2018年出口管制合规政策

Export Control Compliance Policy

出口管制合规政策

DATE:       7.26, 2018

日期：      2018年7月26日          

TO:          All Directors, Officers, Employees & Contractors

致：         全体董事、管理人员、员工及合同工

FROM:      [], Chairman of ZTE

                 [], President of ZTE

由：           []，中兴公司董事长

                 []，中兴公司总裁

SUBJECT:  2018 Export Control Compliance Policy

主题：      2018年出口管制合规政策

As made clear by the April 15, 2018 Denial Order, export compliance is vital to ZTE. Compliance not only creates value, but it also protects value. Unfortunately, due to the actions of employees who did not follow our Code of Conduct and compliance policies, the Company has suffered. The Denial Order was lifted on July 13, 2018. ZTE can rebuild its value for our customers, shareholders, and employees, through the dedication and vigilance to export compliance of every employee. ZTE requires employees to work with the Export Control Compliance (“ECC”) team to make ZTE stronger. Export compliance is everyone’s responsibility.

 正如2018年4月15日《拒绝令》所明确，出口合规对于中兴公司至关重要。合规不仅可以创造价值，还可以保护价值。遗憾的是，由于某些未遵守公司行为准则和合规政策的员工的行为，致使公司蒙受损失。2018年7月13日，《拒绝令》得以解除。我们相信，通过每一位员工对出口合规的竭诚贡献并对出口合规保持警醒，中兴公司可以为客户、股东和员工重建其价值。中兴公司要求员工与出口管制合规（“ECC”）团队合作，将中兴公司建设地更加强大。出口合规是每个人的责任。

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, contractors, and businesses.

中兴公司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。遵从中兴公司的出口合规项目及其所依据的法规是对中兴公司员工、合同工和业务部门的基本要求。

ZTE is also committed to ensuring that transactions undertaken by anyone operating on behalf of ZTE, including third parties, are in compliance with applicable export control and sanctions laws. This commitment extends to promoting strict compliance on an on-going basis with terms and conditions of export authorizations. 

中兴公司还致力于确保代表中兴公司的任何人（包括第三方）进行的交易符合可适用的出口管制及制裁法律法规。上述承诺包括了持续严格的遵守出口授权条款和条件。

Export control regulations include export control laws and regulations of China, Hong Kong, the European Union, the United States and other countries/regions. As an example, 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"). ZTE is committed to the strict compliance of its global businesses with applicable export control and economic sanctions laws. This Policy applies to all directors, officers, employees, and contractors of all ZTE departments, subsidiaries, and branches.

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，中兴公司因制造产品会使用受美国出口管制和制裁规定管辖的美国部件，上述规定包括美国商务部工业安全局（“BIS”）经管的《出口管理条例》（“EAR”）和美国财政部海外资产管理办公室（“OFAC”）经管的制裁性规定。中兴公司致力于使其全球业务严格遵守可适用的出口管制及制裁法律法规。 本政策适用于中兴通讯股份有限公司各部门、子公司及分支机构的全体董事、管理人员、员工和合同工。

Violations of these laws and regulations will 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将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公司整体全球业务的制裁。公司将零容忍违反本政策、违反上述法律法规及公司相关流程的行为。违反本政策的员工将面临纪律处分和/或解除劳动合同。

The Export Compliance Program has our full support and that of the Board of Directors and the 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. This year, ZTE will be issuing a full range of new export compliance measures, including a revised Compliance Manual. It will also be implementing this Manual at ZTE and all of its subsidiaries worldwide. We will also be implementing additional export compliance training, and we will depend on your participation to create value for ZTE.

中兴公司、公司董事会和合规管理委员会对出口合规项目予以全力支持。中兴公司致力于提供充分的资源和专业支持，以确保继续遵守可适用的出口管制及制裁法律法规。我们深刻理解合规创造价值，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。中兴公司的成功取决于您对这一重要使命的全力配合和支持。今年，中兴公司将发布执行全面的、新的出口管制合规举措，包括经修订的《合规手册》。 中兴公司还将在其全球所有子公司实施该手册。我们还将实施额外的出口合规培训，并依靠您的参与为中兴公司创造价值。

On June 8, 2018, BIS approved the Superseding Settlement Agreement (“SSA”) with ZTE. In addition to continuing to cooperate with the U.S. Court-appointed Monitor, ZTE will fully cooperate with the Special Compliance Coordinator (“SCC”). ZTE has made numerous commitments under the SSA, including but not limited to:

2018年6月8日，BIS批准了其与中兴公司达成的《替代和解协议》（“SSA”）。除了继续与美国法院指定的监察官合作外，中兴公司还将与特别合规协调员（“SCC”）全面合作。中兴公司在SSA下做出了多项承诺，包括但不限于：

●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 program;

  加强内部和外部合规培训项目；

●Export classification of all products to be published;  and

  发布所有产品的出口管制分类代码；以及

●Increased export compliance guidance and procedures. 

