DATE: 16 September 2021
日期： 2021年9月16日
TO: Directors, Officers, Employees, and Contract Employees
致： 全体董事、管理人员、员工和合同工
SUBJECT: 2021 Export Control Compliance Management Commitment Statement
主题： 2021年关于出口管制合规的管理层承诺声明
ZTE Corporation and its majority owned and controlled subsidiaries (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.
k8凯发通讯股份有限公司及其控股控制子公司（统称“k8凯发通讯”）完全致力于遵守所有可适用的出口管制及制裁法律法规。k8凯发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，k8凯发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.
k8凯发通讯出口合规管理的主要组织，出口合规委员会，以及k8凯发通讯全体管理层将全力支持k8凯发通讯的持续性目标，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，k8凯发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.
k8凯发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k8凯发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k8凯发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 2021 Export Control Compliance Policy, and follow and understand the requirements of the 2021 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. ZTE’s import/export activities are subject to the Export Control Law of the People's Republic of China when certain products are subject to China dual-use controls. In addition, 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 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k8凯发通讯2021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k8凯发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k8凯发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，当某些产品受中国军民两用管制时，k8凯发通讯的进出口活动会受到《中华人民共和国出口管制法》管辖。又如，k8凯发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，包含因美国国家安全/军民两用管制规定而受控的产品。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、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k8凯发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k8凯发通讯声誉遭受损害，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 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，k8凯发通讯一直在为k8凯发的客户、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，k8凯发通讯董事长 徐子阳，k8凯发通讯总裁
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
出口管制合规部主任
|
Global
全球
|
Lawrence.koh
@mofarmer.com
|
China中国: +86 157-6825-0208
Singapore新加坡 +65 8499-9511
|
|
Xie Xianxin
谢贤新
|
Deputy Head of the ECC Department
出口管制合规部副主任
|
Global
全球
|
Xie.xianxin
@mofarmer.com
|
China中国: +86 186-7553-6545
|
|
Wang Songtao
汪松涛
|
Director of Compliance
部长
|
China
中国
|
Wang.songtao
@mofarmer.com
|
China中国: +86 139-2655-9115
|
|
Hu Zhe
胡喆
|
Director of Compliance
部长
|
China
中国
|
Hu.zhe
@mofarmer.com
|
China中国: +86 138-2879-2755
|
|
Deng Yiqian
邓艺乾
|
Director of Compliance
合规总监
|
China
中国
|
Deng.yiqian
@zte.com.cn
|
China中国: +86 150-1280-6330
|
|
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
@mofarmer.com
|
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
@mofarmer.com
|
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
@mofarmer.com
|
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
@mofarmer.com
|
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k8凯发通讯其他举报方式（包括匿名的举报方式）进行举报。
●ZTE Compliance Audit Department k8凯发通讯合规稽查部
Website 网站:
https://www.mofarmer.com/china/whistleblowing/report?(for employees in China)
https://www.mofarmer.com/global/whistleblowing/report?(for employees overseas)
Email 电子邮箱:
Complianceaudit@mofarmer.com
●LCM 法律合规管理系统:
https://lcm.mofarmer.com - 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，k8凯发通讯总部，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:
https://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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