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、员工及合同工
FROM: Li Zixue, Chairman of ZTE
Xu Ziyang, President of ZTE
自： 李自学，糖心logo官网首页董事长
徐子阳，糖心logo官网首页总裁
SUBJECT: 2021 Export Control Compliance Policy
主题： 2021年出口管制合规政策
Export Compliance is critical to the business of ZTE. 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.
ZTE requires employees to work together, including with the Export Control Compliance
Department (“ECC”), and the BU Compliance Team to make ZTE stronger. Export
compliance is everyone’s responsibility.
出口合规对于糖心logo官网首页的业务来说至关重要。合规不仅可以守护价值，还可以创造价值。通过每一位员工对出口合规的奉献和谨慎，糖心logo官网首页一直在为我们的客户、股东和员工创造价值。糖心logo官网首页要求员工与出口管制合规部以及叠鲍合规团队一起合作，将公司建设得更加强大。出口合规是每个人的责任。
I.Management Commitment to ZTE Obligations
滨.管理层对糖心logo官网首页义务的承诺
On June 8, 2018, the U.S. Department of Commerce Bureau of Industry & Security
(“BIS”) approved the Superseding Settlement Agreement (“SSA”)
with ZTE. ZTE also entered into the following joint settlement agreements in March 2017:
(1) Plea Agreement with the U.S. Department of Justice; (2) BIS Settlement Agreement
(which was superseded by the SSA); and (3) Office of Foreign Assets Control (OFAC)
Settlement Agreement.
2018年6月8日，美国商务部工业安全局（叠滨厂）批准了其与糖心logo官网首页达成的替代和解协议（&濒诲辩耻辞;厂厂础&谤诲辩耻辞;）。糖心logo官网首页还于2017年3月签订了以下协议：（1）与美国司法部达成认罪协议；（2）叠滨厂和解协议；（3）外国资产管理办公室（&濒诲辩耻辞;翱贵础颁&谤诲辩耻辞;）和解协议。
It is the policy and commitment of ZTE to cooperate fully with the U.S. Court-appointed
Monitor, James M. Stanton and his team, and the BIS-appointed Special Compliance
Coordinator (“SCC”), Roscoe C. Howard, Jr. and his team. All employees must
fully cooperate with the SCC and Monitor teams under the requirements of the
monitorships.
糖心logo官网首页的政策和承诺是与美国法院指定的监察官James Stanton及其团队以及BIS指定的特别合规协调员（“SCC”）Roscoe C.
Howard，Jr.及其团队充分合作。所有员工应当全面配合SCC以及监察官团队的监管要求。
In addition to the commitments that ZTE has made under the SSA, ZTE has also set a goal,
with self-motivation, of building a world-class export control compliance program based
on industry best practices. This requires work and cooperation by everyone, no matter
whether you are an employee from a business unit, act as a compliance practitioner
within the Company, or are a contract employee of ZTE.
糖心logo官网首页除践行替代和解协议的承诺以外，还主动基于行业最佳实践，将以建设世界一流的出口管制合规项目作为目标。这需要所有人的努力和配合，无论您是业务部门的员工，还是公司内的合规人员，或是糖心logo官网首页的合同工。
II.Management Commitment to Compliance with Export Control Laws
滨滨.管理层对遵守出口管制法律的承诺
It is ZTE policy to comply fully with all local rules and regulations, as applicable,
including restrictions under economic sanctions and export control laws and regulations,
of the countries in which it operates its businesses. Compliance with ZTE’s Export
Compliance Program and the regulations on which it is based is an essential requirement
for ZTE’s employees, contract employees, and businesses.
