Global Reporting Initiative Index

 

This index was developed to help interested readers compare the information in Alcoa's online sustainability reporting and Annual Report and on our website with the Global Reporting Initiative (GRI) G4 guidelines. We also draw upon criteria from other organizations to frame our sustainability reporting.

 

This report is in accordance with the “core” option of the G4 guidelines.

 

General Standard Disclosures
Indicator
Description
Location
Strategy and Analysis
G4-1 Statement from the most senior decision-maker of the organization about the relevance of sustainability to the organization and its strategy for addressing sustainability. CEO Statement
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CSO Statement
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G4-2 Description of key impacts, risks and opportunities. Risks & Opportunities
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Sustainability Strategy
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Organizational Profile
G4-3 Name of the organization. Alcoa Inc.
G4-4 Primary brands, products, and services. go
G4-5 Location of organization’s headquarters. New York City, USA
G4-6 Number of countries where the organization operates, and names of countries where the organization has significant operations or that are specifically relevant to the sustainability topics covered in the report. go
G4-7 Nature of ownership and legal form. Formed in 1888 under the laws of the Commonwealth of Pennsylvania, Alcoa Inc. is a publicly listed company on the New York Stock Exchange (NYSE ticker symbol: AA)
G4-8 Markets served. go
G4-9 Scale of the reporting organization. Company Overview
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Annual Report (inside front cover)
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G4-10 Employee breakdown by employment type, gender, region, contractors, etc. go
G4-11 Percentage of total employees covered by collective bargaining agreements. go
G4-12 Describe the supply chain. go
G4-13 Significant changes during the reporting period regarding the organization’s size, structure, ownership or supply chain. 2014 Proxy Statement (stock ownership information on pages 26-27)
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G4-14 Whether or how the precautionary approach or principle is addressed by the organization. Alcoa supports the precautionary principle under the United Nations Global Compact. Consistent with that principle, we advocate a risk-based approach to our operations through our extensive management systems.
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G4-15 Externally developed economic, environmental, and social charters, principles, or other initiatives to which the organization subscribes or which it endorses. go
G4-16 Memberships of associations and national or international advocacy organizations in which the organization holds a position on the governance body, participates in projects or committees, provides substantive funding beyond routine membership dues, or views as strategic. Alcoa Stakeholder List
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Climate Protection
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Identified Material Aspects and Boundaries
G4-17 All entities included in the organization’s consolidated financial statements and whether any included entity is not covered by the report. Annual Report (pages 90 and 179)
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All entities included in the consolidated financial statements are included in the sustainability report. Page 90 explains the principles of consolidation, and page 179 includes a list of significant subsidiaries.
G4-18 Process for defining the report content and the aspect boundaries and how the organization has implemented the Reporting Principles for Defining Report Content. go
G4-19 All identified material aspects. go
G4-20 For each material aspect, the boundary within the organization. go
G4-21 For each material aspect, the boundary outside the organization. go
G4-22 The effect of any restatements of information provided in previous reports, and the reasons for such restatements. Provided primarily as footnotes to individual charts where data changed.
G4-23 Significant changes from previous reporting periods in the scope and aspect boundaries. There were no significant changes.
Stakeholder Engagement
G4-24 Stakeholder groups engaged by the organization. Stakeholder Engagement
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Stakeholder List
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G4-25 Basis for identification and selection of stakeholders with whom to engage. We identify stakeholders as those individuals or groups who have an interest in, or influence on, the company.
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G4-26 Approaches to stakeholder engagement, including frequency of engagement by type and by stakeholder group and if undertaken specifically as part of the report preparation process. go
G4-27 Key topics and concerns that have been raised through stakeholder engagement, broken down by stakeholder group, and how the organization has responded to those key topics and concerns, including through its reporting. Stakeholder Engagement
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Report Profile
G4-28 Reporting period. 2013
G4-29 Date of most recent report. 2012
G4-30 Reporting cycle. Annual, with some safety data updated quarterly.
G4-31 Contact point for questions regarding the report or its contents. Jamie Mackay
Director, Global Environmental Compliance & Sustainability
G4-32 In accordance option and GRI content index. Core option.
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G4-33 External assurance. go
Governance
G4-34 Governance structure of the organization. Directors
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Board Committees
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2014 Proxy Statement (pages 17-21)
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G4-35 Process for delegating authority for economic, environmental and social topics from the highest governance body to senior executives and other employees. Public Issues Committee
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Audit Committee
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The Public Issues Committee, comprised solely of independent directors, provides guidance on matters relating to the company’s corporate social responsibility and advises on current and emerging political, social, and environmental issues and developments. Economic matters are overseen by the Audit Committee, which consists solely of independent directors. The Board of Directors authorizes actions to be taken by relevant company personnel as it deems appropriate.
G4-36 Executive-level position(s) with responsibility for economic, environmental and social topics, and whether post holders report directly to the highest governance body. Alcoa’s chairman and CEO, who reports to and is a member of the Board of Directors, has ultimate responsibility for economic, environmental, and social topics.