  新增出口合规指引和流程。

These commitments require work and cooperation by everyone. 

这些承诺需要每一个人的努力和配合。

The ZTE Export Control Compliance Policy requires the following: 

中兴公司出口管制合规政策要求如下：

●All employees and contractors must complete a certification regarding compliance with the Export Control Compliance Policy. 

  所有员工和合同工均必须完成关于遵守出口管制合规政策的声明。

●All employees and contractors 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制裁法律法规，以及中兴公司颁布的为确保合规的所有相关政策和流程。

●Employees must provide accurate, complete and timely information to ECC personnel, outside counsel, the Monitor, and the SCC. 

  所有员工必须向ECC人员、外部法律顾问、监察官和SCC提供准确、完整和及时的信息。

●All employees and contractors 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 Lawrence Koh, Chief Export Compliance Officer (herein after “CECO”), ECC, or the 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，并在不确定哪些要求（包括美国限制）可能适用时，向Lawrence Koh，首席出口合规官（以下简称“CECO”）、ECC或合规管理委员会提出问题。

●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，必须确认软件或物品的正确出口分类，而且，中兴公司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。部分由中兴公司制造和/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，则中兴公司在未获得授权之前，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 Lawrence Koh, CECO, for export compliance purposes.

  目前，中兴公司不会与位于、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“禁运国”，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，无论是否涉及来自于美国的物品，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。这意味着中兴公司不得与来自禁运国的公司（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。唯一例外是中兴公司在退出与该等国家之间的业务时可以与上述相关方开展业务。任何与中兴公司退出与该等国家之间的业务相关的活动必须由CECO，即Lawrence Koh，提前对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 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 Lawrence Koh, CECO, including with regard to ZTE's exit from business with such parties.

  中兴公司不得与任何受美国或其他政府制裁的相关方开展业务，包括但不限于直接或间接与(i)海外资产管理办公室经管的《特别指定国民清单》；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，但经CECO，即Lawrence Koh，事先审查的活动除外（包括中兴公司退出与该等相关方之间的业务相关的活动）。

●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 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 an Restricted Region or a company on one of the Sanctioned Parties Lists.

  中兴公司员工必须开展尽职调查并遵循公司为降低该等风险而建立的合规流程。中兴公司的该等合规流程包括但不限于：在中兴公司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、完整的姓名和地址信息；对中兴公司产品进行正确分类；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；获取第三方就在禁运国存在的业务或关联方所作的相关陈述；对在高风险（易向禁运国转移或涉及禁运国）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禁运国或受制裁方的危险信号。

●Exceptions to this Policy require advance legal advice and guidance from Lawrence Koh, CECO or his designated delegate.

  本政策豁免情形需要事先获得CECO，即Lawrence Koh，或其指定代表的法律建议和指导。

●ZTE employees may not publicly comment on the Settlement Agreement, the conduct giving rise to the Settlement Agreement, or any other related matter on internal (or external) instant messaging communication platforms without the prior approval of the ECC.

  在未获得ECC部门事先批准的情况下，中兴公司员工不得就《和解协议》、导致《和解协议》的行为或其他相关事项在内（外）部即时通讯平台上公开发表意见。

●If you have any questions concerning this Policy or the legality of a particular transaction, please contact immediately Lawrence Koh (lawrence.koh@zte.com.cn, +65 8499-9511 (Singapore Mobile), or +86 185-8845-4350 (China Mobile)), and his colleagues at the ECC 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（新加坡移动）或+86 185-8845-4350（中国移动））及其ECC部门的同事。

●All employees and contractors are required to report any potential export compliance issues or violations.  Any reports of potential violations may be made to the ECC Department or anonymously, and under no circumstances will any ZTE employee or contractor be subject to retaliatory action for reporting in good faith an actual or suspected violation.  

  所有员工和合同工，在遇到任何潜在的出口合规问题或违规行为时需要进行举报。中兴公司员工和合同工可直接向ECC部门举报潜在违规行为或匿名举报潜在违规行为，且在任何情况下均不会因正当举报实际发生或疑似发生的违规行为而遭受报复行为。

                                                         Selected ECC Points of Contact

                                                                  部分ECC部门联络人

                                                         Reporting Hotline

                                                                举报热线

If you are uncomfortable reporting matters directly to the ECC 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ECC领导团队进行举报，您还可以利用中兴公司其他举报方式（包括匿名的举报方式）进行举报。

Email:  complianceaudit@zte.com.cn

电子邮件：complianceaudit@zte.com.cn

Website:  www.zte.com.cn

网址：www.zte.com.cn

Phone:  400-830-8330    +86 755 26771706

电话：400-830-8330    +86 755 26771706

[], President of ZTE                      [], Chairman of ZTE

[]，中兴公司总裁                           []，中兴公司董事长