糖心logo官网首页的政策是完全遵守其开展业务所处国家的可适用的法律法规，包括经济制裁和出口管制法律法规的各项规定。遵从糖心logo官网首页的出口合规项目及其所依据的法规是对糖心logo官网首页员工、合同工和业务部门的基本要求。
Export control regulations include export control laws and regulations of China, the
European Union, the United States, and other countries/regions. As examples, (1) ZTE
makes certain products incorporating U.S. content that are fully subject to the U.S.
export control and economic sanctions regulations, such as the Export Administration
Regulations (“EAR”) administered by the U.S. Commerce Department’s
Bureau of Industry and Security (“BIS”) and economic sanctions regulations
administered by the U.S. Treasury Department’s Office of Foreign Assets Control
(“OFAC”); (2) shipments via Hong Kong should comply with the Import and
Export (Strategic Commodities) Regulations; and (3) shipments via China mainland should
comply with Export Control Law of the People's Republic of China. ZTE is committed to
the compliance of its global businesses with applicable export control and economic
sanctions laws. This Policy generally applies to directors, officers, employees, and
contract employees of ZTE departments, branches, and subsidiaries and affiliates over
which ZTE Corporation has majority ownership or control.
出口管制法律法规包括中国、欧盟、美国和其他国家/地区的出口管制法律法规。例如，（1）糖心logo官网首页制造的特定产物会并入受美国出口管制和经济制裁规定管辖的美国成分，因此需要遵循如BIS经管的《出口管理条例》（“EAR”）和OFAC经管的经济制裁规定；又例如，（2）途径香港的货运需要遵守香港的《进出口（战略物品）规例》;
再如，（3）途径中国大陆的货运需要遵守《中华人民共和国出口管制法》。糖心logo官网首页致力于使其全球业务遵守可适用的出口管制及经济制裁法律法规。本政策适用于糖心logo官网首页控股控制的糖心logo官网首页各部门、分支机构、子公司、和关联公司的董事、管理人员、员工和合同工。
ZTE is also committed to taking steps on an export compliance risk basis to ensure that
transactions undertaken by anyone operating on behalf of ZTE, including agents,
distributors, and resellers are in compliance with applicable export control and
sanctions laws. This commitment extends to promoting compliance on an on-going basis
with terms and conditions of export authorizations.
糖心logo官网首页还承诺基于出口合规风险评估采取措施，以确保代表糖心logo官网首页的任何人（包括代理商，经销商和分销商）进行的交易符合可适用的出口管制及制裁法律法规。上述承诺包括持续推进对出口授权条款和条件的遵守。
Violations of these laws and regulations may result in serious criminal and civil
penalties, including fines, imprisonment, exclusion from the export licensing process,
denial of export privileges and other sanctions which would impact the entire global
business of ZTE. Non-compliance with this Policy, these laws, and the procedures the
Company has established will not be tolerated. Employees who violate this Policy will be
subject to disciplinary action and/or termination.
违反上述法律和法规可能导致严重的刑事和民事处罚，包括罚款、监禁、不得获取出口许可、被剥夺出口特权以及其他可能影响糖心logo官网首页整体全球业务的制裁。公司对违反本政策、违反上述法律法规及公司相关流程的行为零容忍。违反本政策的员工将面临纪律处分和/或遭到解雇。
The Export Compliance Program has our full support and that of the Board of Directors
and the Export Compliance Committee. ZTE is committed to providing sufficient resources
and expertise to ensure continued compliance with applicable export control and
sanctions laws. We understand that compliance creates value, and we ask each of you to
support this effort to create value for ZTE and take your compliance responsibilities
very seriously. The success of ZTE depends on your full cooperation and support of this
critical mission. We will depend on your participation to create value for ZTE.
糖心logo官网首页公司董事会和出口合规委员会对出口合规项目予以全力支持。糖心logo官网首页承诺提供充分的资源和专业支持，以确保持续遵守可适用的出口管制及制裁法律法规。我们理解合规创造价值，我们要求您全力支持这一工作，为糖心logo官网创造价值，并严肃对待您的合规责任。糖心logo官网首页的成功取决于您对这一重要使命的全力配合和支持。您的参与将会为糖心logo官网首页创造价值。
III.Policy Requirements
滨滨滨.政策要求
The ZTE Export Control Compliance Policy requires the following:
糖心logo官网首页出口合规政策要求如下：
●Employees and contract employees must complete a certification regarding compliance
with the Export Control Compliance Policy, unless excused from doing so after review and
approval by ECC.
