HomeMy WebLinkAboutNCD003162542_Badin Business Park_Permit_20180628
RCRA PERMIT APPLICATION RENEWAL
FOR THE
BADIN BUSINESS PARK
(f/k/a ALCOA-BADIN WORKS)
EPA ID: NCD 003 162 542
BADIN, NORTH CAROLINA
Original: February 19, 2016
Revision 2: June 20, 2018
Prepared for:
Badin Business Park LLC
201 Isabella Street
Pittsburgh, Pennsylvania 15212
Prepared by:
ENVIRONEERING, INC.
16100 Cairnway, Suite 320
Houston, Texas 77084
832-674-8800
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
TABLE OF CONTENTS
A. APPLICATION........................................................................................................................... A-1
B. FACILITY DESCRIPTION ...................................................................................................... B-1
B-1 GENERAL DESCRIPTION .......................................................................................... B-1
B-2 TOPOGRAPHIC MAP .................................................................................................. B-1
B-2a General Requirements ........................................................................................... B-1
B-2b Additional Topographic Requirements for Land Storage, Treatment and Disposal
Facilities ................................................................................................................ B-3
B-3 TRAFFIC INFORMATION .......................................................................................... B-3
B-3a Estimated Volume ................................................................................................. B-3
B-3b Traffic Pattern ....................................................................................................... B-3
B-3c Traffic Control ...................................................................................................... B-3
B-3d Access Road(s) Surfacing and Load-Bearing Capacity ........................................ B-4
B-4 LOCATION INFORMATION ...................................................................................... B-4
B-4a Seismic Considerations ......................................................................................... B-4
B-4b Floodplain Standard .............................................................................................. B-4
B-4c Additional North Carolina Location Standards .................................................... B-4
E. GROUNDWATER MONITORING ......................................................................................... E-1
F. PROCEDURES TO PREVENT HAZARDS ........................................................................... F-1
F-1 SECURITY ...................................................................................................................... F-1
F-1a Security Procedures and Equipment ..................................................................... F-1
F-1b Waiver ................................................................................................................... F-2
F-2 INSPECTION SCHEDULE ........................................................................................... F-2
F-2a General Inspection Requirements ......................................................................... F-2
F-2b Facility Inspection Requirements ......................................................................... F-3
F-2c Specific Process Inspection Requirements ........................................................... F-3
F-2d Remedial Action ................................................................................................... F-3
F-2e Inspection Log ...................................................................................................... F-5
F-3 WAIVER OF PREPAREDNESS AND PREVENTION REQUIREMENTS ........... F-5
F-3a Equipment Requirements ...................................................................................... F-5
F-3b Aisle Space Requirement ...................................................................................... F-6
F-4 PREVENTIVE PROCEDURES, STRUCTURES, AND EQUIPMENT .................. F-6
F-4a Unloading Operations ........................................................................................... F-6
F-4b Run-Off ................................................................................................................. F-6
F-4c Water Supplies ...................................................................................................... F-6
F-4d Equipment and Power Failure ............................................................................... F-7
F-4e Personnel Protection Equipment ........................................................................... F-7
F-4f Ventilation Equipment .......................................................................................... F-7
F-5 PREVENTION OF REACTION OF IGNITABLE, REACTIVE, AND
INCOMPATIBLE WASTES ......................................................................................... F-7
I. FINANCIAL ASSURANCE ...................................................................................................... I-1
J. OTHER FEDERAL LAWS ....................................................................................................... J-1
J-1 WILD AND SCENIC RIVERS ACT ............................................................................ J-1
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
J-2 NATIONAL HISTORIC PRESERVATION ACT OF 1966 ...................................... J-1
J-3 ENDANGERED SPECIES ACT ................................................................................... J-1
J-4 COASTAL ZONE MANAGEMENT ACT .................................................................. J-1
J-5 FISH AND WILDLIFE COORDINATION ACT ....................................................... J-1
K. CERTIFICATION ...................................................................................................................... K-1
L. INFORMATION REQUIRED FOR SOLID WASTE MANAGEMENT UNITS ............... L-1
L-1 MINIMUM REQUIREMENTS FOR SOLID WASTE MANAGEMENT UNITS
(SWMUS) AND AREAS OF CONCERN (AOCS) ...................................................... L-3
L-1a Solid Waste Management Units and Areas of Concern ........................................ L-3
L-1b Information Pertaining to Releases ....................................................................... L-10
L-1c Sampling and Analysis ......................................................................................... L-11
N. SUBSTANTIAL COMPLIANCE AND FINANCIAL QUALIFICATION .......................... N-1
N-1 GENERAL INFORMATION ........................................................................................ N-1
N-2 SUBSTANTIAL COMPLIANCE.................................................................................. N-4
N-2a In-state facilities .................................................................................................... N-4
N-2b Out-of-state facilities ............................................................................................ N-4
N-3 FINANCIAL QUALIFICATIONS ............................................................................... N-5
N-4 JUSTIFICATION OF NEED......................................................................................... N-5
LIST OF TABLES
Table L-1 SWMU/AOC Summary Table ............................................................................................... L-1
Table N-1 Badin Business Park LLC Officers ....................................................................................... N-1
Table N-2 Alcoa USA Corp Officers ..................................................................................................... N-1
Table N-3 Alcoa Corporation Officers................................................................................................... N-2
Table N-4 Alcoa Corporation Facilities ................................................................................................. N-3
LIST OF FIGURES
Figure A-1 Facility Topographic Map................................................................................................... A-11
Figure A-2 Facility Map with Waste Management Units ..................................................................... A-12
Figure B-1 Facility Topographic Map..................................................................................................... B-5
Figure B-2 Facility Map with Waste Management Units ....................................................................... B-6
Figure B-3 Excerpt from Stanly County Zoning Map ............................................................................ B-7
Figure B-4 Annual Wind Rose ................................................................................................................ B-8
Figure B-5 Fire Control Facility Map ..................................................................................................... B-9
Figure B-6 Storm Sewer Map ............................................................................................................... B-10
Figure B-7 Sanitary Sewer Map ............................................................................................................ B-11
Figure B-8 Traffic Control Map ............................................................................................................ B-12
Figure B-9 SWMUs and AOCs Requiring Corrective Action .............................................................. B-13
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
LIST OF APPENDICES
Appendix A-1 Legal Boundaries
Appendix B-1 100 Year Flood Plain Map
Appendix I-1 Intent to Provide Financial Assurance
Appendix L-1 RCRA Permitted Units Closure Acceptance Correspondence
Appendix L-2 Excerpt from March 2001 RFI Report
Appendix L-3 Excerpt from January 2013 CMS Report
Appendix N-1 USEPA Environmental Compliance and History Online (ECHO) Reports
Appendix N-2 Financial Statements and Supplementary Data
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
A-1
A. APPLICATION
This section provides the United States Environmental Protection Agency RCRA Subtitle C Site
Identification Form (EPA Form 8700-12) for the purposes of providing a subsequent notification (to
update site identification information for this location) and Hazardous Waste Permit Information Form.
The original EPA Form 8700-12 form was submitted in February 2016. It was anticipated that the legal
owner and operator of the facility would transfer from Alcoa Inc. to the Badin Business Park LLC in late
2016. A revised Form 8700 was originally submitted in September 2016 as notification of the ownership
and site name change. The September 2016 revised Form 8700 expired on 01/31/2017. Part A
application information was updated to the most recent form.
EPA Form 8700‐12, 8700‐13 A/B, 8700‐23 Page __ of __
United States Environmental Protection Agency
RCRA SUBTITLE C SITE IDENTIFICATION FORM
City, Town, or Village County
State Country Zip Code
Street Address
2. Site EPA ID Number
Obtaining or updating an EPA ID number for an on‐going regulated activity that will continue for a period of
time. (Includes HSM activity)
Submitting as a component of the Hazardous Waste Report for __________ (Reporting Year)
Notifying that regulated activity is no longer occurring at this Site
Obtaining or updating an EPA ID number for conducting Electronic Manifest Broker activities
Submitting a new or revised Part A Form
Site was a TSD facility and/or generator of > 1,000 kg of hazardous waste, > 1 kg of acute hazardous
waste, or > 100 kg of acute hazardous waste spill cleanup in one or more months of the reporting year
(or State equivalent LQG regulations)
1. Reason for Submittal (Select only one.)
7. North American Industry Classification System (NAICS) Code(s) for the Site (at least 5‐digit codes)
3. Site Name
4. Site Location Address
6. Site Land Type
Private County District Federal Tribal Municipal State Other
A. (Primary) C.
B. D.
5. Site Mailing Address
Street Address
State Country Zip Code
City, Town, or Village
Same as Location Address
EPA Form 8700‐12, 8700‐13 A/B, 8700‐23 Page __ of __
First Name MI Last Name
Title
Street Address
State Country Zip Code
Email
Phone Ext Fax
City, Town, or Village
8. Site Contact Information
Owner Type
Private County District Federal Tribal Municipal State Other
Street Address
City, Town, or Village
State Country Zip Code
Email
Phone Ext Fax
Comments
9. Legal Owner and Operator of the Site
A. Name of Site’s Legal Owner
B. Name of Site’s Legal Operator
EPA ID Number
Full Name Date Became Operator (mm/dd/yyyy)
Operator Type
Private County District Federal Tribal Municipal State Other
Street Address
City, Town, or Village
State Country Zip Code
Email
Phone Ext Fax
Comments
Same as Location Address
Same as Location Address
Same as Location Address
Full Name Date Became Owner (mm/dd/yyyy)
EPA Form 8700‐12, 8700‐13 A/B, 8700‐23 Page __ of __
10. Type of Regulated Waste Activity (at your site)
Mark “Yes” or “No” for all current activities (as of the date submitting the form); complete any additional boxes as instructed.
A. Hazardous Waste Activities
Y N 1. Generator of Hazardous Waste—If “Yes”, mark only one of the following—a, b, c
a. LQG ‐Generates, in any calendar month (includes quantities imported by importer site)
1,000 kg/mo (2,200 lb/mo) or more of non‐acute hazardous waste; or
‐ Generates, in any calendar month, or accumulates at any time, more than 1 kg/mo
(2.2 lb/mo) of acute hazardous waste; or
‐ Generates, in any calendar month or accumulates at any time, more than 100 kg/mo
(220 lb/mo) of acute hazardous spill cleanup material.
b. SQG 100 to 1,000 kg/mo (220‐2,200 lb/mo) of non‐acute hazardous waste and no more than
1 kg (2.2 lb) of acute hazardous waste and no more than 100 kg (220 lb) of any acute
hazardous spill cleanup material.
c. VSQG Less than or equal to 100 kg/mo (220 lb/mo) of non‐acute hazardous waste.
Y N 2. Short‐Term Generator (generates from a short‐term or one‐time event and not from on‐going
processes). If “Yes”, provide an explanation in the Comments section.
Y N 3. Mixed Waste (hazardous and radioactive) Generator
Y N 4. Treater, Storer or Disposer of Hazardous Waste—Note: A hazardous waste Part B permit is required for
these activities.
Y N 6. Recycler of Hazardous Waste
a. Recycler who stores prior to recycling
b. Recycler who does not store prior to recycling
Y N 7. Exempt Boiler and/or Industrial Furnace—If “Yes”, mark all that apply.
a. Small Quantity On‐site Burner Exemption
b. Smelting, Melting, and Refining Furnace Exemption
Y N 5. Receives Hazardous Waste from Off‐site
EPA ID Number
If “Yes” above, indicate other generator activities in 2 and 3, as applicable.
B. Waste Codes for Federally Regulated Hazardous Wastes. Please list the waste codes of the Federal hazardous wastes
handled at your site. List them in the order they are presented in the regulations (e.g. D001, D003, F007, U112). Use an
additional page if more spaces are needed.
C. Waste Codes for State Regulated (non‐Federal) Hazardous Wastes. Please list the waste codes of the State hazardous
wastes handled at your site. List them in the order they are presented in the regulations. Use an additional page if more
spaces are needed.
EPA Form 8700‐12, 8700‐13 A/B, 8700‐23 Page __ of __
Y N 2. Underground Injection Control
Y N 4. Recognized Trader—If “Yes”, mark all that apply.
a. Importer
b. Exporter
Y N 5. Importer/Exporter of Spent Lead‐Acid Batteries (SLABs) under 40 CFR 266 Subpart G—If “Yes”, mark all
that apply.
a. Importer
b. Exporter
EPA ID Number
11. Additional Regulated Waste Activities (NOTE: Refer to your State regulations to determine if a separate permit is required.)
B. Universal Waste Activities
Y N 1. Large Quantity Handler of Universal Waste (you accumulate 5,000 kg or more) ‐ If “Yes” mark all that
apply. Note: Refer to your State regulations to determine what is regulated.
a. Batteries
b. Pesticides
c. Mercury containing equipment
d. Lamps
f. Other (specify) ______________________________________________
e. Other (specify) ______________________________________________
g. Other (specify) ______________________________________________
Y N 2. Destination Facility for Universal Waste Note: A hazardous waste permit may be required for this
activity.
C. Used Oil Activities
Y N 1. Used Oil Transporter—If “Yes”, mark all that apply.
a. Transporter
b. Transfer Facility (at your site)
Y N 2. Used Oil Processor and/or Re‐refiner—If “Yes”, mark all that apply.
a. Processor
b. Re‐refiner
Y N 3. Off‐Specification Used Oil Burner
Y N 4. Used Oil Fuel Marketer—If “Yes”, mark all that apply.
a. Marketer Who Directs Shipment of Off‐Specification Used Oil to Off‐Specification Used Oil Burner
b. Marketer Who First Claims the Used Oil Meets the Specifications
A. Other Waste Activities
Y N 3. United States Importer of Hazardous Waste
Y N 1. Transporter of Hazardous Waste—If “Yes”, mark all that apply.
a. Transporter
b. Transfer Facility (at your site)
EPA Form 8700‐12, 8700‐13 A/B, 8700‐23 Page __ of __
12. Eligible Academic Entities with Laboratories—Notification for opting into or withdrawing from managing laboratory hazardous
wastes pursuant to 40 CFR 262 Subpart K.
Y N A. Opting into or currently operating under 40 CFR 262 Subpart K for the management of hazardous
wastes in laboratories—If “Yes”, mark all that apply. Note: See the item‐by‐item instructions for defini‐
tions of types of eligible academic entities.
1. College or University
2. Teaching Hospital that is owned by or has a formal written affiliation with a college or university
3. Non‐profit Institute that is owned by or has a formal written affiliation with a college or univer‐
sity Y N B. Withdrawing from 40 CFR 262 Subpart K for the management of hazardous wastes in laboratories.
EPA ID Number
16. Notification of Hazardous Secondary Material (HSM) Activity
Y N A. Are you notifying under 40 CFR 260.42 that you will begin managing, are managing, or will stop manag‐
ing hazardous secondary material under 40 CFR 260.30, 40 CFR 261.4(a)(23), (24), or (27)? If “Yes”, you
must fill out the Addendum to the Site Identification Form for Managing Hazardous Secondary Material.
Y N B. Are you notifying under 40 CFR 260.43(a)(4)(iii) that the product of your recycling process has levels of
hazardous constituents that are not comparable to or unable to be compared to a legitimate product or
intermediate but that the recycling is still legitimate? If “Yes”, you may provide explanation in Comments
section. You must also document that your recycling is still legitimate and maintain that documentation on
site.
17. Electronic Manifest Broker
Y N Are you notifying as a person, as defined in 40 CFR 260.10, electing to use the EPA electronic manifest sys‐
tem to obtain, complete, and transmit an electronic manifest under a contractual relationship with a haz‐
ardous waste generator?
Y N Are you an LQG notifying of consolidating VSQG Hazardous Waste Under the Control of the Same Person
pursuant to 40 CFR 262.17(f)? If “Yes”, you must fill out the Addendum for LQG Consolidation of VSQGs
hazardous waste.
Y N LQG Site Closure of a Central Accumulation Area (CAA) or Entire Facility.
A. Central Accumulation Area (CAA) or Entire Facility
B. Expected closure date: ____________ mm/dd/yyyy
C. Requesting new closure date: ____________ mm/dd/yyyy
D. Date closed : ____________ mm/dd/yyyy
1. In compliance with the closure performance standards 40 CFR 262.17(a)(8)
2. Not in compliance with the closure performance standards 40 CFR 262.17(a)(8)
14. LQG Consolidation of VSQG Hazardous Waste
15. Notification of LQG Site Closure for a Central Accumulation Area (CAA) (optional) OR Entire Facility (required)
Y N Are you an SQG or VSQG generating hazardous waste from a planned or unplanned episodic event, lasting
no more than 60 days, that moves you to a higher generator category. If “Yes”, you must fill out the Ad‐
dendum for Episodic Generator.
13. Episodic Generation
EPA ID Number I N C D O O 3 1 6 2 5 4 2 OMB# 2050-0024; Expires 05/31/2020
18. Comments (include item number for each comment)
This facility ceased operation in 2011, and most of the plant buildings were demolished by the end of
2012.
This is a revised Form 8700 as part of the permit renewal for a Hazardous and Solid Waste
Amendment (HSWA) Post-Closure Permit for the Badin Business Park (f/k/a Alcoa -Badin Works) in
Badin, North Carolina. The original permit renewal was submitted in February 2016.
It was anticipated that the legal owner and operator of the facility would transfer from Alcoa, Inc. to the
Badin Business Park LLC in late 2016. A revised Form 8700 was originallv submitted in Seotember
2016 as notification of the ownershio and site name chanae. The Seotember 2016 revised Form 8700
exoired on 01/31/2017. Part A aoolication information was uodated to the most recent form.
19. Certification I certify under penalty of law that this document and all attachments were prepared under my direction or su-
pervision in accordance with a system designed to assure that qualified personnel properly gather and evaluate the information
submitted. Based on my inquiry of the person or persons who manage the system, or those persons directly responsible for gath-
ering the information, the information submitted is, to the best of my knowledge and belief, true, accurate, and complete. I am
aware that there are significant penalties for submitting false information, including the possibility of fines and imprisonment for
knowing violations. Note: For the RCRA Hazardous Waste Part A permit Application, all owners and operators must sign (see 40
CFR 270.lO(b) and 270.11).
Date (mm/dd/yyyy)
0 ~ 2,()
Signature
Title
Robyn L. Gross Director, Asset Management Americas
Email
robyn.gross@alcoa.com
Signature of legal owner, operator or authorized representative Date (mm/dd/yyyy)
Printed Name (First, Middle Initial Last) Title
Email
EPA Form 8700-12, 8700-13 A/B, 8700-23 Page~ of~
EPA Form 8700‐12, 8700‐13 A/B, 8700‐23 Page __ of __
United States Environmental Protection Agency
HAZARDOUS WASTE PERMIT PART A FORM
1. Facility Permit Contact
Street Address
State Country Zip Code
City, Town, or Village
2. Facility Permit Contact Mailing Address
First Name MI Last Name
Title
Email
Phone Ext Fax
3. Facility Existence Date (mm/dd/yyyy)
4. Other Environmental Permits
A. Permit Type B. Permit Number C. Description
5. Nature of Business
EPA ID Number
EPA Form 8700‐12, 8700‐13 A/B, 8700‐23 Page __ of __
6. Process Codes and Design Capacities
Line
Number
A. Process Code
B. Process Design Capacity C. Process Total
Number of Units (1) Amount (2) Unit of
Measure
D. Unit Name
EPA ID Number
Line No.
A. EPA Hazardous
Waste No.
B. Estimated
Annual
Qty of
Waste
C. Unit of
Measure
D. Processes
(1) Process Codes
(2) Process Description
(if code is not entered in 7.D1))
7. Description of Hazardous Wastes (Enter codes for Items 7.A, 7.C and 7.D(1) )
8. Map
Attach to this application a topographical map, or other equivalent map, of the area extending to at least one mile beyond property boundaries. The map must show the outline of the facility, the location of each of its existing intake and discharge
structures, each of its hazardous waste treatment, storage, or disposal facilities, and each well where it injects fluids under‐
ground. Include all spring, rivers, and other surface water bodies in this map area. See instructions for precise require‐
ments.
9. Facility Drawing
All existing facilities must include a scale drawing of the facility. See instructions for more detail.
10. Photographs
All existing facilities must include photographs (aerial or ground‐level) that clearly delineate all existing structures; existing
storage, treatment, and disposal areas; and sites of future storage, treatment, or disposal areas. See instructions for more
detail.
11. Comments
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
A-10
EPA ID: NCD 003 162 542
Additional Comments to Hazardous Waste Permit Information Form Item 11
Figure A-1 is a topographic map (scale: 1" = 2,000') extending one mile beyond the property
boundaries of the source, depicting the facility, each of its discharge structures, and springs and
surface water bodies within 1/4 mile of the facility property boundary. No facility intake
structures, permitted hazardous waste treatment, storage, or disposal facilities, wells where fluids
from the facility are injected underground, nor wells and drinking water wells listed in public
records are known within 1/4 mile of the facility property boundary.
Figure A-2 is a facility map (scale: 1" = 2,000') extending one mile beyond the property
boundaries of the source, depicting the facility and the locations of all past, present, and future
treatment, storage, and disposal areas.
For ease of understanding, legal boundaries including the bearings, distances and turning points
for the parcels containing the solid waste management units and areas of concern are recorded in
the deeds provided in Appendix A-1. Legal boundaries were documented as part of the transfer
of the legal owner and operator of the facility from Alcoa Inc. to the Badin Business Park LLC
on October 7, 2016. Real property descriptions for solid waste management units and areas of
concern are located as follows:
Area SWMUs/
AOCs
Tax
Record
PIN Deed
Tract/Parcel
Deed
Location
Main Facility 1, 4-18, 20-40, 42-44,
46, 47, AOC-A, AOC-B
660 666002657410 Tract 7 BK 1582
PG 339
Alcoa/Badin
Landfill
2 23778 666003339898 Tract 9 BK 1582
PG 343
Old Brick Landfill 3 138354 667001068536 Tract 11 BK 1582
PG 344
Former Water
Plant Area
19, 41 35289 667001374773 Tract 5 BK 1582
PG 336
Bogan’s Radiator
Shop
45 23626 666004748897 Parcel 13 BK 734
PG 114
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
B-1
B. FACILITY DESCRIPTION
This section provides a general description of the Hazardous Waste Management Facility (HWMF).
This description is intended to acquaint the permit application reviewer and permit writer with a general
overview of the HWMF. More detailed descriptions can be found in other parts of this permit
application.
B-1 GENERAL DESCRIPTION
The Badin Business Park, formerly known as ("f/k/a") the Alcoa-Badin Works and hereinafter known as
the "facility", is located on approximately 123 acres of land off Highway 740 in Badin, Stanly County,
North Carolina. The USGS location (shown on Figure B-l) is 80° 07’ 05" West longitude and 35° 24'
32'' North latitude.
The facility is a former primary aluminum smelting plant. The facility began producing aluminum at
Badin in 1916 after purchasing and completing the holdings of a French combine, which had begun
work on a smelter. The facility consisted of two potlines; an electrode plant where anodes and cathodes
were manufactured; casting facilities for producing aluminum specialty ingot products, super-purity
metal, coiled sheet, and mold line ingots; a machine shop; and various offices and utility buildings.
Aluminum production was curtailed in August 2002. The plant continued to manufacture anodes and
high-purity aluminum until 2007. The plant was permanently closed in 2010. Since closing the plant in
2010, the former plant site has been redeveloped into a business park for manufacturing companies.
Prior to closure, the facility generated approximately 2,700 tons per year of Spent Potlining from the
production of aluminum metal. EPA considers Spent Potlining a hazardous waste which may pose a
substantial present or potential hazard to human health or the environment when improperly transported,
treated, stored, disposed or otherwise managed. The HWMF previously contained two Hazardous Waste
Management Units (Buildings 206 North and 206 South) for Spent Potlining waste (K088). Building
206 North was operated as a containment building, while Building 206 South was operated as a
container storage building. Buildings 206 North and 206 South were closed in July 2012.
Since closure of the plant and the two Hazardous Waste Management Units, the facility does not
regularly generate hazardous waste and the facility does not contain any operational units where
hazardous waste is (or will be) treated, stored, or disposed. One existing unit, Building 044, is
designated as a less than 90-day hazardous waste storage area and does not require permitting.
B-2 TOPOGRAPHIC MAP
B-2a General Requirements
Figure B-2 is a Topographic Map showing the facility boundaries, buildings, and other details.
B-2a (1) 100-Year Floodplain
As described in Section B-4b of this permit application, the facility is not located in a 100-year
floodplain. A copy of the 100-year flood plain map has been included as Appendix B-l.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
B-2
B-2a (2) Surface Waters
Narrows Reservoir (Badin Lake), Little Mountain Creek, and an unnamed intermittent surface water
feature are known to exist within 1,000 ft. of the facility.
B-2a (3) Surrounding Land Uses
Figure B-3 shows present zoning designations based on zoning maps provided by the Stanly County
Planning and Zoning Department. The facility property is zoned M-2. The M-2 designation is for heavy
industry. Figure B-3 is dated March 6, 2007. Recent observations confirm that present land use around
the facility property corresponds to the present surrounding land zoning designations. The property is
bordered generally to the east by single-family residential and business areas, to the west by single-
family residential districts, to the south by both residential and undeveloped areas, and to the north by
undeveloped land and recreational areas bordering Narrows Reservoir (Badin Lake).
B-2a (4) Wind Rose
Figure B-4 shows an annual wind rose of meteorological data obtained from Albemarle monitoring
station KVUJ 121835Z from February 12, 2015, to February 12, 2016. This station is the closest known
station to the facility.
B-2a (5) Location of Hazardous Waste Units and Legal Boundaries
Since closure of the plant, the facility does not regularly generate hazardous waste and the facility does
not contain any operational units where hazardous waste is (or will be) treated, stored, or disposed. One
existing unit, Building 044, is designated as a less than 90-day hazardous waste storage area and does
not require permitting.
B-2a (6) Fire Control Facilities
The locations of the four active fire hydrants at the facility are illustrated on Figure B-5. The Badin
Volunteer Fire Department is located across NC 740 from the facility and has a 2012 Spartan
Gladiator/Custom Fire Pumper-Tanker, a 2003 Spartan Gladiator/ 4 Guys Engine and a 1989 Mack/ 4
Guys fire engine.
B-2a (7) Sewers. Run-off Control Systems, Flood Control and Injection and Withdrawal
Wells
Figure B-6 and B-7 detail the physical layout of storm and sanitary sewers, respectively at the plant. The
storm sewer system is largely responsible for run-off and flood control. As discussed earlier and detailed
later in this application, the facility is not located in a 100-ycar floodplain nor is it subject to frequent
flooding.
The plant has no on-site or off-site injection wells or withdrawal wells.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
B-3
B-2 (8) Location of Access Control. Access and Internal Roads, and Loading and
Unloading Areas
Figure B-8 shows the facility and locations of access control, access and internal roads, and associated
loading and unloading areas. Former process areas of the plant are bordered entirely by an 8-foot high
wire fence with one controlled access gate. Access control and other security features and procedures are
discussed in further detail in Subsection F-la(1) (24-Hour Surveillance System).
B-2a (9) Location of Solid Waste Management Units
A list of known on-site and off-site Solid Waste Management Units (SWMUs) and Areas of Concern
(AOCs) at the facility is included in Table B-1. Figure B-9 shows the location of the SWMUs and AOCs
requiring corrective action.
B-2b Additional Topographic Requirements for Land Storage, Treatment and Disposal Facilities
As discussed in Subsection E, the facility supports its claim for an exemption from ground water
monitoring requirements pertaining to the facility; therefore, additional topographic requirements do not
apply.
B-3 TRAFFIC INFORMATION
B-3a Estimated Volume
Since closure of the plant, the facility does not regularly generate hazardous waste and the facility does
not contain any operational units where a hazardous waste permit is (or will be) required. One existing
unit, Building 044, is designated as a less than 90-day hazardous waste storage area and does not require
permitting.
B-3b Traffic Pattern
As shown in Figure B-8, a vehicle receiving drummed waste from the less than 90-day hazardous waste
storage area enters the facility from the main guard gate at the eastern perimeter of the plant. The truck
then proceeds north 0.2 miles to Building 044. After loading, the truck completes the same route in the
opposite direction to return to a truck parking area near the main guardhouse. After designated facility
personnel approve manifests and associated paperwork, the truck is allowed to exit to Highway 740
through the main gate.
B-3c Traffic Control
Various company vehicles and fork trucks travel roadways throughout the facility. Private vehicles
belonging to visitors may also occupy the main routes identified in Figure B-8.
Traffic is controlled by posted stop signs and speed limit signs, flashing caution lights at heavy use
intersections, and pedestrian walkways. The plant speed limit (15 MPH) is liberally posted and strictly
enforced.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
B-4
B-3d Access Road(s) Surfacing and Load-Bearing Capacity
Most roads within the plant are asphalt paved or concrete. Access roadways are frequently inspected,
maintained and, when necessary, repaired. Plant roads have demonstrated sufficient load bearing
capacity in many years of service with only minor maintenance. The roadways have carried the full
weight of any anticipated traffic loads. The load bearing capacity of the majority of the roads is 3,000
pounds per square feet (PSF) (minimum). The PSF value is based on a firm to stiff clay. The
interpretation is based on geotechnical boring logs and standard penetration tests performed when the
borings were being completed.
B-4 LOCATION INFORMATION
B-4a Seismic Considerations
Because the facility is an existing rather than a new facility, seismic considerations do not apply. In any
case, the facility is not located in any of the political jurisdictions specified in Part 264, Appendix VI.
B-4b Floodplain Standard
According to the applicable Flood Insurance Rate Map, the facility is not located within a 100-year
floodplain. Therefore, the floodplain standard and corresponding subsections in the permit application
guidance do not apply. The Flood Insurance Rate Map (FIRM) which addresses the facility location is
provided in Appendix B-l.
B-4c Additional North Carolina Location Standards
All facilities require at least a 0.25-mile separation distance from institutions such as schools, hospitals
and prisons. Existing facilities “shall require to meet these distances to the maximum extent feasible”.
The closest identified institution to the site is Badin School located over 0.25 miles southeast of the
facility. The location of the school has been illustrated on Figure B-l.
Building 044 is located over 50 feet from the property boundary. Ignitable, incompatible, and reactive
wastes are not stored at the facility.
Table L-1 SWMU/AOC Summary Table
SWMU/AOC Number SWMU/AOC Name
1 On-Site Landfill
2 Alcoa-Badin Landfill
3 Old Brick Landfill
4 Former K088 Storage Pad
51 Former K088 Waste Storage Structure 058
6 K088 Storage Building 206 - North
72 Aerated Lagoon
8 Neutralization Tank
9 Spent Caustic Building
10 Air Compressor Oil/Water Separator
112 Waste Oil Accumulation Area/Miscellaneous Storage Area/Pot Pad Burning
Area[2]/Old Bake Furnace Site
12 Above-Ground Waste Oil Tank
13 Former Underground Waste Oil Storage Tank
14 Anode Assembly Iron Melting Furnace Baghouse
15 Rod Blast Baghouse
16 Butt Blast Baghouse
17 Machine Shop Baghouse [1]
18 Machine Shop Baghouse [2]
19 Sludge Dewatering Bed
20 Vehicle Wash Station
21 Sandblast Area
22 Scrap Yard
23 Former Waste Paint Storage Area
24 Caustic Degreaser
25 Underground Conveyance Line to NPDES Outfall 009
26 Former Underground Conveyance Line to NPDES Outfall 001
273 Underground Conveyance Line to NPDES Outfall 001
284 Underground Conveyance Line to NPDES Outfall 003
29 Underground Conveyance Line to NPDES Outfall 004
30 Underground Conveyance Line to NPDES Outfall 005
31 Stormwater Oil/Water Separator [1]
32 Stormwater Oil/Water Separator [2]
33 Wet Weather Run-on Diversion
34 Miscellaneous Storage Area
1 In the March 1990 RFA, SWMU 5 is listed as “Former K088 Waste Storage Structure 058”. In the February 22, 2012,
Certification of Closure report, the “K088 Storage Building 206 – South” is referred to as SWMU 5. Both units are closed
permitted units.
2 On February 9, 1993, the NCDEHNR approved the deletion of SWMUs 10, 12, 13, 34, 37, and 40. SWMU 10 was
combined with SWMU 7, and SWMUs 12, 13, 34, 37, and 40 were combined with SWMU 11. 3 In the March 1990 RFA, SWMU 27 is listed as “Underground Conveyance Line to NPDES Outfall 003”. In the March 1992
Hazardous Waste Management Permit, SWMU 27 is listed as the “Underground Conveyance Line to NPDES Outfall 001”.
Where discrepancies exist, the listing in the Permit was given precedence.
4 In the March 1990 RFA, SWMU 28 is listed as “Underground Conveyance Line to NPDES Outfall 002”. In the March 1992
Hazardous Waste Management Permit, SWMU 28 is listed as the “Underground Conveyance Line to NPDES Outfall 003”.
Where discrepancies exist, the listing in the Permit was given precedence.
SWMU/AOC Number SWMU/AOC Name
35 Former Waste Oil Storage Area
36 Pot Pad Burning Area (1)
37 Pot Pad Burning Area (2)
38 Old Rotary Station
39 PCB Storage Building
40 Former Anode Bake Furnace
41 R-173 Lime Fill
42 Building 016
43 Overhead Crane Rebuild Structure
44 Pine Tree Grove Area
45 Bogan’s Radiator Shop
46 Coke Management Area (formerly West SPL Area)
47 Former Pot Shell Cutting Area
AOC-A Fuel Oil Tank Release
AOC-B Compressor Oil Leakage Area
Table L-1 SWMU/AOC Summary Table
SWMU/AOC Number SWMU/AOC Name
1 On-Site Landfill
2 Alcoa-Badin Landfill
3 Old Brick Landfill
4 Former K088 Storage Pad
51 Former K088 Waste Storage Structure 058
6 K088 Storage Building 206 - North
72 Aerated Lagoon
8 Neutralization Tank
9 Spent Caustic Building
10 Air Compressor Oil/Water Separator
112 Waste Oil Accumulation Area/Miscellaneous Storage Area/Pot Pad Burning
Area[2]/Old Bake Furnace Site
12 Above-Ground Waste Oil Tank
13 Former Underground Waste Oil Storage Tank
14 Anode Assembly Iron Melting Furnace Baghouse
15 Rod Blast Baghouse
16 Butt Blast Baghouse
17 Machine Shop Baghouse [1]
18 Machine Shop Baghouse [2]
19 Sludge Dewatering Bed
20 Vehicle Wash Station
21 Sandblast Area
22 Scrap Yard
23 Former Waste Paint Storage Area
24 Caustic Degreaser
25 Underground Conveyance Line to NPDES Outfall 009
26 Former Underground Conveyance Line to NPDES Outfall 001
273 Underground Conveyance Line to NPDES Outfall 001
284 Underground Conveyance Line to NPDES Outfall 003
29 Underground Conveyance Line to NPDES Outfall 004
30 Underground Conveyance Line to NPDES Outfall 005
31 Stormwater Oil/Water Separator [1]
32 Stormwater Oil/Water Separator [2]
33 Wet Weather Run-on Diversion
34 Miscellaneous Storage Area
1 In the March 1990 RFA, SWMU 5 is listed as “Former K088 Waste Storage Structure 058”. In the February 22, 2012,
Certification of Closure report, the “K088 Storage Building 206 – South” is referred to as SWMU 5. Both units are closed
permitted units.
2 On February 9, 1993, the NCDEHNR approved the deletion of SWMUs 10, 12, 13, 34, 37, and 40. SWMU 10 was
combined with SWMU 7, and SWMUs 12, 13, 34, 37, and 40 were combined with SWMU 11. 3 In the March 1990 RFA, SWMU 27 is listed as “Underground Conveyance Line to NPDES Outfall 003”. In the March 1992
Hazardous Waste Management Permit, SWMU 27 is listed as the “Underground Conveyance Line to NPDES Outfall 001”.
Where discrepancies exist, the listing in the Permit was given precedence.
4 In the March 1990 RFA, SWMU 28 is listed as “Underground Conveyance Line to NPDES Outfall 002”. In the March 1992
Hazardous Waste Management Permit, SWMU 28 is listed as the “Underground Conveyance Line to NPDES Outfall 003”.
Where discrepancies exist, the listing in the Permit was given precedence.
SWMU/AOC Number SWMU/AOC Name
35 Former Waste Oil Storage Area
36 Pot Pad Burning Area (1)
37 Pot Pad Burning Area (2)
38 Old Rotary Station
39 PCB Storage Building
40 Former Anode Bake Furnace
41 R-173 Lime Fill
42 Building 016
43 Overhead Crane Rebuild Structure
44 Pine Tree Grove Area
45 Bogan’s Radiator Shop
46 Coke Management Area (formerly West SPL Area)
47 Former Pot Shell Cutting Area
AOC-A Fuel Oil Tank Release
AOC-B Compressor Oil Leakage Area
NC
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MAP PRODUCED BY THE STANLY COUNTYMAPPING/GIS DEPARTMENT
Legend
Roads
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CityLimits
Zoning
C-B
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R-10
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FIGURE B-3
FIGURE B-4
FIGURE B-6
FIGURE B-7
ENVIRONEERING, INC.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
E-1
E. GROUNDWATER MONITORING
Under the March 24, 2006, Hazardous Waste Management Permit, the former Building 206 North
containment building and former Building 206 South container storage area were identified as non-land-
based units and qualified for groundwater monitoring exemptions under 40 CFR 264.90(b)(2)(i)(ii)(iii).
Therefore, groundwater monitoring requirements were not applicable to these units and that permit
application.
Since the issuance of that permit and the closure of the plant, the facility does not regularly generate
hazardous waste and the facility does not contain any operational units where hazardous waste is (or will
be) treated, stored, or disposed. One existing unit, Building 044, is designated as a less than 90-day
hazardous waste storage area and does not require permitting.
Groundwater monitoring to be conducted under any presumptive remedy will be determined after
approval of the Corrective Measures Study.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
F-1
F. PROCEDURES TO PREVENT HAZARDS
F-1 SECURITY
F-1a Security Procedures and Equipment
As a primary means of security protection and in lieu of security procedures and equipment specific to
the facility, access to the facility is controlled 24 hours a day, 365 days a year.
F-1a(1) 24-Hour Surveillance System
As described in Subsection F-1a(2) (Barrier and Means to Control Entry), the facility uses an 8-foot
fence to control access to the facility. Therefore, the requirements of this subsection do not apply to the
permit application.
F-1a(2) Barrier and Means to Control Entry
Per §264.14(b)(2), an 8-foot high chain link fence equipped with barbed wire serves as an artificial
barrier which completely surrounds the former main plant area. The three entrances to the former main
plant area include the main, construction and shipping gates located at the eastern, western and southern
perimeters of the site, respectively. Main entry to the former main plant area is from Highway 740
through the main gate. Access to the main entry is restricted to authorized personnel by remote
controlled gate during business hours only, five days per week. Outside of those hours, the main gate is
closed and locked. The construction gate and shipping gates are closed and locked at all times, except
when in use.
Offsite solid waste management unit SWMU No. 2 (Alcoa/Badin Landfill) is surrounded by an 8-foot
high chain link fence equipped with barbed wire serving as an artificial barrier. The two entrances to
SWMU No. 2 include the main entry and lower access gates located at the northern and southwestern
perimeters of the site, respectively. Access to the main entry is restricted to authorized personnel by key
during business hours only, five days per week. Outside of those hours, the main gate is closed and
locked. The lower access gate is closed and locked at all times, except when in use.
Offsite solid waste management units SWMU No. 3 (Old Brick Landfill) and SWMU No. 44 (Pine
Grove Area) are inactive portions of the facility which were not operated after the effective date of Part
261. The remaining identified solid waste management units outside the former main plant area fence
boundary, SWMU Nos. 19, 25 through 31, 41, and 45, either required no further action or no further
investigation.
F-1a(3) Warning Signs
A rectangular, 12-inch by 10-inch warning sign labeled “DANGER- Unauthorized Personnel KEEP
OUT” is clearly posted at each of the entrances to the facility and to Building 044 (Less than 90 storage
facility, non-permitted). The sign consists of “DANGER” in 3-inch white letters encircled on a red
reflective background on glossy black, “Unauthorized Personnel” in 1/5-inch black letters on glossy
black background, and 2-inch “KEEP OUT” letters on glossy black background. A “NO SMOKING”
sign is posted with each warning sign located at the facility and Building 044. Each sign can be seen
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
F-2
from any approach to the facility and is easily legible from a distance of at least 25 feet. The sign legend
is in English- the language used predominately in the area.
