2019年关于出口管制合规的管理层承诺声明

DATE:          6 September 2019

日 期：        2019年9月6日

TO:              Directors, Officers, Employees and Contract Employees

致：             全体董事、管理人员、员工和合同工

SUBJECT:     2019 Export Control Compliance Management Commitment Statement

主题：          2019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 implemented a full range of additional export control compliance measures at our subsidiaries（with majority ownership or control） worldwide and has rolled out extensive 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。在过去一年中，中兴通讯已经在全球拥有多数股权或控制子公司实施了全面的、进一步的出口管制合规措施，并推出了广泛的培训项目。

The Export Compliance Committee— which is the chief organization for ZTE's compliance management—and all ZTE management fully support ZTE's ongoing goal to have a best-in-class export control and sanctions compliance program. This past year, ZTE achieved significant milestones on 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.  
中兴通讯合规管理的主要组织，即出口合规委员会，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，即打造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了里程碑性重大突破，并将继续在此基础上进一步加强其出口合规项目。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 pursuant to the June 8, 2018 Superseding Settlement Agreement. 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”）和美国商务部工业与安全局根据2018年6月8日签署的《替代和解协议》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 2019 Export Control Compliance Policy, and follow and understand the requirements of the 2019 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, procurements, 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), Chief Export Compliance Officer, Export Control Compliance Department, Business Unit Compliance personnel, or the Export Compliance Committee if they are uncertain as to what requirements, including U.S. restrictions, might apply.
请审阅中兴通讯2019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的管辖的美国成分，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，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)、出口管制合规部、BU合规人员或出口合规委员会提出咨询。

Violations of the export control and economic sanctions laws 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 contractor 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 Lawrence Koh, Chief Export Compliance Officer, his colleagues at Export Control Compliance Department, or the Reporting Hotline.
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，或者您就改进合规计划有任何建议，请与首席出口管制合规官Lawrence Koh及其他出口管制合规部同事联系或拨打举报热线。