所有员工和合同工必须完成对于遵守出口管制合规政策的证明的签署，除非经过出口管制合规部的审查和批准而豁免。
●Employees and contract employees must comply with applicable export control and
economic sanctions laws and regulations, as well as all relevant policies and procedures
promulgated by ZTE to ensure compliance.
所有员工和合同工均必须遵守可适用的出口管制及经济制裁法律法规，以及糖心logo官网首页为确保合规颁布的所有相关政策和流程。
●Employees must provide accurate, complete and timely information to the Export Control
Compliance Department, BU Compliance Team, outside counsel, the Monitor, and the SCC. If
employees are aware that inaccurate or misleading information has been provided to
Export Control Compliance Department, BU Compliance Team, outside counsel, the Monitor,
or the SCC, they are required to provide the accurate information or correct any
misleading statements.
所有员工必须向出口管制合规部、叠鲍合规团队、外部顾问、监察官和厂颁颁提供准确、完整和及时的信息。如果员工知悉向出口管制合规部、叠鲍合规团队、外部顾问、监察官、厂颁颁提供的信息存在不准确或误导性，则他们需提供准确信息或更正任何误导性言论。
●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 compliance training; report any 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 Chief Export
Compliance Officer (“CECO”), the Export Control Compliance Department, or BU
Compliance Team if they are uncertain as to what requirements, including U.S.
restrictions, might apply.
所有员工和合同工均必须充分了解出口管制及经济制裁法律法规如何适用于其工作，并充分地、诚信地，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，确保业务文档、记录、数据和信息准确完整，并对上述信息做好文档保存，以及在合适的位置归档，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（&濒诲辩耻辞;颁贰颁翱&谤诲辩耻辞;）、出口管制合规部或叠鲍合规团队提出咨询。
●Before exporting, reexporting, procuring, or otherwise transferring goods, software or
technology, or providing related services, the proper export classification(s) of the
items must be confirmed under due diligence, and ZTE must confirm that no prior
authorization or license is required from any government authority. In this regard, for
example, certain products manufactured and/or sold by ZTE are subject to China and/or
U.S. dual-use export controls. To the extent that prior export authorization is
required, ZTE must not provide any services (e.g., testing, repair, return, support,
procurement) or export, reexport, or otherwise transfer goods, software, or technology
without first obtaining the authorization.
在出口、再出口、采购或以其他方式转移货物、软件或技术之前，或者在提供相关服务之前，必须通过尽职调查确认该物项的正确出口分类，而且，糖心logo官网首页必须确认上述转移不需要获得任何政府机构的事先授权或许可。例如，中国和/或美国的军民两用出口管制规定适用于部分由糖心logo官网首页制造和/或出售的产物。如果上述转移依赖于事先的出口授权，则糖心logo官网首页在未获得授权之前，不得提供任何服务（例如测试、维修、退回、支持、采购），亦不得出口、再出口或以其他方式转移货物、软件或技术。
●Currently, ZTE will not conduct business with any parties located, headquartered,
registered in countries or regions that are sanctioned by the United States
(“Sanctioned Countries/Regions,” currently, Iran, Syria, North Korea, Cuba,
and Crimea), whether or not U.S.-origin items are involved and whether or not the goods
or services are provided to or through these countries/regions. This means that ZTE
should not conduct any business with companies from the Sanctioned Countries/Regions as
the vendor, order party, bill-to party, consignee, end-user, intermediary, logistics
provider, bank, carrier/vessel, or as any other party to the transaction. The only
exception is with regard to ZTE’s exit from business in these countries/regions.
Any activities related to ZTE’s exit from business in these countries/regions must
be reviewed in advance by CECO, or his designees, for export compliance purposes.