F-1b Waiver
The facility does not request a waiver of security procedures and equipment requirements; therefore, the
requirements of this subsection do not apply.
F-2 INSPECTION SCHEDULE
F-2a General Inspection Requirements
The facility conducts regular inspections of their less than 90-day storage facility (Building 044), for
irregularities that could lead to a release of hazardous constituents and adversely affect human health or
the environment. Specific items inspected and the established protocol and schedule for their inspection
are described in Subsections F-2a(1) (Types of Problems), F-2a(2)(Frequency of Inspection), and F-
2c(1) (Container Inspection). As required by 40 CFR 264.15(b)(2), a copy of the facility inspection
schedule is kept at the facility at all times.
F-2a(1) Types of Problems
Problems pertaining to the facility which may be anticipated, and therefore require routine inspection,
include the following:
evidence of tampering of the waste or containers, or other evidence of unauthorized access to the
facility;
damage to the physical structure of or attachments to the facility, including roof, walls, floor,
doors, hazard warning signs, lighting systems, and emergency equipment;
damage to the access roads, ramps and runways to the facility;
evidence of inadequate stormwater runoff from the facility;
evidence of spills around the facility or the placement of waste in unauthorized locations; and
blockage of facility ventilation structures.
F-2(a)2 Frequency of Inspection
Building 044 is inspected according to the frequencies and procedures described in the “Release
Prevention, Control and Countermeasure Plan (RPCC Plan) for the facility (August 2013).
When hazardous wastes are stored at the facility, each item on the inspection schedule and checklists
described in Subsection F-2c(1) (Container Inspection) is inspected at least every seven days. Some
items are inspected more frequently. Within one (1) working day following an intense storm where a
failure of the containment system might have occurred, all items on the checklist are inspected
regardless of the time of their last inspection.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
F-3
F-2b Facility Inspection Requirements
Specific items to be inspected include the following:
emergency and safety equipment;
testing, as necessary, of communication systems (telephone, hand-held two-way radios);
availability of personnel protective equipment (respirator cartridges, coveralls, gloves, etc.);
availability of spill control materials and equipment (brooms, shovels, rags, etc.); and
security devices (warning signs, security lighting).
The equipment listed above will be tested as necessary.
F-2c Specific Process Inspection Requirements
F-2c(1) Container Inspection
Described below are items that will be routinely inspected, if present at the facility. As discussed in
Subsection F-2a(2) (Frequency of Inspection), all items are inspected at least every seven days and
within one working day following a storm or other intense weather event, as long as the item is present
at the facility. Each inspection includes an evaluation of the following:
1. all containers labeled with the words “Hazardous Waste” and start accumulation date;
2. all containers closed;
3. no evidence of leaking containers; and
4. no evidence of deterioration of containers or the concrete floor.
F-2c(2) Building Inspection
Currently, hazardous waste stored less than 90 days on-site is located in Building 044. Building 044 is a
non-permitted building due to the storage time. Inspection procedures for Building 044 are detailed in
the “Release Prevention, Control and Countermeasure Plan (RPCC Plan) for the facility (August 2013).
F-2d Remedial Action
Remedial actions identified to correspond to specific problems listed in F-2a(1) include the following:
Problem- evidence of tampering of waste, containers, or facilities, or other evidence of
unauthorized access to the facility;
Remedial Action- notify EHS Manager; notify Area Supervisor, and request and implement
work order for any necessary repairs or preventative measure; document the problem and
remedial actions taken.
Problem- presence of unauthorized equipment or materials in a building;
Remedial Action- decontaminate and remove unauthorized equipment and material; notify EHS
Manager and Area Supervisor; document the problem and remedial actions taken, if warranted.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
F-4
Problem- damage to the physical structure or of attachments to the facility, including roof, walls,
floor, doors, hazard warning signs, lighting systems, and emergency equipment;
Remedial Action- notify EHS Manager; notify Area Supervisor and request and implement work
order for any necessary repairs; document the problem and remedial actions taken.
Problem- damage to the access roads, ramps and runways to the facility;
Remedial Action- notify EHS Manager, notify Area Supervisor and request and implement work
order for any necessary repairs or maintenance; document the problem and remedial actions
taken.
Problem- evidence of inadequate stormwater run-off from the facility;
Remedial Action- notify EHS Manager; notify Area Supervisor and request and implement work
order for any necessary repairs or maintenance to include removal, if necessary, or accumulated
run-off; document the problem and remedial actions taken.
Problem- evidence of spills around the facility or the placement of waste in unauthorized
locations;
Remedial Action- cleanup spills or relocate waste to authorized location per procedures outlines
in the Contingency Plan for the facility; notify EHS Manager and Area Supervisor; document the
problem and remedial actions taken.
Specific Inspection Items:
Item- emergency and safety equipment (eyewash, safety shower, etc.);
Inspected for- operative condition;
Remedial Action- repair or replace inoperative emergency and safety equipment.
Item- testing as necessary of communication systems (P/A system, telephone, hand-held two-
way radios);
Inspected for- operative condition;
Remedial Action- repair or replace inoperative systems or components.
Item- spill control materials and equipment;
Inspected for- available supply;
Remedial Action- replenish depleted or sparse supply of materials and equipment.
Item- security devices (warning signs, security lighting);
Inspected for- presence and physical condition (signs); operative condition (lighting);
Remedial Action- replace missing or badly damaged signs, repair inoperative security lights.
If inspections reveal that non-emergency maintenance is needed, the facility will take actions as soon as
possible to preclude further damage and reduce the need for emergency repairs. If during the course of
an inspection a hazard is found to be imminent or if an emergency situation is discovered to have
occurred prior to the inspection, the facility will notify appropriate personnel and implement immediate
remedial actions per the RPCC Contingency Plan (Section G).
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
F-5
In the event of an emergency involving the release of hazardous constituents to the environment, the
facility will direct efforts to contain and remove the contaminant and decontaminate the affected area.
Refer to the RPCC Contingency Plan (Section G) for further remedial action details.
F-2e Inspection Log
Inspection logs maintained for the facility document the following information:
Facility Identification;
Date and Time of Inspection;
Name and Title of Inspector;
Type of Inspection (7 Day, Daily, After Storm);
List of Items to be Inspected;
Frequency of Item Inspection (7 Day, Daily);
Status of Item (Acceptable, Unacceptable);
Observations/Problems; and
Nature and date of Remedial Action Taken or Repair Made.
F-3 WAIVER OF PREPAREDNESS AND PREVENTION REQUIREMENTS
The facility does not request a waiver of the preparedness and prevention requirements of 40 CFR 264,
Subpart C.
F-3a Equipment Requirements
Emergency equipment, including the communication equipment, spill control equipment, personnel
protection equipment, and decontamination equipment, is kept in the guard house (Building 009), the
non-permitted short-term storage building (Building 044), Building 134R, and Building 205D.
Specifically, the emergency equipment includes a plant telephone, spill booms and absorbent; respirator
cartridges, gloves and coveralls; and brooms, shovels, rags and other miscellaneous cleanup equipment.
F-3a(1) Internal Communications
Radio Base stations are maintained at the Guard House (Building 009). Employees may use hand-held
radio transmitters/receivers to communicate by voice with key plant personnel including the First Aid
Attendant and in-plant emergency contacts (see Subsection G-2). Emergency assistance may also be
obtained by calling Extension 777 using the intra-plant telephone system. Evacuation of the facility is
initiated by an announcement over the plant-wide intercom system.
F-3a(2) External Communications
Personnel may contact in-plant or outside emergency personnel via the radio system described above or
the plant telephone system. Personnel in need of emergency assistance may contact the First Aid
Attendant, Emergency Coordinator or other key emergency contact via either hand-held radio or intra-
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
F-6
plant telephone (Ext. 777) or by dialing 911. If necessary, the emergency contact can then summon
outside assistance via normal telephone channels.
F-3a(3) Emergency Equipment
The facility maintains fire control, spill control and decontamination equipment at select areas around
the facility. Emergency equipment and procedures are addressed in the Contingency Plan (Section G).
F-3a(4) Water for Fire Control
As discussed in the Contingency Plan (Section G), the facility maintains automatic sprinkler systems,
fire hydrants, and fire extinguishers as necessary throughout the facility.
Because of its close proximity to the facility, the Badin Volunteer Fire Department has primary authority
to respond to fire emergencies at the plant. The City of Albemarle, North Caroline Fire Department will
provide additional support upon request of the Badin Volunteer Fire Department.
F-3b Aisle Space Requirement
Sufficient aisle space is maintained in buildings to allow the unobstructed movement of personnel, fire
protection equipment, spill control equipment, and decontamination equipment.
F-4 PREVENTIVE PROCEDURES, STRUCTURES, AND EQUIPMENT
F-4a Unloading Operations
Spent potlining is no longer present at the facility. The unloading operations for hazardous waste were
located at Building 206, which has since been demolished and no longer exists. Therefore, this section
does not apply to the facility.
F-4b Run-Off
Hazardous wastes will only be stored in fully-enclosed structures. Therefore, run-off from these
buildings is not anticipated. The concrete foundation retaining walls of each building provide primary
flood control (run-on). Additional flood control is provided by the plant-wide storm water drain system,
located in the concrete runway leading to each building. As documented in subsection B-4b (floodplain
Standard), the buildings are not located in a 100-year floodplain.
F-4c Water Supplies
The closest drinking water supply is Narrows Reservoir (Badin Lake) located approximately one-quarter
mile downgradient. The construction and design of the buildings and their distance from Narrows
Reservoir together greatly minimize the potential for contamination of water supplies. The intake from
Badin Lake is located several miles upstream from the facility.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
F-7
F-4d Equipment and Power Failure
A power failure would not significantly affect the operation of any container storage areas. Electrical
power is required only for providing security and work lighting for the buildings. Auxiliary generator
power is available at the plant if needed to provide emergency lighting.
F-4e Personnel Protection Equipment
Standard protective equipment for personnel involved in the direct management of hazardous waste
includes steel-toed boots/shoes with metatarsal guards, safety glasses, hard hat, disposable coveralls,
gloves, and a respirator. Use of the protective equipment is addressed in the Personnel Training
Program, which satisfies the Occupational Safety and Health Standards of 29 CFR Part 1910, Subpart I-
Personal Protective Equipment.
F-4f Ventilation Equipment
Passive ventilation structures are present in any buildings to aid in control of fugitive dust emissions.
F-5 PREVENTION OF REACTION OF IGNITABLE, REACTIVE, AND INCOMPATIBLE
WASTES
The facility does not manage ignitable, reactive, or incompatible wastes at the facility, therefore the
requirements of this subsection do not apply.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
I-1
I. FINANCIAL ASSURANCE
This section provides the letter of intent to provide financial assurance for post closure remedies for the
facility.
Financial assurance for corrective action will be provided within 60 days of permit issuance for the
recommended corrective action alternatives for the facility and maintained until a final remedy is
implemented. The financial assurance will be in an amount of at least $2,000,000. A revised cost
estimate will be provided in the revised Phase 4 and 5 Corrective Measures Study Report.
A revised letter of intent to provide financial assurance for corrective action activities under a HSWA-
Only Permit is provided as Appendix I-1.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
J-1
J. OTHER FEDERAL LAWS
This section is submitted to demonstrate compliance with the following Federal laws.
J-1 WILD AND SCENIC RIVERS ACT
This act has established a national policy of dam and other construction at appropriate sections of the
rivers of the United States that would preserve other selected rivers or section of rivers in their free-
flowing condition to protect the water quality of such rivers and fulfill other vital national conservation
purposes. A list of rivers and/or sections of rivers has been designated as components of the national
wild and scenic river system under Section 2 (ii) of this act. The Yadkin River, located near the site, is
not included on this list. Therefore this act does not apply to the site.
J-2 NATIONAL HISTORIC PRESERVATION ACT OF 1966
The purpose of this act is to preserve the prehistoric and historic resources of the United States. Title I
Section 101 (a)(1)(A-B) of this act identify two lists: the National Register of Historic Places and the list
of Natural Historic Landmarks. Inclusion on either of these lists triggers the requirements of this act.
The site is not listed on either the National Register of Historic Places or the list of Natural Historic
Landmarks. Therefore, this act does not apply at the site.
J-3 ENDANGERED SPECIES ACT
This act provides a program for the conservation of threatened and endangered plants and animals and
the habitats in which they are found. This act authorizes the determination and listing of species as
endangered and threatened. Currently there are 61 species (35 animal and 26 plant species) in the state
of North Carolina listed on the endangered and threatened species list. No critical habitats of endangered
or threatened species are present at the site. Therefore, this act does not apply to the site.
J-4 COASTAL ZONE MANAGEMENT ACT
This act established a voluntary national program within the Department of Commerce to encourage
coastal States to develop and implement coastal zone management plans. These plans are required to
include a defined coastal zone boundary. Prompted by this act, the 1974 North Carolina General
Assembly passed the Coastal Area Management Act, known as CAMA. CAMA identified 20 coastal
counties that are regulated under the Act. This site is not located within one of these counties. Therefore,
this act does not apply to the site.
J-5 FISH AND WILDLIFE COORDINATION ACT
This act requires that the Regional Administrator, before issuing a permit proposing or authorizing
impoundment (with certain exemptions), diversion, or other control or modification of any body of
water, consult with the appropriate State agency exercising jurisdiction over wildlife resources to
conserve those resources. No water bodies are located on the site. Therefore, this act does not apply to
the site.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
K. CERTIFICATION
CERTIFICATION
I certify under the penalty of law that this document and all attachments were prepared under my
direction or supervision in accordance with a system designed to assure that qualified personnel properly
gather and evaluate the information submitted. Based on my inquiry of the person or persons who
manage the system, or those persons directly responsible for gathering the information, the information
submitted is, to be the best of my knowledge and belief, true, accurate, and complete. I am aware that
there are significant penalties for submitting false information, including the possibility of fine and
imprisonment for knowing violations.
~ Signature: Date: ( l
Name: Robyn L. Gross
Title: Director, Asset Management Americas
K-l
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
L-1
L. INFORMATION REQUIRED FOR SOLID WASTE MANAGEMENT UNITS
The facility was issued a Hazardous Waste Management Permit to store spent potlining on March 30,
1992 and the permit was renewed on March 24, 2006. The Hazardous Waste Management Permit
required the identification and investigation of solid waste management units (SWMU) and areas of
concern (AOC) for potential adverse impact to the environmental media at the facility.
A total of forty-nine SWMUs and AOCs have been identified at the facility. The RCRA Facility
Assessment (RFA) Report includes information for SWMU Nos. 1 through 34 and AOCs A and B.
Information for SWMU Nos. 35 through 47 was provided in subsequent correspondence to the Agency.
As part of the RFA and subsequent processes, no further action (NFA) was immediately determined for
twenty-two solid waste management units, Confirmatory Sampling (CS) was conducted at five units in
which no further investigation (NFI) was warranted, NFI was determined for two units, eighteen units
were investigated further under the RCRA Facility Investigation process, and two storage units were to
be permitted. Both storage units regulated by the RCRA Permit were closed. Correspondence
demonstrating acceptance of closure by the Agency is provided in Appendix L-1. The results of the
extensive investigation were evaluated and summarized in the March 1990 RFA Report, June 1993
Confirmatory Sampling Report, and March 2001 RCRA Facility Investigation (RFI) Report. The RFI
Report was approved by NCDENR on December 19, 2007.
With the approval of the RFI Report, the Corrective Measures Study (CMS) process was initiated to
identify and evaluate remedial alternatives to determine effective and efficient technologies to remediate
identified contaminated media. Phase 4 of the CMS identified and evaluated the alternatives for
corrective action and Phase 5 of the CMS provided the justification and recommendation of the selected
alternatives for the remedy of the facility. Both reports are currently under review by NCDEQ.
As a result of the investigations, interim measures (IM), and remedial actions conducted, NFA or NFI
has been granted for all or a portion of forty three SWMUs. The two permitted storage units were
cleaned closed. A portion of nine SWMUs including the groundwater at the Main Plant Area,
groundwater at the Alcoa-Badin Landfill, and groundwater at the Old Brick Landfill were carried
forward to the CMS. A SWMU/AOC summary table is provided below.
Table L-1 SWMU/AOC Summary Table
SWMU/
AOC
Number
SWMU/AOC Name Current Status Date
Determined
1 On-Site Landfill RFI recommended NFA/CMS1 03/2001
2 Alcoa-Badin Landfill RFI recommended CMS 03/2001
3 Old Brick Landfill RFI recommended CMS 03/2001
1 In accordance with NCDENR’s letter to Alcoa dated September 9, 1999 and the approved RFI Work Plan, SWMUs in the
North End were addressed in the RFI using the “SWMU-Area Concept”, whereby SWMUs were grouped together based on
commonalities. Groundwater for all the SWMUs in the North End (SWMU Nos. 1, 4, 22, 25, 33, 35, and 44) were addressed
using the SWMU-Area concept because the SWMUs are all located within a contiguous infilled valley and having the same
COIs. Further, the COIs in groundwater are not traceable to any individual SWMU. As detailed in the approved RFI report,
no further action was recommended for soil for these units.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
L-2
SWMU/
AOC
Number
SWMU/AOC Name Current Status Date
Determined
4 Former K088 Storage Pad RFI recommended NFA/CMS1 03/2001
52 Former K088 Waste Storage Structure 058 Permitted Unit - Closed 11/18/1992
6 K088 Storage Building 206 - North Permitted Unit - Closed 02/22/2012
73 Aerated Lagoon Letter recommended NFI/NFA 11/21/2007
8 Neutralization Tank RFA recommended NFI/NFA 03/01/1990
9 Spent Caustic Building RFA recommended NFI/NFA 03/01/1990
10 Air Compressor Oil/Water Separator Combined with SWMU 7 02/09/1993
113 Waste Oil Accumulation Area/Miscellaneous Storage
Area/Pot Pad Burning Area[2]/Old Bake Furnace Site
RFI recommended NFI/NFA4 03/2001
12 Above-Ground Waste Oil Tank Combined with SWMU 11 02/09/1993
13 Former Underground Waste Oil Storage Tank Combined with SWMU 11 02/09/1993
14 Anode Assembly Iron Melting Furnace Baghouse RFA recommended NFI/NFA 03/01/1990
15 Rod Blast Baghouse RFA recommended NFI/NFA 03/01/1990
16 Butt Blast Baghouse RFA recommended NFI/NFA 03/01/1990
17 Machine Shop Baghouse [1] RFA recommended NFI/NFA 03/01/1990
18 Machine Shop Baghouse [2] RFA recommended NFI/NFA 03/01/1990
19 Sludge Dewatering Bed RFA recommended NFI/NFA 03/01/1990
20 Vehicle Wash Station CS recommended NFI/NFA 06/28/1993
21 Sandblast Area RFA recommended NFI/NFA 03/01/1990
22 Scrap Yard RFI recommended NFA/CMS1 03/2001
23 Former Waste Paint Storage Area RFA recommended NFI/NFA 03/01/1990
24 Caustic Degreaser RFA recommended NFI/NFA 03/01/1990
25 Underground Conveyance Line to NPDES Outfall 009 RFI recommended NFA/CMS1 03/2001
26 Former Underground Conveyance Line to NPDES
Outfall 001
RFA recommended NFI/NFA 03/01/1990
275 Underground Conveyance Line to NPDES Outfall 001 RFA recommended NFI/NFA 03/01/1990
286 Underground Conveyance Line to NPDES Outfall 003 RFA recommended NFI/NFA 03/01/1990
29 Underground Conveyance Line to NPDES Outfall 004 RFA recommended NFI/NFA 03/01/1990
30 Underground Conveyance Line to NPDES Outfall 005 RFA recommended NFI/NFA 03/01/1990
31 Stormwater Oil/Water Separator [1] RFA recommended NFI/NFA 03/01/1990
32 Stormwater Oil/Water Separator [2] RFA recommended NFI/NFA 03/01/1990
33 Wet Weather Run-on Diversion RFI recommended NFA/CMS1 03/2001
2 In the March 1990 RFA, SWMU 5 is listed as “Former K088 Waste Storage Structure 058”. In the February 22, 2012,
Certification of Closure report, the “K088 Storage Building 206 – South” is referred to as SWMU 5. Both units are closed
permitted units.
3 On February 9, 1993, the NCDEHNR approved the deletion of SWMUs 10, 12, 13, 34, 37, and 40. SWMU 10 was
combined with SWMU 7, and SWMUs 12, 13, 34, 37, and 40 were combined with SWMU 11.
4 As detailed in the approved RFI report, no further action was recommended for SWMUs 11 and 46 except for inclusion of
nearby groundwater monitoring wells in a periodic monitoring program.
5 In the March 1990 RFA, SWMU 27 is listed as “Underground Conveyance Line to NPDES Outfall 003”. In the March 1992
Hazardous Waste Management Permit, SWMU 27 is listed as the “Underground Conveyance Line to NPDES Outfall 001”.
Where discrepancies exist, the listing in the Permit was given precedence.
6 In the March 1990 RFA, SWMU 28 is listed as “Underground Conveyance Line to NPDES Outfall 002”. In the March 1992
Hazardous Waste Management Permit, SWMU 28 is listed as the “Underground Conveyance Line to NPDES Outfall 003”.
Where discrepancies exist, the listing in the Permit was given precedence.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
L-3
SWMU/
AOC
Number
SWMU/AOC Name Current Status Date
Determined
34 Miscellaneous Storage Area Combined with SWMU 11 02/09/1993
35 Former Waste Oil Storage Area RFI recommended NFA/CMS1 03/2001
36 Pot Pad Burning Area (1) CS recommended NFI/NFA 06/28/1993
37 Pot Pad Burning Area (2) Combined with SWMU 11 02/09/1993
38 Old Rotary Station RFI recommended NFI/NFA 03/2001
39 PCB Storage Building CS recommended NFI/NFA 06/28/1993
40 Former Anode Bake Furnace Combined with SWMU 11 02/09/1993
41 R-173 Lime Fill Co-listed with NCDEQ IHSB7 02/16/2018
42 Building 016 RFI recommended NFI/NFA 03/2001
43 Overhead Crane Rebuild Structure RFI recommended NFI/NFA 03/2001
44 Pine Tree Grove Area RFI recommended NFA/CMS1 03/2001
45 Bogan’s Radiator Shop IM met remediation goals;
NFI/NFA
08/30/2004
46 Coke Management Area (formerly West SPL Area) RFI recommended NFI/NFA3 03/2001
47 Former Pot Shell Cutting Area Soils removed prior to inclusion8 09/1996
AOC-A Fuel Oil Tank Release RFI recommended NFI/NFA 03/2001
AOC-B Compressor Oil Leakage Area RFI recommended NFI/NFA 03/2001
L-1 MINIMUM REQUIREMENTS FOR SOLID WASTE MANAGEMENT UNITS (SWMUS)
AND AREAS OF CONCERN (AOCS)
Part VII of the facility’s RCRA permit outlined the corrective action activities to be conducted. The RFI
report identified groundwater in three areas of the facility as needing further actions. These areas were:
groundwater at the Alcoa/Badin Landfill (“SWMU No. 2”); groundwater at the Old Brick Landfill
(“SWMU No. 3”); and groundwater at the Main Plant. Groundwater at the Main Plant utilizes a North
End SWMU Area approach addressing groundwater at SWMU Nos. 1, 4, 22, 25, 33, 35 and 44. These
SWMUs were addressed jointly because they are all located within the same contiguous infilled valley,
have the same COIs, and releases to groundwater are not traceable to any individual SWMU. As
recommended in the approved RFI report, groundwater monitoring wells in proximity to SWMU Nos.
11 and 46 are to be included a periodic monitoring program.
L-1a Solid Waste Management Units and Areas of Concern
The following paragraphs provide descriptions of each identified SWMU that was retained as needing
further actions.
7 On May 17, 2017, the Badin Business Park LLC requested that SWMU 41 be regulated solely under the authority of the
facility’s RCRA permit as SWMU 41 rather than under the Inactive Hazardous Sites Branch (IHSB) as Alcoa-Pine Rd
Ravine Disposal site (NONCD0001177). This request was made because the IHSB site NONCD0001177 and SWMU 41 are
in fact one in the same. On February 16, 2018, NCDEQ determined that SWMU 41 should remain under the authority of the
IHSB.
8 Per Section L-1a of the October 11, 2001 Part B RCRA Hazardous Waste Permit Application, the area of contaminated
soils was removed in 1996. Post removal soil samples did not contain detectable concentrations of the constituent of concern
and the area was subsequently paved over.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
L-4
L-1a (1) SWMU No. 2 (Alcoa/Badin Landfill)
The following information was provided in previous submittals:
Type of unit: Municipal Solid Waste and Alcoa Plant Waste Landfill
Dimensions of the unit: Approximate area of 8 acres
Dates of operation of the unit: Early 1900s to mid-1970s
Specification of all wastes that have been managed at the unit: Municipal solid waste, facility solid
waste, baghouse carbon dust, asbestos, potential of spent potlining waste (K088).
Current Description: The Alcoa/Badin Landfill was used as an unlined municipal/industrial solid-waste
landfill. This unit was positioned within a natural ravine located southeast of Wood St. extending to the
east. Municipal refuse, process material, and native fill material were used to fill the natural ravine
approximately 13 to 42 feet to the current grade.
In 1997, interim measures were completed at the landfill consisting of re-grading and cover
improvements of two additional feet of low-permeability clay and six inches of topsoil to establish a
vegetative cover. The objectives of the interim measures were to prevent surface run-on, promote
surface run-off, and reduce infiltration into the landfill. Additionally, voluntary monitoring of seeps
identified at the base of the landfill was initiated. Historic analytical data suggested the seeps discharge
water passed through the landfill. In June 2000, construction of a low-flow seep collection system was
completed combining the three seeps into a single discharge under the facility's NPDES permit. In 2005,
the discharge was eliminated through the installation of a force main to route the seep water to a utility
sewer that leads to a Stanly County Utilities Publicly Owned Treatment Works (POTW).
In 2015, NCDENR, now NCDEQ, directed the collection of samples along Little Mountain Creek near
the Alcoa/Badin Landfill to determine if constituents of concern may be leaching from the Alcoa/Badin
Landfill into nearby Little Mountain Creek, the results of which are discussed in Section L-1c. In June
2016, NCDEQ issued a Site Inspection Report for the Alcoa/Badin Landfill which concluded that the
site warranted further evaluation.
Multiple fill and hydrogeological assessments have been performed between 2009 and 2015 to better
understand the landfill and seep areas. The assessments suggest a complex hydrological relation exists.
Based on the information obtained from the fill and hydrogeological assessments, the facility opted to
replace the previously existing three individual seep collection points with a trench-based seep
collection system and install a slurry barrier wall system down gradient of the collection trench. The
upgrade to a trench system is expected to improve overall system capture and collection efficiency by
intercepting water below grade immediately down gradient of the landfill. The slurry barrier is expected
to further enhance the capability of the system by mitigating water migration to the Little Mountain
Creek floodplain.
In April 2017, a work plan was submitted to the NCDEQ with an objective to provide evidence that the
recent upgrade activities are functioning. In addition, the results will be used to develop a subsequent
work plan regarding an evaluation of the long-term effectiveness of recent upgrade activities completed
at the Alcoa/Badin Landfill.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
L-5
L-1a (2) SWMU No. 3 Old Brick Landfill
Type of unit: Alcoa Plant Waste Landfill
Dimensions of the unit: Approximate area of 10-15 acres
Dates of operation of the unit: 1915 to 1960
Specification of all wastes that have been managed at the unit: Used baking furnace brick and the
potential of spent potlining waste (K088).
Current Description: The Old Brick Landfill was used from 1915 to 1960 as a disposal site for waste
originating from aluminum smelting operations. Approximately 22,000 cubic yards of waste were
estimated to have been disposed in the landfill. In 1987, the fill area was covered with 12 inches of
compacted clay, and a ditch was constructed on the upslope side to divert stormwater. Since 1987,
voluntary activities were conducted to minimize infiltration of surface waters into the landfill. These
activities included the 1996 improvements, a diversion channel to route surface water run-on around the
landfill and the 1997 landslide and cover repairs.
In 2007, a new cover and storm water management system was installed as a maintenance activity to
eliminate routine discharges from NPDES Outfall 019. The new cover and storm water management
system eliminates contact between storm water and water infiltration from landfill waste materials. This
was done by first removing toe drains from the landfill. These toe drains were a conduit for infiltrated
water in contact with waste materials to seep at the surface. Secondly, improvements were made to the
cover system to eliminate water contact with waste materials. The new cover system improvements
consisted of four basic components; 1) revised landfill surface profile to promote surface drainage, 2)
installation of a Re-compacted Soil Barrier (RSB) and flexible membrane liner (FML) to eliminate water
infiltration, 3) installation of a high-flow geo-composite drainage system to remove water infiltration
through the landfill area, and 4) soil and vegetative cover system to shed, absorb, and evapotranspirate
storm water.
The new SWMU No. 3 soil and vegetative cover has some storage capacity to absorb and
evapotranspirate rainfall. Rainfall beyond the storage capacity of the cover is designed to either run-off
through surface channels or drain through the underlying synthetic lined drainage system to a new
diffuser toe-drain. A storm water retention pond has been added to collect these flows. The retention
pond was constructed to allow percolation and evapotranspiration of the collected storm water. The
pond is designed to hold the 25-year/24-hour storm event.
L-1a (3) North End SWMU Area
Groundwater at the Main Plant utilizes a North End SWMU Area approach addressing groundwater at
SWMU Nos. 1, 4, 22, 25, 33, 35, 44, and 46.
L-1a (3)(A) SWMU No. 1 On-Site Landfill
Type of unit: Smelting Process Waste Landfill
Dimensions of the unit: Approximately 2 acres
Dates of operation of the unit: Circa 1930s to late 1970s
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
L-6
Specification of all wastes that have been managed at the unit: Potential of spent potlining waste (K088)
Current Description: The On-Site Landfill is located in the northwestern portion of the facility and
occupies approximately two acres. From the 1930’s to 1970’s, fill materials, including spent potliner
(SPL), were periodically placed in a natural easterly trending ravine that traversed the area. After
ceasing this practice, the area was graded and the Wet Weather Run-on Diversion (SWMU No. 33) was
installed.
In 1996, voluntary interim measures were implemented concurrently at SWMU No. 1, SWMU No. 4,
and SWMU No. 33. All work was conducted in accordance with an Interim Measures Work Plan that
was approved by the Department. Interim measures consisted of surface water control improvements to
bring the discharge of permitted NPDES Outfall 013 into compliance with the total cyanide limit of 46
ug/l established by the NCDEHNR Division of Water Quality. These activities were designed to be
supportive of long-term corrective action objectives for all three SWMUs, primarily by stabilizing the
On-Site Landfill through cover improvements and removal of the Wet Weather Run-on Diversion from
the landfill.
Interim measures also consisted of raising and relocating SWMU No. 33 (Wet Weather Run-on
Diversion) wet storm water pipes and ditches outside the areas suspected to contain SPL and at
elevations above the groundwater table. Open ditches were replaced with sealed-joint concrete pipe. A
minimum two feet thick, low permeability soil cover was placed over SWMU No. 1 (On-Site Landfill)
and SWMU No. 4 (Former K088 Storage Pad). The surface of the entire SWMU Group 1 area is
vegetated with grasses that are regularly mowed as part of landfill operation and maintenance (O&M)
activities.
L-1a (3)(B) SWMU No. 4 Former K088 Storage Pad
Type of unit: On-Grade Concrete Storage Pad for K088 Storage
Dimensions of the unit: Estimated to be 400 feet by 60 feet
Dates of operation of the unit: 1915 - 1981
Specification of all wastes that have been managed at the unit: Potential of spent potlining waste (K088)
Current Description: SWMU No. 4, (Former K088 Storage Pad) was located just north of Building 058
near SWMU No. 1. the pad was used from 1915 to 1981 to store SPL prior to constructing Building 058.
The pad was constructed of concrete and measured approximately 280 by 60 feet. The pad was
reportedly weathered, and soils that underlie the pad were exposed in some places beneath the weathered
concrete. Recent activities are further detailed under Section L-1a (3)(A) SWMU No. 1 On-Site
Landfill.
L-1a (3)(C) SWMU No. 22 Scrap Yard
Type of unit: Scrap Storage Area
Dimensions of the unit: 400 x 90 foot (largest dimensions) wedge shaped area
Dates of operation of the unit: 1915 to 1994
Specification of all wastes that have been managed at the unit: Steel scrap, wood, piping, carbon dust,
miscellaneous scrap.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
L-7
Current Description: Between 1915 and 1994, this approximately 400 x 90 foot (largest dimensions)
wedge shaped area at the north end of the facility was used to store miscellaneous wooden and metals
scrap. Prior to soil removal work in 1994, the area exhibited stained surface soils. Materials or
contaminant sources in SWMU No. 22 (Scrap Yard) potentially included SPL, metal scrap, carbon dust,
equipment with PCB containing oils, miscellaneous oils and solvents, asbestos, refractory materials,
alumina, electrolytic bath, and anode butts.
In August 1994, voluntary measures were implemented at SWMU No. 22. The voluntary measures
included removing surface and subsurface debris, and soil from the SWMU. Materials were excavated
to depths ranging from 6-inches to 4.5 feet. The removed and excavated materials and soil, totaling 725
tons, were manifested to the RCRA Subtitle C permitted Landfill in Emelle, Alabama. Verification
samples were obtained after the soil removal. Clean soil was imported to backfill deeper parts of the
excavation. A 30-mil HDPE liner was placed over the backfill, and the area was covered with #57
washed stone. The soil removal documentation was provided to the Department on November 3, 1994.
In 2016, best management practices were implemented at SWMU No. 22 and the surrounding area in
support of the facility’s NPDES permit. Best management practices included the cleaning of storm
sewers, the excavation and disposal of surface soils, and the backfilling of excavated areas with
compacted soil and a gravel cover. All best management practices were intended to limit the potential
discharge of fluoride from the Outfall.
L-1a (3)(D) SWMU No. 25 Underground Conveyance Line to NPDES Outfall 009
Type of unit: Underground Pipeline
Dimensions of the unit: Approximately 1,050 linear feet
Dates of operation of the unit: Circa 1915 – 1991
Specification of all wastes that have been managed at the unit: Stormwater runoff from the northern end
of the facility.
Current Description: SWMU No. 25 underground piping extends from Badin Lake westward into the
northern end of the Badin Business Park facility. The Underground Conveyance Line to NPDES Outfall
009 (North Storm Drain) discharged non-contact cooling water and, in some cases, stormwater runoff
from the North End of the facility into Badin Lake. The outfall was renamed Outfall 012 and includes
Outfall 011 which discharges stormwater during wet weather when it exceeds the capacity of a diffuser
associated with Outfall 012.
The underground conveyance line was never used to store or manage wastes. However, prior to repair
and replacement work done to it in 1991, it may have acted as a conduit for the inflow and infiltration of
impacted groundwater beneath SWMUs. Groundwater was able to infiltrate the North Storm Drain
because it was buried beneath the groundwater table in the area and the concrete pipe was damaged in
several places, as determined from a video survey.
On April 16, 1990, a Special Order by Consent (SOC) agreement was entered into with the North
Carolina Division of Environmental Management (NCDEM). The SOC included a series of activities
and timetables to bring the effluent at (formerly named) Outfall 009 into compliance with the effluent
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
L-8
limitations of the facility’s NPDES permit. One of the activities was the repair and replacement of the
North Storm Drain piping. The pipe repair consisted of relocating and raising sections of the
conveyance line above the groundwater table, replacing the sections with sealed joint pipe, and
removing or sealing abandoned sections of pipe.
The NCDEM was notified of compliance with the requirements of the SOC in a letter dated December
6, 1991. In addition, slip lining of a section of the conveyance system was performed in 1997 to further
mitigate the potential for this SWMU to act as a conduit for groundwater migration to Badin Lake.
L-1a (3)(E) SWMU No. 33 Wet-Weather Run-On Diversion
Type of unit: Stormwater Diversion Structure
Dimensions of the unit: Approximately 300 linear feet
Dates of operation of the unit: Circa 1970s to Present
Specification of all wastes that have been managed at the unit: Stormwater run-off.
Current Description: SWMU No. 33 (Wet Weather Run-on Diversion) consisted of an underground
concrete pipe, which traversed the On-Site Landfill (SWMU No. 1). The pipe was installed to divert
off-site seepage (spring) water, and on-site and off-site stormwater runoff to Badin Lake. Recent
activities are further detailed under Section L-1a (3)(A) SWMU No. 1 On-Site Landfill.
L-1a (3)(F) SWMU No. 35 Former Waste Oil Storage Area
Type of unit: Waste Oil Storage Area - Drums
Dimensions of the unit: Triangular in shape and measures approximately 110 feet by 50 feet
Dates of operation of the unit: Circa 1920s to 1970
Specification of all wastes that have been managed at the unit: Motor oil, hydraulic oil, process
lubricants, solvents, and transformer oils
Current Description: The area now identified as SWMU 35 was used from the 1920’s to the early 1970’s
to store containers of various waste motor oils, lubricating oils, and transformer oils that possibly
contained polychlorinated biphenyls (PCBs). The area is triangular in shape and measures
approximately 110 feet by 50 feet (largest dimensions).
A fill assessment was conducted at SWMU 35 in support of an interim measure remedial effort for PCB
impacted soils within this unit. The investigation results for this assessment was presented in the
SWMU 35 CMS Engineering Investigation Summary Report, dated August 31, 2011. Results of the fill
assessment were used in the development of the SWMU 35 PCB Removal Interim Measures Work Plan
approved by NCDENR and USEPA on May 7, 2012.
A choice was made to remediate the PCB impacted areas to a cleanup level of ≤1 mg/kg to allow for a
potential unrestricted use for the property. In August 2012, PCB impacted soils were excavated and
transported off site for disposal. Analytical results from soil samples collected from the SWMU No. 35
excavation side walls and bottom confirm that no concentrations of PCBs are present above the cleanup
level of ≤1 mg/kg set forth in the Work Plan.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
L-9
L-1a (3)(G) SWMU No. 44 Pine Tree Grove Area
Type of unit: Filled-in embayment of Badin Lake
Dimensions of the unit: Approximately 200 feet wide by 450 feet long
Dates of operation of the unit: Progressively filled over time, starting between 1938 and 1951, and
ending between 1959 and 1961
Specification of all wastes that have been managed at the unit: Plant waste and fill material. Based on
CMS results, it is unlikely that hazardous waste was managed in the unit.
Current Description: The Pine Tree Grove Area is located in the North End of the Badin facility adjacent
to Badin Lake and outside of the plant’s fenced area. The North End is characterized by a natural
west-east trending valley (Northwest Valley) that was progressively filled during the period between
1916 and 1968. The Pine Tree Grove Area, located at the eastern end of the valley, is a former pond that
was connected to Badin Lake. Filling of the Pine Tree Grove Area was completed between 1959 and
1961 and contents of the fill material are varied (i.e., decaying organic material, mulch, and wood
debris; sand, silt, and clay soils; construction debris including gravel, concrete, brick, and rock
fragments; aluminum scrap; and granular carbonaceous material).
As part of the CMS, a fill assessment was conducted at the Pine Tree Grove Area by evaluating the
recent geophysical survey, installing soil borings in and around the unit, and comparing early 20th
century topographic maps and photographs with current topographic maps of the area. The assessment
confirmed that fill materials are most prevalent in the north end of the plant, where they were used to
infill an eastward trending natural ravine. The variety of materials used in the filling of the ravine
resulted in a complex stratigraphic sequence of natural and anthropogenic origin. This fill material
serves as a more permeable conduit for horizontal groundwater and constituent migration, and
influences the groundwater plume geometry.
L-1a (3)(H) SWMU No. 46 Coke Management Area (f/k/a West SPL Area)
Type of unit: Filled-in area on west side of plant
Dimensions of the unit: Up to 100 feet wide by 200 feet long
Dates of operation of the unit: Between March 1964 and April 1977
Specification of all wastes that have been managed at the unit: Plant waste and fill material. Based on
CMS results, it is unlikely that SPL was managed in the unit.
