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Quarterly CECO Newsletter to Business Partners – Q4 2022 首席出口管制合规官致业务合作伙伴的季度通讯稿 – 2022年第四季度
2023-01-20

Dear Business Partner:

尊敬的业务合作伙伴:

ZTE believes that export compliance is conducive to our sustainable business development. This newsletter describes some of the major efforts we have made in 2022 to ensure export control compliance. We believe these compliance building initiatives will help manage export control compliance risks and promote the sound development of our business relationship.

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2022年为确保出口管制合规所做的一些主要努力,我们相信这些合规建设举措有助于管控出口管制合规风险,促进我们与您业务关系的稳健发展

Firstly, in terms of the response to the external regulatory changes, ZTE always keeps up with the regulatory changes regarding export control rules due to the changing regional situation, and we would rapidly analyze the impact and implement targeted measures to ensure the business operation always complies with the latest regulatory requirements. For example, regarding the new export controls targeting China’s semiconductor sectors issued in October 2022, we closely tracked the changes, quickly analyzed the sweeping set of rules, and formulated the corresponding management and control. We also communicated closely with our partners regarding the rules and impacts to ensure our stable business cooperation. In terms of building the internal rule system, we continued to build the joint-action mechanism for updating the internal rule system centered around the export control compliance manuals. We have updated the Corporate-Level Manual and BU-Level Manuals for export control compliance, completed the annual revision of the existing ZTE subsidiary's export control compliance Manuals, we also provided guidance for additional subsidiaries on how to compile the manuals. We optimized the export control compliance control points to ensure the Company's business is carried out steadily under clear and definite rules.

首先,在外部规则变动应对方面,中兴通讯始终密切关注地区局势变化所带来的出口管制相关规则变动,并结合自身业务实际,快速完成业务影响分析,实施针对性地管控,以确保业务始终符合外部法规的最新要求。例如,2022年10月份的半导体等领域的相关规则变动,我们紧密跟踪、分析相关规则变动要求,制订相应管控措施,与合作伙伴保持密切沟通,确保我们与您的业务平稳发展。在内部规则体系建设方面,我们继续建设以出口管制合规手册为中心的规则体系联动更新机制。我们刷新了出口管制合规手册公司级总册及各业务分册,完成了子公司出口管制合规手册的年度修订工作,还对新增加的子公司也指导完成手册的编写。同时不断优化出口管制合规管控点,确保公司各项业务在清晰明确的规则指引下稳健开展。

Secondly, in terms of building the export control compliance management and control system, we continued to expand the scope of the system management and control. We incorporated more business screening scenarios into the scope of SAP GTS screening, such as screening the employees of the channel partners, which not only improves the Companys risk control capability but also greatly improve the control efficiency. To further improve the convenience for the users and the efficiency of screening, we have upgraded the screening function to allow entering both English and Chinese names of an organization to be screened, and realized the function to automatically convert Chinese individual names into Chinese phonetic alphabet on mobile terminals, which helps improve the business efficiency. We launched the military end-user systematic management and control solution, which supports the automatic screening against sales, delivery and other business documents to effectively control the compliance risks related to MEU parties. For the self-developed compliance screening system ECSS, we continued to improve its usability and the degree of automation to enhance the functions of ECSS. In addition, we have deployed and implemented ECSS in additional 3 subsidiaries of ZTE, bringing the cumulative number of ECSS-implemented subsidiaries to date to 7. ZTE continued to help subsidiaries achieve systematic management and control for export control compliance and improve their compliance governance capabilities.

其次,在出口管制合规管控系统建设方面,我们继续扩大系统管控范围,将渠道商员工扫描等更多业务场景纳入SAP GTS扫描对接范围,在不断提升GTS风险管控能力的同时也大大提升管控效率。为了进一步提高用户的操作便捷性和扫描效率我们完成了主体扫描组织名称支持中英文录入功能改造,以及移动端的中文个人自动转拼音的功能优化,促进了业务效率的提升。我们完成了军事最终用户管控方案的上线,针对销售、发货等业务单据实现自动化扫描,有效管控MEU主体相关的合规风险。针对自主研发的合规扫描系统ECSS,我们不断改进其产品易用性,提升自动化程度,使ECSS的产品功能更加完善,同时,新增3家中兴通讯子公司完成ECSS部署实施,累计完成7家。中兴持续帮助子公司实现出口管制合规系统化管控,提升子公司合规治理能力。

Finally, in terms of monitorship cooperation, the term of the Monitor ended smoothly in March 2022. At the same time, we continued to collaborate well with the Special Compliance Coordinator (SCC), and organized exchanges between the senior management of ZTE and the SCC regarding the SCC annual audits and the regulatory changes. Through these communications, we actively demonstrated the Companys progress in terms of the compliance program to the SCC, and made quick and professional responses to the concerns of the SCC, to improve the mutual trust in the monitorship cooperation. The SCC has also observed ZTEs compliance efforts and many positive developments.

最后,在监管协同方面,Monitor监管期在2022年3月份已顺利结束。同时我们持续做好与特别合规协调员(SCC)的相关协同工作,组织公司高层与SCC就年度审计、法规变动等进行沟通交流,积极向监管方展示我司的合规建设进展,对监管方的相关关切做出快速专业的回应,以有效提升监管互信。SCC也已观察到公司的合规努力和许多积极的发展。

Strive for success. Looking forward to 2023, ZTE will step into a new stage of development. We will continue to deepen the building of the Company's export control compliance system, continue to improve the systematic control to reduce compliance risks, and ensure our stable and healthy business cooperation.

奋楫笃行,展望2023年,中兴通讯将进入一个新的发展阶段,我们将继续深化公司出口管制合规体系建设,不断提高系统化管控水平,持续降低合规风险,确保我们与您的业务平稳、健康发展。

 

 

 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)      

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