The chief financial officer is responsible for economic topics, and the executive vice president of human resources and environment, health, safety, and sustainability has responsibility for environmental and social topics. Both report to the chairman and CEO.
G4-37 Processes for consultation between stakeholders and the highest governance body on economic, environmental and social topics. If consultation is delegated, describe to whom and any feedback processes to the highest governance body. Public Issues Committee
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Stakeholder Engagement
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G4-38 Composition of the highest governance body and its committees. Directors
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Board Committees
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G4-39 Report whether the chair of the highest governance body is also an executive officer and, if so, his or her function within the organization’s management and the reasons for this arrangement. 2014 Proxy Statement (pages 17-18)
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The chairman of the board is the chief executive officer of Alcoa.

By serving in both positions, the chairman and CEO is able to draw on his detailed knowledge of the company to provide the board leadership in focusing its discussions and review of the company’s strategy. In addition, a combined role of chairman and CEO ensures that the company presents its message and strategy to its stakeholders with a unified voice. It also allows for efficient decision making and focused accountability.

Alcoa has a strong, independent lead director, and this role provides an appropriate organizational structure for the independent directors to provide independent oversight of management. The lead director reviews agendas for the meetings and presides over executive sessions of the independent directors at each regularly scheduled board meeting.
G4-40 Nomination and selection processes for the highest governance body and its committees. Corporate Governance Guidelines
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Governance and Nominating Committee
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G4-41 Process for the highest governance body to ensure conflicts of interest are avoided and managed and if conflicts of interest are disclosed to stakeholders. Corporate Governance
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Business Conduct Policies
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Related Person Transaction Approval Policy
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Governance and Nominating Committee
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2014 Proxy Statement (pages 22-23)
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G4-42 Highest governance body’s and senior executives’ roles in the development, approval, and updating of the organization’s purpose, value or mission statements, strategies, policies, and goals related to economic, environmental and social impacts. Public Issues Committee
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Audit Committee
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G4-43 Measures taken to develop and enhance the highest governance body’s collective knowledge of economic, environmental and social topics. Public Issues Committee
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Audit Committee
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G4-44 Process for the evaluation of the highest governance body’s performance with respect to governance of economic, environmental and social topics and actions taken in response to such governance. 2014 Proxy Statement (page 19)
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The Board of Directors annually assesses the effectiveness of the full board, the operations of its committees, and the contributions of director nominees.
G4-45 Highest governance body’s role in the identification and management of economic, environmental and social impacts, risks, and opportunities and if stakeholder consultation is used to support this. Public Issues Committee
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Audit Committee
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2014 Proxy Statement (pages 20-21)
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G4-46 Highest governance body’s role in reviewing the effectiveness of the organization’s risk management processes for economic, environmental and social topics. 2014 Proxy Statement (page 18)
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Public Issues Committee
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G4-47 Frequency of the highest governance body’s review of economic, environmental and social impacts, risks, and opportunities. Alcoa’s Board of Directors and its committees review impacts, risks, and opportunities at regularly scheduled board/committee meetings five to six times annually.
G4-48 Highest committee or position that formally reviews and approves the organization’s sustainability report and ensures that all material aspects are covered. go

The draft Sustainability Highlights Report is provided to the Public Issues Committee.
G4-49 Process for communicating critical concerns to the highest governance body. go
G4-50 Nature and total number of critical concerns that were communicated to the highest governance body and the mechanism(s) used to address and resolve them. go
G4-51 Remuneration policies for the highest governance body and senior executives. 2014 Proxy Statement (pages 15-16 and 33-60)
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G4-52 Process for determining remuneration. 2014 Proxy Statement (pages 15-16 and 33-60)
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G4-53 How stakeholders’ views are sought and taken into account regarding remuneration. 2014 Proxy Statement (pages 31-32 and 43)
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Ethics and Integrity
G4-56 Describe the organization’s values, principles, standards and norms of behavior, such as codes of conduct and codes of ethics. Alcoa Values
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Human Rights Policy
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Business Conduct Policies
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Code of Conduct
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Ethics and Compliance Program
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G4-57 Report the internal and external mechanism for seeking advice on ethical and lawful behavior, and matters related to organizational integrity, such as helplines or advice lines. Ethics and Compliance Program
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Integrity Line
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G4-58 Report the internal and external mechanisms for reporting concerns about unethical or unlawful behavior, and matters related to organizational integrity, such as escalation through line management, whistleblowing mechanisms or hotlines. Ethics and Compliance Program
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Integrity Line
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Specific Standard Disclosures
Indicator
Description
Location
Emissions
G4-EN15 Direct greenhouse gas emissions (Scope 1). Climate Protection
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Externally assured
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G4-EN16 Energy indirect greenhouse gas emissions (Scope 2). go
G4-EN17 Other indirect greenhouse gas emissions (Scope 3). go
G4-EN18 Greenhouse gas emissions intensity. go
G4-EN19 Reduction of greenhouse gas emissions. go
G4-EN20 Emissions of ozone-depleting substances. go
G4-EN21 NOx, SOx, and other significant air emissions. go
Energy
G4-EN3 Energy consumption within the organization. go
G4-EN 4 Energy consumption outside of the organization. Transportation
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Building & Construction
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Industrial & Engineered Products
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G4-EN5 Energy intensity. go
G4-EN6 Reduction of energy consumption. go
G4-EN7 Reductions in energy requirements of products and services. Transportation
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Building & Construction
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Industrial & Engineered Products
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Health & Safety
G4-LA5 Percentage of total workforce represented in formal joint management–worker health and safety committees that help monitor and advise on occupational health and safety programs. go
G4-LA6 Type of injury and rates of injury, occupational diseases, lost days, and absenteeism, and total number of work-related fatalities, by region and by gender. Safety
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Health
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Absentee rates are not provided due to the information currently not being collected and compiled on a global basis. A new human capital management system will be implemented globally in 2014 to facilitate data collection.
G4-LA7 Workers with high incidence or high risk of diseases related to their occupation. go