Current Description: As part of a review of historical photographs during the RFI, this area was
identified as a fill area with the potential of receiving SPL. Based on the photographs, filling activities
are believed to have started after March 1964 and ended before April 1977. A February 1968
photograph shows evidence of activity in the area. Although not included in the RFI Work Plan, it was
decided to subject this area to RFI activities to assess the potential for SPL and determine whether it
warranted inclusion as a SWMU. The West SPL Area was added as a SWMU in September 1999 with a
notification to the Department.
During the CMS, a review of historical topographic maps, historical photographs, aerial imagery and
recent Site investigative activities confirmed that SWMU No. 46 is a fill area related to plant expansion
and modernization activities. This recent data supported a morphology consisting of native fill soils and
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
L-10
minor amounts of plant process remnants used to raise the area to its existing grade, or approximately 10
to 20 feet. These incidental plant process remnants may contribute to the groundwater 2L exceedance
observed in the well located at the SWMU No. 46 (MW-29). Since more detailed plant expansion and
modernization morphology of the SWMU No. 46 area has been developed, a more appropriate
designation for the SWMU No. 46 is "Coke Management Area".
L-1b Information Pertaining to Releases
The RCRA Facility Assessment (RFA) Report has been previously completed by EPA Region IV. Since
then, the former Alcoa-Badin Works facility identified and reported new SWMUs; completed activities
and reported the results of Confirmatory Sampling (CS); completed activities and reported the results of
the RCRA Facility Investigation (RFI); completed Interim Measures at selected SWMUs; and completed
the Corrective Measures Study (CMS). The CMS is currently pending approval by the Agency.
L-1b (1) Confirmatory Sampling
Confirmatory Sampling was conducted in 1993 in accordance with an approved CS Workplan. The
results were submitted to EPA Region IV in a CS Report dated June 28, 1993. Copies of the CS
Workplan and CS Report were also submitted to the NCDENR. Based on the results, EPA Region IV
determined, based on a letter dated January 11,1994 that four SWMUs and one AOC be retained for an
RFI, no further action was required for four SWMUs.
L-1b (2) RCRA Facility Investigation
The facility's Part B Permit included an original requirement for an RFI at six SWMUs and one AOC. In
their letter dated January 11, 1994 EPA Region IV required an RFI for four existing SWMUs and one
AOC based on the CS results, and for two newly reported SWMUs. An initial RFI Workplan was
prepared for these twelve SWMUs and two AOCs. The RFI Workplan was submitted to the NCDENR
on April 11, 1994.
In response to comments received from the NCDENR dated May 30, 1995 revisions to the RFI
Workplan were submitted on October 26, 1995. In response to additional comments received from the
NCDENR on July 2, 1998, revisions to the RFI Workplan were submitted on October 30, 1998. The RFI
Workplan was approved by NCDENR in a letter dated February 10, 1999. Two new SWMUs were
added to the RFI activities after the approval of the Workplan.
Phase I RFI activities were conducted in September-October 1999. The results identified the need for
Phase II RFI Activities. A Phase II RFI was prepared and submitted to NCDENR on April 11, 2000. The
Phase II RFI Workplan was approved by NCDENR in a letter dated June 27, 2000. RFI Phase II
activities were completed in August-September 2000. The RFI Report containing the results of the
Phase I and II activities was submitted to NCDENR on April 6, 2001. The RFI Report section on RFI
Summary, Conclusions and Recommendations is contained in Appendix L-2.
L-1b (3) Corrective Measures Study
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
L-11
Part VII of the facility’s RCRA permit outlined the corrective action activities to be conducted. The RFI
report identified groundwater in three areas of the facility as needing further actions. These areas were:
groundwater at the Alcoa/Badin Landfill (“SWMU No. 2”); groundwater at the Old Brick Landfill
(“SWMU No. 3”); and groundwater at the Main Plant. Groundwater at the Main Plant utilizes a North
End SWMU Area approach addressing groundwater at SWMU Nos. 1, 4, 22, 25, 33, 35 and 44. These
SWMUs were addressed jointly because they are all located within the same contiguous infilled valley,
have the same COIs, and releases to groundwater are not traceable to any individual SWMU.
The development of the CMS was conducted in five phases that included:
• Phase 1: Update of Site Geological and Hydrological Model and Establishment of Corrective
Action Objectives, submitted to the NCDENR as the Corrective Measures Study - Phase 1
Report in August 2009,
• Phase 2: Identification and Development of the Corrective Measures Alternatives, submitted
to the NCDENR as the Phase 2 Identification of Potential Treatment Technologies Report on
October 21, 2009,
• Phase 3: Engineering Data Collection, submitted to the NCDENR as the Phase 3 Engineering
Data Collection for the Corrective Measures Study Report on October 31, 2012,
• Phase 4: Refine Corrective Measures Alternatives, submitted to the NCDENR as the Phase 4
Corrective Measures Alternatives and Phase 5 Justification and Recommendation of the
Selected Corrective Measure Alternative for the Corrective Measures Study Report on
January 24, 2013, and
• Phase 5: Justification and Recommendation of the Selected Corrective Measure Alternative
submitted to the NCDENR in conjunction with the Phase 4 Report on January 24, 2013.
The Phase 4 and Phase 5 CMS Report utilized the results from Phase 3 to analyze corrective measures
alternatives identified in Phase 2 against evaluation criteria outlined in Phase 1. A copy of the site
conditions from the Phase 4 and Phase 5 CMS Report has been included as Appendix L-3. The CMS is
currently pending approval by the Agency.
L-1c Sampling and Analysis
L-1c (1) SWMU No. 2 (Alcoa/Badin Landfill)
The RFI results showed no Constituents of Interest (“COIs”) present in soil adjacent to the Alcoa/Badin
Landfill at concentrations exceeding the conservative risk-based screening values. As a result, soils
surrounding SWMU No. 2 do not pose unacceptable risk to current or reasonably anticipated future
receptors. However, the RFI did show one constituent in groundwater exceeding the screening value in
a single well down gradient of the landfill. This constituent was total cyanide. A screening level risk
assessment was conducted on the first receptor for groundwater down gradient of the landfill. This
receptor is Little Mountain Creek and it showed that no COIs are present at concentrations exceeding
applicable human health screening values. The unit was retained in the Corrective Action process
because of the detection of total cyanide in one groundwater well above the regulatory standard.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
L-12
CMS Phase 3 groundwater sampling results demonstrate the beneficial effects of landfill cover system
upgrades. In results from all the recent sampling events, available cyanide and fluoride were not
reported in any well at concentrations that exceed the NC 2L Standard.
In 2015, the NCDENR directed the collection of environmental samples along Little Mountain Creek
near the Alcoa/Badin Landfill to determine if constituents of concern may be leaching from the
Alcoa/Badin Landfill into nearby Little Mountain Creek. Laboratory analytical results indicated
concentrations of cyanide and metals were detected in sediment samples above laboratory detection
limits including the background sediment sample. No concentrations of fluoride, PCBs, VOCs, and
SVOCs were detected in any sediment sample from Little Mountain Creek.
Laboratory analytical results indicated concentrations of total cyanide and two metals (barium and
chromium) were detected in surface water samples above laboratory detection limits including the
background surface water sample. All concentrations were below the 15A NCAC 02B Surface Water
Standards. No concentrations of fluoride, PCBs, VOCs, and SVOCs were detected in any surface water
sample from Little Mountain Creek.
Laboratory analytical results indicated concentrations of fluoride, cyanide, metals, one VOC (methylene
chloride), and selected SVOCs were detected in surficial soil samples above laboratory detection limits.
No concentrations of PCBs were detected in any surficial soil samples. Per guidance from US EPA,
certain organic chemicals (considered by EPA to be acetone, 2-butanone, methylene chloride, toluene,
and the phthalate esters) are designated as common laboratory contaminants.
Laboratory analytical results indicated concentrations of fluoride, total cyanide, and metals were
detected surface water samples above laboratory detection limits. No concentrations of PCBs, VOCs,
and SVOCs were detected in any surface water samples.
Laboratory analytical results indicated concentrations of fluoride, metals, one VOC (acetone) and one
SVOC (bis(2-ethylhexyl)phthalate) were detected in groundwater samples above laboratory detection
limits. No concentrations of available cyanide or PCBs were detected in any groundwater samples.
Acetone and bis(2-ethylhexyl)phthalate are common laboratory contaminants.
As described above, NCDEQ issued a Site Inspection Report for the Alcoa/Badin Landfill in June 2016.
The Site Inspection Report detailed analytical results from split samples collected during the 2015
environmental sample collection activities. The Site Inspection Report concluded that while sampling
identified concentrations of SVOCs, fluoride, and cyanide between the landfill seepage collections and
the creek, “SI and contractor sampling from Little Mountain Creek itself produced ambiguous results,
making it unclear whether contaminants were discharging to the creek at the time of the SI.” The Site
Inspection Report recommended further evaluation, which will be covered under the above referenced
April 2017, work plan submitted to the NCDEQ.
L-1c (2) SWMU No. 3 Old Brick Landfill
The 2001 RFI report demonstrated that there were no COIs present in soils adjacent to the Old Brick
Landfill at concentrations exceeding the conservative risk-based screening values. As a result, soils do
not present a risk. The RFI results did show groundwater in a few wells contained total cyanide that
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
L-13
exceeded the screening values. The unit was retained in the Corrective Action process because of the
detection of total cyanide in selected groundwater wells above the regulatory standard. The Old Brick
Landfill cover system was upgraded in 2006 to eliminate point source discharges to surface water under
facility’s NPDES Permit. This upgrade consisted of cover system reconfiguration to mitigate surface
water infiltration, control storm water flow, and manage storm water run-off through infiltration or
controlled discharge under the NPDES permit.
CMS Phase 3 groundwater sampling results demonstrate the beneficial effects of the cover system
upgrades. Available Cyanide was reported above the NC 2L Standard in one well during one of the
sampling events. In the subsequent sampling events the compound was not detected at concentrations
above the 2L standard in any of the wells. In results from all the recent sampling events, fluoride was
not reported in any well at concentrations that exceed the NC 2L Standard.
L-1c (3) North End SWMU Area
Interim measures activities were conducted at a number of SWMUs within the main plant to address
residual surface soil impacts prior to the RFI. The subsequent RFI demonstrated that COI impacted
soils were addressed by the interim measures work and soil removal activities. No further action was
required to address direct contact pathways for soils at the SWMUs and AOCs in the plant area.
However, the RFI did identify cyanide, fluoride, arsenic, trichloroethene and trichloromethane
(chloroform) as the only constituents of concern in groundwater along the northeast side of the main
plant.
A further site wide investigation of groundwater was conducted to characterize fluoride and total
cyanide impacts in 2005 and 2006. During this investigation, several new groundwater wells were
installed at the facility. In February 2005 and February 2006, groundwater samples were collected from
new and a number of existing monitoring wells at the facility. Results of this investigation indicated
groundwater flow occurs in the Northwest Valley along two axes to the northeast and the east. Primary
direction of groundwater flow is to the east and the lesser flow is to the northeast. Fluoride and cyanide
distribution in groundwater shows flow is preferential in those directions.
Groundwater within the northern Main Plant area was retained in the Corrective Action process as a
result of the RFI and subsequent groundwater investigation. The primary COIs for groundwater are free
cyanide and fluoride.
CMS Phase 3 groundwater sampling results identified available cyanide, fluoride, and trichloroethene at
concentrations above the 2L Standard. Trichloromethane was not detected at a concentration above the
2L standard during the Phase 3 investigation in any well sampled.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
N-1
N. SUBSTANTIAL COMPLIANCE AND FINANCIAL QUALIFICATION
North Carolina General Statute 130A-295 requires the NCDEQ to consider the compliance history and
financial qualifications of an applicant for a hazardous waste management facility permit, or any time
thereafter as specified by the NCDEQ.
N-1 GENERAL INFORMATION
Badin Business Park LLC is a limited liability company formed in the State of Delaware and authorized
to transact business in the State of North Carolina. The title and addresses of officers as they relate to
Badin Business Park LLC are:
Table N-1 Badin Business Park LLC Officers
Appointment Type Appointed Entity Address
President Mark Stiffler 201 Isabella St
Pittsburgh, PA 15212
Vice President Tomas Mar Sigurdsson 201 Isabella St
Pittsburgh, PA 15212
Vice President A. Sue Zemba 201 Isabella St
Pittsburgh, PA 15212
Vice President, Controller Molly Beerman 201 Isabella St
Pittsburgh, PA 15212
Vice President, Procurement Francesco Bassoli 201 Isabella St
Pittsburgh, PA 15212
Vice President, Tax John Kenna 201 Isabella St
Pittsburgh, PA 15212
Vice President, Treasurer Renato C.A. Bacchi 201 Isabella St
Pittsburgh, PA 15212
Secretary Marissa Earnest 201 Isabella St
Pittsburgh, PA 15212
Assistant Secretary Eryn Correa 201 Isabella St
Pittsburgh, PA 15212
Badin Business Park LLC does not maintain any subsidiary corporations. Alcoa USA Corp is the parent
company for Badin Business Park LLC. The title and addresses of officers as they relate to Alcoa USA
Corp are:
Table N-2 Alcoa USA Corp Officers
Appointment Type Appointed Entity Address
President Roy C. Harvey 201 Isabella St
Pittsburgh, PA 15212
Vice President Ronald Barin 201 Isabella St
Pittsburgh, PA 15212
Vice President Timothy Reyes 201 Isabella St
Pittsburgh, PA 15212
Vice President Tomas Mar Sigurdsson 201 Isabella St
Pittsburgh, PA 15212
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
N-2
Appointment Type Appointed Entity Address
Vice President Mark Stiffler 201 Isabella St
Pittsburgh, PA 15212
Vice President A. Sue Zemba 201 Isabella St
Pittsburgh, PA 15212
Vice President, Controller Molly Beerman 201 Isabella St
Pittsburgh, PA 15212
Vice President, Procurement Francesco Bassoli 201 Isabella St
Pittsburgh, PA 15212
Vice President, Tax John Kenna 201 Isabella St
Pittsburgh, PA 15212
Vice President, Treasurer Renato C.A. Bacchi 201 Isabella St
Pittsburgh, PA 15212
Secretary Marissa Earnest 201 Isabella St
Pittsburgh, PA 15212
Assistant Secretary Eryn Correa 201 Isabella St
Pittsburgh, PA 15212
Alcoa Corporation is the parent company for Alcoa USA Corp. The title and addresses of officers as
they relate to Alcoa Corporation are:
Table N-3 Alcoa Corporation Officers
Appointment Type Appointed Entity Address
Chief Executive Officer Roy C. Harvey 201 Isabella St
Pittsburgh, PA 15212
Executive Vice President and Chief
Administrative Officer Leigh Ann Fisher 201 Isabella St
Pittsburgh, PA 15212
Executive Vice President and Chief
Financial Officer William Oplinger 201 Isabella St
Pittsburgh, PA 15212
Executive Vice President and Chief
Operating Officer Tomas Mar Sigurdsson 201 Isabella St
Pittsburgh, PA 15212
Executive Vice President, General
Counsel and Secretary Jeffrey D. Heeter 201 Isabella St
Pittsburgh, PA 15212
Vice President Ronald Barin 201 Isabella St
Pittsburgh, PA 15212
Vice President and Chief Ethics and
Compliance Officer Catherine Garfinkel 201 Isabella St
Pittsburgh, PA 15212
Vice President, Controller Molly Beerman 201 Isabella St
Pittsburgh, PA 15212
Vice President - Tax John Kenna 201 Isabella St
Pittsburgh, PA 15212
Vice President and Treasurer Renato C.A. Bacchi 201 Isabella St
Pittsburgh, PA 15212
Assistant Secretary Marissa Earnest 201 Isabella St
Pittsburgh, PA 15212
The Badin Business Park, an existing facility owned and operated by Badin Business Park LLC, is
located at:
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
N-3
293 Highway 740
Badin, North Carolina 28009
Facilities owned by Alcoa Corporation or its subsidiaries are listed below:
Table N-4 Alcoa Corporation Facilities
Name Address US EPA Facility
Registry Service ID
Alcoa Warrick LLC 4400 W US Hwy 66
Newburgh, IN 47630 110000602045
Eastalco Aluminum Co 5601 Manor Woods Rd
Frederick, MD 21703 110002466475
Alcoa USA Corp 1814 State Hwy 131
Massena, NY 13662 NYR000229211
Alcoa Business Park LLC9 300 North Hall Road
Alcoa, TN 37701 110000372383
Alcoa World Alumina LLC 1472 FM 1593 S
Point Comfort, TX 77978 110000606997
Alcoa USA Corp10 4069A Charles Martin Hall Rd
Rockdale, TX 76567 110008144025
Alcoa Wenatchee LLC11 6200 Malaga Alcoa Hwy
Malaga, WA 98828 110000491156
Intalco Aluminum LLC 12 4050 Mountain View Rd
Ferndale, WA 98248 110040947820
Northwest Alloys Inc 1560A Marble Valley Basin Rd
Addy, WA 99101 110005328886
Reynolds Metals Co Gum Springs
Plant
500 East Reynolds Road
Arkadelphia, AR 71923 110000608771
Reynolds Metals Bauxite 1401 Bauxite Cutoff Road
Bauxite, AR 72011 110007408787
Bauxite Operation (Reynolds Metals
Company LLC –)
1401 Bauxite Cutoff Road
Bauxite, AR 72011 110033149340
Reynolds Metals 7734 Hall St
St Louis, MO 63147-2504 110001452259
Alcoa USA Corp., Massena East13 194 County Rte 45
Massena, NY 13662 110000326111
Reynolds Metals Troutdale
Reduction Plant
5100 NE Sundial Rd
Troutdale, OR 97060-9521 110007737814
9 Alcoa Business Park LLC is incorrectly listed as Alcoa Inc. – South Plant in the US EPA Facility Registry
10 Alcoa USA Corp is incorrectly listed as Alcoa Rockdale Operations in the US EPA Facility Registry
11 Alcoa Wenatchee LLC is incorrectly listed as Alcoa Wenatchee Works in the US EPA Facility Registry
12 Intalco Aluminum LLC is incorrectly listed as Alcoa Intalco Works in the US EPA Facility Registry
13 Alcoa USA Corp., Massena East is incorrectly listed as Alcoa Inc, East Plant in the US EPA Facility Registry
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
N-4
Name Address US EPA Facility
Registry Service ID
Alcoa Technical Center LLC 859 White Cloud Rd
New Kensington, PA 15068 PAR000554246
N-2 SUBSTANTIAL COMPLIANCE
A Detailed Facility Report for each of the facilities listed above, obtained from the U.S. Environmental
Protection Agency’s (USEPA) Enforcement and Compliance History Online (ECHO) website, is
included in Appendix N-1. Each ECHO report details facility compliance status including inspection and
enforcement history. It consists of USEPA, state, local, and tribal environmental agency data for Clean
Air Act stationary sources, Clean Water Act (CWA) permitted direct dischargers, Resource
Conservation and Recovery Act (RCRA) hazardous waste handlers, Safe Drinking Water Act public
water systems, and USEPA inspection and enforcement action data for other statutes including the
Emergency Planning and Community Right-to-Know Act, the Federal Insecticide, Fungicide, and
Rodenticide Act, and the Toxic Substances Control Act.
The compliance history includes the following:
Basic facility and permit data;
Inspections/evaluations performed;
Violations with pollutants or brief violation types;
Significant violation status;
Enforcement actions taken;
Penalties assessed; and
Additional data for context including demographics of area surrounding facility.
The ECHO website consolidates data from other USEPA data systems, including the data from the
Permit Compliance System-Integrated Compliance Information System, CWA direct dischargers, multi-
state EPA enforcement cases, the RCRA Information System (RCRAInfo), and the Facility Registry
System.
N-2a In-state facilities
The ECHO report for the Badin Business Park (f/k/a Alcoa Badin Works) is included in Appendix N-1.
N-2b Out-of-state facilities
The Badin Business Park LLC does not have any out-of-state facilities. The ECHO reports for out-
of-state facilities for the parent corporations of the Badin Business Park LLC are included in Appendix
N-1.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
N-5
N-3 FINANCIAL QUALIFICATIONS
The Financial Statements and Supplementary Data section of Alcoa Corporation’s 2016 Annual Report
is included in Appendix N-2.
N-4 JUSTIFICATION OF NEED
Badin Business Park LLC is not applying for a commercial hazardous waste management permit.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
APPENDIX A-1
LEGAL BOUNDARIES
STAHLY COUNTY NC
'
12/28/1999
$0.00
Real Estate
Excise Tax
NORTH CAROLINA
STANLY COUNTY
• •
• •
Book
0734
FILED
STANLY COUHTY NC
12/28/1999 8,34 AM
CECIL I. A ON
Page
0077
Register 1 ..---
By: Depnt r, Asst.
DEED
THIS DEED, made and entered into this the 23 day of December,
1999, between ALUMINUM COMPANY OF AMERICA, a corporation
organized and existi11g under the laws of the Commonwealth of Pem1sylvania,
with its principal office i11 Pittsburgh, Pennsylvania, sometimes l1ereinafter
referred to as ''Alcoa'', and YADKIN, INC., a corporation organized and existing
u11der the la,vs oftl1e State of North Carolina, with its principal office in Badi11,
Nortl1 Carolina, sometimes hereinafter referred to as ''Yadkin'', and
W I T N E S S E T H:
That Alcoa, for and i11 consideration of the sum of One Dollar
($1.00) and other good and valuable considerations, the receipt and sufficiency of
which arc hereby acknowledged, has bargained and sold, and by these presents
does bargain, sell, and convey, unto Yadkin, its successors and assigns, the
following described real property, all bearings referred to a true n1eridian, and the
word ''degrees'' following the first group of numerals and the word "1ninutes''
following the second group of numerals in each bearing being deemed included in
such bearing, and all distances measured horizontally:
,
1 \ ()
• 77
---
PARCEL NO. I
All that tract or parcel of land situate, lying and being in Badin
Township, Stanly County, North Carolina, on the west side of the Yadkin River
and more particularly described as follows:
BEGINNING at a galvanized iron pipe, comer number I, said
comer being approximately 300 feet southeast from the southeast comer
of the Falls Power House, being a comer in the line of the Morrow
Mountain State Park; thence South 14-35 West 376 feet to a stone
monument, comer number 2; thence North 86-54 West 1,598 feet to a
stone monument, comer number 3; thence South 24-44 West 633 feet to a
stone monument, comer number 4; thence South 20-52 West 2,307 feet to
a stone monument, comer number 5; tl1ence South 25-34 West 1,548 feet
to a galvanized iron pipe, comer number 6; thence South 35-35 West 502
feet to a galvanized iron pipe, comer number 7; thence Nortl145-43 West
1,428 feet to a galvanized iron pipe, comer number 8; thence North 21-36
West 310 feet to a galvanized iron pipe, comer number 9; the11ce North
84-4 7 West 528 feet to a galvanized iron pipe, comer number IO; thence
Nortl1 26-37 East 1,034 feet to a galvanized iron pipe, comer 11umber 11;
thence North 65-41 West 1,360 feet to a galvm1ized iron pipe, comer
number 12; thence South 25-13 West 1,423 feet to a stone monument,
con1er number 13; the11ce North 47-51 West 256 feet to a stone
monument, comer number 14; tl1ence North 9-12 West 3,188 feet to a
stone mo11ument, comer number 15; thence Nortl1 72-30 West 505 feet to
a galvanized iron pipe, comer number 16; thence North 72-27 West 630
feet to a galvanized iron pipe, comer number 17; thence North 32-41 East
2,115 feet to a galvmized iron pipe, comer number 18; thence North 23-
59 East 386 feet to a galvanized iron pipe, comer number 19; thence North
12-59 West 1,371 feet to a galvmized iron pipe, comer number 20; thence
North 78-13 East 352 feet to a galvm1ized iron pipe, comer number 21;
the11ce North 18-17 West 966 feet to a galvm1ized iron pipe, comer
number 22; tl1ence North 13-55 East 1,056 feet to a galvm1ized iron pipe,
comer number 23; tl1encc North 1-26 East 560 feet to a galvanized iron
pipe, comer number 24; thence North 25-51 East 1,009 feet to a
galvanized iron pipe, comer number 25; thence North 77-58 East 422 feet
2
•
==• ==
-
-
' . . . ' .
to a galvanized iron pipe, comer number 26; thence North 37-26 East 974
feet to a galvanized iron pipe, comer number 27; thence North 38-11 West
930 feet to a galvanized iron pipe, comer number 28; thence Nortl1 60-57
East 237 feet to a galvanized iron pipe, comer number 29; thence Soutl1
29-20 East 140 feet to a galvanized iron pipe, comer number 30; thence
North 71-10 East 529 feet to a galvanized iron pipe, comer number 31;
thence South 32-35 East 1,256 feet to a galvanized iron pipe, comer
number 32; thence North 77-16 East 210 feet more or less to a galvanized
iron pipe, corner number 33; said corner being a point on contour at
elevation 364 feet Yadkin, Inc. datum; thence along contour at elevation
364 feet Yadkin, Inc. datum as it meanders in a southeasterly direction a
distance of 11,470 feet, more or less, to a galvanized iron pipe, comer
number 34, said comer being a point on contour at elevation 364 feet,
Yadkin, Inc. datum; thence South 48-38 West 396 feet more or less to a
galvanized iron pipe, comer number 35; said comer being South 68-46
East 3,730 feet from a concrete horizontal control monument known as the
Falls Road Monument; thence South 41-21 East 200 feet to a galvanized
iron pipe, con1er number 36; thence North 48-39 East 234 feet more or
less to a point, comer number 37; said comer being a point on co11tour at
elevation 364 feet Yadkin, Inc. datum; thence along contour at elevatio11
364 feet, Yadkin, Inc. datum, as it meanders in a northeasterly direction a
distance of 4,390 feet more or less to a galvanized iron pipe, comer
number 38, said comer being a point on contour at elevation 364 feet,
Yadkin, Inc. datum; thence South 17-07 West 244 feet, more or less to a
galvanized iron pipe, comer number 39; tl1ence South 72-51 East 632 feet
to the begillling, contai11ing 855.0 acres, more or less.
Subject to such interest, if any, as other parties may now have under, by
virtue of, or pursuant to the following:
1. The right and easement granted and conveyed North Carolina
Department of Transportation by an instrument executed by granter herein under
date of June 5, 1998, and recorded in Deed Book 686, page 248, Stanly County
Registry.
The above described tract or parcel of land being a portion of the land
co11veyed by tl1e following deeds:
3
•
•
==;==
I. Deed from Southern Aluminum Company to Tallassee Power
Company, dated November 23, 1915, and recorded in Deed Book 49,
Page 408, Stanly County Registry.
2. Deed from Eva V. Mears, et al to Tallassee Power Company, dated
February 19, 1917, and recorded in Deed Book 53, Page 569, Stanly
County Registry.
3. Deed from Eva V. Mears, et al, to Tallassee Power Company, dated
February 19, 1917, and recorded in Deed Book 53, Page 566, Stanly
County Registry.
4. Deed from Yadkin, Inc., to Aluminum Company of America, dated
March 22, 1961, recorded in Deed Book 204, page 47, Stanly County
Registry.
The above described tract or parcel of land is subject to such interest,
if any, as other parties may now have under, by virtue of, or pursuant to the
reservation of mineral rights as reserved in Deed from S. H. Milton ct ux to
L'Aluminum Francais, dated November 26, 1912, and recorded in Deed Book 44,
Page 15, Stai1ly County Registry.
Alcoa also surrenders, abandons and conveys herewith unto
Yadkin, its successors and assigns, a perpetual rigl1t and easement to use, jointly
witl1 Yadkin, its successors and assigns, two private roads, insofar as the same are
located on the property of Yadkin, which roads have been designated as ''Private
Road to Narrows Dam'' and are shown in part on map recorded in Plat Book 5
Page 21, Stanly County Registry, and ''Private Road to Falls Dain'' running from
Falls Power House to the Badin-Morrow Mountain Road.
4
•
----
PARCEL NO. 2
All that tract or parcel of land situate, lying and being in Badin and
Harris Townships, Stanly County, North Carolina, on the southwest side oftl1e
Yadkin River above the Narrows Dani, which is more particularly described as
follows:
BEGINNING at a galvanized iron pipe, comer number !, said comer
being approximately 250 feet more or less southwest of the southwest
comer of the Narrows Dam, and being South 60-57 West 252 feet from
the horizontal control monume11t set in the Narrows Dam a11d known as
Narrows Dain -West Monument; the11ce South 60-57 West 237 feet to a
galvanized iron pipe, comer number 2; thence North 38-11 West 894 feet
to a galvanized iron pipe, comer number 3; thence South 45-52 West
1,472 feet to a galvanized iron pipe, comer number 4; thence North 74-44
West 368 feet, n1ore or less to a galvanized iron pipe, con1er number 5;
said comer being a point on co11tour at elevation 546 feet Yadkin, Inc.
datum; thence along contour at elevation 546 feet Yadkin, Inc., datum as it
meanders in a southwesterly direction a distance of 8,625 feet, more or
less to a point, comer nun1ber 6; said comer being a point on co11tour at
elevation 546 feet Yadkin, Inc., datum and 50 feet southward from the
ce11ter line of ai1d perpendicular to a railroad spur track of Aluminum
Co111pai1y of America, said comer being located North 8-26 West 3,451
feet from a concrete monument known as Monument "C'', and being the
saine comer referred to as comer number 40 N in the deed from Carolina
Aluminum Company to Aluminum Company of America, dated June 30,
1958, m1d recorded in Deed Book 190, Page 570, Stanly County Registry;
(hence with a line parallel to and 50 feet from the center line of said spur
track i11 a westerly direction a distmce of 655 feet, more or less, to a
galvanized iron pipe, comer number 7; said corner being a point 50 feet
southward and perpe11dicular to the ce11ter line of said railroad spur track;
tl1ence Nortl1 13-07 East 194 feet to a galvmizcd iron pipe, comer number
8; said comer being located South 59-55 East 446 feet from a concrete
monument k11own as Monument ''C'', and said comer being the same
comer referred to as comer number 40 Lin the deed from Carolina
Alu1ninum Company to Aluminum Company of America, dated June 30,
1958, a11d recorded in Deed Book 190, Page 570, Stanly County Registry;
thence due East 54 feet, more or less, to a galvanized iron pipe comer
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number 9, said comer being a point on contour at elevation 541 feet,
Yadkin, Inc. datum; thence along contour at elevation 541 feet, Yadkin,
Inc., datum as it meanders in a northeasterly direction a distance of 15,325
feet, more or less, to a galvanized iron pipe, comer number 10, said comer
being a point on contour at elevation 541 feet, Yadkin, Inc., datum; thence
South 59-40 West 268 feet, more or less, to a galvai1ized iron pipe, comer
number 11; thence South 29-20 East 199 feet to the beginning, containing
94.1 acres, more or less.
The above described tract or parcel of land being a portion of the
land conveyed by the following deed:
I. Deed from Southern Aluminum Company to Tallassee Power
Company, dated November 23, 1915, and recorded in Deed Book
49, Page 408, Stanly County Registry.
2. Deed from Yadki11, Inc., to Aluminum Compai1y of America, dated
March 22, 1961, recorded in Deed Book 204, page 47, Stanly
County Registry.
Alcoa also surrenders, abandons and conveys l1erewith unto
Yadkin, its successors and assigns, a perpetual right and casement to use, jointly
with Yadkin, its successors and assigns, one private road, insofar as tl1e saine is
located on the property of Yadkin which road l1as been designated as "Private
Road to Narrows Dain'', which is shown in part on a map recorded in Plat Book 5,
Page 21, Stanly County Registry.
PARCEL NO. 3
All that tract or parcel of land situate, lying and being in Harris
Townsl1ip, Stanly County, Nortl1 Carolina, on tl1c west side of the Yadkin River,
which is 1nore particularly described as follows:
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BEGINNING at a point, corner number I, said corner being a point
on contour at elevation 541 feet, Yadkin, Inc., datum, and on the west arm
of the Narrows Reservoir, approximately 1,530 feet northwest of Concrete
Monument''!''; thence North 56-52 West 1,431 feet more or less to a
point, corner number 2; said corner being located South 60-38 East 1,071
feet from a concrete monument known as Monument ''C'', and said corner
being the same referred to as corner number 40 E in the deed from
Carolina Aluminum Company to Aluminum Company of America, dated
June 30, 1958, and recorded in Deed Book 190, Page 570, Stanly County
Registry; thence North 52-31 West 1,739 feet to a point, corner number 3;
said corner being a point on the center line of tl1e Old Palmerville Road;
thence along the center line oftl1e Old Palmerville Road as it meanders in
a northeasterly direction, a distance of 292 feet more or less to a
galvanized iron pipe, comer number 4; thence North 36-43 West 2,185
feet to a galvanized iron pipe, comer number 5, said corner being the same
referred to as corner number 40 C in the deed from Carolina Aluminum
Co1npany to J. A. Bunch et ux by deed dated April 5, 1943, and recorded
in Deed Book 124, Page 504, Stanly County Registry; thence South 80-27
East 434 feet to a galvanized iron pipe, comer number 6; thence Soutl1 36-
43 East 1,775 feet to a point, corner 11u111ber 7, said corner being a point on
the center line of the Old Palmervillc Road; thence along tl1e center line of
the Old Palmerville Road as it meanders in a northeasterly direction, a
distance of 1,020 feet more or less, to a point, corner number 8; thence
South 80-33 East 152 feet to a granite stone monument, corner number 9;
tl1ence South 27-19 West 338 feet to a granite stone monument, corner
number 10; thence South 80-14 East 67 feet to a galvanized iron pipe,
corner number 11, said comer being a point on the center line of the new
Palmerville Road; thence along the center line of the new Palmerville
Road, as it meanders in a general southerly direction, a distance of 885
feet more or less to a poi11t, corner number 12; thence North 89-15 East
231 feet to a galvanized iron pipe, corner number 13; tl1ence North 0-17
\Vest 200 feet to a galvanized iron pipe, corner number 14, said corner
being the same referred to as corner number 50 B in tl1e deed from
Carolina Aluminum Company to L. T. Gayle, dated April 8, 1943, and
recorded in Deed Book 124, page 516, Stanly County Registry; thence
North 89-19 East 675 feet to a galvanized iron pipe, corner number 15;
thence North 26-17 East 1,265 feet to a galvanized iron pipe, corner
number 16; thence South 68-19 East 365 feet more or less to a galvanized
iro11 pipe, corner nu1nber 17; said corner being a point on the west right of
way line of Aluminum Company of An1erican's Railway (Halls Ferry
Ju11ction Line), which is 25 feet perpendicularly from the center li11e of the
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main track of said Railway; thence along the west right of way line of
Aluminum Company of America's Railway {Halls Ferry Junction Line),
which is at all points 25 feet from and parallel with the centerline of the
main track of said railway as it meanders in a northeasterly direction, a
distance of I, 145 feet more or less, to a point, corner number 18, said
corner being a point on the west right of way line of said Railway, which
is 25 feet from and at right angles to the center line of the main track of
said Railway, and on contour at elevation 545 feet, Yadkin, l11c., datum;
tl1ence along contour at elevation 545 feet, Yadkin, Inc., datum, as it
meanders in a northwesterly direction a distance of 2,260 feet more or less
to a poi11t, corner number 19; said corner being a point on contour at
elevation 545 feet, Yadkin, Inc., datum, and on the west right of way line
of Aluminum Company of An1erica's Railway (Halls Ferry Junction
Line), wliich is 25 feet from and at right angles to the center line of the
main track of said Railway; thence along the west right of way line of
Alumi11um Company of America's Railway (Halls Ferry Junction Line),
which is at all points 25 feet from and at right angles to the center li11e of
the main track of said railway, as it meanders in a northwesterly direction,
a distance of I 00 feet more or less to a galvanized iron pipe, corner
number 20, said corner being a point on the west right of way line of said
Railway which is 25 feet from and at right angles to the center line of the
main track of said Railway; thence South 64-36 West 44 feet more or less
to a granite stone monument, corner number 21; thence North 32-28 West
156 feet to a granite stone monument, corner number 22; thence North 27-
03 West 388 feet to a galvanized iron pipe, comer number 23; thence
North 29-19 West 280 feet to a galvanized iron pipe, corner nu1nber 24;
tlience Nortl1 18-39 West 491 feet 1nore or less to a Railroad angle bar,
corner number 25; said corner being a point on the center line of a branch;
tl1ence alo11g tl1e center line of said branch, as it meanders in a
southwesterly direction, a distance of 60 feet more or less to a point,
corner number 26, said corner being a point on contour at elevation 546
feet Yadkin, Inc. datum; thence alo11g contour at elevation 546 feet,
Yadkin, Inc. datum, as it meanders in a general northwesterly direction a
distance of2,980 feet more or less, to a galvanized iron pipe, corner
number 27, said comer being a point on contour at elevation 546 feet,
Yadkin, Inc. datum; thence North 41-44 West 37 feet more or less to a
galvanized iron pipe, comer nu1nber 28; said corner being tl1e same
referred to as corner number 14 in the deed from Tallassee Po,ver
Company to B. F. Cox dated March 23, 1921, and recorded in Deed Book
62, Page 581, Stanly County Registry; thence North 66-09 West 218 feet
to a galvanized iron pipe, comer number 29; thence South 70-48 West 188
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feet to a galvanized iron pipe, comet number 30; thence South 3-41 East
233 feet to a galvanized iron pipe, comer number 31; thence South 21-43
East 132 feet to a galvanized iron pipe, comer number 32; thence South
59-20 West 163 feet to a galvanized iron pipe, comer number 33; thence
South 39-22 West 266 feet to a galvanized iron pipe, comer number 34;
thence South 83-31 West 186 feet to a galvanized iron pipe, comer
number 35; thence North 78-28 West 100 feet to a galvanized iron pipe,
comer number 36; thence North 23-55 West 126 feet to a galvanized iron
pipe, con1er number 37; thence South 85-45 East 8 feet more or less to a
point, comer number 38; said comer being a point on contour at elevation
545 feet, Yadki11, Inc. datum; tl1ence along contour at elevation 545 feet,
Yadkin, Inc. datum, as it meanders in a northerly direction a distance of
1,930 feet more or less to a galvanized iron pipe, comer number 39, said
comer bei11g a point on contour at elevation 545 feet, Yadkin, Inc. datum,
and being the same as the eighth comer referred to in the deed from
Carolina Aluminum Company to C. C. Deese, dated January 16, 1939, and
recorded in Deed Book 110, Page 358, Stanly County Registry; thence
North 32-47 West 371 feet more or less to a galvanized iron pipe, comer
number 40, said comer being a point on contour at elevation 545 feet,
Yadkin, Inc. datum; thence along contour at elevation 545 feet, Yadkin,
Inc. datu111, as it meanders in a northwesterly direction, a distance of9,840
feet n1ore or less to a point, comer nu111ber 41; said corner being a point 011
contour at elevation 545 feet, Yadkin, I11c. datum and on the cast rigl1t of
way line oftl1e Winston-Salem Southbound Railroad, which is 64 feet
from and at right angles to the center line of tl1e main track of said railway
at Statio11 2638 plus 80 on the center line of said railway; thence along the
cast right of way line of the Winston-Salem Southbound Railway as it
meanders in a southerly direction, a distance of71 feet more or less to a
poi11t, con1er nun1ber 42, said corner being a point on tl1e east right of way
line of said Railway which is 50 feet fron1 a11d at right angles to the center
li11e oftl1c 1nain track of said railway at Station 2638 plus 50 on tl1e center
li11e of said railway; thence along the cast rigl1t of way line of the Winston-
Salem Southbound Railway, wl1ich is at all points 50 feet fron1 and at rigl1t
angles to the center line of the main track of said railway, as it meanders in
a southwesterly direction, a distance of 8,505 feet more or less to a point,
comer nun1ber 43, said comer being a point on the east right of way line of
said Railway which is at all points 50 feet from and at right angles to the
ee11ter line of the main track of said railway; said comer being located
Soutl1 72-10 West 1,339 feet from a granite stone monument, comer to tl1c
lands ofB. T. Garrison, and being the same comer as the most westerly
comer referred to in tl1e deed fro1n Carolina Aluminum Company to B. T.