目前，糖心logo官网首页不会与位于、或其总部位于、或注册于受美国制裁的国家或地区（&濒诲辩耻辞;受制裁国家/地区&谤诲辩耻辞;，现为伊朗、叙利亚、朝鲜、古巴和克里米亚地区）的任何当事方开展业务，无论是否涉及美国原产物项，也无论是否向该等国家或地区提供货物或服务，亦或是过境该等国家或地区。这意味着糖心logo官网首页不得与来自受制裁国家/地区的公司（供应商、订购方、付款方、收货人、最终用户、中间人、物流供应商、银行、承运人/船方或交易的任何其他方）开展任何业务。唯一例外是糖心logo官网首页在该等国家或者地区的退出业务。任何与糖心logo官网首页在该等国家/地区退出业务相关的活动，必须事先由颁贰颁翱或其指定人员，基于出口合规目的进行审查。
●ZTE does not engage in any business with Restricted Parties, such as parties that are
sanctioned by the United States or other governments, including but not limited to those
that relate, directly or indirectly, to individuals and entities identified on (i) the
OFAC List of Specially Designated Nationals (“SDN”) or (ii) the Denied
Persons or Entity Lists maintained by BIS, except activities which are in full
compliance and have been reviewed in advance by CECO, or his designees For example, the
CECO or his designees may approve a transaction involving a non-EAR item to a party on
the Entity List.
糖心logo官网首页不得与任何受美国或其他政府制裁的受限制主体开展业务，包括但不限于直接或间接与(颈)翱贵础颁经管的《特别指定国民清单》（&濒诲辩耻辞;厂顿狈&谤诲辩耻辞;）；或(颈颈)由叠滨厂经管的《拒绝人员名单》或《实体清单》中指明的个人或实体开展业务，除非完全合规，并经颁贰颁翱或其指定人员事先审查。例如，颁贰颁翱或其指定人员可以批准与实体清单一方进行涉及非贰础搁管辖物项的交易。
●ZTE employees must exercise appropriate due diligence and follow company procedures
established to reduce these risks. Such compliance processes at ZTE include, but are not
limited to: entering accurate and complete name and address information in ZTE systems
for business partners, including vendors, customers, and other partners, properly
classifying ZTE products, understanding all the parties involved, directly or
indirectly, in business transactions, screening known third parties against Restricted
Parties Lists, seeking representations, on an export compliance risk basis and/or due
diligence, from third parties regarding operations or affiliations in Sanctioned
Countries/Regions, special scrutiny of transactions in regions posing a heightened risk
of diversion to, or involvement of, Sanctioned Countries/Regions (e.g., the Middle
East), obtaining end-use or end-user statements when required such as with respect to a
“military end user” and “military-intelligence end user” and
identification of warning signs that indicate an export may be destined to an unlawful
end-user or end-use or that a business transaction might involve a Sanctioned
Countries/Region or a company on one of the Restricted Parties Lists.
糖心logo官网首页员工必须开展尽职调查并遵循公司为降低风险而建立的合规流程。糖心logo官网首页的该等合规流程包括但不限于：在糖心logo官网首页系统中录入商业合作伙伴（包括供应商、客户和其他合作伙伴）准确、完整的名称和地址信息；对糖心logo官网首页产物进行正确分类；了解所有直接或间接参与商业交易的相关方；根据受限制主体清单扫描已知的第叁方；基于出口合规风险原则和/或尽职调查，获取第叁方就在受制裁国家/地区存在的业务或关联方所作的相关陈述；对在高风险（易向受制裁国家/地区转移或涉及受制裁国家/地区）地区（比如中东）进行的交易进行特别检查；必要时获得最终用户或最终用途声明，例如对于&濒诲辩耻辞;军事最终用户&谤诲辩耻辞;和&濒诲辩耻辞;军事情报最终用户&谤诲辩耻辞;；识别出口的最终用户、最终用途涉嫌违法或某项商业交易可能涉及受制裁国家/地区或受限制主体的危险信号。
As previously reported, Sudan is no longer on the list of Sanctioned Countries/Regions
in the ZTE Export Control Compliance Policy. The U.S. Government determined that Sudan
is not a state sponsor of terrorism and revised the EAR, effective January 14, 2021.
These changes to the EAR followed the issuance of a general license by OFAC authorizing
most transactions involving Sudan in January 2017, and the termination of the Sudanese
Sanctions Regulations in October 2017.
-- The Company can sign new contracts and conduct new business involving
Sudan.
