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2015.YTC整改方案
2015-10-23 15:39  

Corrective Action Plan整改方案计划

Smelter Name

冶炼厂名称

Yunnan Tin Company Limited

云南锡业股份有限公司

Smelter ID

冶炼厂ID

CID002180

Smelter Contact Person

冶炼厂联系人

Wei Yang, Supervisor

杨薇

Audit Date(s)

审计时间

03/02/2015 – 03/03/2015

201532-201533

Audit Type

审计类型

Corrective Action Plan

整改方案计划

Audit Status

审计状态

Extended Corrective Action Plan

延长整改方案计划

 

 

Occasionally there are smelters which are unable to meet the three month deadline for their corrective action plan completion and closure.  In these situations, Conflict Free Smelter Program (CFSP) established a system for working with these smelters under the Extended Corrective Action Plan (CAP) process.  冶炼厂若存在三个月整改期内未能完成整改方案。在这种情况下,无冲突冶炼厂项目(CFSP)建立了与冶炼厂一起完成延长整改方案计划(CAP)流程的体制。

 

Smelters located on the Extended CAP list must have demonstrated a commitment to enter a process that is more transparent than the standard audit process.  Yunnan Tin Company Limited has been placed on the Extended CAP list after agreeing to the following conditions:在延长整改方案计划名单中的冶炼厂必须承诺加入该流程(比标准的审计流程更加透明)。云南锡业股份有限公司同意以下条件后列入延长整改方案计划的名单中。:

 

·  Smelter engages in regular communication with the CFSP

·  冶炼厂同意定期与CFSP交流

·  Senior management commits support for participating in an Extended CAP

·  高级管理层承诺支持参加延长整改方案计划

·  The smelter publishes on its website its corrective action plan

·  冶炼厂在其网页公布改正方案计划

·  The smelter publishes on its own web site a description of its current due diligence process

·  冶炼厂在其网页公布目前尽职调查情况

·  Undergoing a full CFSP audit once the CAP has been implemented

·  整改方案计划完成后开展完整的CSP审计

 

Accordingly, below is Yunnan Tin Company Limited’s Corrective Action Plan and its current status (see Table 1). 以下是云南锡业股份有限公司的整改方案计划及目前的状况(详见表1)。

 

 

 

#

Finding
不符合项

Corrective Actions
整改措施

Preventative Actions
预防措施

Responsibility
责任人

Due Date
完成日期

Updates and Comments
进展与更新

1

Crude tin was purchased from tin smelters that are not CFSP- compliant. 
购买来自没有通过CFSP审计冶炼厂的粗锡
These include
包括:


1. Gejiu Fengming Metallurgy Chemical Plant
个旧凤鸣冶金工厂


2. GuangyangGuida Nonferrous Metal Smelting Company
灌阳贵达有色金属冶炼公司
Only partial origin and transportation documentation was provided for these purchases.
这些物料的购买仅有部分原产地证明及运输单据

1. Require Fengming and Guida to provide the country of origin documents and transportation documents for the products shipped to YTCL.

1. 要求凤鸣和贵达补充与提供给云锡的产品相关的必要的原产地和运输信息的证明文件。

2. Push these two smelters to acquire CFSP certification as soon as possible.

2. 鼓励这两家冶炼厂积极寻求CFSP认证

1. Identify supplier type and material type. 确认供货商类型以及物料类型


2. If material is from a supplying smelter with CFSP: These supplier shall be involved in CFSP, and listed on the CFSP Active and Compliant List.
若物料来自于CFSP的冶炼厂:供应商应加入CFSP项目,并在接受审计和通过审计名单中。


3. If material is from a supplying smelter without CFSP: obtain the following documents:  Certificate of Origin, Mining License, Local Taxes Certificate and Business License
若物料来自于非CFSP的冶炼厂,需要获取的文件:原产地证、采矿证、产地纳税证明以及营业执照。


4. Quality Supervision
Division of Yunnan Tin Company Limited will conduct the internal supervision on purchase and use of Tin raw material based on CFSI requirements. This procedure will be included in the Risk Control Documentation, and will update YTC due diligence procedure. 云南锡业股份有限公司常设监督机构,由质量监督部定期对公司锡原料采购和锡原料使用按照CFSI要求进行内部监督, 并将此项工作流程纳入公司风险控制文件中,并更新YTC尽职调查流程。

Mr. Chen Ping
陈平先生

Mr. Zhang Chengjun
张成俊先生

Mr. Tai Qingquan
庆泉先生

Mr. Wang Yunpeng
汪云鹏先生

Ms. Vera Yang
杨薇女

Oct.30, 2015
2015
1030

Update 1 (Sep 15):
1. Senior Management commits of YTCL will be sent to CFSI before Sep.15, 2015.
1. 锡高级管理人员承诺函于2015915日前提交CFSI

2. Supply Chain Due Diligence for these two smelters will be finished and the report will be provided for technical consultant (Mr. Zhang Bowen) to review before Sep.30, 2015.
2. 2015930日前,完成这两家冶炼厂的尽职调查,并将报告提交给技术支持(张博文先生)审阅。

3. These two smelters stated that they would enter CFSP and accept the audit in August of 2015.
3. 20158月,这两家冶炼厂均表示愿意加入CFSP项目,并接受审计。

4. These two smelters and Yunxiang  Mining and Metallurgy Company (a subsidiary of YT) will finish all the procedures of entering CFSP, and be listed on the Active List before Oct. 30, 2015.
4. 这两家冶炼厂以及云湘矿冶(云锡股份下属子公司)将在20151030日前完成所有加入CFSP项目的程序,并列出接收审计的名单

2

Inadequate system for documenting and tracing internal material transactions (tolled materials) from subsidiary companies.
下属分公司的内部物料交易(代加工物料)的文件及追溯系统不完善。

Tolled materials were not included in Mass Balance and Line Item Summary. 代加工物料没有包含在物料平衡及单项产品汇总表中

1. List the internal transactions materials on the LIS and Mass Balance.
1. 所有接收的含锡来料均应填入单项产品汇总并纳入质量平衡计算

2.
Collect necessary documents to complete the reasonable country of origin inquiry.
2.
搜集必要的证明原产地的相关文件

1. Reinforcing management of internal Materials settlements.
加强内部物料交收管理

2.
Improving calculation method of mass balance.
完善质量平衡计算方法

Mr. Wu Hongxing
红星先生

Mr. Zhang Chi
张弛先生

Mr. Tan Yong
谭勇先生

Mr. Huang Yiping
黄奕平先

Oct.30, 2015
2015
1030

1. Item 1 has already been finished in June of 2015.
第一项已于20156月完成。

2. Ask subsidiaries of YT to provide necessary certificate of origin and transportation documentations.
2. 要求下属工厂提供必要的原产地和运输信息的证明文件以完成验证。

3. Make a plan to identify necessary documentations for different type of suppliers to certify the mineral origin.
3. 制定方案——针对不同类型的供货商所需要提供的矿产原产地的证明文件

 

 

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