Major incident Final report

Near miss with potential for fatality involving risks of level fall and access the confined space.

ALUMAR - So Luis - 161Z September, 3rd, 2003

INDEX

1.0 2.0 3.0 -

SUMMARY BACKGROUND INVESTIGATION PROCESS

3 3 4 4 5 6 6 6 7 7 7 8 8 8 8 8

3.1 - Investigation team 4.0 5.0 EVENTS CRONOLOGY KNOWN FACTORS

5.1 - General Data 5.2 - Personal Data 5.3 - Equipment - Task necessity 5.3.1 Developed Activity - Reactor plenun cleanness 5.4 6.0 7.0 8.0 9.0 Existent preventive measures for the execution of the task

CONTRIBUTIVE FACTORS ROOT CAUSES TAKEN ACTIONS ATTACHMENTS

9.1- Event simulation

1.0 - EXECUTIVE SUMMARY In September, 3rd, 2003 at 4:30 p.m., the 162Z Alumina Distribution specialized mechanical (Robisley Maia Aguiar), moving to the dressing room near the 141F building, looked a person get into the 161-RE-009 reactor plenun in a wrong way. The person was getting into the reactor plenun stepping in its structure beam, without using the elevator platform neither accomplishing the confined space. The reactor plenun is located at approximately 8 meters and its classified as class C confined space. To execute a task in this environmental it is necessary to accomplish the procedures of works in Confined Space and Prevention of fall. In September 4th, 2003 it was identified that the person who was seen get into the plenum reactor was the operator Jos Carlos Saraiva.

2.0 - BACKGROUND Consortium of Aluminum of Maranho - ALUMAR in So Luis, MA, Brazil - it is a consortium formed by Alcoa Alumnio S.A., BHP-Billiton Metals S.A., Aluminum Alcan of Brazil Ltd. and Abalco, and Alcoa manages its operation. A Port, an Alumina Refinery with production of 1.244 MTPY and a Smelter of 380.000 MTPY of aluminum compose the plant. There are 2050 direct employees and 1500 contracted employees approximately at the plant. The ABC area is located in the Smelter and it is responsible for the distribution of Alumina and Bath for the Pot Rooms and for the generation and distribution of air compressed for all the Smelter. In the Alumina Distribution area are located the Reactors A-398 used in the treatment of the Gases generated in the eletrolitics pots. We have a total of 55 reactors, distributed in the following way: 18 reactors in the Line I, 22 reactors in the Line II and 15 reactors in the Line III. The reactor has the function of treating the gases generated in the eletrolitics process. This treatment is done through the adsorption of the existent fluoride in the gas to the Alumina that passes through the reactor. The Alumina that feeds the reactor moves above the deviation perforated plates, through the ones the gas originating from the eletrolitics pots is addressed, passing through the eletrolitics layer. The holes of these plates in the course of time are obstructed and it is necessary to substitute the plates for other clean ones, in other words, other plates with cleared holes. When this activity of plates substitution is done, also is done the cleaning of the reactor plenun. The plenun is the compartment of the reactor that is below the deviation plates. This compartment has restricted access and it is classified as confined space class C.

3.0 - INVESTIGATION PROCESS

3.1 - Investigation team Name Nilson Frazo Ferraz Jos Maurcio Macedo Oder Lima Robson Cunha Jos Carlos Viegas Carlos Augusto Gervsio Wilton de Jesus Sousa Paulo Rodrigues Jos Carlos Saraiva 4.0 - CHRONOLOGY OF THE EVENTS Day 09/03/2003 1. At 3:30 p.m., beginning of the work day shift of the Plates Maintenance Group in the Reactor 161 - RE-009; 2. At 4:20 p.m., the employee Jos Carlos Saraiva receives a private phone call informing that his mother was badly sick; 3. At 4:30 p.m. the elevator platform (zealous) that is used for access to the plenun of the reactors, it presented operational problems; 4. At 4:35 p.m. the electric corrective maintenance group of the Shift was called to correct the problem of the platform; 5. At 4:40 p.m. the Mechanic Robisley Aguiar observes a person accessing the plenun of the Reactor 161-RE-009; 6. At 4:41 p.m. the electrician of the corrective maintenance group begins tests to solve platform problem, without success cause it was not an electric problem; Function Smelter Manager EHS Manager MSVIP Superintendent EHS Superintendent EHS Technical ABC Supervisor ABC Production Foreman EHS Supervisor Smelter Operator

7.

At 4:45 p.m. the operator Luis Sergio Freitas got to adjust the controlling valves of pressure allowing the operation of the platform;

8.

At 4:47 p.m. the group begins the ascent of the platform. When they arrived to plenun access door, the group observed that the operator Jos Carlos Saraiva was already inside of the plenun;

9.

At 4:49 p.m. in spite of the situation to be atypical, the group continued the task of cleaning the plenun;

Day 09/04/2003 1. At 08:30 a.m. the mechanic Robisley Aguiar communicates the fact witnessed to the operation foreman of the area 161Z, Mr. Wilton de Jesus Sousa; 2. The operation foreman waits for the arrival of the referred group, foreseen for the 3:30 p.m. to get an explanation of the situation; 3. At 3:30 p.m. after the arrival of the shift, the operation Foreman, Mr. Wilton de Jesus Sousa identifies that person seen getting into the reactor plenun was the operator Jos Carlos Saraiva; 5.0 - Known Factors 5.1 - General Data Date: 09/03/2003 Time: 4:50 p.m. Local: 161Z Alumina Distribution - Reactors Bank Department: MSVIP/ABC Locality: So Luis - Alumar - Brazil 5.2 - Personal Data Name: Jos Carlos Saraiva Junior Identification number: 203312 Experience at the function: 3 years and 6 months

The employee had been recycled in all of the mandatory norms (fall control, lockout, tagout and verification procedures, confined space) in the second semester of 2002.

5.3 Equipment - Task Necessity 5.3.1- Developed Activity - Cleaning of the Reactor plenun Whenever it is made the Maintenance of Plates of the Reactor, it is also made the cleaning of the plenun. The frequency of the cleaning of the plenun is two years, however due of the total number of reactors in the Smelter (55 reactors) every two weeks it is made a plenun cleaning. 5.4 Existent preventive measures for the execution of the task As the referred task (cleaning of the plenun of the reactor) is executed in an environmental classified as confined space class C, the task is done following all safety countermeasures included in the mandatory standards for works in confined space. We can mention among the measures: Measurement of levels of oxygen and carbon monoxide, before the

people get into the space; Continuous Monitoring of the levels of oxygen and carbon

monoxide in the space confined during the execution of the task; Continuous Presence of the confined space observer during the

execution of the task; The reactor plenun is located approximately to 8 meters above the soil. To access its entrance door the person has to use the people's elevation equipment, once access stairway doesn't exist. This way, during the execution of this task all the safety countermeasures foreseen in the mandatory standards for fall control must be followed. We can mention the obligation of use the elevator platform. 6.0 - CONTRIBUTIVE FACTORS 6.1 - Phone call received by the operator Jose Carlos Saraiva before the beginning of the works. 7.0 - ROOT CAUSE Violation of task execution procedure and mandatory norms of falls prevention and confined space.

8.0 - TAKEN ACTIONS 8.5 - Communication of the occurrence to the leaderships 8.6 - Application of discipline measure to the employee Jose Carlos Saraiva 7.3- Instructions to the others that execute the task 7.4- Deployment of the occurrence for all plant employees 9.0 - ATTACHMENTS 9.1 - Simulation of the event