DATE: 15 September 2022
日期： 2022年9月15日
TO: Directors,
Officers, Employees, and Contract Employees
致： 全体董事、管理人员、员工和合同工
FROM: Li Zixue, Chairman of ZTE Corporation
Xu Ziyang, President of ZTE
Corporation
自： 李自学，k8凯发通讯股份有限公司董事长
徐子阳，k8凯发通讯股份有限公司总裁
SUBJECT: 2022 Export Control Compliance Management Commitment
Statement
主题： 2022年关于出口管制合规的管理层承诺声明
ZTE Corporation and its majority owned or controlled subsidiaries and affiliates
(collectively, "ZTE") are fully committed to compliance with all applicable export control
and economic sanctions laws and regulations. ZTE has committed and will continue to commit
substantial resources to ensure compliance with applicable export control and economic
sanctions laws and regulations around the world. Throughout this past year, ZTE has
continued to expand its Export Compliance Program, including initiating new projects to
implement enhanced compliance measures and providing additional internal and external
training programs.
k8凯发通讯股份有限公司及其控股或控制子公司和附属机构（统称“k8凯发通讯”）完全致力于遵守所有可适用的出口管制和经济制裁法律法规。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和经济制裁法律法规。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 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合规项目。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。每一位员工都有责任为此项工作提供全力支持。
ZTE's Export Compliance Program will continue to be subject to audits, monitoring and
assessments (including regular announced and unannounced site visits), by the Special
Compliance Coordinator ("SCC"), appointed by the U.S. Department of Commerce, Bureau of
Industry and Security[ The term of the Monitor, James M. Stanton, ended as scheduled on
March 22, 2022 (U.S. time).]. Any failure to fully comply with ZTE's Export Control
Compliance Policy and Management Commitment Statements regarding cooperation and honesty
with the Export Control Compliance Department (“ECC”) or the SCC 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）[
监察官（“Monitor”）James M.
Stanton的任期已于原定的2022年3月22日（美国时间）届满结束。]。任何未能遵守k8凯发通讯的《出口管制合规政策》和《管理层承诺声明》中有关于与出口管制合规部(“ECC”)、SCC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 2022 Export Control Compliance Policy, and understand and follow the
requirements of the Policy. All directors, officers, employees and contract employees
must comply with all applicable export control and economic 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 laws and regulations or policies by any individual or entity on behalf
of ZTE. For example, ZTE’s import and 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 controlled by the U.S. export control and economic sanctions laws and
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 and regulations apply to the
work that they do, participate fully and in good faith in all applicable compliance
training, report any actual or potential compliance issues or violations to the
appropriate compliance personnel, ensure that business documents, records, data and
information are accurate and complete and that required records are maintained and filed
in the proper locations, and ask questions of BU Compliance Team, ECC or the Chief
Export Compliance Officer (“CECO”) if they are uncertain as to what requirements might
apply.
请审阅《2022年k8凯发通讯出口管制合规政策》，理解并遵循该政策的要求。所有董事、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经济制裁法律法规以及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，任何个人或实体均不得代表k8凯发通讯在违反法律法规或政策的情况下开展出口、再出口或转移（国内）活动。例如，当特定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法律法规管控的美国成分，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法规如何适用于其工作，充分地、诚信地参与所有适用的合规培训，向适当的合规人员报告任何实际或潜在的合规问题或违规行为，确保业务文档、记录、数据和信息准确完整，并对上述信息做好记录保存，以及在合适的位置归档，同时在不确定哪些要求可能适用时，向BU合规团队、出口管制合规部或首席出口管制合规官（“CECO”）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, or re-imposition of the
Suspended Denial Order as well as damage to ZTE's and the individual’s reputation.
Anyone found to be in violation of the laws and regulations or policies will be subject
to disciplinary actions by the Company, up to and including termination, in addition to
legal responsibilities.
违反出口管制和经济制裁法律法规将为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，或者暂停的《拒绝令》被重新实施，同时使k8凯发通讯和个人的声誉遭受损害。任何人如若被发现违反法律法规或政策，除需要承担法律责任外，还将受到公司的纪律处分，最高处分可至开除。
Compliance not only protects value, but it also creates value.
ZTE has been building its value for its customers, shareholders, and employees, through
the dedication and vigilance to export compliance of every individual. We ask each of
you to continue to take this matter very seriously and to continue to report all export
compliance concerns, questions, actual or potential violations that you identify. If you
have any questions concerning potential violations, procedural uncertainties, or if you
have suggestions to improve our Export Compliance Program, please contact BU Compliance
Team, ECC, the CECO, Compliance Audit Department, and/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。通过每个人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。请您务必持续严肃地对待此事，并上报您所发现的任何出口合规问题、疑问、实际或潜在违规行为。如果您就潜在违规行为、流程不确定性有任何疑问，或者您就改进出口合规项目有任何建议，请联系BU合规团队、出口管制合规部、首席出口管制合规官、合规稽查部，和/或通过本声明附录中列出的其他合规举报途径。
Li Zixue
Chairman of ZTE Corporation
李自学
k8凯发通讯股份有限公司董事长
Xu Ziyang
President of ZTE Corporation
徐子阳
k8凯发通讯股份有限公司总裁
Appendix
附录
Selected Export Control Compliance Department
Points of Contact
出口管制合规部主要联络人
|
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 ECC
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 and the Americas
中国和美洲
|
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
|
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
中东和非洲，合规总监
|
Middle East and Africa
中东和非洲
|
Mfundisi.ncube
@mofarmer.com
|
UAE阿联酋: +971 52 82 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 and Russia
欧洲和俄罗斯
|
Dovgulya.sergei
@mofarmer.com
|
Russia俄罗斯:
+7 91 472 36 79
|
Compliance Reporting
Options
合规举报途径
If you are uncomfortable reporting matters directly to ECC or BU compliance 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部或BU合规团队进行举报，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://m.mofarmer.com/china/whistleblowing/report (for employees in China)
https://m.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
https://lcm.mofarmer.com - 合规稽查 - 违规线索报告
●Letter/Visit 信函/亲临:
Compliance Audit Dept., ZTE R&D Building, 55 Hi-Tech South Road, Nanshan
District, Shenzhen
深圳南山区科技南路55号，k8凯发通讯研发大楼，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 actual or
potential violations, the SCC team has also established the Special Compliance
Coordinator Confidential Reporting Program for export compliance-related questions and
concerns. The SCC reporting program can be accessed through:
除上述针对实际或潜在违规举报途径以外，SCC团队也成立了针对出口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://sccforzte.ethicspoint.com
or by calling the independent Compliance Reporting Line at +1-202-831-6700.
或通过拨打独立的合规举报热线+1-202-831-6700。
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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