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Garrison, dated April 4, 1939, and recorded in Deed Book 113, page 5,
Stanly County Registry; thence North 25-43 West 114 feet to a point,
comer number 44, said comer being a point on the west right of way li11e
of the Winston-Salem Southbound Railroad which is 50 feet from and at
right angles to the center line of the main track of said railway; thence
along the west right of way line of the Winston-Salem Southbound
Railway, whicl1 is at all points 50 feet from and at right angles to the
center line oftl1e main track of said railway, as it meanders in a
northeasterly direction a distance of 8,385 feet more or Jess to a point,
comer number 45; said comer being a point on the west right of way line
of said railway which is 50 feet from and at right angles to the center line
of the main track of said Railway at Station 2638 plus 50 on the center line
of said railway; thence along the west right of way line oflhe Winston-
Salem Southbound Railway, as it meanders in a northerly direction a
distance of 102 feet to a point, comer number 46, said comer being a point
011 tl1e ,vest rigl1t of way line of said Railway wl1ich is 70 feet from and at
right angles to the center line of the main track of said Railway at Station
2637 plus 50 011 the center line of said railway; thence along the west right
of way line of the Winston-Salem Soutl1bound Railroad which is at all
points 70 feet from and at right angles to the center line of the main track
of said railway, as it meanders in a northerly direction a distance of 150
feet to a point, comer number 47, said comer being a point on west right
of way line of said railway which is 70 feet from and at right angles to the
center line of tl1e main track of said railway at Station 2636 plus 00 on
center line of said railway; thence along the west rigl1t of way line of the
Winston-Salem Southbound Railway as it n1eanders in a northerly
direction a dista11ce of 102 feet to a point, comer number 48; said comer
being a point 011 the ,vest right of way line of said Railway, which is 50
feet from and at right angles to the center line of tl1e main track of said
railway at Station 2635 plus 00 on the center line of said railway; thence
along tl1e west right of way line of the Winston-Salem Southbound
Railway, which is at all points 50 feet from and at right angles to the
center line oftl1e main track of said railway, as it meanders in a northerly
and the11 a northwesterly direction a distance of 3,960 feet more or less to
a point, comer number 49; said comer being a point on the west rigl1t of
way line of said Railway, which is 50 feet from and at rigl1t angles to the
center line of the main track of said railway at Station 2595 plus 35 011 the
center line of said Railway and on contour at elevation 545 feet, Yadkin,
Inc. datum; thence along contour at elevation 545 feet, Yadkin, Inc.
datum, as it meanders in a soutl1westerly direction a distance of 5,500 feet
more or less to a point, comer number 50, said comer being a point on
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contour at elevation 545 feet, Yadkin, Inc. datum; thence North 2-45 East
38 feet more or less to a granite stone monument, comer number 51;
thence North 0-47 East 160 feet to a granite stone monument, comer
11umber 52; thence Nortl136-41 West 357 feet to a concrete monument,
comer number 53; thence North 5-50 East 985 feet to a concrete
monument, comer number 54; thence North 75-35 West 361 feet to a
granite stone monument, comer number 55; thence South 59-02 West 466
feet to a granite stone monument, comer number 56; thence North 28-49
West 228 feet to a granite stone monument, comer number 57; tl1ence
North 63-26 East 850 feet to a point, comer number 58; thence North 28-
35 West 228 feet to a point, comer number 59; thence South 74-28 East 38
feet more or less to a point, comer number 60; said comer being a point on
contour at elevation 541 feet, Yadkin, Inc. datum; thence along contour at
elevation 541 feet, Yadkin, Inc. datum, as it meanders in a southerly and
then a northeasterly direction a distance of9,325 feet more or less to a
poi11t, comer number 61, said comer being a point on contour at elevation
541 feet Yadkin, Inc. datum and on the west right of way line of the
Winston-Salem Southbound Railroad which is 50 feet from and at right
angles to the center line of the main track of said railway; said comer
being located North 32-4 East 2,089 feet from a concrete monument,
comer to the lands of J. B. Safley, and being the same comer as the most
easterly comer referred to in the deed from Carolina Aluminum Company
to J. B. Safley et al, dated September 12, 1938, and recorded in Deed
Book 110, page 24, Stanly County Registry; thence along the west right of
way line of the Winston-Salem Southbound Railway, which is at all points
50 feet fro1n and at right angles to the center line of the main track of said
railway, as it meanders in a northwesterly direction, a distance of 695 feet
1nore or less to a point, comer number 62, said comer being a point 011 the
west right of way line of said railway which is 50 feet from and at right
a11gles to the ce11ter line of the main track of said railway and on contour at
elevation 541 feet, Yadkin, Inc. datum; thence along contour at elevation
541 feet, Yadkin, Inc. datum, as it meanders in a northwesterly direction a
distance of 5,580 feet more or less to a point, comer number 63; said
comer bei11g a point on contour at elevation 541 feet, Yadkin, Inc. datum;
and being the saine comer as tl1e third comer referred to in the deed from
Carolina Aluminum Company to J.B. Safley et al, dated September 12,
1938, and recorded in Deed Book 110, page 24, Stanly County Registry;
tl1cnce South 45-53 West 14 feet more or less to a galvanized iron pipe,
comer number 64; said comer being a point on contour at elevation 545
feet, Yadkin, Inc. datum; thence along contour at elevation 545 feet,
Yadkin, Inc. datum, as it meanders in a westerly and tl1e11 easterly
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direction a distance of 5,035 feet more or less to a galvanized iron pipe,
comer number 65; said comer being a point on contour at elevation 545
feet, Yadkin, Inc. datum and on the west right of way line of the Winston-
Salem Southbound Railroad which is 50 feet from and at right angles to
the center line of the main track of said railway; said comer being located
North 42-22 East 3,452 feet from a granite stone monument, comer to the
lands of Stanly Lumber Company and J. B. Safley, said comer being the
same comer referred to as comer nun1ber 111 B in Tract 2 in the deed
from Carolina Aluminum Company to Stanly Lumber Con1pany, dated
October 2, 1939, and recorded in Deed Book 121, page 101, Stanly
County Registry; thence along the west right of way line of said Winston-
Salem Southbound Railway, which is at all points 50 feet from and at right
angles to the center line of the main track of said railway, as it meanders in
a northwesterly direction a distance of 135 feet more or less to a point,
comer number 66; said comer being a point at the intersection of the west
rigl1t of,vay line of the Winston-Salem Southbound Railway with the
south right of way line of the Aluminum Company of America's railway
from Halls Ferry Junction to Badin; thence along the west rigl1t of way
li11e, wl1ich is at all points 10 feet from and at right angles to tl1e center
line of the intercl1ange track from Alu111i11um Company of America's
Railway (Halls Ferry Junction Line) to the Winston-Salem Southbound
Railway, as it meanders in a nortl1westerly direction, a distance of70 feet
to a point, comer number 67; said comer being a point on the south right
of way line which is 10 feet fro111 and at right angles to the center line of
the said intercl1ange track; the11ce along the south right of way line of
Aluminum Company of America's Railway (Halls Ferry Junction Linc)
whicl1 is at all points 50 feet fro1n and at right angles to tl1e center line of
tl1e mai11 track of the south leg of the Whitney wye, as it mem1ders in a
westerly direction a distance of 1,085 feet, more or less, to a point
opposite railroad statio11 7 plus 56.4 comer number 68; thence along the
south right of way line of Aluminum Company of America's Railway
(llalls Ferry Ju11ction Line), ru1ming at right angles to the main line of said
railway in a northwesterly direction, a distance of 25 feet to a point, comer
number 69, said comer being a point on the south right of way line of said
railway, ,vhicl1 is 25 feet from and at right angles to the center line of the
main track of said railway, and being a point opposite the cross-over
switcl1point which is about 222 feet southwest of the southwest end of the
Whitney wye; tl1ence along the southeast right of way line of Aluminum
Co1npany of America's Railway (Halls Ferry Junction Line), which is at
all points 25 feet from and at right angles to tl1e center line of the main
track of said railway, as it meanders i11 a southwesterly direction a distance
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of 6,410 feet more or less to a galvanized iron pipe, comer number 70,
said comer being a point on the southeast right of way line of said railway
which is 25 feet from and at right angles to the center line of the main
track of said railway, said comer being the same referred to as comer I 11
A in Tract 2, in tl1e deed from Carolina Aluminum Company to Stanly
Lumber Company, dated October 2, 1939, and recorded in Deed Book
121, Page IOI, Stanly County Registry; thence North 42-14 West 50 feet
lo a galvanized iron pipe, comer number 71, said comer being a point on
tl1e northwest right of way line of Aluminum Co1npany of America's
Railway (Halls Ferry Junction Line), which is 25 feet from and at right
angles to the center line of the main track of said Railway; thence along
tl1e northwest right of way line of Aluminum Con1pany of America's
Railway (Halls Ferry Junction Line), which is at all points 25 feet from
and at right angles to the center line of the main track of said Railway as it
n1eanders in a northeasterly direction a distance of 6,480 feet more or less
to a point, opposite railroad station 7 plus 56.4, comer number 72, said
comer being a poi11t on the northwest right of way line of said Railway
which is 25 feet from m1d at right angles to the center line of the main
track of said Railway, and said point being opposite the cross-over
switchpoint of the intercl1ange track to the main track of said Railway;
!hence along the 11orthwest right of way line of Aluminum Company of
America's Railway (Halls Ferry Junction Line), running at right angles to
the main line of said railway i11 a nortl1westcrly direction a distance of 25
feet to a point, comer number 73, said comer being a point on the
northwest right of way line of said Railway, which is 50 feet from and at
right angles to the center line of the n1ain track of said Railway, and
opposite the cross-over switchpoint of the interchange track to the main
track of said Railway; thence along the north right of way line of
Alu1ninum Company of America's Railway (Halls Ferry Junction Line),
which is at all points 50 feet from and at right angles to the center line of
the main track of said railway as it meanders in an easterly direction a
distance of360 feet, more or less to a point at the intersection oftl1e 11orth
right of way line of the Aluminum Company of America's 1nain track
from Halls Ferry Junctio11 to Badin with the west right of way li11e of the
connectio11 track leading from said main track m1d proceeding
northeastwardly to the n1ain track of the Winston-Salem Southbound
Railway; said point being 50 feet from and at right m1gles to the center line
of the main track, and 25 feet from and at right ai1gles to the center line of
the connection track, comer number 74; thence with !he west rigl1t of way
li11e of the connection track above referred to, which is 25 feet from m1d
parallel to the center line of said track, as it meanders i11 a northeasterly
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direction a distance of 785 feet, more or less, to a point which is
approximately 65 feet southwest of the center line of the main track of the
Winston-Salem Southbound Railway, comer number 75; thence along the
northern boundary line of the right of way, of the connection track above
referred to, as it meanders in a northerly direction a distance of25 feet,
n1ore or less, to a point at the intersection of said boundary line with the
southwest right of way line of tl1e Winston-Salem Southbound Railway,
said point being 50 feet from and at right angles to the center line of the
main track of the Winston-Salem Southbound Railway, corner number 76;
thence along the southwest right of way line oftl1e Winsto11-Salem
Southbound Railway which is at all points 50 feet from and at right angles
to the center line of the main track of said railway, as it meanders in a
nortl1westerly direction a distance of 160 feet more or less to a galvanized
iron pipe, corner number 77; said corner being a poi11t on the southwest
right of way line of said Railway which is 50 feet from and at rigl1t angles
to the center li11e oftl1e main track of said railway and on contour at
clevatio11545 feet, Yadkin, Inc. datum, said corner being located North
74-5 East 4,537 feel from a granite stone monu1nent, corner to the lands of
Stanly Lumber Company, said corner being the same referred to as corner
number 106 Din the deed from Caroli11a Aluminum Company to Stanly
Lumber Company, dated October 2, 1939, and recorded in Deed Book
121, page IOI, Stanly County Registry; thence along contour at elevation
545 feet, Yadkin, Inc. datum as it meanders in a southwesterly and then
11ortheasterly direction, a dista11ce of 685 feet more or less to a galvanized
iro11 pipe, corner nun1ber 78, said cor11er being a point on contour at
elevatio11 545 feet, Yadkin, Inc. datun1 and on the west right of way line of
the Winston-Salem Southbound Railway, which is 50 feet from and at
right angles to the center line of the of the main track of said railway, said
corner being located North 72-53 East 4,499 feet from a granite stone
n1onun1ent, con1er to the lands of Stanly Lumber Company, said corner
being the same referred to as corner number I 06 E in the deed next above
referred to; tl1ence along the west rigl1t of way line of the Winston-Salem
Southbound Railroad, which is at all points 50 feet from and at right
angles to the center line of the n1ain track of said railway, as it meanders in
a nortl1westerly direction, a distance of 1,260 feet more or less to a
galvanized iro11 pipe, corner nUlllber 79; said corner being a point on the
west right of way line of said Railroad which is 50 feet fro111 and at right
a11gles to the center line of tl1e main track of said rail,vay and on contour at
elevation 545 feet, Yadkin, Inc. datlllll; thence along contour at elevation
545 feet, Yadkin, Inc. datum, as it meanders in a southwesterly and then
11ortheasterly direction, a distance of 1,170 feet more or less to a
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galvanized iron pipe, comer number 80; said comer being a point on
contour at elevation 545 feet, Yadkin, Inc. datwn and on the west right of
way li11e of the Winston-Salem Southbound Railway, which is 50 feet
from and at right angles to the center line of the main track of said
railway, said comer being located North 55-13 East 3,380 feet from a
granite stone monument, comer to the lands of Stanly Lumber Company,
said comer being the same referred lo as comer number 106 G in the deed
next above referred to; tl1ence along the west right of way line of the
Winston-Salem Southbound Railroad which is at all points 50 feet from
and at right angles to the center line of the main track of said railroad as it
meanders in a northwesterly direction, a distance of240 feet more or less
to a galvanized iron pipe, comer number 81; said comer being a point on
the west right of way line of said Railroad, which is 50 feet from and at
right angles to the center line of the main track of said Railroad and on
contour at elevation 545 feet, Yadkin, Inc. datun1; thence along contour at
elevation 545 feet, Yadkin, Inc. datum, as it meanders a distance of9,590
feet more or less to a galvanized iron pipe, comer number 82, said comer
being a point on contour at elevation 545 feet, Yadkin, Inc. datum; thence
South 36-43 East 407 feet more or less to a granite stone monun1ent,
comer number 83; thence South 3-15 West 228 feet to a galvanized iro11
pipe, comer 11umber 84; tl1ence North 36-43 West, 4,979 feet to a
galvanized iron pipe, comer number 85; thence North 75-04 West 3,023
feet to a galvanized iron pipe, comer number 86; thence North 82-46 East
2,166 feet to a galvanized iron pipe, comer number 87; said comer being a
point 011 the west right of way line of Yadkin, I11c.'s High Rock-Badin
transmissio11 line; thence South 35-34 East 892 feet to a galvanized iro11
pipe, comer number 88; said comer being a point the west right of way
li11e of Yadkin, Inc.'s High Rock-Badin transmission line; thence North
52-57 East 788 feet more or less to a galvanized iron pipe, comer number
89, said comer being a point on contour at elevation 541 feet, Yadkin, Inc.
datum; thence along contour at elevation 541 feet, Yadkin, Inc. datwn, as
it meanders in a general southeasterly direction a distance of38,690 feet
more or less to a point, comer number 90, said comer being a point on
contour at elevation 541 feet, Yadkin, Inc. datwn and on the east right of
way line of Aluminum Company of America's Railway (Halls Ferry
Junction Line) which is 25 feet from and at right angles to the center li11e
of the main track of said Railway; thence along the east right of\vay line
of Alun1inwn Company of America's Railway (Halls Ferry Junction Line)
which is at all poi11ts 25 feet from and at rigl1l angles to the center line of
the main track of said railway as it meanders in a southeasterly direction a
distance of2,300 feet more or less to a poi11t, comer number 91, said
15
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corner being a point on the east right of way line of said Railway which is
25 feet from and at right angles to the center line of the main track of said
Railway, and on contour at elevation 541 feet, Yadkin, Inc. datum, said
corner being South 63-22 East 370 feet from a stone monument number
70, and being the same as the first corner referred to in the deed from
Carolina Aluminum Company to Charles A. Cannon et ux, dated July 2,
1938, and recorded in Deed Book 108, page 554, Stanly County Registry;
thence along contour at elevation 541 feet, Yadkin, Inc. datum as it
meanders in a northwesterly and then a southeasterly direction a distance
of 56,501 feet 1nore or less to the beginning, containing 517 .4 acres more
or less.
The above described tract or parcel of land being a portion of the
lm1d conveyed by the following deeds:
1. Deed from Southern Aluminum Company to Tallassee Power Compay
by deed dated November 23, 1915, and recorded in Deed Book 49 at
page 408, Stanly County Registry.
2. Deed from Archibald Henderson et al to Tallassee Power Company
dated June 29, 1917, and recorded in Deed Book 56, Page 242, Stanly
County Registry.
3. Deed from Yadkin, Inc., to Aluminum Company of America, dated
March 22, 1961, recorded in Deed Book 204, page 47, Stanly County
Registry.
SA YING AND EXCEPTING from the above described parcel the
following:
• •
Beginning at a new % inch iron pipe set in the eastern right of way
of the Whitney to Badin Railroad, said iron pipe having North Carolina
Grid coordinates of Northing 185462.882 meters and Easting 508336.688
meters, said iron pipe being North 02 degrees 09 n1inutes 45 seconds West
2040.95 feet from North Carolina Geodetic Monument ''LAKE'', also, iron
pipe being North 19 degrees 47 minutes 34 seconds East 1079.28 feet
from a new% inch iron pipe set at the eastern intersect oftl1e rights of way
of North Carolina Highway 740 and the Whitney to Badin Railroad;
running thence with the line of Aluminum Company of America as
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described in Deed Book 190 Page 570, parcel I and crossing tl1e Whitney
to Badin Railroad North 56 degrees 27 minutes 48 seconds West 51.47
feet to a new iron pipe set in the western right of way of the Whitney to
Badin Railroad; thence with the line of Aluminum Company of America
North 56 degrees 27 minutes 48 seconds West 1135.75 feet to a new of,
inch iro11 pipe, comer 2 of Deed Book 204 Page 47, parcel 3, said new iro11
pipe being North 33 degrees 49 minutes 44 seconds West 542.85 feet from
a new Y, inch iron pipe set in the center of electrical tower number 8;
thence with the line of Aluminum Company of America and crossing
Palmerville Road (NC State Road #1566) North 52 degrees 06 minutes 31
seco11ds West 1730.51 feet to a granite stone; thence with Aluminum
Con1pany of An1erica North 52 degrees 06 minutes 31 seconds West 8.44
feet to a new :Y.. inch iron pipe, comer 3, also, said iron pipe being comer
400 as described in Deed Book 190 Page 570, parcel 1, said iron pipe
being in the center ofan old road bed and in the line ofEn1anuel Wright as
described in Deed Book 285 Page 374; thence with the meander of the old
road bed North 43 degrees 02 minutes 25 seconds East 197 .15 feet to a
new nail; thence with the center of the old road bed North 27 degrees 58
n1inutes 08 seconds East 108.41 feet to an existing I inch flat bar, corner 4
and being in tl1e western right of way of an electrical tower line; thence
with the line of Emanuel Wrigl1t North 35 degrees 57 minutes 44 seconds
West 216.94 feet to an existing'!, incl, iron pipe at a flat bar; thence North
36 degrees 28 minutes 28 seconds West 389.35 feet to an existing :Y.. i11ch
iron pipe, said iron pipe being a common comer of Emanuel Wright and
Ed Harris as described in Deed Book 270 Page 876; tl1ence with the line of
Ed Harris North 36 degrees 25 minutes 00 seconds West 361.26 feet to an
existing :Y.. incl, iron pipe, said iron pipe being a common comer of Ed
Harris and Richard Allen as described in Deed Book 363 Page 623; thence
North 36 degrees 16 minutes 35 seconds West 529.00 feet to an existing Y,
i11ch iron pipe, said iron pipe being a common comer of Richard Allen and
Frank Butler as described in Deed Book 241 Page 024; thence North 36
degrees 17 minutes 20 seco11ds West 695.98 feet to an existing 1 Y, iron
pipe, corner 5, said iron pipe being in the line of Daniel Kirk, et al as
described in Deed Book 019 Page 288, also, said iron pipe being in tl1e
western right of way ofan electrical tower line; thence crossing tl1e
electrical tower line S0utl1 79 degrees 44 minutes 11 seconds East 435.80
feet to an existing 1 Y, inch iron pipe, comer 6, said iron pipe being in the
easten1 right of way of an electrical tower line and being a common of
Harlow Hicks, Jr. as described in Deed Book 297 Page 798 and Deed 60 I
Page 900; thence with the eastern right of way of an electrical tower line
Soutl136 degrees l81ninutes 34 seconds East 1779.82 feet to an existing
17
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1 Y, inch iron pipe, comer 7, said iron pipe being in the center of Old
Palmerville Road; thence with the meander of the center of Old
Palmerville Road North 35 degrees 17 minutes 57 seconds East 226.07
feet to a new nail; thence North 55 degrees 26 minutes 12 seconds East
137.38 feet to a new nail; thence North 63 degrees 41 minutes 12 seconds
East 139.03 feet to an existing Y. iron pipe in the center of Old Palmerville
Road, a comer of Harlow Hicks, Jr. as described in Deed Book 601 Page
900; thence witl1 the line of Harlow Hicks, Jr. South 54 degrees 51
1ninutes 25 seconds East 566.68 feet to an existing Y, inch iron pipe on the
western right of way of Palmerville Road (NC State Road #1566); thence
South 54 degrees 51 minutes 25 seconds East 37.01 feet to an existing V.
inch rebar in the center of Palmerville Road; thence with the center of
Pal1nerville Road South 01 degrees 13 minutes 56 seconds East 50.23 feet
to a new nail; thence South 04 degrees 08 minutes 12 seco11ds East 166.50
feet to a new nail; thence South 05 degrees 17 minutes 57 seconds East
228.14 feet to a new nail; thence Soutl1 04 degrees 52 minutes 21 seconds
East 64. 76 feet to a 11ew nail; tl1ence South 04 degrees 04 minutes 17
seconds East 116.72 feet to a new nail, comer 12, set in the center of
Palmerville Road (NC State Road #1566); tl1e11ce South 89 degrees 39
minutes 37 seconds East 25.79 feet to an existing :Y, inch iron pipe, said
iron pipe being a comer of John Shelton as described i11 Deed Book 320
Page 423; thence with the line of John Shelton South 89 degrees 39
minutes 37 seconds East 206.26 feet to an existing I Y, inch iron pipe,
comer 13; the11ce North 00 degrees 08 minutes 39 seconds West 198.99
feet to an existi11g 1 Y, inch iron pipe, comer 14, said iron pipe being in tl1c
center of an old road bed and being at the base of a double red oak, also,
said iron pipe being in the line of Charles DeBerry as described in Deed
Book 224 Page 547; thence with the line of Charles DeBerry South 89
degrees 34 mi11utes 44 seconds East 674. 75 feet to an existing l Y, inch
iron pipe, comer 15, said iron pipe being a co1nmon comer of Charles
DeBerry and Aluminum Company of America as described in Deed Book
204 Page 04 7, parcel 3; thence a new line with Aluminum Company of
A1nerica South 89 degrees 34 minutes 44 seconds East 731.68 feet to a
11cw Y. inch iron pipe set in the western right of way of the Wl1itney to
Badin Railroad; thence South 89 degrees 34 minutes 44 seco11ds East
25.33 feet to a new :Y, inch iron pipe set in the center of the railroad;
tl1ence South 89 degrees 34 minutes 44 seconds East 25.33 feet to a new'/,
inch iron pipe set in the eastern right of,vay oftl1e railroad; thence with
the eastern right of way of the Whitney to Badin Railroad South 11
degrees 23 minutes 18 seconds West 110.75 feet to a point in the eastern
right of way of the railroad; thence South 15 degrees 48 minutes 34
18
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seconds West 102.55 feet to a point in the eastern right of way of the
railroad; thence South 18 degrees 58 minutes 14 seconds West 100.69 feet
to a poi11t in the eastern right of way of the railroad; thence Soutl1 19
degrees 47 minutes 52 seconds West 1114.66 feet to a point in the eastern
right of way of the railroad; thence South 19 degrees 51 minutes 23
seconds West 305.09 feet to a point in the eastern right of way of the
railroad; thence South 19 degrees 41 minutes 58 seconds West 127.05 feet
to the point of beginning. Containing 90.279 acres+/-and being tract 3 as
shown on the survey for Yadkin, Inc. by James T. Hill, P.L.S. on
November 29, 1999.
FURTHER SAVING AND EXCEPTING from the above described Parcel
of land all oftl1e land heretofore conveyed by grantor herein to:
1. J.B. Garrison, Inc., by instrument dated, October 23, 1972, and
recorded in Deed Book 267, page 908, Stanly County Registry,
containing 5.5 acres, more or less, and by reference incorporated
l1erein.
2. Harlow 0. Hicks, Jr., et ux by instrument dated, May 13, 1996, and
recorded in Deed Book 601, page 900, Stanly County Registry,
containing 3.80 acres, more or less, and by reference incorporated
herein.
This parcel is subject to such interest, if any, as other parties may
now have under, by virtue of or pursuant to tl1e following:
1. The rigl1t of way and easement reserved by the grantors in a deed
from Arcl1ibald Henderson et al to Tallassee Power Company, dated
June 29, 1917, and recorded in Deed Book 56, Page 242, Stanly
Cou11ty Registry.
2. The right of way ai1d ease1nent granted and conveyed to Charles A.
Carmon ct ux by an instrument executed by Carolina Aluminum
Company under date of July 2, 1938, and recorded in Book 108 at
Page 554, Stanly County Registry.
3. The right of way and easement granted and conveyed to the City of
Albemarle by an instrument executed by Carolina Aluminun1
19
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Company under date of August 23, 1949, and recorded in Book 159
at Page 80, Stanly County Registry.
4. The rights and easements granted and conveyed to Alcoa by an
i11strument executed by Carolina Aluminum Company under date of
June 30, 1958, and recorded in Book 190 at Page 583, Stanly County
Registry.
5. Tl1e right and easement granted and conveyed United States
Department of Agriculture Forestry Services by an unrecorded
i11strument executed by grantor herein under date of August 27, 1964.
6. Tl1e right and easement relating to Secondary Road 1521 granted and
conveyed North Carolina Department of Transportation by an
instrument executed by grantor herein under date of September 10,
1985, and recorded in Deed Book , page , Stanly County
Registry.
PARCEL NO. 4
All that tract or parcel of land situate, lying and being in Harris
Township, Stanly County, North Carolina, on the west side of the Yadkin River,
which is n1ore particularly described as follows:
BEGINNING at a galvanized iron pipe, comer number I; said comer
being a point on contour at elevation 596 feet, Yadkin, Inc. datum and on
the west rigl1t of,vay line of Yadkin, lnc.'s High Rock-Badin
transmission line approximately 420 feet northwest of Tower No. 66 on
the Higl1 Rock -Badin Transmission line; thence South 34-56 East 577
feet more or less to a galvanized iron pipe, comer number 2; said comer
being a point on the west right of way line of Yadkin, Inc.'s High Rock-
Badin Trans111ission line, said comer being South 36-06 West 135 feet
from a concrete monument known as tl1e Tuckertown West Monument;
tl1ence South 82-46 \Vest 2,166 feet to a galvanized iron pipe, comer
number 3; thence South 42-59 \Vest 603 feet to a galva11ized iron pipe,
comer nun1bcr 4; the11ce North 18-10 West 1,525 feet more or less to a
galvanized iro11 pipe, comer nu1nber 5; said comer being a point on
contour at elevation 605 feet, Yadkin, Inc. datum; thence along contour at
elevatio11 605 feet, Yadkin, Inc. datum as it meai1ders i11 a westerly and
20
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then a northeasterly direction a distance of 675 feet more or less to a
galvanized iron pipe, comer number 5; said comer being a point on
contour at elevation 605 feet Yadkin, Inc. datum; thence North 18-10
West 680 feet more or less to a galvanized iron pipe, comer number 6;
the11ce South 82-34 West 517 feet to a granite stone monument, comer
number 7; thence South 59-38 West 946 feet to a granite stone monument,
comer number 8; tl1ence South 8-11 East 302 feet to a granite stone
monument, comer number 9; thence North 88-07 West 1,669 feet to a
granite stone monument, comer number 10; thence North 28-55 West
1,802 feet to a buried stone, comer number 11; thence South 87-36 East
3,239 feet to a buried stone, comer number 12; thence North 8-35 West
2,263 feet to a pine stump, comer number 13; thence North 6-32 West
1,592 feet to a galvanized iron pipe comer number 14; thence South 89-39
West 1,635 feet to a galvanized iron pipe, comer number 15; thence South
89-15 West 685 feet to a galvanized iron pipe, comer number 16; thence
North 12-36 East 193 feet to a galvanized iron pipe, corner number 17;
thence North 86-25 West 32 feet more or less to a stake, corner number
18; said con1er being in the center oftl1e Old Stokes Ferry Road (State
Highway No. 62); thence along the center of said road as it meanders in a
southwesterly direction, a distai1ce of 245 feet more or less, to a point,
comer number 19; said comer being a point in the ce11ter of said road;
tl1ence South 89-13 West 509 feet to a galvanized iron pipe, comer
number 20; tl1ence North 6-41 West 1,197 feet to a galvanized iron pipe,
corner number 21, said comer being located South 43-4 West 4,618 feet
from a granite stone monument at the southwest corner of the tract of land
conveyed to Tallassee Power Company by Southen1 Aluminum Company,
by deed dated November 23, 1915, recorded in Deed Book 49 at page 406,
Stanly County Registry, said con1er being the same referred to as corner
11umber IO in the deed from W. H. Smith ct ux to Yadkin, Inc., dated
October 23, 1959, and recorded in Deed Book 199, page 355, Stanly
County Registry; thence North 65-23 West 664 feet to a point, corner
nun1ber 22; said comer being a point 011 the Stanly-Rowan County line;
thence along the Stanly-Rowan County line easterly a distance of5,140
feet more or less to a point, corner number 23, said comer being a point on
tl1e Stanly-Rowan County line and on contour at elevation 596 feet,
Yadkin, Inc. datum; the11ce along contour at elevation 596 feet Yadki11,
Inc. datum as it meanders in a general southerly direction a distance of
28,535 feet more or less to a point, corner number 24, said corner being a
point 011 contour at elevation 596 feet, Yadkin, Inc. datu111, and on the west
right of way line of Yadkin, Inc. 's Higl1 Rock-Badi11 Transmission line;
thence South 35-31 East 443 feet more or less to a galvanized iron pipe,
21
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•
comer number 25; said comer being a point on the west right of way line
of Yadkin, Inc. 's High Rock -Badin Transmission line and on contour at
elevation 596 feet, Yadkin, Inc. datum, said comer bei11g North 42-50
West 1,288 feet from a concrete monument known as the Tuckertown
West Monument; thence along contour at elevation 596 feet, Yadkin, Inc.
datum as it meanders in a general southeasterly direction a distance of
1,680 feet more or less to the beginning, containing 536.5 acres more or
less.
The above described tract or parcel of land being a portion of land
conveyed by tl1e following deeds:
1. Deed from Southern Aluminum Company to Tallassee Power
Company, dated November 23, 1915, and recorded i11 Deed Book 49,
Page 408, Stanly County Registry.
2. Deed from Henrietta Ingram et al to Carolina Aluminum Company
dated July 22, 1937, and recorded in Deed Book 106, Page 375,
Stanly County Registry.
3. Deed from Stanly Bank & Trust Company et al to Tallassee Power
Company, dated December 3, 1930, and recorded in Deed Book 89,
Page 262, Stanly County Registry.
4. Deed from R. L. Smith et al to Tallassee Power Company dated
November 12, 1930, and recorded in Deed Book 91, Page 145, Stanly
County Registry.
5. Deed from W. H. Smith et ux to Yadkin, Inc. dated October 23, 1959
and recorded in Deed Book 199, Page 355, Stanly County Registry.
6. Deed fro111 Yadkin, Inc., to Alu1ninu1n Company of America, dated
March 22, 1961, recorded in Deed Book 204, page 47, Stanly County
Registry.
Saving and excepting from the above described Parcel of land all of the
land heretofore conveyed by granter herein to Henry W. Culp, III, et al by
instrument dated, May 6, 1998, and recorded in Deed Book 666, page 442, Sta11ly
22
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County Registry, containing 3.850 acres, more or less, and by reference
incorporated herein.
This parcel is subject to such interest, if any, as other parties may
now have under, by virtue of or pursuant to the following:
1. The rights and easements granted and conveyed to American
Telepho11e and Telegraph Company by an instrument executed by
Carolina Aluminun1 Company under date of December 14, 1945 and
recorded in Book 139 at Page 97, Stanly County Registry.
2. Tl1e rights and easements granted to North Carolina State Highway
and Public Works Commission by an instrument executed by
Carolina Aluminum Company under date of December 23, 1954 and
recorded in Book 387 at Page 224, Rowan County Registry.
3. Tl1e rights and casements granted and conveyed to North Carolina
Highway and Public Works Commission by an instru1nent executed
by Mary J. Cannupp and husband under date of June 29, 1960 and
recorded in Book 346 at Page 57, Rowan County Registry.
4. Tl1e rigl1ts and easements for a graveyard as reserved by the grantors
in deed from R. L. Smith et al to Tallassee Power Con1pany, dated
November 12, 1930, and recorded in Book 91 at Page 145, Stanly
Cou11ty Registry.
5. Tl1c right m1d ease1nent granted and conveyed Union Electric
Membership Corporation by an instrument executed by grantor
herein under date of August 27, 1993, and recorded in Deed Book
535, page 228, Stanly County Registry.
6. The right and easeme11t grai1ted and conveyed City of Albe1narle by
an instrument executed by grantor herein under date of November 15,
1988, and recorded in Deed Book 374, page 485, Stanly county
Registry.
7. The right and casement granted m1d conveyed North Carolina
Department of Transportation by an instrun1ent executed by grantor
23
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•
herein under date of March I, 1976, and recorded in Deed Book 293,
page 169, Stanly County Registry.
8. The right and easement granted and co11veyed North Carolina
department of Transportation by an instrument executed by grantor
l1erein u11der date of June 11, 1963, and recorded in Deed Book 209,
page 655, Stanly County Registry.
PARCEL NO. 5
All that tract or parcel of land situate, lying and being in Harris
Township, Stanly County, North Carolina, on the west side of the Yadkin River,
which is more particularly described as follows:
BEGINNING at a point, comer number I, said comer being a point
on contour at elevation 596 feet, Yadkin, Inc. datum and on the Stanly-
Rowan County line approximately 885 feet east of Tower Number 79 on
Yadki11, Inc. 's High Rock -Badin Transmission line; thence along the
Stanly-Rowan County line easterly a distance of315 feet more or less to a
point, comer number 2; said comer being a point on tl1e Stanly-Rowan
County line and on contour at elevation 596 feet, Yadkin, Inc. datum;
tl1ence along contour at elevation 596 feet Yadkin, Inc. datum as it
meanders in a southwesterly and then a northwesterly direction a distance
of 500 feet n1ore or less to the bcginni11g, containing 0.6 acres more or
less.
The above described tract or parcel of land being a portion of the
land conveyed by the following deed:
'
1. Deed from R. L. Smith ct al to Tallassee Power Company, dated
November 12, 1930 and recorded in Deed Book 91, Page 145,
Stanly County Registry.
2. Deed from Yadkin, Inc., to Aluminum Company of America, dated
March 22, 1961, recorded in Deed Book 204, page 47, Stanly
County Registry.
24
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PARCEL NO. 6
All that tract or parcel of land situate, lying and being in Harris
Township, Stanly County, North Carolina, on the southeast side of Royals Creek
below the Stokes Ferry Road, which is more particularly described as follows:
BEGINNING at a point, comer number I, said comer being a point
on contour at elevation 596 feet Yadkin, Inc. datum and on the Stanly-
Rowan County line, approximately 250 feet south of the Stokes Ferry
Road; tl1ence along the Stanly-Rowan CoW1ty line easterly a distance of
1,220 feet more or less to a pine stake, comer number 2, said comer being
tl1e same referred to as comer number 25 in the deed fron1 H. C. Miller et
al to Carolina Aluminum Company, dated December 11, 1956, and
recorded in Deed Book 186, Page 279, Stanly County Registry; thence
South 3-26 West 1,204 feet to a planted stone, comer number 3; thence
Soutl14-37 West 647 feet, to a stake, comer numbcr4; thence North 89-51
West 1,113 feet to a planted stone in the center ofan old road, comer
nu1nber 5; thence with the center of the said old road as it meanders in a
southwesterly direction a distance ofl,815 feet more or less to a point on
tl1e center line of said old road, comer number 6; thence North 88-47 West
142 feet, to a plat1ted stone, comer number 7, said comer being located
North 10-6 East 2,155 feet from a double maple tree near tl1e point at
wl1ich a fam1 road crosses Mineral Springs Branch and being a comer to
tl1e la11ds ofM. M. and O.D. Ritchie heirs and others; said comer being the
sat11e referred to as comer number 8 in the deed from Charles I. Miller et
11x to Yadkin, Inc. dated October 22, 1959, and recorded in Deed Book
199, Page 284, Stanly County Registry; thence North 3-32 East 729 feet,
to a pla11ted stone, corner number 8; tl1e11ce North 85-24 West 625 feet
more or less to a point, comer number 9; said comer being a point on
co11tour at elevation 596 feet, Yadkin, Inc. datu111; thence along contour at
elevatio11 596 feet, Yadkin, Inc. datum as it meanders in a northeasterly
direction a distance of 5,280 feet more or less to the beginning contai11ing
120.6 acres n1ore or less.
The above described tract or parcel of land being a portion of the
land conveyed by the following deeds:
25
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1. Deed from H. C. Miller et al to Carolina Aluminum Company, dated
Decetnber 11, 1956, and recorded in Deed Book 186, Page 279, Stanly
County Registry.
2. Deed from Charles I. Miller et ux to Yadkin, Inc. dated October 22,
1959, and recorded in Deed Book 199, Page 284, Stanly County
Registry.
3. Deed from Yadkin, Inc., to Aluminum Company of America, dated
March 22, 1961, recorded in Deed Book 204, page 47, Stanly Cou11ty
Registry.
PARCEL NO. 7
All that tract or parcel of land situate, lying and being in Harris
To\vnship, Stanly County, North Carolina, on both sides of Royals Creek, which
is more particularly described as follows:
!
