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Quarterly CECO Newsletter to Business Partners – Q4 2021 首席出口管制合规官致业务合作伙伴的季度通讯稿 – 2021年第四季度
2022-01-18

Quarterly CECO Newsletter to Business Partners – Q4 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 believe that export compliance is conducive to the sustainable business development of you and ZTE. This newsletter describes some of the major efforts we have made over the last year to ensure export control compliance. We believe these compliance construction measures will help to maintain a sound relationship with you.

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过去的一年中为确保出口管制合规所做的一些重大努力,我们相信这些合规建设举措有利于维护与您的稳固关系。

First, in terms of rule navigation, ZTE has developed, by the manual project, a Corporate-Level Export Control Compliance manual and BU-level manuals corresponding to ZTE business features. This manual contains both general compliance principles and scenario-based guidelines, forming a compliance manual family. In 2021, ZTE Corporation guided the operating subsidiaries to complete the development of their own manuals and the establishment of the manual family. At the same time, we have completed annual revision on the released manuals  according to the changes in business practices and external policies and regulations. Through the manuals community of practice, the interaction mechanism among manuals, policies and regulations, and ECP (Export Compliance Project) 8 elements is formed. Next, the ZTE Compliance manual project will promote digital construction, and complete the construction of the export control compliance portal website with the manuals as the core. ZTE is looking forward to more exchanges with you in this field.

首先,在规则引领方面,中兴通讯通过手册项目开发了与自身业务特点相匹配的出口管制合规手册总册以及各业务域分册,既有总的合规原则也有场景化指引,形成了合规手册族系。2021年,中兴通讯股份指导经营型子公司完成了手册的开发,手册族系搭建完成。同时,我们也根据业务实践和外部政策法规的变化对已发布手册做了年度修订,通过手册实践社区形成手册与政策法规、ECP(Export Compliance Project)八要素的互动机制。下一步,中兴通讯合规手册项目将推进数字化建设,完成以手册为核心的出口管制合规门户网站建设,期待与您在这一领域有更多交流。

Secondly, among the four elements of export control (Items, Party, Country, and End Use), ECCN classification of items is an important basic work. Since 2018, ZTE has established a professional ECCN classification expert team. After more than three years of construction, the three-level responsibility structure for export control classification has been established. The personnel who are engaged in ECCN classification shall pass the examination and be certified with the professional qualification certification. Every six months, ZTE will carry out classification expert certification to continuously improve the classification ability of ECCN.Currently, there are over 300 certified classification experts.

其次,在出口管制四要素(物项、主体、国家、最终用途)中,对物项进行ECCN分类是一项重要的基础性工作。中兴通讯自2018年开始建立了专业的ECCN分类专家队伍。通过三年多的建设,目前已建立了出口管制分类三级职责架构。从事ECCN分类工作的人员,需要通过考试并经专业资格认证确认。每半年,我司都会进行分类专家认证,以持续提升ECCN分类专家的分类能力。目前,通过认证的分类专家已有三百余位。

In addition, to establish a first-class compliance system, ZTE has independently developed and designed the Export Compliance Screening System(ECSS)since 2020. The ECSS system can be interconnected with the common systems in the industry and can cover various industry modes. In 2021, the ECSS has been deployed and implemented in four ZTE subsidiaries to help the subsidiaries achieve automatic export compliance management and control, and trained a group of professional teams that are leading the industry. Through the implementation of the ECSS system in the subsidiaries, the accuracy, ease of use and stability of the ECSS are continuously improved, and a professional team that is familiar with the system process and has the ability of export control compliance consulting service is trained. Backed by ZTEC's digital technology product development capabilities and ZTEC's enterprise compliance management experience, We will provide support for the system control of more subsidiaries in 2022.

此外,为了建立一流的合规体系,中兴通讯从2020年开始自主研发设计了出口管制合规扫描系统ECSS。ECSS系统能对接业界常用的系统,并可覆盖各种行业模式。2021年,ECSS已在中兴通讯的四家子公司部署实施,助力子公司实现出口合规的自动化管控,也为子公司培养了一批走在业界前端的出口合规专业队伍。通过ECSS系统在子公司的实施,ECSS的准确性、易用性和稳定性不断提升,培养了一支熟悉系统流程,具备出口管制合规咨询服务能力的专业团队。以中兴通讯股份数字技术产品开发能力为后盾,凭借中兴通讯股份企业合规管理经验,我们将在2022年为更多的子公司系统管控提供支撑。

Finally, in response to the digital transformation demand, with the help of the digital technology product department of the company, Export Control Compliance department and the business units jointly developed the digital risk assessment tools and data platform, applying the data power to the risk assessment management, and performing precise prediction and effective governance before the risk escalation. This tool makes reference to the data extraction and inspection logic of external professional organizations, and fully combines with the company's business models to make the system visualized. Digital forensic analysis has replaced manual operation, and plays an important role in the internalization of the company's capabilities and the improvement of the risk assessment capabilities.

最后,响应数字化转型需求,中兴通讯出口管制合规在公司数字技术产品部门的帮助下,与业务部门一起共同开发了数字化风险评估工具及数据平台,将数据的力量应用于风险评估管理,在风险升级之前对其进行精准预测与有效治理。这个工具参考了外部专业机构的数据提取与检查逻辑,同时也充分结合了公司的业务模式,做到了系统的可视化,用数字化分析代替人工操作,对公司能力的内化与风险评估能力的提高具有重要作用。

 

* * * * *

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。

                                                 

                                 


                                                                                                          Lawrence Koh                           

                                                                                                          许绍勤            


 

 

 

Chief Export Compliance Officer

                                                                                                           首席出口管制合规官        

                                                                                                        ZTE Corporation                                  

                                                                                                             中兴通讯股份有限公司       

                                                                                                Lawrence.koh@zte.com.cn                  

                                                                                                   +65 84999511 (Singapore/新加坡)      

                                                                                                  +86 15768250208 (China/中国)         

 



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