1. Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Fatality Prevention in the Workplace Forum Fatality Prevention in the Workplace Forum Alcoa Inc. Best Practices Showcase Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation

2. Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Background 2 Alcoa is the world’s leading producer of primary aluminum and fabricated aluminum, as well as the world's largest miner of bauxite and refiner of alumina. Alcoa employs approximately 61,000 people in 31 countries across the world. We log on average 25 million construction/contracted services hours/year. Alcoa Advancing Each Generation Source: Alcoa Inc.

3. Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Background 3 We have not worked a calendar year without a fatality since 1963. Approximately, 50% of our fatalities have involved contractors and contracted services personnel. Alcoa’s operations represent a diverse and challenging global risk profile. Source: Alcoa Inc. Our risk profile includes: Surface mining operations Chemical process operations Smelting and electrode operations Port, railroad and both fixed wing and rotor aircraft operations Forging, casting and extrusion manufacturing operations Atomized powder operations Hot and cold rolling operations Construction, demolition and environmental remediation Power generation, transmission and distribution operations Fatalities by Region Employee/Contractor AsiaAustraliaEuropeNorth AmericaSouth America 2007002/12/00 2008003/11/00 20091/00/11/000/1 20100002/01/1 2011000/100 2012000/02/00

4. Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Barriers and Enablers 4 Supervision with a widening span of control. Tendency to view people as a constant vs. biggest variable in the equation. Reliance on single-layers of protection where the risk is high, deviation potential is high and ability to observe low. Failure to recognize that fatality exposures exist at the task level. Our perspective of risk is often biased and limited by our own experiences or a narrow band of the experiences of others Our ability and capacity to manage and keep up with the “rate of change at all levels of the organization. Rapid loss of institutional knowledge about historical fatalities and risks Barriers we encountered in our fatality prevention journey. Source: Alcoa Inc.

5. Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Barriers and Enablers 5 It all starts with leadership. - Leadership is emotionally committed. - We made our leaders acutely aware fatality potentials within their sphere of influence. We’ve challenged paradigms and expectations – of “what’s an acceptable risk”. We developed tools to identify and recognize “catastrophic potentials”. - Patterns of latent conditions and at risk actions -Exposures associated with specific time frames -Exposures associated with sources of energy -Exposures where people were likely to be present Enablers that have made a difference in our fatality prevention journey. Source: Alcoa Inc.

6. Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Strategy and Approach 6 Develop a culture to test, reinforce and manage the high risk exposures daily. Developed a specific plan focused on fatality prevention. Fatality Prevention Standard sets the expectation. “We value human life above all else and will manage risks accordingly.” Put processes in place to systemically identify the risks Report, review and analyze past major incidents. Use a risk assessment tool to develop a fatality risk profile. Record identified risks in a Fatality Prevention Database. Risk Assessment Tool Fatality Prevention Data base Flow Chart Source: Alcoa Inc.

7. Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Strategy and Approach 7 Develop a culture to test, reinforce and manage the high risk exposures daily. Empowered Employees (and Contractors) to STOP WORK if an “unacceptable” risk can not be effectively reduced or controlled. Implemented Layers of Protection Improved Causal Factors Analysis Focused on the High Risk Tasks of the Day Human Performance Triggers, Traps, Tools To error is human. Look for it. Plan on it. Defend against it. Institutionalized the Lesson’s Learned Causal Factors Analysis Source: Alcoa Inc. Human Performance Traps and Tools

8. Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Results 8 Progress against rigorous internal standards. Milestones on Our Journey to Zero First calendar year employee fatality –free since 1963. Over 800 employee fatality-free days. Over 400 consecutive fatality-free days. Russia - over 900 fatality-free days. Milestones on Our Journey to Zero First calendar year employee fatality –free since 1963. Over 800 employee fatality-free days. Over 400 consecutive fatality-free days. Russia - over 900 fatality-free days.

9. Sponsored by Indiana University of Pennsylvania Safety Sciences Department in cooperation with Alcoa Foundation Lessons Learned - There is no “silver bullet”. 9 It’s an “emotional” journey. Having a plan (roadmap) is critical. The minute you think you’ve arrived - your vulnerable. Manage the exposures (predictive) not the outcomes. Knowing your risk profile provides focus and direction to the plan. Senior leadership sets the tone and must walk the talk. It does matter! You can’t prevent fatalities without engaging the people who do the work. Developing their hazard recognition and risk assessment skills are essential. Fatalities occur at the task level and are influenced by multiple causal factors. To error is human. Some of your best people are most vulnerable to error. Actively looking for the hidden potentials must be a daily and sustained focus. Relying on a single-layer of protection for high risk tasks makes you vulnerable. Individual perception of risk is often biased and limited by our own experiences. Change management matters at all levels of the organization. We must capture our institutional knowledge about hazards and risks to advance the next generation’s chance for success.