BEGINNING at a point, comer number I, said comer being a
poi11t on contour at elevation 596 feet, Yadkin, Inc. datum and on the
center line or thread of Mineral Springs Branch, 390 feet more or less
soutl1east from the center or thread of Royals Creek; thence along the
center line or thread of said Branch, as it meanders in a southeasterly
direction, a distance of 440 feet more or less to a point, con1er nutnber 2,
said comer being a point on the center line or thread of Mineral Springs
Branch and located South 29-08 East 501 feet more or less from a
galvanized iro11 pipe; thence North 29-08 West 501 feet more or less to a
galvanized iro11 pipe, comer nu1nber 3, said comer being located North 22-
41 West I, 797 feet from a double maple tree near the point at which a
fann road crosses Mineral Springs Branch and being a comer to the lands
of M. M. and 0. D. Ritchie heirs and otl1ers, said comer being the same
referred to as corner number 2 i11 the deed from Mamie K. Ritchie Hearne
et al to Yadkin, Inc. dated February 10, 1959, and recorded in Deed Book
195, Page 363, Stanly County Registry; thence North 67-56 West 205 feet
to a galvanized iron pipe, corner number 4; thence South 70-39 West 196
feet to a galvanized iron pipe, corner number 5; thence South 13-14 West
1 75 feet to a galvanized iron pipe, comer number 6; thence Soutl1 1-41
West 340 feet to a galvanized iron pipe, corner number 7; tl1ence North
28-59 West 223 feet to a galvm1ized iron pipe, con1er number 8; tl1ence
26
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North 62-25 West 76 feet to a galvanized iron pipe, comer number 9;
thence South 69-57 West 248 feet to a galvanized iron pipe, comer
number 10; thence South 81-25 West 194 feet to a galvanized iron pipe,
comer number 11; thence South 31-39 West 248 feet to a galvanized iron
pipe, comer 11umbcr 12; thence North 27-06 West 143 feet to a galvanized
iron pipe, comer number 13; tl1ence South 23-48 West 112 feet to a
galvanized iron pipe, comer number 14; the11ce South 11-11 West 165 feet
to a galvanized iron pipe, comer number 15; thence South 23-33 West 145
feet to a galvanized iron pipe, comer number 16; thence South 35-55 West
179 feet to a galvanized iron pipe, comer number 17; thence South 9-21
West 154 feet to a galvanized iron pipe, comer number 18; thence North
49-10 West 156 feet to a galvanized iron pipe, comer number 19; thence
South 51-06 West 153 feet to a galvai1ized iron pipe, comer number 20;
thence South 35-12 East 681 feet to a stake, comer number 21; thence
South 51-55 West 399 feet to a planted stone, comer number 22; thence
Soutl1 26-57 East 664 feet to a stone, comer number 23; thence South 25-
06 East 229 feet to a planted stone, con1er number 24; tl1ence South 3-39
West 314 feet to a stake, comer number 25; thence South 5-45 West 249
feet to a stake, comer number 26, said comer bei11g on tl1e center line of
the Richfield Road; thence along the center line or thread of said road, as
it meanders in a southwesterly direction, a distance ofl,785 feet more or
less, to a point, comer number 27, said comer being the intersection of the
center line of said road and the center line or thread of Curltail Creek;
thence along tl1e center line or thread of Curltail Creek, as it meanders in a
southerly direction, a distance of 150 feet more or less to a point, comer
number 28, said corner being a point on the center line of Curltail Creek,
said corner being located South 57-19 West 4,438 feet from a double
1naple tree near the point at which a farm road crosses Mineral Springs
Bra11ch ai1d being a corner to the lands of M. M. and 0. D. Ritchie heirs
and others, and being the saine referred to as comer number 1 of Tract 2 in
the deed from Joseph H. Morton et ux to Carolina Alun1inum Company,
dated August 16, 1956, and recorded in Deed Book 186, Page 23, Stanly
County Registry; thence along the center line or thread of Curl tail Creek,
as it meanders in a southeasterly direction, a distance of 800 feet more or
less to a point, comer number 29, said comer being a point on the center
line of Curltail Creek; thence South 86-03 East 30 feet n1ore or less to a
galvanized iron pipe, corner number 30, said corner being located Soutl1
49-39 West 4,667 feet from a double maple tree near the point at which a
farm road crosses Mineral Springs Branch and being a con1er to the lands
ofM. M. and 0. D. Ritcl1ie heirs and others, said comer being the saine
referred to as corner number 2 of Tract 3 in the deed next above
27
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•
mentioned; thence South 39-13 East 204 feet to a galvanized iron pipe,
comer number 31; thence South 49-18 West 46 feet to a galvanized iron
pipe, comer number 32; thence North 38-57 West 245 feet to a galvanized
iron pipe, comer number 33; thence North 44-42 West 364 feet to a
galvanized iro11 pipe, comer number 34; thence North 22-37 West 195 feet
to a galvanized iron pipe, comer number 35; thence North 27-27 East 141
feet to a point, comer number 36, said comer being a point on the center
line of State Highway No. 49; tl1ence along the center line of State
Highway No. 49, South 68-36 West 191 feet to a point, comer number 37,
said comer being a point on tl1e center line of said highway; thence North
12-36 East 266 feet to a galvanized iron pipe, comer number 38; thence
North 48-40 East 53 feet to a galvanized iron pipe, comer number 39;
thence North 82-58 East 98 feet to a galvanized iron pipe, con1er number
40; thence South 36-53 East 114 feet to a galvanized iron pipe, comer
number 41; thence North 54-48 East 71 feet to a galvanized iron pipe,
comer nun1ber 42; thence North 52-33 East 74 feet to a galvanized iron
pipe, comer number 43; thence North 26-14 East 396 feet to a galvanized
iron pipe, comer number 44; thence North 25-19 East 304 feet to a
galvanized iron pipe, comer number 45; thence North 27-12 East 186 feet
to a galvanized iron pipe, comer number 46; thence North 24-53 East 309
feet to a galvanized iron pipe, comer number 47; thence Nortl12-44 West
210 feet to a galvanized iron pipe, comer number 48; thence North 24-14
West 329 feet to a galvanized iron pipe, comer number 49; thence North
49-41 West 170 feet to a galvanized iron pipe, comer number 50; thence
North 51-31 West 90 feet to a galvanized iron pipe, comer number 51;
tl1ence South 53-50 West 165 feet to a galvanized iron pipe, comer
number 52; thence South 9-19 East 241 feet to a galvanized iron pipe,
comer number 53; thence Nortl1 30-55 West 216 feet to a galvanized iron
pipe, comer number 54; thence South 53-50 West 2,341 feet to a pine
knot, comer 11u1nber 55; thence North 20-27 East 1,072 feet to a
galvanized iro11 pipe, comer 11umber 56; thence North 46-30 West 786 feet
to a galvanized iron pipe, comer nu1nber 57; thence North 49-55 East 581
feet to a galvanized iron pipe, comer number 58; thence North 35-02 West
101 feet to a planted stone, comer number 59; thence North 39-57 West
4 7 4 feet to a cedar stake, comer number 60; thence North 41-03 West 3 79
feet to a planted stone, comer number 61; thence South 53-48 West 1,150
feet to a planted stone, comer number 62; thence South 53-40 West 385
feet to a planted stone, comer number 63; thence North 42-56 West 690
feet to a galvanized iron pipe, comer nu1nber 64; thence North 31-52 East
322 feet to a stake, comer number 65; thence North 48-37 West 295 feet
lo a stake, comer nun1ber 66; tl1ence South 31-01 West 293 feet to a
28
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galvanized iron pipe, corner number 67; thence North 42-56 West 30 feet
to a stake, corner number 68; thence North 16-05 West 231 Feet to a stake,
corner number 69; thence North 15-28 West 98 feet to a planted stone,
corner number 70; thence North 42-4 7 West 604 feet to a stake, corner
number 71; thence North 63-36 East 1,336 feet to a galvanized iron pipe,
corner number 72; thence along an old farm road as it meanders in a
northwesterly direction, a distance of 1,450 feet more or less to a point,
corner number 73; said corner being a point on the ce11ter line of Royals
Creek; thence along the center line or thread of said creek as it meanders
in a southeasterly direction a distance of2,0IO feet more or less, to a
point, corner number 74, said con1er being a point on the center line of
said Creek; which point is located North 59-42 West 21 feet more or less
from a galvanized iron pipe; N 59-42 West 21 feet corner number 74 A;
thence South 57-42 East 21 feet more or less to a galvanized iron pipe,
corner number 75, said corner being located South 44-03 East 1,768 feet
from a ten-inch ash tree at the point at which a farm road crosses Royals
Creek and corner to the lands ofW. A. Parker heirs, Yadkin, Inc. a11d
others, said corner being the same referred to as corner number 2 in the
deed from Leland Quincy Goodman et ux to Yadkin, Inc., dated April 10,
1959, and recorded in Deed Book 195, Page 505, Stanly County Registry;
thence South 22-47 East 123 feet to a galvanized iron pipe, corner nun1ber
76; thence South 32-03 West 114 feet to a galvanized iron pipe, corner
number 77; tl1ence South 14-22 West 105 feet to a galvanized iron pipe,
con1er number 78; thence South 22-40 East 729 feet to a galvanized iron
pipe, corner number 79; thence North 73-03 East 287 feet to a galvanized
iron pipe, corner nun1ber 80; thence South 67-03 East 158 feet to a
galvanized iron pipe, corner number 81; thence South 38-37 East 91 feet
to a galvanized iron pipe, corner number 82; tl1e11ce South 24-3 7 East 173
feet to a galva11ized iron pipe, corner number 83; thence South 15-37 West
217 feet to a galvanized iron pipe, corner number 84; tl1cnce South 8-57
East 178 feet to a galvanized iron pipe, corner number 85; thence North
23-38 East 2,762 feet to a stake, corner number 86; thence South 38-55
East 2,042 feet to a galvanized iron pipe, corner number 87; thence North
47-08 East 224 feet to a galvanized iron pipe, corner number 88; thence
North 0-17 East 396 feet to a galvanized iron pipe, corner number 89;
thence North 22-14 East 148 feet to a galvanized iron pipe, corner number
90; thence South 31-27 East 242 feet to a galvanized iron pipe, corner
number 91; tl1ence North 42-37 East 288 feet to a galvanized iron pipe,
corner number 92; tl1ence North 71-15 East 227 feet to a galva11ized iron
pipe, corner 11umbcr 93; thence Nortl1 68-47 West 254 feet to a galvanized
iron pipe, corner nu1nbcr 94; thence North 14-37 West 119 feet to a
29
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galvanized iron pipe, comer nwnber 95; thence North 84-59 East 229 feet
to a galvanized iron pipe, comer number 96; thence South 79-55 East 183
feet to a galvanized iron pipe, comer number 97; thence North 12-05 West
57 feet to a galvanized iron pipe, comer number 98; tl1ence North 38-10
East 697 feet to a galvanized iron pipe, comer nwnber 99; thence North
72-07 East 504 feet to a galvanized iron pipe, comer nwnber 100; thence
Nortl1 25-38 East 500 feet to a galvanized iron pipe, corner number 101;
thence North 60-06 West 219 feet to a galvanized iron pipe, comer
number 102; thence North 0-43 West 150 feet to a galvanized iron pipe,
comer number 103; thence North 81-58 East 356 feet to a galvanized iron
pipe, corner number 104; thence North 37-28 East 196 feet to a galvanized
iron pipe, corner number 105; thence North 2-28 East 419 feet to a
galvanized iron pipe, comer number I 06; tl1ence North 89-36 West 325
feet to a galvanized iron pipe, con1er number 107; thence North 1-07 East
162 feet to a galvanized iron pipe, comer nwnber 108; thence North 83-05
East 250 feet to a galvanized iron pipe, corner number I 09; the11ce North
6-05 West 169 feet to a galvanized iron pipe, corner number 11 O; thence
South 81-00 East 108 feet to a galvanized iro11 pipe, comer number 111;
thence North 2-28 East 332 feet to a galvanized iron pipe, corner number
112, said con1er bei11g a point on the Stanly-Rowan County line; thence
along the Stanly-Rowan County line easterly a distance of 1,090 feet,
more or less, to a point, corner nun1ber 113, said comer being a point on
contour at elevation 596 feet, Yadkin, Inc. datum; thence along contour at
elevation 596 feet, Yadkin, Inc. datum as it meanders i11 a southwesterly
and then northeasterly direction a distance of 30,270 feet, more or less, to
the beginning, containing 349.6 acres, more or less.
The above described tract or parcel of land bei11g a portion of the
land conveyed by the following deeds:
1. Deed from Mamie K. Ritcl1ie Hearne et al to Yadkin, Inc., dated
February 10, 1959, and recorded in Deed Book 195, Page 363, Stanly
County Registry.
2. Deed from Joseph H. Morton, et ux, to Carolina Aluminum
Company, dated August 16, 1956, and recorded in Deed Book 186,
Page 23, Stanly County Registry.
30
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•
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3. Deed from Jane A. Crowell, et con, to Tallassee Power Company,
dated March 18, 1930, and recorded in Deed Book 86, Page 536,
Stanly County Registry.
4. Deed from D. A. Heglar, et ux to Carolina Aluminum Company,
dated September 3, 1937, and recorded in Deed Book 108, Page 47,
Sta11ly County Registry.
5. Deed from Jolu1 A. Yough, et ux to Tallassee Power Company, dated
March 18, 1930, and recorded in Deed Book 86, Page 533, Stanly
County Registry.
6. Deed from S. J. Yough, widower, to Tallassee Power Company,
dated March I 0, 1930, and recorded in Deed Book 86, Page 528,
Stanly County Registry.
7. Deed from Fred Fraley, et ux to Carolina Aluminum Company, dated
July 17, 1937, and recorded in Deed Book 106, Page 371, Stanly
County Registry.
8. Deed from Berry Fraley, et al to Carolina Aluminum Company, dated
July 22, 1937, and recorded in Deed Book 106, Page 373, Stanly
County Registry.
9. Deed from Maggie E. Fraley, unmarried, to Carolina Aluminum
Company dated September 15, 1937, and recorded in Deed Book
106, Page 540, Stanly County Registry.
IO. Deed from T. Burt Mauney and wife Bessie R. Mauney to Yadkin,
Inc., dated January 8, 1959, and recorded in Deed Book 195, Page
275, Stanly County Registry.
11. Deed from Grover Jrunes Williams, et ux, to Yadki11, I11c., dated
November 6, 1958, and recorded in Deed Book 195, Page 150, Stanly
County Registry.
12. Deed from W. A. Kirk to Carolina Aluminum Company, dated June
14, 193 7, and recorded in Deed Book I 06, Page 311, Stanly County
Registry.
31
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13. Deed from Yadkin, Inc., to Aluminum Company of America, dated
March 22, 1961, recorded in Deed Book 204, page 47, Stanly County
Registry.
Tl1e above described tract including all of the land conveyed by the
following deeds:
1. Deed from Hobart Smith, et ux, to Carolina Aluminum Company,
dated October 30, 1956, and recorded in Deed Book 186, Page 172,
Stanly County Registry.
2. Deed from Marshall Albert Drye, et ux, to Yadkin, Inc., dated August
15, 1958, and recorded in Deed Book 190, Page 643, Stanly County
Registry.
3. Deed from C. D. Plyler, et al, to Carolina Aluminum Company, dated
September 1, 1937, and recorded in Deed Book 106, Page 508,
Stanly County Registry.
4. Deed from Anna May Parker, et al, to Carolina Aluminum Company,
dated September 22, 1956, and recorded in Deed Book 186, Page
107, Stanly County Registry.
This parcel is subject to such interest, if any, as other parties may
no,v have under, by virtue of, or pursuant to the following:
1. The rigl1ts and easements granted and conveyed to American
Telephone and Telegraph Company by an instrument executed by
Clanny Miller et al, dated July 9, 1945, and recorded in Deed Book
122, Page 126, Stanly County Registry.
2. The rights and easements granted and conveyed to American
Telephone a11d Telegraph Company by an instrument executed by W.
L. Lowery ct ux, dated July 11, 1945, and recorded in Deed Book
122, Page 112, Stanly Cou11ty Registry.
3. The rights and casements granted and conveyed to Albemarle
Telephone Company by an undated instrument executed by J. H.
32
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Morton, et ux, and recorded in Deed Book 181, Page 109, Stanly
County Registry.
4. The rights and easements granted and conveyed to State Highway
and Public Works Commission by an instrument executed by W. L.
Lowery et ux, dated May 3, 1948, m1d recorded in Deed Book 151,
Page 224, Stanly County Registry.
5. The rights and easements granted a11d conveyed to Union Electric
Membership Corporation by m1 instrument executed by E. D. Heam,
Guardian, and Mack Walker, single, dated August 20, 1940, and
recorded in Deed Book 114, Page 621, Stanly County Registry.
6. The rights and easements granted and conveyed to Union Electric
Membership Corporation by an instrument executed by Mack
Walker, single, dated August 20, 1940, and recorded in Deed Book
111, Page 329, Stanly County Registry.
7. The rights a11d easements granted and co11veyed to Union Electric
Membership Corporation by an instrument executed by Marshall
Albert Drye et ux, dated March 21, 1939, and recorded in Deed Book
114 at Page 503, Stanly County Registry.
8. The rights and easements granted and conveyed to Union Electric
Membersl1ip Corporation by an instrument executed by W. A. Parker
et ux, dated March 7, 1939, a11d recorded i11 Deed Book 114 at Page
534, Stanly County Registry.
9. The rights a11d easements granted a11d conveyed to American
Telepho11e and Telegraph Company by an instrument executed by
Carolina Aluminum Company, dated December 4, 1945, a11d
recorded i11 Deed Book 139 at Page 97, Stanly County Registry.
10. The right and easement granted a11d conveyed North Carolina
Department of Transportation by an instrument executed by grantor
herein u11der date of September 10, 1985, and recorded in Deed Book
350, page 455 or 462, Stanly County Registry.
33
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: =========:=
PARCEL NO. 8
All that tract or parcel of land situate, lying and being in Harris
Township, Stm1ly County, North Carolina, at Halls Ferry Junction, which is more
particularly described as follows:
BEGINNING at a galvanized iron pipe, comer number 1, said
con1er being a point in the north right of way line of Aluminum Company
of America's Railroad which is at all points 25 feet from and parallel to
the center line of the main track of said railroad, said comer being the
same as tl1e most soutl1erly comer referred to in Tract 1 of the deed from
Carolina Aluminum Company to Ray B. Clark, dated November 29, 1945,
and recorded i11 Deed Book 135, page 454, Stanly County Registry,
reference to which is made for more exact description; thence with the
north right of way line of said Railroad, which is at all points 25 feet from
and parallel to the ce11ter line of the main track of said Railroad, as it
1neanders in a northwesterly direction, a distance of2,360 feet, more or
less to a galvanized iron pipe, comer number 2, said con1er being a point
at the intersection of the north right of way line of Aluminum Co1npany of
An1erica's Railroad and the east right of way line of Yadkin Railroad;
the11ce with the east right of way line of the Yadkin Railroad, which is at
all points 50 feet from a11d parallel to the center line of the main track of
said Yadkin Railroad, South 26-58 East, a distance of915 feet n1ore or
less to a galvanized iron pipe, comer number 3, said comer being a point
at the intersection of the east rigl1t of way line of the Yadkin Railroad a11d
the soutl1east right of way line of Aluminun1 Compa11y of America's
Railroad, said corner being the smnc as the most westerly comer referred
to in Tract 2 of the deed next above mentioned; thence with the south rigl1t
of way line of said Aluminum Company of America's Railroad, which is
at all points 25 feet from and parallel to tl1e center line of the main track of
said Railroad, as it meanders in a northeasterly m1d tl1en a southeasterly
directio11 a dista11ce of 1,955 feet to a galvm1ized iron pipe, corner number
4, said comer being a point on the south right of way li11e of Aluminu1n
Company of America's Railroad, said comer being the smne as tl1e most
easterly comer referred to in Tract 2 of the deed 11ext above mentioned;
tl1ence North 6-32 East 50 feet more or less to the begi1ming containing
4.9 acres more or less, being a portion of land conveyed to Tallassee
Power Company from Southern Aluminum Con1pany by Deed dated
34
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November 23, 1915, and recorded in Deed Book 49 at Page 408, Stanly
County Registry.
Deed from Yadkin, Inc., to Aluminum Con1pany of America, dated March
22, 1961, recorded in Deed Book 204, page 47, Stanly County Registry.
SAVING AND EXCEPTING from the above described Parcel of land all
of the land heretofore conveyed by grantor herein to Gilbert E. Futrell by
instrument dated, April 23, 1964, and recorded in Deed Book 219, page 89, Stanly
County Registry, containing 2.42 acres, more or less, and by reference
incorporated herein.
PARCEL NO. 9
All that tract or parcel of land situate, lying and being in Harris
Township, Stanly Cou11ty, North Carolina, said tract or parcel being a strip of land
seve11ty-six (76) feet in width, being thirty-eight (38) feet on either side of the
center line of Aluminum Company of America's Railroad between Station 86
plus 10 and Station 107 plus 45.8 on said railroad, containing 162,397 square feet
more or less, being the same land conveyed to The Whitney Reduction Company
by Nathan Thotnpson by deed dated December 5, 1901, and recorded in Deed
Book 27, at Page 184, Stanly County Registry, and being a portion oflat1d
conveyed to Tallassee Power Company from Southern Aluminum Company by
deed dated Nove1nber 23, 1915 and recorded in Deed Book 49 at Page 408, Stanly
Cou11ty Registry.
35
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The above described parcel being a portion of the land conveyed by deed
from Yadkin, Inc., to Aluminum Company of America, dated Marci, 22, 1961,
recorded in Deed Book 204, page 47, Stanly County Registry.
PARCEL NO. 10
All that tract or parcel of land situate, lying and being in Harris
Township, Stanly County, North Carolina, said tract or parcel being a strip of land
fifty (50) feet in width, being twenty-five (25) feet on either side of the center line
of Aluminum Company of America's Railroad containing 5.2 acres more or less
and being that land excepted and reserved by deed from Carolina Aluminum
Company to D. J. Hatley, dated April 12, 1940 and recorded in Deed Book 116,
Page 468, Stanly Cou11ty Registry, reference to which is made for a more
complete description.
The above described parcel being a portion of the land conveyed
by the following deeds:
1. Deed from Southern Aluminum Company to Tallassee Power
Company, dated November 23, 1915, and recorded in Deed Book 49,
Page 408, Stanly County Registry.
2. Deed from E. E. Snuggs et al to Tallassee Power Company, dated
February 18, 1920 and recorded in Deed Book 62, Page 100, Stanly
County Registry.
3. Deed from Yadkin, Inc., to Aluminum Company of An1erica, dated
March 22, 1961, recorded in Deed Book 204, page 47, Stanly County
Registry.
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PARCEL NO. 11
All that tract or parcel of land situate, lying and being in Harris
Township, Stanly County, North Carolina, said tract or parcel being a strip of land
fifty (50) feet in width, being twenty-five (25) feet on either side oftl1e center line
of Aluminum Company of America's Railroad between Station 193 and Station
199 plus 88 on said Railroad containing 34,400 square feet, more or less, being
the same land conveyed as Tract One (I) in deed to The Whitney Reduction
Company fro1n J. L. Morris and wife M. G. Morris, dated December 5, 1901, and
recorded in Deed Book 27, Page 146, Stanly County Registry, reference to ,vhich
is made for a more complete description, and being a portio11 of land conveyed to
Tallassee Power Con1pany fron1 Soutl1em Aluminum Company by deed dated
November 23, 1915, and recorded in Deed Book 49 at Page 408, Stanly County
Registry.
The above described parcel being a portion of the land conveyed by deed
from Yadkin, Inc., to Alu1ninum Company of An1erica, dated March 22, 1961,
recorded in Deed Book 204, page 47, Stanly County Registry.
PARCEL NO. 12
All tl1at tract or parcel of land situate, lying and being in Harris
Tow11ship, Stanly County, North Carolina, said tract or parcel being a strip oflai1d
fifty (50) feel in width, being twenty-five (25) feet on either side oftl1e center line
of Aluminum Company of America's Railroad between Station 202 and Station
37
. . --------··· ===== • .. --------···
•
215 plus 40 on said Railroad, containing 67,000 square feet more or less, being
tl1e same land conveyed as Tract Two (2) in deed to The Whitney Reduction
Company from J. L. Morris and wife M. G. Morris dated December 5, 1901, and
recorded in Deed Book 27 at Page 146, Stanly County Registry, reference to
which is made for a more complete description, and being a portion of land
conveyed to Tallassee Power Company fron1 Southern Aluminum Company by
deed dated November 23, 1915 and recorded in Deed Book 49 at Page 408, Stanly
County Registry.
The above described parcel being a portion of the land conveyed by deed
from Yadkin, Inc. to Aluminum Co1npm1y of America, dated March 22, 1961,
recorded in Deed Book 204, page 47, Stanly County Registry.
PARCEL NO. 13
All that parcel of land lying and situate in Harris Township, Stanly
county, North Carolina which is more particularly described as follows:
Beginning at an existing 1 Yz inch iron pipe in the eastern right of
,vay of North Carolina 11ighway 740, corner number 40M, as described in
Deed Book 190 Page 570 parcel 1, said iron pipe being South 12 degrees
11 1ni11utes 25 seconds West 1177.13 feet from North Carolina Geodetic
Monument ''LAKE'', said iron pipe having North Caroli11a grid
coordi11ates of Northing 184490.680 meters and Easting 508284.407
meters, also, said iron pipe being North 13 degrees 54 minutes 51 seconds
East 548.34 feet fron1 an existing :Y. inch iron pipe, the northwest corner of
Autoville Rent A Car, Incorporated, as described in Deed Book 591 Page
881, running tl1e11ce from the point ofbeginni11g with a curve to the left
l1aving a radius of 554.61 feet an arc length of 635.86 feet and a reference
chord bearing and distance of South 78 degrees 16 minutes 26 seconds
East 601.60 feet to a ne,v '!, incl1 iron pipe, corner 40N, on contour 546
38
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·--.
feet, Yadkin, Inc. datwn; thence North 21 degrees 07 minutes 07 seconds
West 73.40 feet to a new iron pipe set on 546 feet contour, Yadkin, Inc.
datwn; thence with the 1neandcr of the 546 feet contour, Yadkin, Inc.
datum, in a northeasterly direction 4936.41 feet, said meander having
three reference lines as follows: 1) North 28 degrees 38 minutes 02
seconds East 1664.35 feet to a granite stone, 2) North 71 degrees 31
minutes 48 seconds East 599.60 feet to a 1 Y, i11ch existing iron pipe, 3)
North 77 degrees 49 minutes 00 seconds East 1349.76 feet to a new Y.
inch iron pipe set at the intersection of the 546 feet contour, Yadkin, !11c.
datum, and southern right of way ofan 80 feet electrical tower line right
of way; tl1ence with the soutl1em right of way of an 80 feet electrical tower
line right of way and a new line with Aluminum Company of America
South 56 degrees 31 minutes 56 seconds West 1613.34 feet to an existing
I Y, inch iron pipe on the eastern side ofa road right of way, said iron pipe
being a comer of Joan E. Sikes as described in Deed Book 695 Page 260;
tl1ence crossing the road right of way South 57 degrees 18 minutes 11
seconds West 22.14 feet to an existing 1 inch crimped iron pipe, a comer
of Jerry M. Hudson, as described in Deed Book 332 Page 324; thence witl1
tl1e line of Jerry M. Hudson and the southern right of way ofan 80 feet
electrical tower line right of way South 56 degrees 27 minutes 45 seconds
West 272.38 feet to an existing 1 inch crimped iron pipe; thence Soutl1 10
degrees 11 minutes 22 seconds East 153.44 feet to an existing 3/, inch iron
pipe in tl1e northern right of way of Lake Street, Sheet F of Plat Book 3
Page 233; thence South 79 degrees 48 minutes 38 seconds West 26.87
feet to a ne\v 3/, inch iron pipe set in the northern right of way of Lake
Street; thence with the northern right of way of Lake Street South 67
degrees 08 minutes 12 seconds West 601.62 feet to a new iron pipe set in
tl1e nortl1em right of way of Lake Street; thence South 41 degrees 37
1ni11utes 12 seconds West 280.26 feet to an existing 1 i11ch iron pipe in tile
northern rigl1t of way of Lake Street; thence South 39 degrees 29 n1inutes
34 seconds West 11.32 feet to an existing 1 Y, inch iron pipe, said iron
pipe being a comer of Lot 1, Block 39, Sheet 11 of Plat Book 3 Page 233
and bei11g a comer of Garth Fairchild as described in Deed Book 578 Page
412; thence with the line of Garth Fairchild South 41 degrees 29 minutes
56 seco11ds West 110.81 feet to an existing 1 Y, inch iron pipe, a comer of
Lot 1; tl1ence with the line of lots 1 through 3 South 22 degrees 43
n1inutes 30 seconds East 164.13 feet to an existing 5/8 inch rebar, said
re bar bei11g tl1e con1mon comer of lots 3 and 4 m1d being in the line of
Luther Stiller, Jr. as described in Deed Book 297 Page 771; thence with
tl1e line of Luther Stiller, Jr. Soutll 67 degrees 16 minutes 29 seconds
West 115.00 feet to a new 3/, inch iron pipe; tl1ence witll the line of Luther
39
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Stiller, Jr. South 06 degrees 01 minutes 59 seconds West 160.70 feet to a
new Y., inch iron pipe; the11ce with the line of Luther Stiller, Jr. North 67
degrees 08 minutes 46 seconds East 110.66 feet to a new Y., inch iron
pipe, said new iron pipe being a comer of Elizabeth Morgan as described
in Deed Book 357 Page 274; thence with the line of Elizabeth Morgan
South 38 degrees 48 minutes 45 seco11ds East 65.83 feet to an existing 1 Y,
inch iron pipe, said iron pipe being the common comer of lots 11 and 12
and being a comer of Randy Faggart; thence with a curve to the left
having a radius of 709.02 feet an arc length of 73.83 feet and a reference
chord bearing and distance of South 48 degrees 55 minutes 19 seconds
West 73. 79 feet to an existing 1 Y, inch iron pipe in the northern line of lot
12; thence with a curve to the right having a radius of 125.88 feet an arc
length of9.33 feet and a reference chord bearing and distance of Soutl1 47
degrees 59 n1inutes 34 seconds West 9.32 feet to an existing I Y:, inch iron
pipe, said iron pipe being a common comer of lots 11 and 12, Randy
Faggart and Aluminum Company of America; thence with a curve to the
right having a radius of 125.88 feet an arc length of33.45 feet and a
reference chord bearing and distance of South 57 degrees 43 minutes 06
seco11ds West 33.35 feet to ai1 existing I Y, inch iron pipe, a common
comer of lots 14 and 15; thence with a curve to the right having a radius of
125.88 feet an arc length of 33.44 feet and a reference bearing a11d
distance of South 72 degrees 56 minutes 39 seconds West 33.34 feet to a
11ew Y, incl1 iron pipe, a comer of lot 15; thence with the line of lot 15
South 09 degrees 27 minutes 03 seconds East 99.92 feet to an existing 1 Y,
inch iron pipe, a comer of lot 15 in the northern right of way of Poplar
Street; the11ce with the right of way of Poplar Street a curve to the right
l1aving a radius of 225.88 feet an arc le11gth of 81.09 feet and a reference
bearing and distance of North 89 degrees 15 minutes 55 seco11ds West
80.66 feet to a new Y, inch iron pipe; thence a new line crossing Poplar
Street South 11 degrees 01 minutes 10 seconds West 50.00 feet to a new Y,
inch iron pipe set in the southern right of way of Poplar Street, a comer of
Lot I, Block 38, Sheet 11 of Plat Book 2 Page 80; thence witl1 the line of
Lot I South 34 degrees 23 minutes 50 seco11ds East 191.83 feet to an
existi11g I Y, inch iron pipe, a comer of lot 25 i11 the southern rigl1t of ,vay
of a 16 feet alley; thence with the line of lot 25 South 34 degrees 23
minutes 50 seconds East 149.66 feet to anew'!, inch iron pipe set i11 the
intersection of the northen1 right of,vay of Walnut Street and the eastern
right of way of Field Lane; thence South 53 degrees 09 minutes 28
seconds West 34.00 feet to an existing I inch iron pipe, said iron pipe
being in the nortl1em right of way of Walnut Street and bei11g in the
western right of way of Field Lane, a corner of Lot I, Sheet 8 of Plat Book
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2 Page 80; thence with the western right of way of Field Lane North 34
degrees 23 minutes 50 seconds West 149.69 feet to a new% inch iron
pipe set in the southern right of way ofa 16 feet alley, a comer of lot 1;
thence with the southern right of way of a 16 feet alley and with lot I
though 16 South 53 degrees 12 minutes 06 seconds West 390.96 feet to
an existing I Y, inch iron pipe, a comer of lot 16; thence South 28 degrees
22 mi11utes 13 seco11ds West 12.64 feet to an existing 1 Y, inch iron pipe in
the li11e of lot 17; thence witl1 tl1e southern right of way of a 16 feet alley
North 61 degrees 58 minutes 11 seconds West 104.86 feet to an existing
I Y, inch iron pipe, said iron pipe being in the western right of way of
Dockery Street, also, said iron pipe being a corner of the Town of Badin as
described in Deed Book 531 Page 115; thence with the Town of Badin and
the southern right of way ofa 16 feet alley North 61 degrees 54 minutes
17 seconds West 4.74 feet to a point; thence with the Town of Badin
North 62 degrees 07 minutes 31 seconds West 100.80 feet to an existing
I Y, inch iron pipe in the southern right of way of a 16 feet alley, said
existi11g iron pipe being a common corner with the Town of Badin and
Badin Baptist Church as described in Deed Book 141 Page 244; thence
with Badin Baptist Church North 62 degrees 03 minutes JO seconds West
331.44 feet to an existing'/, inch iron pipe, said iron pipe being a
common corner of South Central Oil Company as described in Deed Book
332 Page 734 and Autoville Rent A Car, Incorporated as described in
Deed Book 591 Page 881; thence with the line of Autoville Rent A Car
North 28 degrees 15 minutes 51 seconds East 15.97 feet to an existing :Y,
inch iron pipe; thence with the line of Autoville Rent A Car Incorporated
North 62 degrees 04 minutes 04 seconds West 165.75 feet to an existing :Y,
inch iron pipe, said iron pipe being a corner of Autoville Rent A Car,
Incorporated in the eastern right of way of North Carolina Highway 740
and said iron pipe being North 18 degrees 52 minutes 23 seconds East
84.93 feet from North Carolina Geodetic Monument ''ALCOA''; also,
said iron pipe being a corner to an easement for Aluminum Company of
America; thence with the eastern rigl1t of way of North Carolina Highway
740 North 16 degrees 10 minutes 34 seconds East 97.34 feet to a new 3/,
inch iron pipe set in the eastern right of way of North Carolina Highway
7 40, a corner to an casement for Aluminum Company of America; thence
Nortl1 13 degrees 11 minutes 50 seconds East 258.76 feet to a new 3/, inch
iron pipe set in the easten1 right of way of North Carolina Highway 740;
thence North 13 degrees 31 minutes 18 seconds East 28.25 feet to a new 3/,
inch iron pipe set i11 the eastern right of way ofNorth Carolina Highway
740; tl1ence North 13 degrees 46 minutes 15 seconds East 164.08 feet to
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the point of beginning. Containing 55.256 acres+/-and being from the
survey for Yadkin, Inc. by James T. Hill, P.L.S. on November 18, 1999.
The above described tract is a portion of Tract 1 conveyed to Alwninum
Company of Alnerica by Carolina Aluminum Company by deed dated June 30,
1958 and recorded in Deed Book 190, page 570, Stanly County Registry.
PARCEL NO. 14
All that parcel of land lying and situate in Harris Township, Stanly county,
Nortl1 Carolina which is more particularly described as follows:
Beginning at a new Y. inch iron pipe set on contour 546 feet,
Yadkin, Inc. datum, said new iron pipe being North 86 degrees 38 minutes
44 seconds East 3445.82 feet from North Carolina Geodetic Monument
''LAKE'', said new iron pipe having North Carolina Grid coordinates of
Northing 184902.776 meters and Easting 509408.497 meters, said new
iron pipe also being North 13 degrees 47 minutes 26 seconds East 1602.10
feet from a nail set in a stone at the northeast intersection of the rights of
way of Pine Street and Stanly Street, running thence from the point of
beginning with contour 546 feet, Yadkin, Inc. datum, in a northeasterly
direction 2779.04 feet to a new :Y, inch iron pipe set on the contour 546
feet, Yadkin, Inc. datum, said new iron pipe being referenced by two
bearings and distances as follows from the beginning point: 1) North 7
degrees 43 minutes 38 seconds West 1248.62 feet to a I Y, inch iron pipe,
2) North 22 degrees 01 minutes 42 seconds East 791.41 feet, said new
iron pipe being comer number 16A as described in Deed Book 190 Page
570, parcel 1; tl1e11ce South 74 degrees 00 minutes 46 seconds East 389.50
feet to a new Y. inch iron pipe, comer 16B; thence North 46 degrees 35
1ninutes 14 seconds East 1472.00 feet to a new 'I, inch iron pipe, said iron
pipe being comer l 6C and being referenced at North 62 degrees 15
minutes 07 seconds West 1115.38 feet from a brass cap set in a stone at
Narrows Dam near an electrical tower li11e right of way; thence South 37
degrees 27 minutes 46 seconds East 1824.00 feet to a new Y. inch iro11
pipe, corner 16D; thence Soutl1 38 degrees 09 minutes 14 seconds West
974.00 feet to a point, comer 16E; thence South 78 degrees 41 minutes 14
seconds West 422.00 feet to a point, comer 16F; thence South 26 degrees
34 n1i11utes 14 seconds West 1009.00 feet to a point, comer 16G; thence
42
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South 02 degrees 09 minutes 14 seconds West 560.00 feet to a point,
comer 16H; thence South 14 degrees 38 minutes 14 seconds West 1056.00
feet to a point, comer 16I; thence South I 7 degrees 33 minutes 46 seconds
East 966.00 feet to a point, comer 161; thence South 78 degrees 56
minutes 14 seconds West 352.00 feet to a point, corner 16K; thence South
12 degrees 15 minutes 46 seconds East 1371.00 feet to a point, corner
16L; thence South 24 degrees 42 minutes 14 seconds West 386.00 feet to a
poi11t, corner 16M; thence South 33 degrees 24 minutes 14 seconds West
2115.00 feet to a point, corner 16N; thence South 71 degrees 43 minutes
46 seconds East 630.00 feet to a new :Y. inch iron pipe, corner 16, said
iron pipe being a corner of James Chalmers as described in Deed Book
304 Page 231; thence with the line of James Chalmers South 33 degrees
57 minutes 14 seconds West 139.00 feet to an existing 1 Y, i11ch iron pipe,
corner 17, said existing iron pipe being a common comer of James
Chalmers and Jason Smith as described in Deed Book 308 Page 008;
thence with the line of Jason Smith South 71 degrees 05 minutes 35
seconds West 924.23 feet to an existing 5/8 inch iron rod, said iro11 rod
being a common corner of Jason Smith and James Kirk as described in
Deed Book 087 Page 133; thence witl1 the line of James Kirk Soutl1 71
degrees 03 minutes 12 seconds West 405.93 feet to an existing 1 \/, inch
iron rod, said iron rod being a common corner of James Kirk and Joseph
Foglia as described in Deed Book 357 Page 757; thence with the line of
Joseph Foglia and Jerry Hall South 71 degrees 01 minutes 34 seconds
West 932.75 feet to an existing 1 V.. inch bolt, said bolt being a common
comer of Jerry Hall as described in Deed Book 323 Page 340 and Dorothy
Reeves as described in Deed Book 628 Page 243; thence with the line of
Dorothy Reeves South 66 degrees 29 minutes 27 seconds West 2.18 feet
to an existing 1 \/, inch iron pipe, corner 17 A, said iron pipe being a comer
of Roy Culp as described in Deed Book 371 Page 284; thence with the line
of Roy Culp North 18 degrees 44 minutes 03 seconds West 140.82 feet to
an existing 1 \/, inch iron pipe, corner 17B; thence with the line of Roy
Culp South 71 degrees 16 n1inutes 07 seconds West 308.77 feet to a
crimped \/, iron pipe, said iron pipe being a common corner of Roy Culp
and Thomas Harris as described in Deed Book 253 Page 579, tract 2;
thence with the line of Thomas Harris South 71 degrees 15 111inutes 13
seconds West 310.01 feet to an existing 1 \/, inch iron pipe, comer l 7C,
said existing iron pipe being in the line of Tl101nas Harris as described in
Deed Book 253 Page 579; thence with the line of Thomas Harris North 19
degrees 12 minutes 40 seconds West 799.43 feet to an existing 1 \/, i11eh
iron pipe, comer l 7E; thence with the line of Thomas Harris South 48
degrees 56 minutes 13 seconds West 420.15 feet to an existing 1 \/, inch
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iron pipe, corner 211, said iron pipe being a corner of Thomas Harris as
described in Deed Book 498 Page 871; thence with the line of Thomas
Harris North 04 degrees 10 minutes 51 seconds West 1009.29 feet to an
existing I Y, inch iron pipe in the center of Mountain Avenue (now closed);
tl1ence with the center of Mountain Avenue North 86 degrees 40 minutes
55 seconds East 143.01 feet to an existing JY, inch iron pipe in the center
of Mountain A venue and being in the western margin of an alley; thence
with the western margin ofan alley and with the line ofTl1omas Harris as
described in Deed Book 694 Page 012 North 03 degrees 24 minutes 18
seconds West 422.60 feet to an existing :Y. inch iron pipe, said existing
iron pipe being a common corner of Thomas Harris and William Belton as
described in Deed Book 366 Page 175; thence with the line of William
Belton and with the western side of an alley North 03 degrees 26 minutes
25 seconds West 92.53 feet to an existing I Y, inch iron pipe; thence North.