Although the potential for risk exists within our various operations, we implement stringent and comprehensive mitigation and prevention efforts. These include industrial hygiene monitoring, engineering controls, personal protective equipment, ergonomic programs, and medical oversight. In addition, our global wellness program addresses the most important aspects of personal health and well-being.
G4-LA8 Health and safety topics covered in formal agreements with trade unions. go
Economic Performance
G4-EC1 Direct economic value generated and distributed. Economic Performance
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Annual Report
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Countries of operation that are either candidate to or compliant with the Extractive Industries Transparency Initiative are Guinea, Indonesia, Norway, and Trinidad and Tobago.
G4-EC2 Financial implications and other risks and opportunities for the organization’s activities due to climate change. go
G4-EC3 Coverage of the organization’s defined benefit plan obligations. 2013 Annual Report (pages 143-150)
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G4-EC4 Financial assistance received from government. Annual Report (pages 39-40, 120-121, 149)
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2013 Alcoa Form 10-K
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Effluents and Waste
G4-EN22 Total water discharge by quality and destination. go

G4-EN23 Total weight of waste by type and disposal method. go
G4-EN24 Total number and volume of significant spills. go
MM3 Total amounts of overburden, rock, tailings, and sludges and their associated risks. Bauxite Residue
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Mine Rehabilitation
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Our primary residue is bauxite residue. We do not consider overburden and rock as waste since this is used in our mine rehabilitation.
Local Communities
G4-SO1 Percentage of operations with implemented local community engagement, impact assessments and development programs. go
G4-SO2 Operations with significant actual and potential negative impacts on local communities. Potential impacts include:
  • Dusting from the bauxite residue storage areas at all of our refineries.
  • Noise issues associated with many of our locations, especially those in close proximity to communities.
MM6 Number and description of significant disputes relating to land use, customary rights of local communities, and indigenous peoples. go
MM7 The extent to which grievance mechanisms were used to resolve disputes relating to land use, customary rights of local communities and indigenous peoples, and the outcomes. go
Biodiversity
G4-EN11 Operational sites owned, leased, managed in, or adjacent, to protected areas and areas of high biodiversity value outside protected areas. go
G4-EN12 Description of significant impacts of activities, products, and services on biodiversity in protected areas and areas of high biodiversity value outside protected areas. go
G4-EN13 Habitats protected or restored. go
MM1 Amount of land (owned or leased, and managed for productive activities or extractive use) disturbed or rehabilitated. go

MM2 The number and percentage of total sites identified as requiring biodiversity management plans according to stated criteria, and the number (percentage) of those sites with plans in place. go


Sector-Specific Aspects
Artisanal and Small-scale Mining
MM8 Number (and percentage) of company operating sites where artisanal and small scale mining (ASM) takes place on, or adjacent to, the site; the associated risks and the actions taken to manage and mitigate these risks. Due to the minimal artisanal and small-scale mining on Alcoa sites worldwide, there is not a formal corporate policy. Action is taken on a case-by-case basis.
Resettlement
MM9 Sites where resettlements took place, the number of households resettled in each, and how their livelihoods were affected in the process. No resettlements took place in 2013. We are in the process of evaluating resettlement for a potential refinery project in Guinea.
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Closure Planning
MM10 Number and percentage of operations with closure plans. go

Emergency Preparedness
DMA Information on the existence of emergency plans, how they are prepared, and their content. go

Materials Stewardship
MM11 Programs and progress relating to materials stewardship. Recycling
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Product Design
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Safety Data Sheets
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Some GRI descriptions are edited for length. For the complete guidelines, please visit www.globalreporting.org.