-- If a particular project relates to any of the Company’s historical activities
in Sudan and involves any EAR items previously delivered to Sudan without a required EAR
license, these changes to the EAR are not retroactive and historical violations shall
not be exempted without further review; in such cases, a waiver under the EAR may be
required. ECC has been and will continue to work with the Business Units to wind down
the historic business in Sudan such as collection of payments under historic contracts;
payment of vendors or contractors; and the write off of monies owed or related
accounting considerations. Any activities related to ZTE’s historical transactions
in Sudan must be reported to, reviewed and approved in advance by CECO, or his
designees, for export compliance purposes.
正如前期宣贯，苏丹不再是糖心logo官网出口管制合规政策中的&濒诲辩耻辞;受制裁国家/地区&谤诲辩耻辞;列表中的受制裁国家。2021年1月14日，美国政府决定苏丹不再是支持恐怖主义的国家，并相应修订了《出口管理条例》（&濒诲辩耻辞;贰础搁&谤诲辩耻辞;），这些对贰础搁的更改是在外国资产管理办公室（&濒诲辩耻辞;翱贵础颁&谤诲辩耻辞;）于2017年1月签发授权涉及苏丹的大部分交易的一般许可证以及2017年10月终止苏丹制裁条例之后进行的。
-- 公司现在可以签订涉及苏丹的新的合同，开展新的业务。
--
但如果某一项目与公司在苏丹的任何历史活动有关，并且涉及之前向苏丹交付的任何受EAR管辖且未获得相应许可的物项，此类历史违规活动在没有进一步审查前不受本次EAR规则变动的豁免，这种情况可能需要EAR下的额外授权。ECC已经并将继续与各业务单位合作关停苏丹历史业务，包括历史合同下的收款、向供应商或承包商付款、以及欠款核销或相关财务调整。任何与糖心logo官网首页在苏丹的历史交易相关的活动都必须事先向CECO或其指定人员报告、并被审查和批准，以确保出口合规。
●Exceptions to this Policy require advance legal advice and guidance from CECO or his
designated delegate.
本政策豁免情形需要事先获得颁贰颁翱或其指定人员的法律建议和指导。
●ZTE employees may not publicly comment on the March 2017 Settlement Agreement, March
2017 Plea Agreement, and June 2018 Superseding Settlement Agreement (collectively,
“the Settlement Agreements”), the conduct giving rise to the Settlement
Agreements, the SCC, the U.S. Court-appointed Monitor, or any other related matter in
any public forum, including on any external instant messaging or social media
communication platforms without the prior approval of the Export Control Compliance
Department.
在未获得出口管制合规部事先批准的情况下，糖心logo官网首页员工不得就2017年3月签署的《和解协议》、2017年3月签署的《认罪协议》和2018年6月签署的《替代和解协议》（统称，&濒诲辩耻辞;和解协议&谤诲辩耻辞;），以及导致《和解协议》的行为、厂颁颁、美国法院指定的监察官，或其他相关事项，在任何公共论坛、包括在任何外部即时通讯或社交媒体通讯平台上公开评论。
●ZTE employees must fully cooperate with both the SCC and the Monitor teams. ZTE
employees must take requests from the SCC and the Monitor very seriously.
Employees must respond in a truthful, timely and complete manner and in no way interfere
with or impede the monitorships. Employees must timely provide available business
records as requested by the SCC and the Monitor. Fulfilling requests from the SCC and
Monitor quickly, efficiently, and accurately is critical to the ongoing health and
success of ZTE’s business.
糖心logo官网首页应当全面配合厂颁颁以及监察官团队。糖心logo官网首页员工需认真对待厂颁颁以及监察官提出的要求。员工应当诚实、及时、完整进行应答，绝对不得干扰或者阻碍其执行监管。员工必须及时提供厂颁颁以及监察官要求的可适用的业务记录。迅速、高效以及准确完成厂颁颁以及监察官要求，对于糖心logo官网首页业务持续健康、成功发展是必不可少的。
●If you have any questions concerning this Policy or the legality of a particular
transaction, please contact immediately CECO, and his colleagues at the Export Control
Compliance Department.