03 degrees 07 minutes 12 seconds West 234.02 feet to an existing 5/8
inch rebar, said rebar being a common comer of William Belton and Jamie
Kimrey as described in Deed Book 721 Page 206; thence witl1 the line of
Kimrey North 03 degrees IO 1ninutes 31 seconds West I 00.05 feet to an
existing concrete monument, comer 2 IM, said existing concrete
monument being a common corner of Jamie Kimrey and Stanly County
Country Club, LLC as described i11 Deed Book 685 Page 403, Plat Book
17, Page 139, Sheet I of 2, said concrete monument being referenced at
South 03 degrees 08 minutes 29 seconds West 79.97 feet from an existing
co11crete ,nonument; tl1e11ce with the line of Stanly County Country Club,
LLC South 87 degrees 42 minutes 18 seconds East 544.57 feet to an
existing 1 Y, inch iron pipe, comer 24M; thence with the line of Stanly
County Country Club, LLC North 28 degrees 34 minutes 49 seconds East
905.75 feet to an existing 1 Y, inch iron pipe, comer 24L; thence with the
line of Stanly County Country Club, LLC North 56 degrees 33 minutes 00
seconds East 609 .08 feet to an existing 1 inch iron pipe, said iron pipe
being a common comer of Stanly County Country Club, LLC in the line of
William Ward as described in Deed Book 309 Page 178 and Deed Book
226 Page 257; thence with the line of William Ward South 24 degrees 10
1ninutes 30 seconds East 80.08 feet to an existing :Y. inch iron pipe; thence
with the line of William Ward North 65 degrees 46 minutes 31 seconds
East 499 .23 feet to an existing 1 Y, inch iron pipe by an axle, said existing
iron pipe being on the southerly margin of Falls Road; thence with the line
of William Ward North 24 degrees 13 minutes 29 seconds West 100.00
feet to a new spike in the soutl1em edge of the pavement of Falls Road;
thence with the line of William Ward North 34 degrees 44 minutes 29
seconds West 150.00 feet to a 11ew :Y. inch iron pipe set on tl1e soutl1erly
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margin of Falls Road; thence a line crossing Falls Road North 55 degrees
26 minutes 51 seconds East 50.41 feet to an existing 1 Y, inch iron pipe,
said existing iron pipe being a corner of Post 6218 Veterans of Foreign
Wars as described in Deed Book 175 Page 223; thence with the line of
Post 6218 Veterans of Foreign Wars South 34 degrees 39 minutes 47
seconds East 201.16 feet to a new :Y. inch iron pipe; thence with the line
of Post 6218 Veterans of Foreign Wars North 55 degrees 00 minutes 10
seconds East 150.00 feet to an existing 1 Y, inch iron pipe; tl1ence with tl1e
line of Post 6218 Veterans of Foreign Wars North 55 degrees 00 minutes
IO seconds East 169.37 feet to an existing 1 Y, inch iron pipe; thence with
the line of Post 6218 Veterans of Foreign Wars North 60 degrees 11
minutes 49 seconds West 531.56 feet to an existing 1 Y, inch iron pipe in
the easterly margin of Stanly Street, said iron pipe being referenced at
North 29 degrees 53 minutes 51 seconds East 100.05 feet from a 1 Y, inch
iron pipe in the southeasterly intersection of the rights of way of Falls
Road and Stanly Street; thence with the easterly right of way of Stanly
Street North 29 degrees 44 minutes 39 seconds East 93.61 feet to a new J/4
inch iro11 pipe set in the easterly rigl1t of way of Stanly Street; thence
North 36 degrees 57 minutes 43 seconds East 1068.53 feet to a new :Y.
inch iron pipe set i11 the easterly right of way of Stanly Street; thence with
a curve to tl1e left having a radius of838.53 feet an arc length of772.81
feet and a reference chord bearing and distance of North 10 degrees 33
minutes 33 seconds East 745.75 feet to a new :Y. inch iron pipe set in the
easterly right of way of Stanly Street; thence North 15 degrees 50 minutes
37 seco11ds West 136.62 feet to a new nail set at the northeasterly rights of
way of Stanly Street and Pine Street, said nail being referenced at Nortl1
49 degrees 50 minutes 06 seconds East 121.50 feet from an existing 1 Y,
inch iron pipe on tl1e southerly right of way of Pinc Street; tl1ence North
13 degrees 47 minutes 26 seconds East 1602.10 feet to the point of
beginni11g. Containing 488.293 acres+/-and being from a survey for
Yadkin, Inc. by James T. Hill, P.L.S. on November 03, 1999.
Subject to such interest, if any, as other parties may now l1ave under, by
virtue of, or pursuant to the following:
1. The right and easement granted and conveyed North Carolina
Departme11t of Transportation by an instrun1ent executed by grantor herein under
date of June 5, 1998, and recorded in Deed Book 686, page 248, Stanly County
Registry.
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The above described trdct is a portion of Tract I conveyed to Aluminum
Company of America by Carolina Aluminum Company by deed dated June 30,
1958 and recorded in Deed Book 190, page 570, Stanly County Registry.
PARCEL NO. 15
All that parcel of land lying and situate in Harris Township, Stanly county,
North Carolina which is more particularly described as follows:
Beginning at an existing I Y, inch iron pipe, comer 40L as
described in Deed Book 190 Page 570, parcel I, in the eastern right of way
of North Carolina Highway 740, said existing iron pipe having North
Carolina Grid coordinates of Northing 184548.191 meters and Easting
508298.495 meters, said iron pipe being South 11 degrees 52 minutes 45
seconds West 982.93 feet from North Carolina Geodetic Monument
''LAKE'', also, said iron pipe being North 13 degrees 45 minutes 51
seconds East 194.29 feet from an existing I Y, inch iron pipe, comer 40M,
on the eastern right of way of North Carolina Highway 740; running
thence from the point of beginning a line with the eastern right of way of
North Carolina Highway 740 North 15 degrees 14 minutes 11 seconds ·
East 136.86 feet to a new Y, inch iron pipe set in the eastern right of way
of North Carolina Highway 740; thence North 16 degrees 08 minutes 13
seconds East 384.28 feet to a new 3/, inch iron pipe set in the eastern right
of way of North Carolina Highway 740; tl1e11ce North 13 degrees 41
minutes 34 seconds East 231.29 feet to a new 3/, inch iron pipe set in the
eastern right of way of North Carolina Higl1way 740; thence with a curve
to tl1e left having a radius of 985.61 feet an arc length of 438.57 feet and a
reference bearing and distance of North 03 degrees 54 minutes 18 seconds
West 434.96 feet to a new% i11ch iron pipe set in the eastern right of way
of North Carolina Highway 740; thence Nortl1 15 degrees 32 minutes 43
seconds West 76.15 feet to a new% inch iron pipe set at the intersectio11 of
the eastern right of way ofNortl1 Carolina Highway 740 and contour 541
feet, Yadkin, Inc. datum; thence with the meander of contour 541 feet,
Yadkin, Inc. datum, in a southerly direction 1417.09 feet, said meander
bei11g referenced at South 04 degrees 20 minutes 00 seconds West 1237.37
feet to a new Y, inch iron pipe, comer 40K, set on contour 541 feet,
Yadkin, Inc. datum; thence North 89 degrees 21 minutes 09 seconds West
54.00 feet to the point ofbegiru1ing. Containing 1.475 acres and being
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tract 1 as shown on the survey for Yadkin, Inc. by James T. Hill, P.L.S. on
November 29, 1999.
The above described tract is a portion of Tract 1 conveyed to Aluminum
Company of America by Carolina Aluminum Company by deed dated June 30,
1958 ai1d recorded in Deed Book 190, page 570, Stanly County Registry.
PARCEL NO. 16
All that parcel of land lying and situate in Harris Township, Stanly county,
Nortl1 Carolina which is more particularly described as follows:
Beginning at a new% inch iron pipe set in the intersection of the eastern right of
way of North Carolina Highway 740 and the eastern right of way of the
Whit11ey to Badin Railroad, said iron pipe having North Carolina Grid
coordinates of Northing 185153.396 meters and Easting 508225.313
n1ctcrs, said iron pipe bei11g North 23 degrees 22 minutes 10 seconds West
1115.49 feet from North Caroli11a Geodetic Monument ''LAKE''; running
thence with the eastern right of way of the Whitney to Badin Railroad
Nortl1 19 degrees 42 minutes 30 seconds East 212.73 feet to a point; thence
Nortll 19 degrees 48 minutes 48 seconds East 866.55 feet to a new Y, inch
iron pipe set in the eastern right of way oftl1e W11itney to Badin Railroad
and being in the line of Aluminum Company of America as described in
Deed Book 204 Page 047, parcel 3 ; thence with the line of Aluminum
Compa11y of America South 56 degrees 27 1ninutes 48 seconds East
232.76 feet to a new% i11ch iron pipe; thence South 56 degrees 27 minutes
48 seconds East 17 .40 feet to a point on contour 541 feet, Yadkin, Inc.
datum, comer 40F as described in Deed Book 190 Page 570, parcel 1;
thence with the meander of contour 541 feet, Yadkin, Inc. datum, in a
southerly direction 2769.63 feet, said meander being referenced at South
1 O degrees 16 minutes 00 seconds West 1415.54 feet to a new '!. inch iron
pipe set in the eastern rigl1t of way of North Carolina Highway 740 and
contour 541 feet, Yadkin, Inc. datum; thence with the eastern right of,vay
of North Caroli11a Highway 740 North 14 degrees 10 minutes 02 seconds
West 22.42 feet to a new Y, incl1 iron pipe set in the eastern right of way of
North Carolina Highway 740; thence with a curve to tl1c left l1aving a
radius of 995.87 feet a11 arc length of 459. 77 feet and a refere11ce bearing
ai1d distance of North 29 degrees 16 minutes 36 seconds West 455.70 feet
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to a new Y. inch iron pipe set in the eastern right of way of North Carolina
Highway 740; thence with the eastern right of way of North Carolina
Highway 740 North 44 degrees 05 minutes 47 seconds West 134.15 feet
to the point of beginning. Containing 8.137 acres and being tract 2 as
shown on the survey for Yadkin, Inc. by James T. Hill, P.L.S. on
November 29, 1999.
The above described tract is a portion of Tract 1 conveyed to Aluminum
Company of America by Carolina Aluminum Company by deed dated June 30,
1958 and recorded in Deed Book 190, page 570, Stanly County Registry.
Subject to sucl1 interest, if any, as other parties may now have under, by
virtue of, or pursuant to the right and easement granted and conveyed Aluminum
Company of America by an instrument executed by Yadkin, Inc., herein under
date of May 14, 1990, and recorded in Deed Book 389, page 287, Stanly County
Registry.
PARCEL NO. B-221
All that tract or parcel of land situate, lying and being in Harris Township,
Stanly County, North Carolina, on the east side of Royals Creek and Mineral
Springs Branch, which is more particularly described as follows:
BEGINNING at a point, comer number 1, said comer
being a point on contour at elevation 596 feet Yadkin, Inc. datum,
approximately 1,165 feet northeast from the confluence ofMineraJ
Springs Branch with Royals Creek; thence South 85-24 East 625
feet more or less to a stone, comer number 2; thence South 3-32
West 729 feet to a stone, comer number 3; thence South 88-47
East 142 feet to a point, comer number 4; thence due East 257 feet
to a galvanized iron pipe, comer number 5; thence South 87-23
East 1,486 feet to a stone, comer number 6; thence South 1-47
West 972 feet to a stone, comer number 7; thence North 81-42
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West 157 feet to an 8-inch hickory, comer number 8; thence South
0-24 East 433 feet to a galvanized iron pipe, comer number 9;
thence North 81-57 West 1,229 feet to a galvanized iro11 pipe,
comer number 10, thence South 0-16 East 426 feet to a galvanized
iron pipe, comer number 11, thence North 81-43 West 333 feet to
an 8-incl1 post oak, comer number 12, thence South 71-59 West
677 feet, more or less, to a point, comer number 13, said comer
being a point in the center or thread of Mineral Springs Branch;
thence down the center or thread of Mineral Springs Branch, as it
meanders in a northwesterly direction, a distance of 1,500 feet,
more or less, to a point, comer number 14, said comer being a
point on the center or thread of Mineral Springs Branch and on
contour at elevation 596 feet, Yadkin, Inc. datum; thence along
contour at elevation 596 feet Yadkin, Inc. datum, as it meanders in
a northeasterly direction a distance of 1,580 feet, more or less, to
the BEGINNING, containing 107.2 acres, more or less.
The above described tract or parcel of land being a portion of the land
conveyed by Margaret E. Fraley, wido\v, et al, to Yadkin, Inc. by deed dated
January 12, 1961, and recorded in Deed Book 200, page 675, Stanly County
Registry, and was conveyed to Aluminum Company of Ainerica by deed dated
March 22, 1961, recorded in Deed Book 203, page 141, Stanly County Registry.
PARCEL NO. B-224
All that tract or parcel of land situate, lying and being in Harris Township,
Stanly County, North Carolina, lying on both sides of North Carolina State
Highway No. 49, and on tl1e east side of Curltail Creek, which is more
particularly described as follows:
BEGINNING at a point in the center line of North
Caroli11a State Highway No. 49, at the point where it crosses the
west bank of Curltail Creek, comer number 1; thence Nortl1 68-36
East 156 feet to a point in the center line of said highway, comer
49
•
number 2; thence with an old property line North 3-09 West 127
feet to a point, corner number 3, thence South 80-26 East 96 feet to
a point in the center of an old road, corner number 4; thence with
the meanders of the old road in an easterly direction a distance of
35 feet, more or less, to a galvanized iron pipe, corner number 5;
the11ce South 11-28 East 783 feet to a galvanized iron pipe, corner
number 6; tl1ence North 86-50 West 130 feet, more or less, to a
galvanized iron pipe, on the west bank ofCurltail Creek, corner
number 7; thence down the west bank ofCurltail Creek, as it
meanders in a northwesterly and a northeasterly direction a
distance of 730 feet, more or less, to the BEGINNING, contai11i11g
4.3 acres, more or less.
The above described tract or parcel of land being all of the land conveyed
by Jasper C. Morga11 et al, to Yadkin, Inc. by deed dated November 5, 1960, and
recorded in Deed book 200, page 512, Stanly County Registry and which was
conveyed by Yadki11, !11c., to Aluminum Company of America by deed dated
Marcl122, 1961, recorded in Deed Book 203, page 141, Stanly County Registry.
Tl1is parcel is subject to such interest, if any, as other parties may now
have under, by virtue of, or pursuant to the following:
1. The right and easement granted and conveyed to The Albemarle
Telephone Con1pany, Inc., by an instrument executed by Jane Bryant and
recorded in Deed Book 181, page 105, Stanly County Registry.
2. The right and easement granted and conveyed to Union Electric
Membership Corporatio11 by an instrument executed by M.J. Bryant and
Carrie Bryant, under date of August 22, 1940, and recorded in Deed Book
114, page 567, Stanly County Registry.
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TOWN SITE LOTS
The lots or parcel of land, block and lot numbers being according to
''Tallassee Power Company's Plan of Lots No. I'' recorded in the office of the
Register of Deeds for Stanly County, North Carolina, as follows:
Plat Book Page
2 80
2 80
2 80
2 80
2 80
2 80
Block
10
12
38
39
40
41
Lots
1, 2, 3, 4, 5, 6, 7, 8, 9, 10,
11, 12, 13, 14, 15, 16, 17,
18, 19
11, 12, 13
l,2,3,4,22,23,24,25
14 and 15
!, 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12,
13, 14, 15, 16, 17, 18, 19,20
15 and 16 (same being the
rectangular area bounded on
the east by Dockery Street
and on tl1e west by the east
boundary of lots 17 to 20,
inclusive, Block 40.)
TO HA VE AND TO HOLD the aforesaid tracts or parcels of land,
together with all privileges rights, interests and appurtenances thereu11to
belonging, a,1d the aforesaid rights and easements, to Yadkin and its successors
and assigns forever.
51
: : : ==
•
Alcoa, for itself, its successors and assigns, covenants with Yadkin, its
successors and assigns, that it is seized of the above described tracts or parcels of
land in fee simple and has the right to convey the same, together with such of the
additional privileges, rights, interests and easements as are granted l1ereby; that
said premises arc free from encumbrances except as hereinbefore set forth; that it
will forever warrant and defend the title thereto against the lawful claims of all
persons whomsoever.
•
52
•
' .
.
•
. . . '
=======
IN WITNESS WHEREOF, Alcoa has caused this instrument to be
executed by its proper officials thereunto duly authorized on the date frrst above
written.
STANLY COUNTY
NORTH CAROLINA
ALCOA INC.
Alan C. Renken
President, Primary Metals
Business Unit
Attorney-in-Fact
THE FOLLOWING CERTIFICATE OF PAT SHAVER JS CERTIFIED TO BE CORRECT THIS 28th DAY OF DECEMBER 1999.
CECIL I ALMOND
REGISTER OF DEEDS BY:
53
I
= :: :====
. ' .. .
•
: = ========:::: ·:.=
NORTH CAROLINA
STANLY COUNTY
1999.
I Pat Shaver a Notary Public of the aforesaid
County and state hereby certify that Bruce A. Cox, attorney in fact for
Alan C. Renken, President, Primary Metals Business Unit, Alcoa Inc.,
personally appeared before me this day and first being duly sworn, says he
executed the foregoing a11d annex deed for and on behalf of Alcoa Inc.
under authority contained in the instrument duly executed and
acknowledged by Alan C. Renken, President, Prinlary Metals Busi11ess
Unit, Alcoa Inc., with a duly certified resolution of the Board of Directors
of Alcoa Inc. appended thereto, and recorded in Record Book 733, page
843, Stanly County Registry on December 22, 1999; that tl1e aforesaid
Bruce A. Cox acknowledges the due execution of the foregoing and
annexed deed for the purpose therein expressed for and on bel1alf of Alcoa
Inc.
WITNESS my l1m1d an official seal, tl1is the day of_.:c23=----December, .•.. ·. · ' .. < , . ,
•. \\\1111ll/1111, -.,.,.· · -· ,\' ' ,~,, •, ..
' ,, .. • j 1 • . '~ . . ,,' •;\ ... \,-:,, ', .. ,: . . ' -~' ,, -~ ., ' . ·" _, ........ ~ .,, ' ·. . . ' . . '
•
. ,., ... . .. --·~. .. ' ,., .::: .,-_'. .• ..... I.·)·,_.,. • •. ..J ':::.':' .. ''
' ··-• ...; . • I ,,. I :;;: ,; • . -• ' f.l.' .-, •. I :~ .: ·· _. !:t '.';~, .. ~ , ".' -::'. I
~:' _::·_,: ; ~''i;,': ..; ~:_-l, ... ::?: : :t : · 1
- . • V ' . --.', •',..'/··· ,.-,-<Y;,._;.. ·1
':: • •• ~ 1,. .. ~--:. .. ·,:: ; ,,. ~'. ... r ... ""· • I ~, -,," , --.. --, ~ ,, ' .... ~-' --,_:·;,.,•,>' • · .. _:-. V l-[ •' .-·: ~ . Official Seal
My commission expires; 10/l 7 /2001
. ..._ __
""
.
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54
Notary Public -. -. '• -,•' \ ' .. •,., ~-''· ... ':. .. . ... ' . ' ..... .... ,. ,•,.•,., . . ,,_, ......... ,,,.
, ,, ~ .'<"· " . ,. • • • • > ' .,, ~\ 1,-.,J ::-.' ,, '
• ,., • -. \ 04 •" ,,, . ,,, 1' , '•l1r11,,,.,1" _ . .---
'
• •
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•
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
APPENDIX B-1
100 YEAR FLOOD PLAIN MAP
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
APPENDIX I-1
INTENT TO PROVIDE FINANCIAL ASSURANCE
Alcoa
Alcoa Corporate Center 201 Isabella St at 7th St Bridge Pittsburgh, PA 15212-5858 USA Tel: 1 412 315 2774
June 27, 2018
N.C. Division of Waste Management
Hazardous Waste Section
1646 Mail Service Center
Raleigh, North Carolina 27699-1646
Re: Letter of Intent to Provide Financial Assurance at Badin Works/Badin Business Park
To Whom it May Concern:
I am submitting this letter as evidence that Alcoa Corporation, on behalf of its subsidiary Badin Business
Park LLC, intends to provide financial assurance for corrective action in an amount of at least $2,000,000.
Financial assurance will be provided within 60 days of permit issuance for the recommended corrective
action alternatives for its Badin Works/Badin Business Park facility and maintained until a final remedy is
implemented.
Once its HWSA-only permit is approved by North Carolina, Alcoa intends to provide financial assurance
as prescribed in N.C. Admin. Code § 13A.0109(i).
If you have any questions, please do not hesitate to contact me.
Sincerely,
Robyn L. Gross
Director, Asset Management Americas
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
APPENDIX L-1
RCRA PERMITTED UNITS CLOSURE ACCEPTANCE CORRESPONDENCE
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
APPENDIX L-2
EXCERPT FROM MARCH 2001 RFI REPORT
J:\Projects\Alcoa\Badin\120006.1E\Reports2001\RFIRpt_March2001.doc 121 Alcoa Badin, NC Works
RFI Report March 2001
5.0 RFI SUMMARY, CONCLUSIONS, AND RECOMMENDATIONS
5.1 Summary
The RFI evaluated environmental conditions at 14 on-site and two off-site SWMUs/AOCs. The
RFI provided the data needed to effectively characterize the nature and extent of COIs detected in the
media of interest at each of the SWMUs and AOCs. Media investigated during the RFI included soil,
groundwater, surface water, sediment, and landfill gas. The site physical conditions (e.g., geology and
hydrogeology) were characterized to understand the potential COI transport mechanisms.
A conservative risk-based screening approach was used to evaluate analytical data and focus the
RFI on COIs found at concentrations potentially posing risk to human health. As appropriate, the risk
assessment of the SWMUs and AOCs focused on potential human exposure scenarios because the Badin
Works is an active industrial facility occupied by plant operations and/or areas that undergo routine
operation and maintenance activities (e.g., mowing of landfill areas). In addition to the media on the
plant property (i.e., soil and groundwater), the risk assessment included an evaluation of human health for
off-property surface water and sediment in Badin Lake and Little Mountain Creek.
A site-specific risk assessment was conducted for those SWMUs/AOCs where COIs exceeded the
screening values. The site-specific risk assessment assumed current and future land use at the facility is
industrial, but also included an evaluation of off-site residential areas and Badin Lake.
Following is a summary of the major findings for the plant area, SWMU No. 2 (Alcoa/Badin
Landfill), and SWMU No. 3 (Old Brick Landfill).
5.1.1 Plant Area
RFI SWMUs/AOCs in the plant area include SWMU Nos. 1, 4, 11 22, 25, 33, 35, 38, 42, 44 and 46
and AOCs –A and –B (Figure 1-4, Table 1-1). SWMUs in the north end of the plant (North End) include
SWMU Nos. 1, 4, 22, 25, 33, 35, and 44. In accordance with NCDENR’s letter to Alcoa dated
September 9, 1999 and the approved RFI Work Plan, SWMUs in the North End are addressed using the
“SWMU-Area Concept”, whereby SWMUs are grouped together based on commonalities.
J:\Projects\Alcoa\Badin\120006.1E\Reports2001\RFIRpt_March2001.doc 122 Alcoa Badin, NC Works
RFI Report March 2001
Groundwater for all the SWMUs in the North End (SWMU Nos. 1, 4, 22, 25, 33, 35, and 44) is
addressed using the SWMU-Area concept because the SWMUs are all located within a contiguous
infilled valley, have the same COIs, and the COIs in groundwater are not traceable to any individual
SWMU. Groundwater beneath the SWMUs and AOCs in the central and southern portion of the plant
(SWMU Nos. 11, 38, 42, and 46, and AOCs-A and –B), and off-site landfills (SWMU Nos. 2 and 3) is
addressed on an individual SWMU and AOC basis.
SWMU Nos. 1, 4, and 33 are grouped into “SWMU Group 1” for the purpose of evaluating soils
based on the results of the RFI and Interim Measures (IMs) Work. These SWMUs were grouped together
based on similar COIs and proximity to one another. The soil evaluation for each of the remaining
SWMUs is evaluated individually.
The major findings of the RFI in the plant area are:
• The primary COIs identified in soil by the screening level risk assessment are total and free
(weak acid dissociable) cyanide, fluoride, PAHs and PCBs. Based on the interim measures work previously performed and the risk assessment, these COIs do not present a direct
contact risk to potential receptors under current and reasonably anticipated future land use.
The emplacement of a low permeability cap as an interim measure at SWMU Group 1
(SWMU Nos. 1, 4, and 33) has eliminated the potential for contact by workers with the constituents detected in SWMU Group 1 soil. Also, the cap eliminates any potential concerns for off-site contact with SWMU Group 1 soil because the cap eliminates the potential for soil
to be eroded and transported off-site by wind or water. As a result, soils at this SWMU Group do not present a concern with respect to direct contact by workers or residents. Alcoa has a program in place to inspect and maintain the cap on a semi-annual basis.
The RFI verified the effectiveness of soil removal activities previously conducted by Alcoa at
SWMU No. 22, AOC-A, and AOC-B. RFI analytical data show no constituents in SWMU
No. 22 soil detected at concentrations exceeding the direct contact risk-based screening values or background concentrations, verifying the effectiveness of the 1994 soil removal
activities at this SWMU. RFI samples collected at AOC-B show no constituents detected at concentrations greater than the applicable direct contact screening values (residential and industrial RBCs for surface soils and industrial RBCs for subsurface soil). These results
verify the effectiveness of the soil removal action conducted at AOC-B in 1996. The effectiveness of AOC-A soil removal performed in 1985 was verified through historic monitoring and RFI groundwater samples at AOC-A that show no constituents detected.
The screening level risk assessment for SWMU No. 43 shows no constituents detected at concentrations exceeding the risk screening levels. SWMU Nos. 11, 35, 44, and 46 each had
constituents detected at concentrations exceeding the conservative risk screening values and therefore were subjected to site-specific risk assessments. The site-specific risk assessments
J:\Projects\Alcoa\Badin\120006.1E\Reports2001\RFIRpt_March2001.doc 123 Alcoa Badin, NC Works
RFI Report March 2001
for each SWMU found direct contact risks at these SWMUs to be within or below USEPA’s
acceptable range.
As a result of the interim measures work and soil removal activities, and based on the RFI
risk assessment, no further action is required to address direct contact pathways for soils at
the SWMUs and AOCs in the plant area.
• The screening level risk assessment indicated that SWMU Group 1 (SWMU Nos. 1, 4, and 33), SWMU Nos. 11, 35, 44, and 46 and AOC-B contain constituents at concentrations exceeding the conservative screening values used to evaluate the soil to groundwater leaching
pathway. The cap placed as an interim measure at SWMU Group 1 addresses the leaching from soil to groundwater at SWMU Nos. 1, 4, and 33. Many of the constituents identified (e.g., PAHs) are eliminated as COIs for the soil to groundwater leaching pathway because
they were not detected in site groundwater.
• COIs identified in plant groundwater by the screening level risk assessment are total and free
(weak acid dissociable and microdiffusion) cyanide, fluoride, arsenic, trichloroethene, and trichloromethane (chloroform). LNAPL was found in a single monitoring at SWMU No. 42
trapped within the immediate area of the Building 016 foundation; however, there were no
dissolved phase LNAPL constituents found in groundwater immediately downgradient of SWMU No 42, confirming the limited extent of the LNAPL. Groundwater beneath the plant
area is not used for any purpose and there is no direct exposure potential with groundwater to
the plant workers or local residents. Alcoa owns the land from the plant to Badin Lake to the east. Therefore, Alcoa can ensure that no drinking water wells will be installed between the
SWMUs/AOCs and Badin Lake. A residential well survey determined that nearly all
residences are connected to the Stanly County potable supply. While there are few residences with home wells, these homes are hydraulically upgradient of the plant area. Based on the
RFI findings, there is no risk to current or potential groundwater users from COIs in groundwater.
• Groundwater beneath the plant area flows toward and discharges to Badin Lake. As a result,
Badin Lake represents the only potential complete exposure pathway to the COIs in groundwater. The groundwater velocity is relatively slow beneath the plant area (average of
1 ft/day). Therefore, the groundwater discharge rate from the plant area to the Lake is low and plant area groundwater provides only a minor contribution to this large volume lake. The risk-based screening of surface water samples in Badin Lake shows plant area groundwater
COIs are not present in the Lake at levels exceeding human health surface water screening values. A human health screening level risk assessment of Badin Lake sediments identified
PCBs and PAHs as potential COIs and as a result a site-specific human health risk assessment
was performed. The site-specific risk assessment for Badin Lake sediments concluded that areas where sediments can be contacted by human receptors are limited (e.g., the swimming
cove or boat launch area), and that potential risks to COIs in this area are within acceptable
limits.
5.1.2 SWMU No. 2 (Alcoa/Badin Landfill)
• This SWMU was subjected to an interim measure (regrading and capping) to minimize the
amount of precipitation infiltration and leaching of Landfill COIs. The cap also eliminates
J:\Projects\Alcoa\Badin\120006.1E\Reports2001\RFIRpt_March2001.doc 124 Alcoa Badin, NC Works
RFI Report March 2001
the potential for direct contact with the landfill materials.
• The screening level risk assessment for soil shows there are no COIs present in soil adjacent to the landfill at concentrations exceeding the conservative risk-based screening values. As a
result, soils surrounding SWMU No. 2 do not pose unacceptable risk to potential current or
reasonably anticipated future receptors.
• The screening level risk assessment for groundwater shows only total cyanide exceeding the screening values, in a single well downgradient of the landfill. Groundwater beneath the landfill is not used for any purpose. There is a residential groundwater well on the opposite
side of Little Mountain Creek, at an approximate distance of 0.3 miles to the south. However, groundwater elevation data from triple piezometers at this SWMU show Little Mountain Creek acts as a hydraulic barrier and as a result, groundwater containing COIs does
not flow under the creek. The groundwater velocity beneath the Alcoa Badin Landfill is relatively slow (average of about 0.2 ft/day) and as a result the rate of groundwater discharge to Little Mountain Creek is minor. Also, the concentration of free cyanide (i.e., weak acid
dissociable and microdiffusion) in SWMU No. 2 monitoring wells does not exceed the screening value. The MCL and NC 2L Standard for cyanide are based on the RfD for free
cyanide. As a result, the total cyanide detection in the single well at concentrations slightly
above the screening value does not warrant further evaluation.
• Seeps containing low levels of cyanide and fluoride manifest at the base of the landfill. Alcoa
has constructed a seep collection system and applied for an NPDES permit for seep discharge to Little Mountain Creek. As a result, there is no further action necessary to address seep
discharge.
• The screening level risk assessment for Little Mountain Creek shows no COIs present at
concentrations exceeding applicable human health screening values.
5.2 SWMU No. 3 (Old Brick Landfill)
• This SWMU was subjected to an interim measure (regrading and capping) to minimize the
amount of precipitation infiltration and leaching of landfill COIs. The cap also eliminates the potential for direct contact with the landfill materials.
• The screening level risk assessment for soil shows there are no COIs present adjacent to the landfill at concentrations exceeding the conservative risk-based screening values. As a result,
soils do not present a risk to potential current or reasonably anticipated future receptors.
• The screening level risk assessment for groundwater shows only total and free cyanide
exceeding the screening values. Groundwater beneath the landfill is not used for any purpose.
Residential wells identified in the survey are on the other side of Badin Lake and hydraulically isolated from SWMU No. 3.
• Groundwater beneath this SWMU flows toward and discharges to Badin Lake. As a result, Badin Lake surface water and sediment represents the only potential complete exposure
pathway to the COIs in groundwater. The groundwater velocity is relatively slow beneath the
landfill area (average of about 4 ft/day). As a result of this low velocity, groundwater discharge to the Lake is minor. The risk-based screening of surface water and sediment
J:\Projects\Alcoa\Badin\120006.1E\Reports2001\RFIRpt_March2001.doc 125 Alcoa Badin, NC Works
RFI Report March 2001
samples in Badin Lake shows Old Brick Landfill COIs are not present in the lake at levels
exceeding the risk screening values.
5.3 Conclusions and Recommendations
The next step in the RCRA Corrective Action process for sites where remediation is warranted
would be to evaluate potential remedial alternatives in a Corrective Measures Study (CMS). The purpose
of the remediation would be based on the need to satisfy one or more remedial goals. The corrective
action goals for the Alcoa Badin Works would be to perform remediation on media with contaminants at
concentrations posing unacceptable risk to human health and/or the environment, where appropriate.
The RFI has established that no unacceptable risks currently exist due to constituents at the Badin
Works SWMUs and AOCs under current and reasonably anticipated future land use. Therefore no
remediation is warranted, and accordingly a CMS is not necessary at this time to address the media at the
SWMUs. Alcoa is recommending that a groundwater monitoring plan be developed to monitor the
natural attenuation of those constituents found at concentrations greater than MCLs or NC 2L Standards.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
APPENDIX L-3
EXCERPT FROM JANUARY 2013 CMS REPORT
ENVIRONEERING, INC.
CMS– Phase 4&5 – Alcoa-Badin Works Facility - Badin, NC; January 2013 4
2.0 SITE CONDITIONS
This section describes the conditions at the site, including the Site history, Site conceptual model, and
constituents of interest.
2.1 Site History
In March 1990, Alcoa filed a RCRA Part B permit application with USEPA to store spent potlining
(“SPL”) waste (K088) on-site in an enclosed storage building for greater than 90 days. In response to the permit application, USEPA Region IV performed a RCRA Facility Assessment (“RFA”) of the Alcoa
Badin Works and associated off-site locations. The RFA identified at total of 34 SWMUs and 2 Areas of
Concern (“AOCs”). Twelve additional SWMUs were added after the initial RFA was completed. The
North Carolina Department of Environment, Health, and Natural Resources Division of Solid Waste
Management (now the NCDENR Division of Waste Management), in cooperation with USEPA Region IV, issued the final RCRA Part-B Permit to Alcoa on March 30, 1992.
Part VII of Alcoa’s RCRA permit outlined the corrective action activities to be conducted. The initial
step in the process required that confirmatory sampling be conducted at seven SWMUs. Based on the
results of the RFA and the confirmatory sampling a RCRA Facility Investigation (“RFI”) was conducted at 16 SWMUs and AOCs. The RFI Report was submitted to the NCDENR in March 2001. Since the
commencement of corrective action activities, twenty-two of the facility’s SWMUs have received “No
Further Actions” status by the NCDENR. In addition, Interim Measures activities have been conducted at
a number of the Badin SWMUs.
The RFI report identified groundwater in three areas of the facility as needing further actions. These areas
were: groundwater at the Alcoa/Badin Landfill (“SWMU No. 2”); groundwater at the Old Brick Landfill
(“SWMU No. 3”); and groundwater at the Main Plant.
2.2 Site Conceptual Model
An understanding of the Site geology, hydrogeology, and Site Conceptual Model is presented in the
Corrective Measures Study - Phase 1 Report, submitted to the NCDENR in August 2009. The
understanding was updated in the Phase 3 Engineering Data Collection for the Corrective Measures Study
Report, submitted to the NCDENR on October 31, 2012.
2.3 Constituents of Interest ("COIs")
2.3.1
Alcoa/Badin Landfill (“SWMU No. 2”)
The RFI showed there were no Constituents of Interest (“COIs”) present in soil adjacent to the
Alcoa/Badin Landfill at concentrations exceeding the conservative risk-based screening values. The
Alcoa/Badin Landfill has a cover drainage system consisting of clean compacted fill overlying the unit.
As a result, soils surrounding SWMU No. 2 do not pose unacceptable risk to potential current or
reasonably anticipated future receptors. The RFI showed only total cyanide exceeding the screening
ENVIRONEERING, INC.
CMS– Phase 4&5 – Alcoa-Badin Works Facility - Badin, NC; January 2013 5
values, in a single well downgradient of the landfill. The screening level risk assessment for Little
Mountain Creek showed no COIs present at concentrations exceeding applicable human health screening
values. The RFI concluded that total cyanide exceeded the screening value in a single well downgradient
of the landfill.
Phase 3 groundwater sampling results demonstrate the beneficial effects of landfill cover system
upgrades. In results from all the recent sampling events, available cyanide and fluoride were not reported
in any well at concentrations that exceed the NC 2L Standard.
2.3.2
Old Brick Landfill (“SWMU No. 3”)
The RFI showed there were no COIs present in soils adjacent to the Old Brick Landfill at concentrations
exceeding the conservative risk-based screening values. The Old Brick Landfill has a cover drainage
system consisting of clean compacted fill overlying the unit. As a result, soils do not present a risk to potential current or reasonably anticipated future receptors. The RFI concluded that groundwater showed
only cyanide exceeding the screening values. Groundwater beneath the landfill is not used for any
purpose. Residential wells identified in the survey are on the other side of Badin Lake and hydraulically
isolated from SWMU No. 3.
Phase 3 groundwater sampling results demonstrate the beneficial effects of the cover system upgrades.
Available Cyanide was reported above the NC 2L Standard in one well during one of the sampling events.
In the subsequent sampling events the compound was not detected at concentrations above the 2L
standard in any of the wells. In results from all the recent sampling events, fluoride was not reported in
any well at concentrations that exceed the NC 2L Standard.
2.3.3
Main Plant Groundwater
For the evaluation of corrective measure alternatives below, the entire main plant area groundwater has
been evaluated collectively. Within the Main Plant, the primary COIs identified by the RFI in soils were addressed in the interim measures work and soil removal activities. No further action is required to
address direct contact pathways for soils at the SWMUs and AOCs in the plant area. The RFI identified
cyanide, fluoride, arsenic, trichloroethene and trichloromethane (chloroform) as the only COIs in the plant
groundwater. Arsenic was detected at an estimated concentration in one well, however arsenic is known
to occur naturally in groundwater in Stanly County and other areas within the Carolina Slate Belt. The RFI concluded, and the NCDENR agreed, that because of this fact arsenic was eliminated as a COI from
the Site.
Phase 3 groundwater sampling results identified available cyanide, fluoride, and trichloroethene at
concentrations above the 2L Standard. Trichloromethane was not detected at a concentration above the 2L standard during the Phase 3 investigation in any well sampled.
BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
APPENDIX N-1
USEPA ENVIRONMENTAL COMPLIANCE AND HISTORY ONLINE
(ECHO) REPORTS
Badin Business Park (f/k/a Alcoa – Badin Works)
293 Highway 740
Badin, NC 28009
Facility Registry Service ID: 110017425614
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110017425614 1/9
ALCOA BADIN WORKS
293 HIGHWAY 740, BADIN, NC 28009
FRS (Facility Registry Service) ID: 110017425614
EPA Region: 04
Latitude: 35.4155
Longitude: 80.11826
Locational Data Source: FRS
Industry: Primary Metal Manufacturing
Indian Country: N
Detailed Facility Report
Facility Summary
Enforcement and Compliance Summary
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
CAA 1 06/27/2012 0 0
CWA 2 03/31/2015 Noncompliance 4 0 6
RCRA 5 09/07/2016 No Violation 0 0
Quarters
12-Quarter Violation History
Under Development
1 2 3 4 5 6 7 8 9 10 11 12
SDWA
RCRA
CWA
CAA
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110017425614 2/9
Related Reports
CWA Pollutant Loading Report
CWA Effluent Charts
Regulatory Information
Clean Air Act (CAA): Permanently Closed Major
(NC0000003708400004)
Clean Water Act (CWA): Major, Permit Expired (NC0004308)
Resource Conservation and Recovery Act (RCRA): Active (H A ) SQG
(NCD003162542)
Safe Drinking Water Act (SDWA): OWNER: Private SOURCE: Surface
water purchased TYPE: Community water system, Permit Inactive
19930901 (NC0184040)
Other Regulatory Reports
Air Emissions Inventory (EIS): 7922911
Greenhouse Gas Emissions (eGGRT): No Information
Toxic Releases (TRI): 28009LMNMCHWY74
Facility/System Characteristics
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
SDWA No Violation 0 0
Facility/System Characteristics
System Statute Identifier Universe Status Areas Permit
Expiration Date
Indian
Country Latitude Longitude
FRS 110017425614 N 35.4155 80.11826
AIR CAA NC0000003708400004 Major Emissions Permanently Closed N
EIS CAA 7922911 PERMANENTLY
SHUTDOWN N 35.41109 80.11779
ICP CWA NC0004308 Major: NPDES Individual Permit Expired 02/28/2013 N 35.410833 80.115556
TRI EP313 28009LMNMCHWY74 Toxics Release Inventory Last Reported for 2005 N 35.4155 80.11826
RCR RCRA NCD003162542 SQG Active (H A )N 35.344444 80.118056
SDWIS SDWA NC0184040 OWNER: Private SOURCE: Surface water purchased
TYPE: Community water system Inactive 19930901 Population
Served: 650 N
Facility Address
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110017425614 3/9
Facility SIC (Standard Industrial Classification) Codes
System Identifier SIC Code SIC Desc
TRI 28009LMNMCHWY74 3334 Primary Aluminum
TRI 28009LMNMCHWY74 4930 Legacy Docket Conv
AIR NC0000003708400004 3334 Primary Aluminum
AIR NC0000003708400004 3341 Secondary Nonferrous Metals
ICP NC0004308 3334 Primary Aluminum
Facility NAICS (North American Industry Classification System) Codes
System Identifier NAICS Code NAICS Description
TRI 28009LMNMCHWY74 331312 Primary Aluminum Production
EIS 7922911 331313
AIR NC0000003708400004 331312 Primary Aluminum Production
RCR NCD003162542 33131
Reservation Name Tribe Name EPA Tribal ID Distance to Tribe (miles)
No data records returned
System Statute Identifier Facility Name Facility Address
FRS 110017425614 ALCOA BADIN WORKS 293 HIGHWAY 740, BADIN, NC 28009
AIR CAA NC0000003708400004 ALCOA, INC.BADIN WORKS ** INACTIVE **293 HIGHWAY 740, BADIN, NC 28009
EIS CAA 7922911 ALCOA, INC.BADIN WORKS 293 HIGHWAY 740, BADIN, NC 28009
ICP CWA NC0004308 BADIN BUSINESS PARK, LLC NC HWY 740, BADIN, NC 28009
TRI EP313 28009LMNMCHWY74 ALCOA BADIN WORKS HWY 740, BADIN, NC 28009
RCR RCRA NCD003162542 ALCOA BADIN WORKS 293 HIGHWAY 740, BADIN, NC 28009
SDWIS SDWA NC0184040 BADIN WORKSALCOA NC
Facility Tribe Information
Enforcement and Compliance
Compliance Monitoring History (5 years)
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA NC0000003708400004 AIR TV ACC Receipt/Review State 02/20/2013 Finding: No Facility Report Deviations
CAA NC0000003708400004 AIR TV ACC Receipt/Review State 02/20/2013
5/19/2017 Detailed Facility Report | ECHO | US EPA
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Three Year Compliance Status by Quarter
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA NC0000003708400004 AIR FCE OnSite State 06/27/2012
CWA NC0004308 ICP Evaluation State 03/31/2015
CWA NC0004308 ICP Evaluation State 07/18/2013
RCRA NCD003162542 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 09/07/2016 No Violations Or Compliance Issues Were Found
RCRA NCD003162542 RCR FINANCIAL RECORD REVIEW State 08/02/2016 No Violations Or Compliance Issues Were Found
RCRA NCD003162542 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 09/24/2015 No Violations Or Compliance Issues Were Found
RCRA NCD003162542 RCR FINANCIAL RECORD REVIEW State 07/28/2015 No Violations Or Compliance Issues Were Found
RCRA NCD003162542 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 09/16/2014 No Violations Or Compliance Issues Were Found
RCRA NCD003162542 RCR FINANCIAL RECORD REVIEW State 08/05/2014 No Violations Or Compliance Issues Were Found
RCRA NCD003162542 RCR FINANCIAL RECORD REVIEW State 09/16/2013 No Violations Or Compliance Issues Were Found
RCRA NCD003162542 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 09/12/2013 No Violations Or Compliance Issues Were Found
RCRA NCD003162542 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 06/21/2012 No Violations Or Compliance Issues Were Found
RCRA NCD003162542 RCR FINANCIAL RECORD REVIEW EPA 06/13/2012 No Violations Or Compliance Issues Were Found
Entries in italics are not considered inspections in official counts.
Compliance Summary Data
Statute Source ID Current SNC (Significant Noncompliance)/HPV (High Priority Violation)Description Current As Of Qtrs in NC (NonCompliance) (of 12)
CAA NC0000003708400004 No 05/13/2017 0
CWA NC0004308 No 12/31/2016 4
RCRA NCD003162542 No 05/13/2017 0
SDWA NC0184040 No 03/29/2017 0
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
CAA (Source ID: NC0000003708400004)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
FacilityLevel Status No Viol No Viol
HPV History
5/19/2017 Detailed Facility Report | ECHO | US EPA
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Informal Enforcement Actions (5 Years)
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
Violation
Type Agency Programs Pollutants
Historic Violations
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
CWA (Source ID: NC0004308)01/01
03/31/14 04/0106/30/14 07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15 07/0109/30/15 10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
FacilityLevel Status No
Viol In Viol No
Viol
No
Viol
No
Viol
No
Viol In Viol No
Viol
No
Viol
No
Viol In Viol In Viol Und
SNC (Significant Noncompliance)/RNC
(Reportable NonCompliance) History V(NonRNCV)V(NonRNCV)N(RptViol)N(RptViol)
Pollutant Disch Point Freq
CWA Cyanide, total [as
CN]012 NMth 4%100%
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA (Source ID: NCD003162542)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
RCRA FacilityLevel Status
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13*
SDWA (Source ID: NC0184040)01/01
03/31/14
04/01
06/30/14
07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
SDWA FacilityLevel Status No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
*Quarter 13 data is voluntarily entered and/or incomplete, and may not form a complete picture for that quarter. Read more
Statute System Source ID Type of Action Lead Agency Date
CWA ICP NC0004308 Notice of Violation State 04/12/2017
CWA ICP NC0004308 Notice of Violation State 03/03/2017
CWA ICP NC0004308 Notice of Violation State 03/04/2014
CWA ICP NC0004308 Notice of Violation State 05/01/2013
5/19/2017 Detailed Facility Report | ECHO | US EPA
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ICIS (Integrated Compliance Information System) Case History (5 years)
Water Quality
Statute System Source ID Type of Action Lead Agency Date
CWA ICP NC0004308 Notice of Violation State 03/08/2013
CWA ICP NC0004308 Notice of Violation State 02/07/2013
Formal Enforcement Actions (5 Years)
Statute Source ID Type of Action Lead Agency Date Penalty Penalty Description
No data records returned
Primary Law/SectionCase No.Case Type Lead Agency Case Name Issued/Filed Date Settlement Date Federal Penalty State/Local Penalty SEP (Supplemental Environmental Project) Cost Comp Action Cost
No data records returned
Environmental Conditions
Permit ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow) Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC (RAD
(Reach Address Database))
WBD (Watershed Boundary
Dataset) Subwatershed Name
(RAD (Reach Address Database))
State Waterbody Name
(ICIS (Integrated
Compliance Information
System))
Impaired
Waters
Impaired
Class
Causes of
Impairment(s) by
Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
NC0004308 030401040201 Mountain Creek 303(D)
Listed 5
CAUSE
UNKNOWN
IMPAIRED
BIOTA |
MERCURY
Yes
Waterbody Designated Uses
Reach Code Waterbody Name Exceptional Use Recreational Use Aquatic Life Use Shellfish Use Beach Closure Within Last Year Beach Closure Within Last Two Years
03040104000581 Little Mountain Creek No Yes Yes No No No
Air Quality
NonAttainment Area?Pollutant(s)
5/19/2017 Detailed Facility Report | ECHO | US EPA
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Toxics Release Inventory History of Reported Chemicals Released in Pounds per Year at Site
No Ozone
No Lead
Yes Particulate Matter
No Sulfur Dioxide
Pollutants
TRI Facility
ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned Treatment
Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
No data records returned
Toxics Release Inventory Total Releases and Transfers in Pounds by Chemical and Year
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
ALUMINUM OXIDE (FIBROUS FORMS)
BENZO(G,H,I)PERYLENE
CARBONYL SULFIDE
CHLORINE
COPPER
DIOXIN AND DIOXINLIKE COMPOUNDS (in
grams)
HYDROGEN FLUORIDE
LEAD
MANGANESE
PHENANTHRENE
POLYCYCLIC AROMATIC COMPOUNDS
SODIUM HYDROXIDE (SOLUTION)
ZINC (FUME OR DUST)
5/19/2017 Detailed Facility Report | ECHO | US EPA
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Demographic Profile of Surrounding Area (3 Miles)
SDWA (Safe Drinking Water Act) Lead and Copper (Last 5 years)
Source ID Contaminant Sample Dates 90th Percentile Sample Concentrations Action Level Number of Open HealthBased Violations
No data records returned
Demographic Profile
This section provides demographic information regarding the community surrounding the facility. ECHO compliance data alone are not sufficient to determine whether violations at
a particular facility had negative impacts on public health or the environment. Statistics are based upon the 2010 US Census and American Community Survey data, and are accurate
to the extent that the facility latitude and longitude listed below are correct. The latitude and longitude are obtained from the EPA Locational Reference Table (LRT) when available.
Radius of Area:3 Land Area:85%Households in Area:1,118
Center Latitude:35.4155 Water Area:15%Housing Units in Area:1,399
Center Longitude:80.11826 Population Density:151/sq.mi.Households on Public Assistance:7
Total Persons:3,572 Percent Minority:40%Persons Below Poverty Level:934
Race Breakdown Persons (%)Age Breakdown Persons (%)
White:2,197 (62%)Child 5 years and younger:149 (4%)
AfricanAmerican:1,188 (33%)Minors 17 years and younger:592 (17%)
HispanicOrigin:133 (4%)Adults 18 years and older:2,980 (83%)
Asian/Pacific Islander:53 (1%)Seniors 65 years and older:484 (14%)
American Indian:24 (1%)
Other/Multiracial:110 (3%)
Education Level (Persons 25 & older)Persons (%)Income Breakdown Households (%)
Less than 9th Grade:122 (5.12%)Less than $15,000:128 (13.13%)
9th through 12th Grade:429 (18%)$15,000 $25,000:187 (19.18%)
High School Diploma:917 (38.48%)$25,000 $50,000:297 (30.46%)
Some College/2yr:671 (28.16%)$50,000 $75,000:170 (17.44%)
B.S./B.A. or More:244 (10.24%)Greater than $75,000:193 (19.79%)
5/19/2017 Detailed Facility Report | ECHO | US EPA
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Alcoa Warrick LLC
4400 W US Hwy 66
Newburgh, IN 47630
Facility Registry Service ID: 110000602045
5/19/2017 Detailed Facility Report | ECHO | US EPA
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Data Quality Alert
ALCOA WARRICK LLC
4400 W SR 66, NEWBURGH, IN 47630
FRS (Facility Registry Service) ID: 110000602045
EPA Region: 05
Latitude: 37.921543
Longitude: 87.329647
Locational Data Source: EIS
Industry: Primary Metal Manufacturing
Indian Country: N
Detailed Facility Report
Facility Summary
Enforcement and Compliance Summary
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
CAA 3 09/22/2016 3 3 2 4 $100,750
Quarters
12-Quarter Violation History
Under Development
1 2 3 4 5 6 7 8 9 10 11 12
SDWA
RCRA
CWA
CAA
5/19/2017 Detailed Facility Report | ECHO | US EPA
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Related Reports
Air Pollutant Report
CWA Pollutant Loading Report
CWA Effluent Charts
Regulatory Information
Clean Air Act (CAA): Operating Major (IN0000001817300007)
Clean Water Act (CWA): Major, Permit Effective (IN0001155), Minor,
Permit Effective (ING040227)
Resource Conservation and Recovery Act (RCRA): Active (HPA ) LQG
TSDF (IND006366819)
Safe Drinking Water Act (SDWA): OWNER: Private SOURCE: Ground
water TYPE: NonTransient noncommunity system, Permit Active
(IN2870801)
Other Regulatory Reports
Air Emissions Inventory (EIS): 8181811
Greenhouse Gas Emissions (eGGRT): 1001877
Toxic Releases (TRI): 47630LMNMCHIGHW
Facility/System Characteristics
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
CWA 3 06/09/2015 No
Violation
11 1 1 $8,750
RCRA 5 04/06/2016 No
Violation
1 0 3
SDWA No
Violation
0 0 3
Facility/System Characteristics
System Statute Identifier Universe Status Areas
Permit
Expiration
Date
Indian
Country Latitude Longitude
FRS 110000602045 N 37.921543 87.329647
GHG CAA 1001877 Direct Emitter Subject
General Stationary Fuel Combustion,
Electricity Generation, Aluminum
Production
N 37.93131 87.323053
AIR CAA IN0000001817300007 Major Emissions Operating CAAMACT, CAANSPS, CAAPSD,
CAASIP, CAATVP N
EIS CAA 8181811 OPERATING N 37.921543 87.329647
5/19/2017 Detailed Facility Report | ECHO | US EPA
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System Statute Identifier Universe Status Areas
Permit
Expiration
Date
Indian
Country Latitude Longitude
RMP CAA 100000081984 ACTIVE N
ICP CWA IN0001155 Major: NPDES Individual Permit Effective 07/31/2018 N 37.924972 87.332306
ICP CWA ING040227 Minor: NPDES Individual Permit Effective 04/30/2018 N 37.925556 87.328583
TRI EP313 47630LMNMCHIGHW Toxics Release Inventory
Last
Reported for
2015
N 37.96805 87.39319
RCR RCRA IND006366819 LQG TSDF Active (HPA
)N 37.924972 87.332306
SDWIS SDWA IN2870801 OWNER: Private SOURCE: Ground water
TYPE: NonTransient noncommunity system Active Population Served: 1325 N
TSCA TSCA TSCA8375 N
TSCA TSCA 100604538 N
Facility Address
System Statute Identifier Facility Name Facility Address
FRS 110000602045 ALCOA WARRICK LLC 4400 W SR 66, NEWBURGH, IN 47630
GHG CAA 1001877 ALCOA INC WARRICK OPERATIONS IN
AIR CAA IN0000001817300007 ALCOA WARRICK LLC 4400 W SR 66, NEWBURGH, IN 476309100
EIS CAA 8181811 ALCOA INC. WARRICK OPERATIONS STATE ROAD 66 & STATE ROAD 61, NEWBURGH, IN 47630
RMP CAA 100000081984 ALCOA INC. WARRICK OPERATIONS STATE ROAD 66, NEWBURGH, IN 47629
ICP CWA IN0001155 ALCOA WARRICK LLC 4000 SR 66, NEWBURGH, IN 47630
ICP CWA ING040227 ALCOA POWER GENERATING INC C/O ALCOA WARRICK POWER PLANT 4000 STATE HIGHWAY 66, NEWBURGH, IN 47629
TRI EP313 47630LMNMCHIGHW ALCOA INCWARRICK OPERATIONS HWYS 66 & 61, NEWBURGH, IN 476300010
RCR RCRA IND006366819 ALCOA WARRICK LLC 4400 W US HWY 66, NEWBURGH, IN 47630
SDWIS SDWA IN2870801 ARCONIC WARRICK OPERATIONS/POWER PLANT IN
TSCA TSCA TSCA8375 ALCOA WARRICK OPERATIONS 4000 SR 66, NEWBURGH, IN 47629
TSCA TSCA 100604538 ALCOA WARRICK OPERATIONS 4000 SR 66, NEWBURGH, IN 47629
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Facility SIC (Standard Industrial Classification) Codes
System Identifier SIC Code SIC Desc
TRI 47630LMNMCHIGHW 3334 Primary Aluminum
TRI 47630LMNMCHIGHW 3353 Aluminum Sheet, Plate, And Foil
TRI 47630LMNMCHIGHW 4911 Electric Services
TRI 47630LMNMCHIGHW 4931 Electric And Other Services Combined
AIR IN0000001817300007 3334 Primary Aluminum
ICP IN0001155 3334 Primary Aluminum
ICP ING040227 1221 Bituminous Coal And Lignite Surface
ICP ING040227 1241 Coal Mining Services
ICP ING040227 3353 Aluminum Sheet, Plate, And Foil
Facility NAICS (North American Industry Classification System) Codes
System Identifier NAICS Code NAICS Description
RMP 100000081984 331312 Primary Aluminum Production
RMP 100000081984 331314 Secondary Smelting And Alloying Of Aluminum
GHG 1001877 331312 Primary Aluminum Production
TRI 47630LMNMCHIGHW 331311 Alumina Refining
TRI 47630LMNMCHIGHW 331312 Primary Aluminum Production
TRI 47630LMNMCHIGHW 331313
TRI 47630LMNMCHIGHW 331315 Aluminum Sheet, Plate, And Foil Manufacturing
EIS 8181811 331313
AIR IN0000001817300007 331312 Primary Aluminum Production
RCR IND006366819 331313
RCR IND006366819 331314 Secondary Smelting And Alloying Of Aluminum
Reservation Name Tribe Name EPA Tribal ID Distance to Tribe (miles)
No data records returned
Facility Tribe Information
Enforcement and Compliance
Compliance Monitoring History (5 years)
Statute Source ID System Inspection Type Lead
Agency Date Finding
CAA IN0000001817300007 AIR FCE OnSite State 09/22/2016
CAA IN0000001817300007 AIR TV ACC Receipt/Review State 06/30/2016 Finding: There are Facility Report Deviations
CAA IN0000001817300007 AIR Stack Test State 04/30/2016 Findings: Pass Pollutants: CHLORINATED DIOXIN AND FURANS 2,3,7,8
CONGENERS ONLY (TEQ) (E17000407)
CAA IN0000001817300007 AIR Stack Test State 04/30/2016 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
5/19/2017 Detailed Facility Report | ECHO | US EPA
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Statute Source ID System Inspection Type Lead
Agency Date Finding
CAA IN0000001817300007 AIR Stack Test State 04/30/2016 Findings: Pass Pollutants: Hydrochloric acid
CAA IN0000001817300007 AIR Stack Test State 04/30/2016 Findings: Pass Pollutants: VISIBLE EMISSIONS
CAA IN0000001817300007 AIR Stack Test State 04/25/2016 Findings: Pass Pollutants: NITROGEN OXIDES
CAA IN0000001817300007 AIR Stack Test State 10/28/2015 Findings: Pass Pollutants: Fluoride
CAA IN0000001817300007 AIR Stack Test State 10/27/2015 Findings: Pass Pollutants: Sulfur dioxide
CAA IN0000001817300007 AIR Stack Test State 10/01/2015 Findings: Pass Pollutants: Fluoride
CAA IN0000001817300007 AIR PCE OffSite State 08/06/2015
CAA IN0000001817300007 AIR TV ACC Receipt/Review State 07/01/2015 Finding: There are Facility Report Deviations
CAA IN0000001817300007 AIR Stack Test State 06/26/2015 Findings: Pass Pollutants: Fluoride
CAA IN0000001817300007 AIR Stack Test State 04/22/2015 Findings: Pass Pollutants: Fluoride
CAA IN0000001817300007 AIR Stack Test State 04/07/2015 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA IN0000001817300007 AIR Stack Test State 04/07/2015 Findings: Pass Pollutants: Fluoride
CAA IN0000001817300007 AIR Stack Test State 03/27/2015 Findings: Pass Pollutants: VOLATILE ORGANIC COMPOUNDS (VOCS)
CAA IN0000001817300007 AIR Stack Test State 10/17/2014 Findings: Pass Pollutants: Fluoride
CAA IN0000001817300007 AIR PCE OffSite EPA 10/16/2014
CAA IN0000001817300007 AIR Stack Test State 10/15/2014 Findings: Pass Pollutants: Fluoride
CAA IN0000001817300007 AIR Stack Test State 10/14/2014 Findings: Pass Pollutants: Fluoride
CAA IN0000001817300007 AIR Stack Test State 09/29/2014 Findings: Pass Pollutants: Carbon monoxide
CAA IN0000001817300007 AIR Stack Test State 07/28/2014 Findings: Pass Pollutants: NITROGEN OXIDES
CAA IN0000001817300007 AIR TV ACC Receipt/Review State 06/27/2014 Finding: There are Facility Report Deviations
CAA IN0000001817300007 AIR FCE OnSite State 06/26/2014
CAA IN0000001817300007 AIR Stack Test State 04/15/2014 Findings: Pass Pollutants: Fluoride
CAA IN0000001817300007 AIR Stack Test State 04/08/2014 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA IN0000001817300007 AIR Stack Test State 04/08/2014 Findings: Pass Pollutants: Sulfur dioxide
CAA IN0000001817300007 AIR Stack Test State 04/08/2014 Findings: Pass Pollutants: PARTICULATE MATTER < 10 UM
CAA IN0000001817300007 AIR Stack Test State 04/08/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA IN0000001817300007 AIR Stack Test State 10/17/2013 Findings: Pass Pollutants: Fluoride
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Statute Source ID System Inspection Type Lead
Agency Date Finding
CAA IN0000001817300007 AIR Stack Test State 10/16/2013 Findings: Pass Pollutants: Fluoride
CAA IN0000001817300007 AIR Stack Test State 10/15/2013 Findings: Pass Pollutants: Fluoride
CAA IN0000001817300007 AIR Stack Test State 08/05/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA IN0000001817300007 AIR Stack Test State 08/05/2013 Findings: Pass Pollutants: Sulfur dioxide
CAA IN0000001817300007 AIR Stack Test State 08/02/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA IN0000001817300007 AIR Stack Test State 08/02/2013 Findings: Pass Pollutants: Sulfur dioxide
CAA IN0000001817300007 AIR Stack Test State 08/01/2013 Findings: Pass Pollutants: Sulfur dioxide
CAA IN0000001817300007 AIR Stack Test State 08/01/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA IN0000001817300007 AIR Stack Test State 07/31/2013 Findings: Pass Pollutants: PARTICULATE MATTER < 10 UM
CAA IN0000001817300007 AIR Stack Test State 07/31/2013 Findings: Pass Pollutants: VISIBLE EMISSIONS
CAA IN0000001817300007 AIR Stack Test State 07/31/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA IN0000001817300007 AIR Stack Test State 07/31/2013 Findings: Pass Pollutants: CHLORINATED DIOXIN AND FURANS 2,3,7,8
CONGENERS ONLY (TEQ) (E17000407)
CAA IN0000001817300007 AIR Stack Test State 07/31/2013 Findings: Pass Pollutants: Hydrochloric acid
CAA IN0000001817300007 AIR Stack Test State 07/30/2013 Findings: Pass Pollutants: PARTICULATE MATTER < 10 UM
CAA IN0000001817300007 AIR Stack Test State 07/30/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA IN0000001817300007 AIR Stack Test State 07/30/2013 Findings: Pass Pollutants: CHLORINATED DIOXIN AND FURANS 2,3,7,8
CONGENERS ONLY (TEQ) (E17000407)
CAA IN0000001817300007 AIR Stack Test State 07/30/2013 Findings: Pass Pollutants: NITROGEN OXIDES
CAA IN0000001817300007 AIR Stack Test State 07/30/2013 Findings: Pass Pollutants: Hydrochloric acid
CAA IN0000001817300007 AIR Stack Test State 07/30/2013 Findings: Pass Pollutants: VISIBLE EMISSIONS
CAA IN0000001817300007 AIR Stack Test State 07/29/2013 Findings: Pass Pollutants: PARTICULATE MATTER < 10 UM
CAA IN0000001817300007 AIR Stack Test State 07/29/2013 Findings: Pass Pollutants: VISIBLE EMISSIONS
CAA IN0000001817300007 AIR Stack Test State 07/29/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA IN0000001817300007 AIR TV ACC Receipt/Review State 06/24/2013 Finding: There are Facility Report Deviations
CAA IN0000001817300007 AIR TV ACC Receipt/Review State 06/24/2013
CAA IN0000001817300007 AIR FCE OnSite State 06/18/2013
CAA IN0000001817300007 AIR PCE OffSite EPA 04/29/2013
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Statute Source ID System Inspection Type Lead
Agency Date Finding
CAA IN0000001817300007 AIR Stack Test State 04/19/2013 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA IN0000001817300007 AIR Stack Test State 04/17/2013 Findings: Pass Pollutants: Fluoride
CAA IN0000001817300007 AIR Stack Test State 04/16/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA IN0000001817300007 AIR Stack Test State 04/16/2013 Findings: Pass Pollutants: VISIBLE EMISSIONS
CAA IN0000001817300007 AIR Stack Test State 04/16/2013 Findings: Pass Pollutants: Hydrochloric acid
CAA IN0000001817300007 AIR Stack Test State 04/10/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA IN0000001817300007 AIR Stack Test State 04/10/2013 Findings: Pass Pollutants: VISIBLE EMISSIONS
CAA IN0000001817300007 AIR Stack Test State 04/10/2013 Findings: Pass Pollutants: PARTICULATE MATTER < 10 UM
CAA IN0000001817300007 AIR Stack Test State 04/09/2013 Findings: Pass Pollutants: PARTICULATE MATTER < 10 UM
CAA IN0000001817300007 AIR Stack Test State 04/09/2013 Findings: Pass Pollutants: VISIBLE EMISSIONS
CAA IN0000001817300007 AIR Stack Test State 04/09/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA IN0000001817300007 AIR Stack Test State 04/08/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA IN0000001817300007 AIR Stack Test State 04/08/2013 Findings: Pass Pollutants: PARTICULATE MATTER < 10 UM
CAA IN0000001817300007 AIR Stack Test State 04/08/2013 Findings: Pass Pollutants: VOLATILE ORGANIC COMPOUNDS (VOCS)
CAA IN0000001817300007 AIR Stack Test State 04/08/2013 Findings: Pass Pollutants: VISIBLE EMISSIONS
CAA IN0000001817300007 AIR Stack Test State 02/21/2013 Findings: Pass Pollutants: Hydrochloric acid
CAA IN0000001817300007 AIR Stack Test State 02/21/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA IN0000001817300007 AIR Stack Test State 02/21/2013 Findings: Pass Pollutants: VISIBLE EMISSIONS
CAA IN0000001817300007 AIR Stack Test State 10/23/2012 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA IN0000001817300007 AIR Stack Test State 10/23/2012 Findings: Pass Pollutants: Fluoride
CAA IN0000001817300007 AIR Stack Test State 10/17/2012 Findings: Pass Pollutants: Fluoride
CAA IN0000001817300007 AIR Stack Test State 10/16/2012 Findings: Pass Pollutants: Fluoride
CAA IN0000001817300007 AIR Stack Test State 10/15/2012 Findings: Pass Pollutants: Fluoride
CAA IN0000001817300007 AIR Stack Test State 10/08/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA IN0000001817300007 AIR PCE OnSite EPA 10/01/2012
CAA IN0000001817300007 AIR PCE OffSite State 07/19/2012
CAA IN0000001817300007 AIR TV ACC Receipt/Review State 06/25/2012 Finding: There are Facility Report Deviations
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SDWA (Safe Drinking Water Act) Sanitary Survey Results (5 Years)
Statute Source ID System Inspection Type Lead
Agency Date Finding
CAA IN0000001817300007 AIR TV ACC Receipt/Review State 06/25/2012
CWA IN0001155 ICP Evaluation State 06/09/2015
CWA ING040227 ICP Evaluation State 06/08/2015
CWA /
§311 3400087205 ICIS Evaluation EPA 03/20/2013
RCRA IND006366819 RCR FINANCIAL RECORD REVIEW State 04/05/2017 No Violations Or Compliance Issues Were Found
RCRA IND006366819 RCR NONFINANCIAL RECORD REVIEW State 04/26/2016 No Violations Or Compliance Issues Were Found
RCRA IND006366819 RCR COMPLIANCE EVALUATION
INSPECTION ONSITE State 04/06/2016 No Violations Or Compliance Issues Were Found
RCRA IND006366819 RCR NONFINANCIAL RECORD REVIEW State 06/25/2015 No Violations Or Compliance Issues Were Found
RCRA IND006366819 RCR COMPLIANCE EVALUATION
INSPECTION ONSITE State 05/20/2015 No Violations Or Compliance Issues Were Found
RCRA IND006366819 RCR NONFINANCIAL RECORD REVIEW State 03/31/2015 No Violations Or Compliance Issues Were Found
RCRA IND006366819 RCR FINANCIAL RECORD REVIEW State 03/27/2015 No Violations Or Compliance Issues Were Found
RCRA IND006366819 RCR COMPLIANCE EVALUATION
INSPECTION ONSITE State 05/28/2014 Violations Or Compliance Issues Were Found
RCRA IND006366819 RCR NONFINANCIAL RECORD REVIEW State 03/26/2014 No Violations Or Compliance Issues Were Found
RCRA IND006366819 RCR NONFINANCIAL RECORD REVIEW State 05/22/2013 No Violations Or Compliance Issues Were Found
RCRA IND006366819 RCR COMPLIANCE EVALUATION
INSPECTION ONSITE State 04/11/2013 Violations Or Compliance Issues Were Found
RCRA IND006366819 RCR FINANCIAL RECORD REVIEW State 03/15/2013 No Violations Or Compliance Issues Were Found
RCRA IND006366819 RCR NONFINANCIAL RECORD REVIEW State 08/02/2012 No Violations Or Compliance Issues Were Found
RCRA IND006366819 RCR FOCUSED COMPLIANCE INSPECTION State 06/21/2012 No Violations Or Compliance Issues Were Found
SDWA IN2870801 SDWIS Sanitary Survey Followup State 12/05/2016
SDWA IN2870801 SDWIS Sanitary Survey, Complete State 10/11/2016
SDWA IN2870801 SDWIS Sanitary Survey, Complete State 11/12/2013
Entries in italics are not considered inspections in official counts.
5/19/2017 Detailed Facility Report | ECHO | US EPA
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Three Year Compliance Status by Quarter
Sanitary Survey Results
Date Type Agency Data
Verification Distribution Management
Operation
Finished Water
Storage
Operator
Compliance
Other
Evaluation PumpsSecuritySourceFinancialTreatment
SDWA (Source ID: IN2870801)
12/05/2016 Sanitary Survey Follow
up State N N N N N N N N N N N
10/11/2016 Sanitary Survey,
Complete State N N S R N N N N S N N
11/12/2013 Sanitary Survey,
Complete State N M M N N N N N N N S
Sanitary survey result codes:S=Significant Deficiencies R=Recommendations Made X=Not Evaluated =Not Reported to EPA
M=Minor Deficiencies N=No Deficiencies or Recommendations Z=Not Applicable
Compliance Summary Data
Statute Source ID Current SNC (Significant Noncompliance)/HPV (High Priority Violation)Description Current As Of Qtrs in NC (NonCompliance) (of 12)
CAA IN0000001817300007 No 05/13/2017 3
CWA IN0001155 No 12/31/2016 11
CWA ING040227 No 12/31/2016 2
RCRA IND006366819 No 05/13/2017 1
SDWA IN2870801 No 12/31/2016 0
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
CAA (Source ID: IN0000001817300007)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
FacilityLevel Status No Viol No Viol HPV HPV HPV
HPV History Unaddr
State
Unaddr
State
Unaddr
State
Violation
Type Agency Programs Pollutants
CAA HPV IN CAAMACT Fluoride 11/04/2015 >>>06/03/2016
Historic Violations
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Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
CAA NESHAP NO ST
REG
NO ST
REG
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11
CWA (Source ID: IN0001155)01/0103/31/14 04/0106/30/14 07/0109/30/14 10/01
12/31/14
01/01
03/31/15
04/01
06/30/15 07/0109/30/15 10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
FacilityLevel Status In Viol In Viol In Viol In Viol In Viol SNC/Cat 1 In Viol In Viol In Viol In Viol In Viol
SNC (Significant Non
compliance)/RNC
(Reportable Non
Compliance) History
V(NonRNCV)V(NonRNCV)V(NonRNCV)N(RptViol)N(RptViol)X(EffNMth)N(RptViol)N(RptViol)N(RptViol)N(RptViol)N(RptViol)R(Resolvd)
Pollutant Disch
Point Freq
CWA pH 004 NMth LIMIT
VIOL
CWA pH 004 Neither LIMIT VIOL LIMIT
VIOL
CWA Iron, total
recoverable 103 Mthly 18%160%10%210%210%10%
CWA Iron, total
recoverable 103 NMth 23%233%40%250%290%60%
CWA
E. coli,
colony
forming
units
[CFU]
203 Mthly 348%
CWA
E. coli,
colony
forming
units
[CFU]
203 NMth 2836%155%
CWA Fluoride,
total [as F]603 Mthly 89%
CWA Fluoride,
total [as F]603 NMth 64%
CWA (Source ID: ING040227)01/0103/31/14 04/0106/30/14 07/0109/30/14 10/01
12/31/14
01/01
03/31/15
04/01
06/30/15 07/0109/30/15 10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
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Informal Enforcement Actions (5 Years)
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11
FacilityLevel Status No Viol In Viol No Viol No Viol No Viol No Viol In Viol No Viol No Viol No Viol No Viol
SNC (Significant Non
compliance)/RNC
(Reportable Non
Compliance) History
V(NonRNCV)V(NonRNCV)
Pollutant Disch
Point Freq
CWA Solids,
settleable 001 NMth 40%
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA (Source ID: IND006366819)07/0109/30/14 10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
RCRA FacilityLevel Status In Viol
Violation Agency
RCRA Generators Pre
transport IN MAY282014 JUL
232014
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13*
SDWA (Source ID: IN2870801)01/01
03/31/14
04/01
06/30/14
07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16 01/0103/31/17
SDWA FacilityLevel Status No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation Undetermined
*Quarter 13 data is voluntarily entered and/or incomplete, and may not form a complete picture for that quarter. Read more
Statute System Source ID Type of Action Lead Agency Date
CAA AIR IN0000001817300007 Notice of Violation State 05/20/2014
CAA AIR IN0000001817300007 Notice of Violation State 12/13/2012
RCRA RCR IND006366819 WRITTEN INFORMAL State 06/23/2014
RCRA RCR IND006366819 WRITTEN INFORMAL State 05/03/2013
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SDWA (Safe Drinking Water Act) Violations and Enforcement Actions (5 Years)
Statute System Source ID Type of Action Lead Agency Date
RCRA RCR IND006366819 WRITTEN INFORMAL State 06/01/2012
SDWA SDWIS IN2870801 State Public Notification received State 08/15/2014
SDWA SDWIS IN2870801 State Violation/Reminder Notice State 12/06/2013
SDWA SDWIS IN2870801 State Public Notification requested State 12/06/2013
Formal Enforcement Actions (5 Years)
Statute Source ID Type of Action Lead Agency Date Penalty Penalty Description
CAA IN0000001817300007 Administrative Order State 12/09/2016 $67,500
CAA IN0000001817300007 Administrative Order State 05/18/2016 $8,750
CAA IN0000001817300007 Administrative Order State 12/12/2014 $8,750
CAA IN0000001817300007 Administrative Order State 02/27/2013 $15,750
CWA IN0001155 State CWA Penalty AO State 06/03/2015 $8,750
Violations Enforcement Actions
Source ID Compliance
Period
Violation
ID
Federal
Rule ContaminantCategory Description Measured
Value
State MCL
(Maximum
Contaminant
Level)
Federal MCL
(Maximum
Contaminant
Level)
Status Date Category Description Agency
IN2870801 11/20/2013
409
Ground
Water
Rule
E. COLI MR Monitoring and
Reporting Resolved
08/15/2014 Informal
State Public
Notification
received
State
12/20/2013 Resolving State Compliance
achieved State
12/06/2013 Informal
State
Violation/Reminder
Notice
State
12/06/2013 Informal
State Public
Notification
requested
State
IN2870801 07/01/2009
07/31/2009
407 Total
Coliform
Rule
Coliform
(TCR)
MCL Maximum
Contaminant
Level Violation
5% of samples Resolved 07/25/2012 Resolving State Compliance
achieved State
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ICIS (Integrated Compliance Information System) Case History (5 years)
Water Quality
Violations Enforcement Actions
Source ID Compliance
Period
Violation
ID
Federal
Rule ContaminantCategory Description Measured
Value
State MCL
(Maximum
Contaminant
Level)
Federal MCL
(Maximum
Contaminant
Level)
Status Date Category Description Agency
07/09/2009 Informal State Boil Water
Order State
07/09/2009 Informal
State
Violation/Reminder
Notice
State
07/09/2009 Informal
State Public
Notification
requested
State
Primary Law/SectionCase No.Case Type Lead Agency Case Name Issued/Filed Date Settlement Date Federal Penalty State/Local Penalty SEP (Supplemental Environmental Project) Cost Comp Action Cost
No data records returned
Environmental Conditions
Permit ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow)
Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC
(RAD (Reach Address
Database))
WBD (Watershed Boundary
Dataset) Subwatershed Name
(RAD (Reach Address
Database))
State Waterbody Name
(ICIS (Integrated
Compliance Information
System))
Impaired
Waters
Impaired
Class
Causes of Impairment(s) by
Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
ING040227 051402011103 Summer Pecka DitchCypress
Creek
CYPRESS CR VIA
ROAD DITCH No
ORGANIC
ENRICHMENT/OXYGEN
DEPLETION |
POLYCHLORINATED
BIPHENYLS (PCBS)
No
IN0001155 051402011203 Summer Pecka DitchCypress
Creek
CYPRESS CR TO
OHIO RIVER
303(D)
Listed 5
DIOXINS | MERCURY |
PATHOGENS |
POLYCHLORINATED
BIPHENYLS (PCBS)
No
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Toxics Release Inventory History of Reported Chemicals Released in Pounds per Year at Site
TRI Pollution Prevention Report Air Pollutant Report
Waterbody Designated Uses
Reach Code Waterbody Name Exceptional Use Recreational Use Aquatic Life Use Shellfish Use Beach Closure Within Last Year Beach Closure Within Last Two Years
05140201000261 No Yes Yes No No No
05140201000510 Ohio River No Yes Yes No No No
Air Quality
NonAttainment Area?Pollutant(s)
Yes Ozone
No Lead
Yes Particulate Matter
No Sulfur Dioxide
Pollutants
TRI Facility ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned
Treatment Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
47630LMNMCHIGHW 2015 2,504,275 40,300 0 837,178 3,381,753 454,138
47630LMNMCHIGHW 2014 2,397,729 45,284 0 1,076,906 3,519,919 549,246
47630LMNMCHIGHW 2013 2,470,521 43,839 0 1,227,170 3,741,530 442,585
47630LMNMCHIGHW 2012 2,476,164 41,484 0 1,100,831 3,618,479 639,743
47630LMNMCHIGHW 2011 2,599,775 9,604 0 1,251,590 3,860,969 677,872
47630LMNMCHIGHW 2010 2,579,336 10,364 0 958,963 3,548,663 993,768
47630LMNMCHIGHW 2009 2,690,782 11,430 0 1,079,348 3,781,560 1,138,073
47630LMNMCHIGHW 2008 3,595,564 10,650 0 1,271,965 4,878,179 513,177
47630LMNMCHIGHW 2007 4,704,231 14,629 0 1,505,514 6,224,374 1,247,565
Toxics Release Inventory Total Releases and Transfers in Pounds by Chemical and Year
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
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1,1,1
TRICHLOROETHANE
1,2,4
TRIMETHYLBENZENE 11,360 10,883 3,000 2,500 6,880 4,480 2,545 20 14
ALUMINUM (FUME
OR DUST)1,216 1,065
ALUMINUM OXIDE
(FIBROUS FORMS)
AMMONIA 779 243 1,429 969 1,021 1,123
ARSENIC
COMPOUNDS 35,921 45,551 52,964 60,373 69,304 78,369 120,622 47,191 61,603
BARIUM COMPOUNDS 204,556 261,851 297,946 284,017 329,797 353,414 366,709 314,954 376,701
BENZO(G,H,I)PERYLENE 24 46 44 45 61 26 16 119 162
BERYLLIUM
COMPOUNDS 8,714 11,078 12,584 11,723 13,670 14,660 13,231 13,708 15,247
CARBONYL SULFIDE 944,361 934,384 1,001,537 1,001,165 1,011,210 1,016,000 1,044,082 1,093,790 918,666
CERTAIN GLYCOL
ETHERS 37,400 42,023 39,076 57,470 65,670 21,980 29,320 29,320 22,152
CHLORINE 4,893 5,006 6,940 6,430 7,960 6,840 9,267 8,890 9,258
CHROMIUM
COMPOUNDS(EXCEPT
CHROMITE ORE
MINED IN THE
TRANSVAAL REGION)
282,445 301,321 284,664 258,115 265,730 255,980 274,015 201,502 225,184
COBALT COMPOUNDS 16,595 21,177 23,906 22,149 26,350 27,614 29,987 39,019 44,170
COPPER
COPPER COMPOUNDS 111,012 139,434 156,121 145,157 161,535 147,202 194,021 163,277 295,937
CUMENE 5 33 73 183 114 100 105
CYANIDE
COMPOUNDS 53,085 33,597 31,166 48,170 56,370 53,362 23,816 31,040 31,040
DINITROTOLUENE
(MIXED ISOMERS)2,470 1,676 1,600 2,200 1,800 520
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DIOXIN AND DIOXIN
LIKE COMPOUNDS (in
grams)
2 1 2 2 2 2 2 3 3
ETHYLBENZENE 3,200 22,623 16,000 27,500 3,033 5,158 4,952 25,662 6,487
ETHYLENE GLYCOL 53,260 5,739 26,180 46,920 104,620 168,570 23,523 56,985 152,125
FORMALDEHYDE
HYDROCHLORIC
ACID (1995 AND
AFTER ACID
AEROSOLS ONLY)
92,414 69,079 91,000 85,000 112,200 99,000 173,252 972,307 1,739,961
HYDROGEN
FLUORIDE 226,402 183,216 203,000 218,400 214,000 207,000 202,754 325,063 413,002
LEAD COMPOUNDS 30,775 37,467 42,109 40,436 46,369 49,813 77,050 74,825 85,697
MANGANESE
MANGANESE
COMPOUNDS 216,684 245,669 257,515 253,250 251,084 214,421 448,302 282,096 864,706
MERCURY
COMPOUNDS 312 376 410 391 435 453 436 423 440
METHYL ETHYL
KETONE
METHYL ISOBUTYL
KETONE 3,910 13,939 1,300 3,490 7,460 3,240 2,680 3,399 16,523
NBUTYL ALCOHOL 7,875 8,380 5,141 5,656 7,450 6,458 15,897 35,426 5,274
NHEXANE
NAPHTHALENE 3,928 8,650 3,716 2,300 6,277 3,845 5,138
NICKEL COMPOUNDS 58,103 74,101 83,573 81,050 101,299 146,397 133,372 118,416 134,678
NITRATE
COMPOUNDS
PHENANTHRENE
PHOSPHORIC ACID
POLYCYCLIC
AROMATIC
COMPOUNDS
853 961 963 932 944 719 204 3,262 5,108
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Demographic Profile of Surrounding Area (3 Miles)
SELENIUM
COMPOUNDS 14,402 21,927 20,056
SODIUM HYDROXIDE
(SOLUTION)
SODIUM NITRITE
SULFURIC ACID (1994
AND AFTER ACID
AEROSOLS ONLY)
1,153,020 1,139,600 1,100,000 1,100,000 1,200,000 1,200,000 1,249,600 1,021,095 1,519,685
TOLUENE 8,560 28,859 4,700 35,203 69,403 14,903 18,233 32,498 49,474
TRIETHYLAMINE 1,100
VANADIUM
COMPOUNDS 142,962 184,499 211,173 199,695 226,231 242,301 241,528 216,183 243,910
VINYL ACETATE
XYLENE (MIXED
ISOMERS)15,502 103,712 72,351 117,281 11,830 24,063 22,262 100,536 34,167
ZINC COMPOUNDS 104,514 134,024 152,000 142,500 165,050 175,880 177,163 153,260 173,102
SDWA (Safe Drinking Water Act) Lead and Copper (Last 5 years)
Source ID Contaminant Sample Dates 90th Percentile Sample Concentrations Action Level Number of Open HealthBased Violations
No data records returned
Demographic Profile
This section provides demographic information regarding the community surrounding the facility. ECHO compliance data alone are not sufficient to determine whether violations at
a particular facility had negative impacts on public health or the environment. Statistics are based upon the 2010 US Census and American Community Survey data, and are accurate
to the extent that the facility latitude and longitude listed below are correct. The latitude and longitude are obtained from the EPA Locational Reference Table (LRT) when available.
