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Quarterly CECO Newsletter to Business Partners – Q3 2021 首席出口管制合规官致业务合作伙伴的季度通讯稿 – 2021年第三季度
2021-10-26

Quarterly CECO Newsletter to Business Partners – Q3 2021

首席出口管制合规官致业务合作伙伴的季度通讯稿 – 2021年第季度

Dear Valued Business Partner:

尊敬的业务合作伙伴:

At ZTE, we understand that export compliance benefits both our company and our business partners. This update describes some of our efforts in Q3 2021 to ensure export control compliance and to maintain strong relationships with our business partners.

中兴通讯相信出口合规有利于我们与您的业务的可持续发展。本篇通讯稿介绍了我们在2021年第三季度为确保出口管制合规所做的努力,我们相信这些合规建设举措有利于维护与您的稳固关系。

Track policy changes in a timely manner to efficiently support business development: In this quarter, ZTE has continued to pay close attention to regional situations, analyzed and predicted the impact of possible policy changes on ZTE's business, and prepared plans for business changes in advance. At the same time, the company’s Export Control Compliance Dept. attended the virtual annual meeting of U.S. Department of Commerce, Bureau of Industry and Security in 2021 to learn about the cutting-edge trends of major supervisory authority in US export control, it will help us to better comply with export compliance requirements. For the EU regulations on export control of dual-use items which came into effect in September, the Company also followed changes in the regulation and released interpretations of the regulation.

及时追踪政策变动以高效支撑业务开展:本季度,中兴通讯继续紧密关注地区局势发展,分析预判可能的政策变动对公司业务的影响,提前做好业务变动应对预案。同时,公司出口管制合规部参加了美国商务部工业与安全局(BIS)2021年的线上年会,了解了美国出口管制主要监管机构的前沿动态,这将有助于我们更好地符合出口合规要求。对于欧盟在九月生效的两用物项出口管制相关条例,我们也跟进了该规则变动并发布了政策解读内容。

New achievements in the construction of compliance manuals: Building a compliance manual is an important part of building an effective compliance system. ZTE has been committed to continuously improving the compliance manuals and expanding its influence in the compliance rule system. In this quarter, ZTE further updated the export control compliance clauses of the Corporate-Level Manual, and initiated the annual revision of the Corporate-Level Manual and trained operating subsidiaries on manual development. The "Regulations and Policies" and "Eight Elements of ECP" modules in the manual practice community have been completed, realizing the timely response of the compliance manual to the changes of policies and regulations and the positive interaction between the manual and other compliance elements. Also,we established a mandatory feedback mechanism from risk assessment result to the manual practice community. The performance manner of risk assessment activities, problem detection, and manual revision suggestions shall be fed back to the Export Compliance Manual Project Team in a timely and effective manner through the risk assessment module in the manual practice community. This promotes the bi-directional interaction and exchange between risk assessment project and manual project, and ensures that the compliance management and control in the business process are consistent with the requirements in the compliance manual.

合规手册建设不断取得新进展:做为有效的合规体系建设的重要一环,中兴通讯一直重视不断完善合规手册并提升其在合规规则体系中的影响力。本季度,公司进一步完善更新了合规手册总册中的合规语言部分,同时启动了手册总册的年度修订工作,对经营型子公司的手册开发进行赋能培训。手册实践社区中“法规政策”和“ECP八要素”两个社区已经完成填写,实现了合规手册及时响应政策法规变化以及手册与其他合规要素的良性互动。同时,我们建立了风险评估对手册实践社区的强制性反馈机制,将风险评估活动的实施方式、问题发现和手册修订建议通过风险评估实践社区及时、有效地反馈到出口合规手册项目组,推动风险评估项目与手册项目之间的双向互动和交流,确保业务流程中的合规管控与合规手册中的要求保持一致。

Continuous promotion on export authorization control: In terms of export authorization control, ZTE headquarter dispatched teams to operating subsidiaries to provide guidance on ECCN online publication. Through in-depth understanding of the subsidiary's business processes, ZTE headquarter helped subsidiaries identify weaknesses and optimized them in many aspects, such as organization, process specification, system control, business operation results and training effect verification, to continuously improve the ECCN online publication capacity of subsidiaries and independently build an export control compliance system. In addition, for the management and control of the export authorization system, ZTE has implemented Export Compliance Scan System ( “ECSS” )in two subsidiaries. Through the implementation of the ECSS system, the subsidiary can identify export control compliance risks, train its own export control compliance management expert team and ECSS maintenance team to further improve the export control compliance system. In terms of GTS implementation, the GTS system has been upgraded, and the implementation scope of GTS has been continuously expanded. ZTE's automatic compliance management and control capabilities have been effectively improved.

不断推进出口授权管控:在出口授权管控方面,中兴通讯总部派驻团队到经营型子公司进行ECCN上网发布工作辅导,通过深入了解子公司业务流程,帮助子公司从组织、流程规范、系统管控、业务操作结果及培训实施效果验证等多方面识别弱项并进行优化提升,以持续提升子公司ECCN上网发布能力,独立建设出口管制合规体系。另外,在出口授权系统管控层面,中兴通讯已完成出口合规扫描系统(“ECSS”)在两家子公司的切换上线。通过ECSS系统的实施,可以帮助子公司识别出口管制合规风险,培养子公司自有的出口管制合规管理专家团队与ECSS维护团队,进一步完善出口管制合规体系。GTS实施方面,完成了对GTS系统的升级,并持续扩大GTS的实施范围,中兴通讯自动化合规管控能力得到有效提升。

Carry out external compliance communication actively : ZTE continued to actively carry out research cooperation in the field of compliance and exchange experience in the construction of compliance system with customers and partners globally in this quarter. The company's hierarchical compliance exchanges with important customers and partners around the world are being carried out in an orderly manner, and the compliance and credit enhancement work is further deepened. The company's improved and standardized external compliance communication mechanism has better demonstrated ZTE's excellent compliance corporate image and enhanced the recognition of the company's compliance brand in the industry.

积极开展对外合规交流:中兴通讯在本季度继续积极与国内外客户及合作伙伴开展合规领域的研究合作和合规体系建设经验交流。公司与全球重要客户、合作伙伴的分级合规交流正有序开展,合规增信工作进一步深化。公司完善和规范化的对外合规交流机制,更好地展现了中兴通讯优秀的合规企业形象,增强了公司合规品牌在业界的认可度。

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ZTE thanks our business partners for your consistent support. If you have questions, please do not hesitate to contact ZTE by your point of contact.

中兴通讯感谢各位业务合作伙伴给予的一贯支持。如您有任何疑问,请随时与您的中兴通讯接口人联系。

                                                 

 


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