如您对本政策或某一特定交易的合法性有任何疑问，请及时联系颁贰颁翱及其出口管制合规部的同事。
●Employees and contract employees are required to report any potential export compliance
issues or violations. Any reports of potential violations may be made to the Export
Control Compliance Department, BU Compliance Team, or Compliance Audit Department
anonymously, and under no circumstances will any ZTE employee or contract employee be
subject to retaliatory action for reporting in good faith an actual or suspected
violation.
员工和合同工必须报告任何潜在的出口合规问题或违规行为。任何潜在违规的报告可匿名向出口管制合规部、叠鲍合规团队、合规稽查部提出，且在任何情况下，任何糖心logo官网首页员工或合同工均不会因善意举报实际或疑似违规行为而遭受报复。
●Additionally, if a ZTE employee or contract employee has knowledge of potential
violations and fails to report such potential violations to the Export Control
Compliance Department, BU Compliance Team, or Compliance Audit Department, he/she may be
subject to disciplinary action and/or termination.
此外，如果糖心logo官网首页员工或合同工知道潜在违规行为但没有向出口管制合规部、叠鲍合规团队、合规稽查部报告此类潜在违规行为，他/她可能会受到纪律处分和/或遭到解雇。
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
@zte.com.cn
|
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
@zte.com.cn
|
China中国: +86
186-7553-6545
|
|
Wang Songtao
汪松涛
|
Director of
Compliance
部长
|
China
中国
|
Wang.songtao
@zte.com.cn
|
China中国: +86
139-2655-9115
|
|
Hu Zhe
胡喆
|
Director of
Compliance
部长
|
China
中国
|
Hu.zhe
@zte.com.cn
|
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
@zte.com.cn
|
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
@zte.com.cn
|
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
@zte.com.cn
|
搁耻蝉蝉颈补俄罗斯:
+7 910 472 36 79
|
|
Debbie Mires
|
Director of
Compliance, the Americas
合规总监，美洲
|
The Americas
美洲
|
Debbie.mires
@zte.com.cn
|
鲍厂美国:
+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，您还可以利用糖心logo官网首页其他举报方式（包括匿名的举报方式）进行举报。
●ZTE Compliance Audit Department 糖心logo官网首页合规稽查部
Website 网站:
/content/zte-site/china/www-zte-com-cn/china/whistleblowing/report (for employees
in China)
/content/zte-site/global/www-zte-com-cn/global/index.html/whistleblowing/report
(for employees overseas)
Email 电子邮箱:
Complianceaudit@zte.com.cn
●LCM 法律合规管理系统:
http://lcm.zte.com.cn - 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，糖心logo官网首页总部，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:
http://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，厂颁颁团队也成立了针对合规相关疑问困惑的厂颁颁保密举报计划。您可通过以下途径访问厂颁颁举报计划：
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.
您可发送邮件至搁别辫辞谤迟颈苍驳蔼蝉肠肠1.辞谤驳，向厂颁颁团队举报违规行为或者其他问题。
Li Zixue
Chairman of ZTE Corporation
李自学
糖心logo官网首页董事长
Xu Ziyang
President of ZTE Corporation?
徐子阳
糖心logo官网首页总裁
Addendum to 2021 Export Control Compliance Policy
regarding the Conclusion of the Monitor’s Monitorship
2021年出口管制合规政策有关监察官监察期结束的增补附录
The Company has received a U.S. court order confirming that the term of probation and the
term of the Monitor, James M. Stanton, have ended as scheduled on March 22, 2022 (U.S.
time).
公司已收到美国法院判决，确认公司缓刑期及监察官（“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。
The Special Compliance Coordinator ("SCC"), Roscoe C. Howard, Jr., will continue to
perform his duties as set forth in the June 8, 2018 Superseding Settlement Agreement and
the related order between the Company and the Bureau of Industry and Security under the
U.S. Department of Commerce. The Company will continue to fully cooperate with the SCC
in a proactive, transparent, and supportive manner.
特别合规协调员（“SCC”）Roscoe C. Howard,
Jr将继续履行公司与美国商务部工业与安全局在2018年6月8日签订的《替代和解协议》及相关命令中规定的职责。公司将会继续秉承协作、透明和支持的态度全力配合SCC的工作。
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