Crisis Reporting Policy

This policy applies worldwide to Alcoa and its subsidiaries, affiliates, partnerships, ventures, and other business associations that are effectively controlled by Alcoa, directly or indirectly (together the "Company"), and all directors, officers and employees of the Company.

The Company has developed a Crisis Management Plan (“Plan”) to provide a rapid and strategic-level response to sudden events involving the Company that cause or threaten significant harm to the Company’s human, intellectual, financial, and physical assets, directors, officers and employees (“Personnel”), or its reputation (an “Incident”). The Company’s Crisis Response Team (“CRT”) must be notified of all Reportable Incidents (defined below) to respond consistent with the Plan.

Definitions:

Reportable Incidents (as defined in the Plan):

  • Mass Casualty: Multiple Alcoa Personnel are transported to a hospital for observation or treatment.
  • Cyber breach or attack: Cyber incident that materially affects Alcoa’s computer hardware, software, and data breach.
  • Severe Weather: A natural disaster (hurricane, earthquake, flood, blizzard) or other unforeseen event (chemical spill, fire) that results in or might cause:
    • Evacuation of an Alcoa facility or surrounding community;
    • Significant interruption of operations; or
    • Significant harm to human health or the environment.
  • Utility Outage with Significant Impact: Any power disruption that results in a significant interruption of operations.
  • Non-Criminal Significant Events: Labor demonstration; unscheduled strike, including shut down of site; major health or pandemic alerts; or social-political unrest.
  • Urgent/Emergency Criminal acts: Bomb threat, abduction/kidnap, active shooter, or any significant act of violence. Immediately call the local emergency number: (USA/CAN 911, EU 112, UK 999, AUS 000, Brazil 190, Guinea 122, KSA 999) and report the criminal act to the local authorities. Only after the local authorities have responded and the location is secure should the Crisis Hotline be called to report the incident.
  • Urgent Legal actions: Search warrants and arrest warrants served related to Alcoa. NOTE: When reporting these government inquiries, caller should tell the NGS person answering the call that the issue involves a government investigation.
  • Evacuations: Any situation requiring an evacuation of Alcoa Personnel from a particular location or region of the world due to unforeseen emergencies.
  • Extremist Activity: Any act of terrorism targeting Alcoa or Alcoa Personnel, directly or indirectly.
  • High-Profile Public Information: Reports or remarks critical of, or damaging to, Alcoa business practices or operations issued by journalists from influential news outlets, government officials or a community at large with the potential to cause significant harm to the company.
  • Executive Uncertainty: Sudden death or serious injury or illness to one or more senior executives.
  • Other Significant Event or Potential Event: Any other incident that could have a significant impact on Alcoa.

Requirements:

The Chief Executive Officer (CEO) has responsibility for Alcoa’s response to crises impacting the Company. To assist the CEO, Alcoa’s General Counsel has established and is sponsor of Alcoa’s Crisis Response Team (CRT), a standing, eight-member group of senior-level managers representing functions important in responding to most, if not all, crises that could arise involving Alcoa.

All Personnel must report Reportable Incidents to their local management team. Local management must report the incident as soon as possible (preferably immediately) to the CRT by calling the NGS Crisis Hotline and providing relevant information about the Incident:

1-412-535-5194 and/or +44 203 745 2579

The Reportable Incidents list is not exhaustive and does not include every potential crisis. If you have any question about whether an issue or incident should be reported under the Plan, you should err on the side of caution and report the incident.

(August 2020)