training and will increase its training on export controls to its employees. ZTE is developing several new training courses on export controls. All employees must complete a “General Awareness” course. Some employees also may be required to complete one or more courses based upon their job function and level. Special courses on export controls compliance have been and are being developed by function and other topics, such as: 
加强我司出口管制培训课程：中兴公司已提供了广泛的培训并会增加对其员工的出口管制培训。中兴公司正在开发多款新的出口管制培训课程。所有员工都必须完成“全员合规意识培训”课程。某些员工可能还需要根据其工作职能和级别完成一门或多门课程。关于出口管制合规的特别课程已经且正在按功能等课题进行开发，例如：  

    o Middle Management Responsibilities 
       中级管理层职责

    o Senior Management and Executive Responsibilities 
       高级管理层和高管职责

    o After Sales
       售后

    o Audit 
       稽查

    o Export Classification 
       出口分类 

    o Finance 
       财务

    o Human Resources 

       人力资源

    o Legal 
       法律

    o Logistics 
       物流

    o Procurement 
       采购

    o Research & Development 
       研发

    o Restricted Party Screening 
       受限制方扫描 

    o Sales & Marketing 

       销售与营销

    o Using the Export Controls Manual 
       使用出口管制手册

●Export Compliance Forum:  ZTE export compliance professionals have presented at several conferences in China.  For example, ZTE made a presentation on export control compliance at a MOFCOM symposium in September 2018. 
出口合规论坛：中兴公司出口合规专家已在中国的多场会议上发表演讲。例如，中兴公司于2018年9月在商务部的一场研讨会上做了关于出口管制合规的演讲。

●Export Compliance Procedures at ZTE Subsidiaries. ZTE has been enhancing export controls procedures at its subsidiaries in China and globally.  ZTE conducted training and outreach to over 200 subsidiaries and offices. 
中兴公司子公司的出口合规流程。中兴公司一直在加强其在中国和全球的子公司的出口管制流程。中兴公司对200多家子公司和办事处进行了培训和宣传。

●Export Screening and Automation:  The U.S. Government encourages the use of automated screening processes. ZTE’s innovative Restricted Party List screening tools enable the ZTE Group to conduct automated screening of business partners on a regular basis across multiple operational, financial and communication platforms.  Building upon SAP-Global Trade Services data and tools, we are able to screen business partners against a large number of sanctions lists, such as those used by the United States, Europe, Japan and the United Nations. 
出口扫描和自动化：美国政府鼓励使用自动扫描程序。中兴公司创新的受限制方清单扫描工具使中兴集团能够在多个运营、财务和通信平台上定期对业务合作伙伴进行自动扫描。基于SAP-Global Trade Services数据和工具，我们能够针对大量制裁名单，例如美国、欧洲、日本和联合国所使用的制裁名单，对业务合作伙伴进行扫描。  

●Communication with Business Partners: ZTE continues to work with its business partners to collect Export Control Classification Numbers (“ECCNs”) and related classification information to ensure export compliance in our supply chain and distribution channels.  ZTE looks forward to continuing our compliance dialogue with our partners. 
与业务合作伙伴的沟通：中兴公司继续与其业务合作伙伴合作，收集出口管制分类编码（“ECCN”）及相关分类信息，以确保我们的供应链和分销渠道符合出口要求。中兴公司期待继续与合作伙伴进行合规方面的对话。   

●ZTE Continues to Cooperate with the Special Compliance Coordinator (“SCC”) and the Monitor: ZTE continues to cooperate with the SCC, Roscoe Howard Jr., and its Monitor, James M. Stanton.  ZTE will continue to implement recommendations from the SCC and the Monitor on our export compliance program.  The SCC and Monitor teams have conducted outreach with numerous ZTE sites and have participated in ZTE trainings and meetings at locations worldwide. 
中兴公司继续与特别合规协调员（“SCC”）和监察官合作：中兴公司继续与SCC，即Roscoe Howard Jr.及监察官James M. Stanton合作。中兴公司将继续实施SCC和监察官就我们的出口合规项目提出的建议。SCC和监察官团队已经走访了许多中兴公司的场所，并参与了中兴公司在全球各地举办的培训和会议。 

●Obligations under the Superseding Settlement Agreement (“SSA”): ZTE continues to fulfill and make progress on its obligations under the SSA, including the submission of various reports to the Bureau of Industry and Security of the U.S. Department of Commerce (“BIS”).  In September 2018, ZTE submitted two reports to BIS regarding the ownership and control of ZTE.  ZTE also submitted a report to SCC of ZTE’s compliance expenditures on November 1, 2018.  ZTE continues to work towards the completion of its other obligations under the SSA through various projects, such as training, export classification projects and compliance enhancement programs for its subsidiaries. 
替代和解协议下（“SSA”）的义务：中兴公司继续履行其在SSA下的义务并取得进展，包括向美国商务部工业安全局（“BIS”）提交各种报告。2018年9月，中兴公司向BIS提交了两份关于中兴公司所有权和控制权的报告。中兴公司还于2018年11月1日向SCC提交了公司合规支出报告。中兴公司继续通过各种项目，如培训、出口分类项目和子公司合规增强项目，完成其在SSA下的其他义务。 


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ZTE thanks our business partners on for their continued support. If you have questions, please do not hesitate to contact ZTE at complianceaudit@zte.com.cn or 400-830-8330 or +86 755 26771706. 
中兴公司感谢业务合作伙伴提供的持续支持。如果您有任何疑问，请随时通过complianceaudit@zte.com.cn或400-830-8330或+86 755 26771706与中兴公司联系。

                                                                                                                                   Lawrence Koh