Radius of Area:3 Land Area:88%Households in Area:647
Center Latitude:37.921543 Water Area:12%Housing Units in Area:679
5/19/2017 Detailed Facility Report | ECHO | US EPA
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Center Longitude:87.329647 Population Density:71/sq.mi.Households on Public Assistance:8
Total Persons:1,773 Percent Minority:5%Persons Below Poverty Level:144
Race Breakdown Persons (%)Age Breakdown Persons (%)
White:1,703 (96%)Child 5 years and younger:90 (5%)
AfricanAmerican:13 (1%)Minors 17 years and younger:461 (26%)
HispanicOrigin:16 (1%)Adults 18 years and older:1,312 (74%)
Asian/Pacific Islander:19 (1%)Seniors 65 years and older:210 (12%)
American Indian:10 (1%)
Other/Multiracial:29 (2%)
Education Level (Persons 25 & older)Persons (%)Income Breakdown Households (%)
Less than 9th Grade:32 (2.86%)Less than $15,000:17 (3.25%)
9th through 12th Grade:101 (9.04%)$15,000 $25,000:12 (2.29%)
High School Diploma:343 (30.71%)$25,000 $50,000:102 (19.5%)
Some College/2yr:391 (35%)$50,000 $75,000:83 (15.87%)
B.S./B.A. or More:250 (22.38%)Greater than $75,000:309 (59.08%)
Eastalco Aluminum Co
5601 Manor Woods Rd
Frederick, MD 21703
Facility Registry Service ID: 110002466475
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EASTALCO ALUMINUM CO
5601 MANOR WOODS RD., FREDERICK, MD 21703
FRS (Facility Registry Service) ID: 110000340355
EPA Region: 03
Latitude: 39.33867
Longitude: 77.47413
Locational Data Source: TRIS
Industry: Primary Metal Manufacturing
Indian Country: N
Detailed Facility Report
Facility Summary
Enforcement and Compliance Summary
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
CAA
CWA 5 08/27/2015 No
Violation
0 0
Quarters
12-Quarter Violation History
1 2 3 4 5 6 7 8 9 10 11 12
RCRA
CWA
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Related Reports
Air Pollutant Report
CWA Pollutant Loading Report
CWA Effluent Charts
Regulatory Information
Clean Air Act (CAA): No Information
Clean Water Act (CWA): Major, Permit Terminated; Compliance
Tracking Off (MD0002429), Minor, Permit Effective (MDR000137),
Major, Permit Inactive 19810901; Compliance Tracking Off
(MD0002429)
Resource Conservation and Recovery Act (RCRA): Active (H ) LQG
(MDD990759375)
Safe Drinking Water Act (SDWA): No Information
Other Regulatory Reports
Air Emissions Inventory (EIS): 8025711
Greenhouse Gas Emissions (eGGRT): No Information
Toxic Releases (TRI): 21701STLCL5601M
Facility/System Characteristics
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
RCRA 1 06/26/2015 No
Violation
0 0
Facility/System Characteristics
System Statute Identifier Universe Status Areas Permit Expiration
Date
Indian
Country Latitude Longitude
FRS 110000340355 N 39.33867 77.47413
EIS CAA 8025711 PERMANENTLY SHUTDOWN N 39.327222 77.475556
ICP CWA MD0002429 Major: NPDES Individual Permit Terminated; Compliance Tracking Off 09/30/2015 N 39.331943 77.474168
ICP CWA MDR000137 Minor: General Permit Covered
Facility Effective Storm Water
Industrial 12/31/2018 N 39.33867 77.47413
ICP CWA MD0002429 Major: NPDES Individual Permit Inactive 19810901; Compliance
Tracking Off 09/30/2015 N 39.331943 77.474168
TRI EP313 21701STLCL5601M Toxics Release Inventory Last Reported for 2009 N 39.33867 77.47413
RCR RCRA MDD990759375 LQG Active (H )N 39.345721 77.487796
Facility Address
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Facility SIC (Standard Industrial Classification) Codes
System Identifier SIC Code SIC Desc
TRI 21701STLCL5601M 3334 Primary Aluminum
ICP MD0002429 3334 Primary Aluminum
ICP MDR000137 4953 Refuse Systems
Facility NAICS (North American Industry Classification System) Codes
System Identifier NAICS Code NAICS Description
TRI 21701STLCL5601M 331312 Primary Aluminum Production
EIS 8025711 33131
RCR MDD990759375 331312 Primary Aluminum Production
Reservation Name Tribe Name EPA Tribal ID Distance to Tribe (miles)
No data records returned
System Statute Identifier Facility Name Facility Address
FRS 110000340355 EASTALCO ALUMINUM CO 5601 MANOR WOODS RD., FREDERICK, MD 21703
EIS CAA 8025711 ALCOA EASTALCO WORKS 5601 MANOR WOODS RD, FREDERICK, MD 21703
ICP CWA MD0002429 EASTALCO ALUMINUM COMPANY 5601 MANOR WOODS ROAD, FREDERICK, MD 21701
ICP CWA MDR000137 EASTALCO ALUMINUM CO 5601 MANOR WOODS RD., FREDERICK, MD 217037999
ICP CWA MD0002429 EASTALCO ALUMINUM COMPANY 5601 MANOR WOODS ROAD, FREDERICK, MD 21701
TRI EP313 21701STLCL5601M EASTALCO ALUMINUM CO 5601 MANOR WOODS RD, FREDERICK, MD 21703
RCR RCRA MDD990759375 EASTALCOA ALUMINUM CO 5601 MANOR WOODS RD, FREDERICK, MD 21703
Facility Tribe Information
Enforcement and Compliance
Compliance Monitoring History (5 years)
Statute Source ID System Inspection Type Lead Agency Date Finding
CWA MD0002429 ICP Evaluation State 08/27/2015
CWA MD0002429 ICP Evaluation State 03/30/2015
CWA MD0002429 ICP Sampling State 04/02/2014
CWA MD0002429 ICP Evaluation State 01/30/2013
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Three Year Compliance Status by Quarter
Statute Source ID System Inspection Type Lead Agency Date Finding
CWA MD0002429 ICP Evaluation State 06/20/2012
RCRA MDD990759375 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 06/26/2015 No Violations Or Compliance Issues Were Found
Entries in italics are not considered inspections in official counts.
Compliance Summary Data
Statute Source ID Current SNC (Significant Noncompliance)/HPV (High Priority Violation)Description Current As Of Qtrs in NC (NonCompliance) (of 12)
CWA MD0002429 No 12/31/2016 0
CWA MDR000137 No 12/31/2016 0
CWA MD0002429 No 12/31/2016 0
RCRA MDD990759375 No 05/13/2017 0
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
CWA (Source ID: MD0002429)01/01
03/31/14
04/01
06/30/14
07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
FacilityLevel Status No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol Und
SNC (Significant Noncompliance)/RNC
(Reportable NonCompliance) History
CWA (Source ID: MDR000137)01/01
03/31/14
04/01
06/30/14
07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
FacilityLevel Status No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol Und
SNC (Significant Noncompliance)/RNC
(Reportable NonCompliance) History R(Resolvd)
CWA (Source ID: MD0002429)01/01
03/31/14
04/01
06/30/14
07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
FacilityLevel Status No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol Und
SNC (Significant Noncompliance)/RNC
(Reportable NonCompliance) History
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA (Source ID: MDD990759375)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
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Informal Enforcement Actions (5 Years)
ICIS (Integrated Compliance Information System) Case History (5 years)
Water Quality
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA FacilityLevel Status
Statute System Source ID Type of Action Lead Agency Date
No data records returned
Formal Enforcement Actions (5 Years)
Statute Source ID Type of Action Lead Agency Date Penalty Penalty Description
No data records returned
Primary Law/SectionCase No.Case Type Lead Agency Case Name Issued/Filed Date Settlement Date Federal Penalty State/Local Penalty SEP (Supplemental Environmental Project) Cost Comp Action Cost
No data records returned
Environmental Conditions
Permit ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow) Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC (RAD
(Reach Address Database))
WBD (Watershed Boundary
Dataset) Subwatershed Name
(RAD (Reach Address Database))
State Waterbody Name (ICIS
(Integrated Compliance
Information System))
Impaired
Waters
Impaired
Class
Causes of
Impairment(s)
by Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
MDR000137 020700080401 Tuscarora CreekPotomac River Potomac River No No
MD0002429 020700090703 Tuscarora CreekPotomac River MIDDLE POTOMAC
RIVER
303(D)
Listed 5
CAUSE
UNKNOWN
IMPAIRED
BIOTA
No
Waterbody Designated Uses
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Toxics Release Inventory History of Reported Chemicals Released in Pounds per Year at Site
TRI Pollution Prevention Report Air Pollutant Report
Reach Code Waterbody Name Exceptional Use Recreational Use Aquatic Life Use Shellfish Use Beach Closure Within Last Year Beach Closure Within Last Two Years
02070008001159 Tuscarora Creek No No No No No No
02070009000034 Tuscarora Creek No No No No No No
Air Quality
NonAttainment Area?Pollutant(s)
Yes Ozone
No Lead
Yes Particulate Matter
No Sulfur Dioxide
Pollutants
TRI Facility ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned Treatment
Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
21701STLCL5601M 2009 82 0 0 82
21701STLCL5601M 2008 118 0 0 118
21701STLCL5601M 2007 148 0 0 148
Toxics Release Inventory Total Releases and Transfers in Pounds by Chemical and Year
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
1,1,1TRICHLOROETHANE
ALUMINUM (FUME OR DUST)
ALUMINUM OXIDE (FIBROUS FORMS)
BENZO(G,H,I)PERYLENE 12 17 22
CARBONYL SULFIDE
CHLORINE
CHROMIUM
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Demographic Profile of Surrounding Area (3 Miles)
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
COPPER
ETHYLENE GLYCOL
HYDROGEN FLUORIDE
LEAD
LEAD COMPOUNDS
MANGANESE
MERCURY
NAPHTHALENE
NICKEL
POLYCYCLIC AROMATIC COMPOUNDS 70 101 126
SODIUM HYDROXIDE (SOLUTION)
Demographic Profile
This section provides demographic information regarding the community surrounding the facility. ECHO compliance data alone are not sufficient to determine whether violations at
a particular facility had negative impacts on public health or the environment. Statistics are based upon the 2010 US Census and American Community Survey data, and are accurate
to the extent that the facility latitude and longitude listed below are correct. The latitude and longitude are obtained from the EPA Locational Reference Table (LRT) when available.
Radius of Area:3 Land Area:100%Households in Area:1,963
Center Latitude:39.33292 Water Area:0%Housing Units in Area:2,085
Center Longitude:77.47673 Population Density:195/sq.mi.Households on Public Assistance:4
Total Persons:5,498 Percent Minority:14%Persons Below Poverty Level:647
Race Breakdown Persons (%)Age Breakdown Persons (%)
White:4,900 (89%)Child 5 years and younger:323 (6%)
AfricanAmerican:275 (5%)Minors 17 years and younger:1,448 (26%)
HispanicOrigin:239 (4%)Adults 18 years and older:4,050 (74%)
Asian/Pacific Islander:159 (3%)Seniors 65 years and older:808 (15%)
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Race Breakdown Persons (%)Age Breakdown Persons (%)
American Indian:12 (0%)
Other/Multiracial:152 (3%)
Education Level (Persons 25 & older)Persons (%)Income Breakdown Households (%)
Less than 9th Grade:213 (5.45%)Less than $15,000:137 (6.89%)
9th through 12th Grade:264 (6.75%)$15,000 $25,000:44 (2.21%)
High School Diploma:1,099 (28.1%)$25,000 $50,000:384 (19.31%)
Some College/2yr:1,033 (26.41%)$50,000 $75,000:218 (10.96%)
B.S./B.A. or More:1,302 (33.29%)Greater than $75,000:1,206 (60.63%)
Alcoa USA Corp
1814 State Hwy 131
Massena, NY 13662
Facility Registry Service ID: NYR000229211
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Regulatory Information Other Regulatory Reports
ALCOA USA CORP
1814 STATE HWY 131, MASSENA, NY 13662
FRS (Facility Registry Service) ID:
EPA Region: 02
Latitude:
Longitude:
Locational Data Source:
Industry: Primary Metal Manufacturing
Indian Country: N
Detailed Facility Report
Facility Summary
Enforcement and Compliance Summary
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
RCRA No
Violation
0 0
Quarters
12-Quarter Violation History
1 2 3 4 5 6 7 8 9 10 11 12
RCRA
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Clean Air Act (CAA): No Information
Clean Water Act (CWA): No Information
Resource Conservation and Recovery Act (RCRA): Active (H ) LQG
(NYR000229211)
Safe Drinking Water Act (SDWA): No Information
Air Emissions Inventory (EIS): No Information
Greenhouse Gas Emissions (eGGRT): No Information
Toxic Releases (TRI): No Information
Facility/System Characteristics
Facility SIC (Standard Industrial Classification) Codes
System Identifier SIC Code SIC Desc
No data records returned
Facility NAICS (North American Industry Classification System) Codes
System Identifier NAICS Code NAICS Description
RCR NYR000229211 331313
RCR NYR000229211 331314 Secondary Smelting And Alloying Of Aluminum
Reservation Name Tribe Name EPA Tribal ID Distance to Tribe (miles)
No data records returned
Facility/System Characteristics
System Statute Identifier Universe Status Areas Permit Expiration Date Indian Country Latitude Longitude
RCR RCRA NYR000229211 LQG Active (H )N
Facility Address
System Statute Identifier Facility Name Facility Address
RCR RCRA NYR000229211 ALCOA USA CORP 1814 STATE HWY 131, MASSENA, NY 13662
Facility Tribe Information
Enforcement and Compliance
Compliance Monitoring History (5 years)
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Three Year Compliance Status by Quarter
Informal Enforcement Actions (5 Years)
ICIS (Integrated Compliance Information System) Case History (5 years)
Statute Source ID System Inspection Type Lead Agency Date Finding
No data records returned
Entries in italics are not considered inspections in official counts.
Compliance Summary Data
Statute Source ID Current SNC (Significant Noncompliance)/HPV (High Priority Violation)Description Current As Of Qtrs in NC (NonCompliance) (of 12)
RCRA NYR000229211 No 05/13/2017 0
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA (Source ID: NYR000229211)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
RCRA FacilityLevel Status
Statute System Source ID Type of Action Lead Agency Date
No data records returned
Formal Enforcement Actions (5 Years)
Statute Source ID Type of Action Lead Agency Date Penalty Penalty Description
No data records returned
Primary Law/SectionCase No.Case Type Lead Agency Case Name Issued/Filed Date Settlement Date Federal Penalty State/Local Penalty SEP (Supplemental Environmental Project) Cost Comp Action Cost
No data records returned
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Water Quality
Toxics Release Inventory History of Reported Chemicals Released in Pounds per Year at Site
Environmental Conditions
Permit
ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow) Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC (RAD
(Reach Address Database))
WBD (Watershed Boundary Dataset)
Subwatershed Name (RAD (Reach
Address Database))
State Waterbody Name (ICIS
(Integrated Compliance
Information System))
Impaired
Waters
Impaired
Class
Causes of
Impairment(s)
by Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
No data records returned
Waterbody Designated Uses
Reach Code Waterbody Name Exceptional Use Recreational Use Aquatic Life Use Shellfish Use Beach Closure Within Last Year Beach Closure Within Last Two Years
No data records returned
Air Quality
NonAttainment Area?Pollutant(s)
No Ozone
No Lead
Yes Particulate Matter
No Sulfur Dioxide
Pollutants
TRI Facility
ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned Treatment
Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
No data records returned
Toxics Release Inventory Total Releases and Transfers in Pounds by Chemical and Year
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Demographic Profile of Surrounding Area (3 Miles)
Chemical Name
No data records returned
Demographic Profile
This section provides demographic information regarding the community surrounding the facility. ECHO compliance data alone are not sufficient to determine whether violations at
a particular facility had negative impacts on public health or the environment. Statistics are based upon the 2010 US Census and American Community Survey data, and are accurate
to the extent that the facility latitude and longitude listed below are correct. The latitude and longitude are obtained from the EPA Locational Reference Table (LRT) when available.
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Alcoa Inc. – South Plant
300 North Hall Road
Alcoa, TN 37701
Facility Registry Service ID: 110000372383
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ALCOA INC.SOUTH PLANT
300 N HALL RD, ALCOA, TN 37701
FRS (Facility Registry Service) ID: 110000372383
EPA Region: 04
Latitude: 35.779556
Longitude: 83.972839
Locational Data Source: EIS
Industry: Primary Metal Manufacturing
Indian Country: N
Detailed Facility Report
Facility Summary
Enforcement and Compliance Summary
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
CAA 3 09/12/2014 Viol w/in
1 yr
5 1 7 4 $7,250
CWA 3 03/04/2016 No
Violation
0 0
Quarters
12-Quarter Violation History
Under Development
1 2 3 4 5 6 7 8 9 10 11 12
RCRA
CWA
CAA
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Related Reports
Air Pollutant Report
CWA Pollutant Loading Report
CWA Effluent Charts
Regulatory Information
Clean Air Act (CAA): Operating Major (TN0000004700900008)
Clean Water Act (CWA): Major, Permit Effective (TN0065081), Minor,
Permit Effective (TNR134953)
Resource Conservation and Recovery Act (RCRA): Active (H ) LQG
(TND003383551)
Safe Drinking Water Act (SDWA): No Information
Other Regulatory Reports
Air Emissions Inventory (EIS): 4143611
Greenhouse Gas Emissions (eGGRT): No Information
Toxic Releases (TRI): No Information
Facility/System Characteristics
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
RCRA 3 10/26/2016 No
Violation
0 0
Facility/System Characteristics
System Statute Identifier Universe Status Areas Permit Expiration
Date
Indian
Country Latitude Longitude
FRS 110000372383 N 35.779556 83.972839
EIS CAA 4143611 OPERATING N 35.7797 83.9702
AIR CAA TN0000004700900008 Major Emissions Operating CAAMACT, CAANESH, CAANSPS, CAAPSD,
CAASIP, CAATVP N
ICP CWA TN0065081 Major: NPDES Individual
Permit Effective 07/31/2017 N 35.774444 83.980278
ICP CWA TNR134953 Minor: General Permit
Covered Facility Effective 09/22/2021 N 35.774444 83.980278
RCR RCRA TND003383551 LQG Active (H )N
Facility Address
System Statute Identifier Facility Name Facility Address
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Facility SIC (Standard Industrial Classification) Codes
System Identifier SIC Code SIC Desc
AIR TN0000004700900008 3334 Primary Aluminum
AIR TN0000004700900008 3341 Secondary Nonferrous Metals
ICP TN0065081 3334 Primary Aluminum
Facility NAICS (North American Industry Classification System) Codes
System Identifier NAICS Code NAICS Description
EIS 4143611 331314 Secondary Smelting And Alloying Of Aluminum
AIR TN0000004700900008 331312 Primary Aluminum Production
RCR TND003383551 331315 Aluminum Sheet, Plate, And Foil Manufacturing
Reservation Name Tribe Name EPA Tribal ID Distance to Tribe (miles)
No data records returned
FRS 110000372383 ALCOA INC.SOUTH PLANT 300 N HALL RD, ALCOA, TN 37701
EIS CAA 4143611 ALCOA INC. SOUTH PLANT 300 NORTH HALL ROAD, ALCOA, TN 37701
AIR CAA TN0000004700900008 ARCONIC INC. (FORMERLY ALCOA, INC. SOUTH PLANT)300 HALL ROAD, ALCOA, TN 37701
ICP CWA TN0065081 ALCOA INC.SOUTH PLANT 300 N. HALL RD, ALCOA, TN 377012516
ICP CWA TNR134953 ALCOA INC.SOUTH PLANT 300 N. HALL RD, ALCOA, TN 377012516
RCR RCRA TND003383551 ALCOA INC., SOUTH PLANT 300 NORTH HALL ROAD, ALCOA, TN 37701
Facility Tribe Information
Enforcement and Compliance
Compliance Monitoring History (5 years)
Statute Source ID System Inspection Type Lead
Agency Date Finding
CAA TN0000004700900008 AIR Stack Test State 10/26/2016 Findings: Pass Pollutants: CHLORINATED DIOXIN AND FURANS 2,3,7,8 CONGENERS ONLY
(TEQ) (E17000407), Hydrochloric acid, Particulate matter, TOTAL HYDROCARBONS
CAA TN0000004700900008 AIR TV ACC Receipt/Review State 08/29/2016 Finding: There are Facility Report Deviations
CAA TN0000004700900008 AIR TV ACC Receipt/Review State 08/29/2016 Finding: No Facility Report Deviations
CAA TN0000004700900008 AIR PCE OnSite State 03/24/2016
CAA TN0000004700900008 AIR Stack Test State 12/15/2015 Findings: Pass
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Statute Source ID System Inspection Type Lead
Agency Date Finding
CAA TN0000004700900008 AIR Stack Test State 11/19/2015 Findings: Pass
CAA TN0000004700900008 AIR Stack Test State 10/15/2015 Findings: Pass
CAA TN0000004700900008 AIR TV ACC Receipt/Review State 08/28/2015 Finding: There are Facility Report Deviations
CAA TN0000004700900008 AIR TV ACC Receipt/Review State 08/28/2015 Finding: No Facility Report Deviations
CAA TN0000004700900008 AIR Stack Test State 04/29/2015 Findings: Pass Pollutants: Particulate matter
CAA TN0000004700900008 AIR PCE OnSite State 04/17/2015
CAA TN0000004700900008 AIR Stack Test State 10/28/2014 Findings: Pass
CAA TN0000004700900008 AIR FCE OnSite State 09/12/2014
CAA TN0000004700900008 AIR TV ACC Receipt/Review State 09/11/2014 Finding: No Facility Report Deviations
CAA TN0000004700900008 AIR TV ACC Receipt/Review State 09/11/2014 Finding: There are Facility Report Deviations
CAA TN0000004700900008 AIR TV ACC Receipt/Review State 08/26/2014
CAA TN0000004700900008 AIR PCE OnSite State 06/04/2014
CAA TN0000004700900008 AIR Stack Test State 03/21/2014 Findings: Pass Pollutants: Hydrochloric acid
CAA TN0000004700900008 AIR Stack Test State 12/19/2013 Findings: Pending Pollutants: TOTAL PARTICULATE MATTER
CAA TN0000004700900008 AIR Stack Test State 12/19/2013 Findings: Pending Pollutants: Hydrochloric acid
CAA TN0000004700900008 AIR Stack Test State 12/10/2013 Findings: Fail
CAA TN0000004700900008 AIR Stack Test State 10/11/2013 Findings: Pending Pollutants: Hydrochloric acid
CAA TN0000004700900008 AIR FCE OnSite State 09/19/2013
CAA TN0000004700900008 AIR TV ACC Receipt/Review State 09/18/2013 Finding: No Facility Report Deviations
CAA TN0000004700900008 AIR TV ACC Receipt/Review State 09/18/2013 Finding: There are Facility Report Deviations
CAA TN0000004700900008 AIR FCE OffSite State 08/29/2013
CAA TN0000004700900008 AIR TV ACC Receipt/Review State 08/28/2013
CAA TN0000004700900008 AIR Stack Test State 04/05/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA TN0000004700900008 AIR PCE OnSite State 03/05/2013
CAA TN0000004700900008 AIR Stack Test State 11/08/2012 Findings: Pass Pollutants: Hydrochloric acid
CAA TN0000004700900008 AIR Stack Test State 10/26/2012 Findings: Pass Pollutants: VOLATILE ORGANIC COMPOUNDS (VOCS)
CAA TN0000004700900008 AIR Stack Test State 10/19/2012 Findings: Pass Pollutants: Hydrochloric acid
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Three Year Compliance Status by Quarter
Statute Source ID System Inspection Type Lead
Agency Date Finding
CAA TN0000004700900008 AIR Stack Test State 09/26/2012 Findings: Pending
CAA TN0000004700900008 AIR TV ACC Receipt/Review State 09/16/2012 Finding: No Facility Report Deviations
CAA TN0000004700900008 AIR TV ACC Receipt/Review State 09/16/2012 Finding: There are Facility Report Deviations
CAA TN0000004700900008 AIR TV ACC Receipt/Review State 08/28/2012
CAA TN0000004700900008 AIR TV ACC Receipt/Review State 07/18/2012 Finding: No Facility Report Deviations
CAA TN0000004700900008 AIR TV ACC Receipt/Review State 06/25/2012
CWA TN0065081 ICP Evaluation State 03/04/2016
CWA TN0065081 ICP Evaluation State 08/29/2014
CWA TN0065081 ICP Evaluation (IU)State 08/29/2014
CWA TN0065081 ICP Evaluation State 08/20/2012
RCRA TND003383551 RCR COMPLIANCE EVALUATION
INSPECTION ONSITE State 10/26/2016 No Violations Or Compliance Issues Were Found
RCRA TND003383551 RCR COMPLIANCE EVALUATION
INSPECTION ONSITE State 12/09/2014 No Violations Or Compliance Issues Were Found
RCRA TND003383551 RCR COMPLIANCE EVALUATION
INSPECTION ONSITE State 12/12/2012 No Violations Or Compliance Issues Were Found
Entries in italics are not considered inspections in official counts.
Compliance Summary Data
Statute Source ID Current SNC (Significant Noncompliance)/HPV (High Priority Violation)Description Current As Of Qtrs in NC (NonCompliance) (of 12)
CAA TN0000004700900008 No 05/13/2017 5
CWA TN0065081 No 12/31/2016 0
CWA TNR134953 No 12/31/2016 0
RCRA TND003383551 No 05/13/2017 0
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
CAA (Source ID: TN0000004700900008)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
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Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
FacilityLevel Status HPV Viol Viol Viol Viol
HPV History Unaddr
State
Violation
Type Agency Programs Pollutants
CAA HPV TN CAAMACT
CHLORINATED
DIOXIN AND FURANS
2,3,7,8 CONGENERS
ONLY (TEQ)
(E17000407),
Hydrochloric acid,
TOTAL PARTICULATE
MATTER
CAA FRV TN
CAAMACT,
CAANESH,
CAANSPS,
CAAPSD,
CAASIP,
CAATVP
TOTAL HAZARDOUS
AIR POLLUTANTS
(HAPS)
08/28/2015
CAA FRV TN
CAAMACT,
CAASIP,
CAATVP
02/21/2017
CAA FRV TN
CAANESH,
CAASIP,
CAATVP
08/30/2016
Historic Violations
CAA
MACT
(SECTION 63
NESHAPS)
V
PROCED
V
PROCED
CAA SIP
CAA TITLE V
PERMITS V
PROCED
V
PROCED
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
CWA (Source ID: TN0065081)01/01
03/31/14
04/01
06/30/14
07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
FacilityLevel Status No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol Und
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Informal Enforcement Actions (5 Years)
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
SNC (Significant Noncompliance)/RNC (Reportable
NonCompliance) History
CWA (Source ID: TNR134953)01/01
03/31/14
04/01
06/30/14
07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
FacilityLevel Status No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol Und
SNC (Significant Noncompliance)/RNC (Reportable
NonCompliance) History
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA (Source ID: TND003383551)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
RCRA FacilityLevel Status
Statute System Source ID Type of Action Lead Agency Date
CAA AIR TN0000004700900008 Notice of Violation State 09/27/2016
CAA AIR TN0000004700900008 Notice of Violation State 10/08/2015
CAA AIR TN0000004700900008 Notice of Violation State 10/08/2015
CAA AIR TN0000004700900008 Notice of Violation State 09/30/2015
CAA AIR TN0000004700900008 Notice of Violation State 03/21/2014
CAA AIR TN0000004700900008 Notice of Violation State 03/21/2014
CAA AIR TN0000004700900008 Notice of Violation State 09/30/2013
TSCA ICIS 15591 Notice of Noncompliance Issued EPA 05/21/2014
Formal Enforcement Actions (5 Years)
Statute Source ID Type of Action Lead Agency Date Penalty Penalty Description
CAA TN0000004700900008 Administrative Order State 03/14/2017 $250
CAA TN0000004700900008 Administrative Order State 08/26/2014 $5,000
CAA TN0000004700900008 Administrative Order State 08/26/2014 $1,500
CAA TN0000004700900008 Administrative Order State 12/30/2013 $500
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ICIS (Integrated Compliance Information System) Case History (5 years)
Water Quality
Primary Law/SectionCase No.Case Type Lead Agency Case Name Issued/Filed Date Settlement Date Federal Penalty State/Local Penalty SEP (Supplemental Environmental Project) Cost Comp Action Cost
No data records returned
Environmental Conditions
Permit ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow) Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC (RAD
(Reach Address Database))
WBD (Watershed Boundary
Dataset) Subwatershed Name
(RAD (Reach Address Database))
State Waterbody Name
(ICIS (Integrated
Compliance Information
System))
Impaired
Waters
Impaired
Class
Causes of
Impairment(s) by
Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
TN0065081 060102010108 Pistol Creek PISTOL CREEK No 4A PATHOGENS |
SEDIMENT Yes
TNR134953 060102010108 Pistol Creek 303(D)
Listed 5
HABITAT
ALTERATIONS |
NUTRIENTS |
PATHOGENS |
SEDIMENT
Yes
Waterbody Designated Uses
Reach Code Waterbody Name Exceptional Use Recreational Use Aquatic Life Use Shellfish Use Beach Closure Within Last Year Beach Closure Within Last Two Years
06010201000411 Pistol Creek No Yes Yes No No No
06010201000412 Pistol Creek No Yes Yes No No No
Air Quality
NonAttainment Area?Pollutant(s)
Yes Ozone
No Lead
Yes Particulate Matter
No Sulfur Dioxide
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Toxics Release Inventory History of Reported Chemicals Released in Pounds per Year at Site
Air Pollutant Report
Demographic Profile of Surrounding Area (3 Miles)
Pollutants
TRI Facility
ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned Treatment
Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
No data records returned
Toxics Release Inventory Total Releases and Transfers in Pounds by Chemical and Year
Chemical Name
No data records returned
Demographic Profile
This section provides demographic information regarding the community surrounding the facility. ECHO compliance data alone are not sufficient to determine whether violations at
a particular facility had negative impacts on public health or the environment. Statistics are based upon the 2010 US Census and American Community Survey data, and are accurate
to the extent that the facility latitude and longitude listed below are correct. The latitude and longitude are obtained from the EPA Locational Reference Table (LRT) when available.
Radius of Area:3 Land Area:100%Households in Area:13,722
Center Latitude:35.779556 Water Area:0%Housing Units in Area:15,033
Center Longitude:83.972839 Population Density:1,189/sq.mi.Households on Public Assistance:356
Total Persons:33,485 Percent Minority:14%Persons Below Poverty Level:10,979
Race Breakdown Persons (%)Age Breakdown Persons (%)
White:29,503 (88%)Child 5 years and younger:2,024 (6%)
AfricanAmerican:2,264 (7%)Minors 17 years and younger:7,629 (23%)
HispanicOrigin:1,492 (4%)Adults 18 years and older:25,856 (77%)
Asian/Pacific Islander:281 (1%)Seniors 65 years and older:5,380 (16%)
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Race Breakdown Persons (%)Age Breakdown Persons (%)
American Indian:116 (0%)
Other/Multiracial:1,322 (4%)
Education Level (Persons 25 & older)Persons (%)Income Breakdown Households (%)
Less than 9th Grade:1,390 (6.34%)Less than $15,000:2,229 (16.73%)
9th through 12th Grade:1,943 (8.86%)$15,000 $25,000:1,631 (12.24%)
High School Diploma:7,558 (34.46%)$25,000 $50,000:3,964 (29.75%)
Some College/2yr:6,614 (30.15%)$50,000 $75,000:2,789 (20.93%)
B.S./B.A. or More:4,430 (20.2%)Greater than $75,000:2,713 (20.36%)
Alcoa World Alumina LLC
1472 FM 1593 S
Point Comfort, TX 77978
Facility Registry Service ID: 110000606997
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ALCOA WORLD ALUMINA LLC
STATE HIGHWAY 35, POINT COMFORT, TX 77978
FRS (Facility Registry Service) ID: 110000606997
EPA Region: 06
Latitude: 28.65083
Longitude: 96.56222
Locational Data Source: CERCLIS
Industry: Oil and Gas Extraction; Chemical Manufacturing; Primary Metal
Manufacturing
Indian Country: N
Detailed Facility Report
Facility Summary
Enforcement and Compliance Summary
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
CAA 1 08/23/2016 2 0 1 2 $11,026
CWA 3 07/23/2015 No
Violation
7 1
Quarters
12-Quarter Violation History
Under Development
1 2 3 4 5 6 7 8 9 10 11 12
RCRA
CWA
CAA
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Related Reports
Air Pollutant Report
CWA Pollutant Loading Report
CWA Effluent Charts
Regulatory Information
Clean Air Act (CAA): Operating Major (TX0000004805700002)
Clean Water Act (CWA): Major, Permit Effective (TX0004715)
Resource Conservation and Recovery Act (RCRA): Active (H A ) LQG
(TXD008123168)
Safe Drinking Water Act (SDWA): No Information
Other Regulatory Reports
Air Emissions Inventory (EIS): 5846711
Greenhouse Gas Emissions (eGGRT): 1003201
Toxic Releases (TRI): 77978LMNMCSTATE
Facility/System Characteristics
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
RCRA 2 04/19/2016 No
Violation
1 0
Facility/System Characteristics
System Statute Identifier Universe Status Areas Permit Expiration
Date
Indian
Country Latitude Longitude
FRS 110000606997 N 28.65083 96.56222
EIS CAA 5846711 OPERATING N 28.652039 96.557649
AIR CAA TX0000004805700002 Major Emissions Operating CAAMACT, CAANSPS, CAASIP, CAATVP N
GHG CAA 1003201 Direct Emitter Subject General Stationary Fuel Combustion, Industrial
Waste Landfills N 28.3909 96.3332
ICP CWA TX0004715 Major: NPDES Individual
Permit Effective 08/01/2020 N 28.645833 96.561111
TRI EP313 77978LMNMCSTATE Toxics Release Inventory Last Reported for
2015 N 28.65083 96.56222
RCR RCRA TXD008123168 LQG Active (H A )N 28.661327 96.544868
TSCA TSCA TSCA6267 N
TSCA TSCA 100604540 N
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Facility SIC (Standard Industrial Classification) Codes
System Identifier SIC Code SIC Desc
TRI 77978LMNMCSTATE 1311 Crude Petroleum And Natural Gas
TRI 77978LMNMCSTATE 2819 Industrial Inorganic Chemicals
ICP TX0004715 2819 Industrial Inorganic Chemicals
ICP TX0004715 3334 Primary Aluminum
Facility NAICS (North American Industry Classification System) Codes
System Identifier NAICS Code NAICS Description
GHG 1003201 331311 Alumina Refining
EIS 5846711 325180
TRI 77978LMNMCSTATE 211112 Natural Gas Liquid Extraction
TRI 77978LMNMCSTATE 325188 All Other Basic Inorganic Chemical Manufacturing
TRI 77978LMNMCSTATE 331311 Alumina Refining
TRI 77978LMNMCSTATE 331313
AIR TX0000004805700002 331311 Alumina Refining
RCR TXD008123168 331313
Reservation Name Tribe Name EPA Tribal ID Distance to Tribe (miles)
No data records returned
Facility Address
System Statute Identifier Facility Name Facility Address
FRS 110000606997 ALCOA WORLD ALUMINA LLC STATE HIGHWAY 35, POINT COMFORT, TX 77978
EIS CAA 5846711 POINT COMFORT PLANT LOCATED S OF POINT COMFORT & SW OF INTERX OF SH 35, POINT COMFORT, TX 77978
AIR CAA TX0000004805700002 ALCOA POINT COMFORT OPERATIONS 1472 FM 1593 S, POINT COMFORT, TX 77978
GHG CAA 1003201 ALCOA WORLD ALUMINA ATLANTIC TX
ICP CWA TX0004715 ALCOA POINT COMFORT OPERATIONS STATE HIGHWAY 35, POINT COMFORT, TX 77978
TRI EP313 77978LMNMCSTATE ALCOA WORLD ALUMINA LLC STATE HWY 35, POINT COMFORT, TX 77978
RCR RCRA TXD008123168 ALCOA POINT COMFORT OPERATIONS 1472 FM 1593 S, POINT COMFORT, TX 77978
TSCA TSCA TSCA6267 ALCOA WORLD ALUMINA LLC STATE HIGHWAY 35, POINT COMFORT, TX 77978
TSCA TSCA 100604540 ALCOA WORLD ALUMINA LLC STATE HIGHWAY 35, POINT COMFORT, TX 77978
Facility Tribe Information
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Three Year Compliance Status by Quarter
Enforcement and Compliance
Compliance Monitoring History (5 years)
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA TX0000004805700002 AIR TV ACC Receipt/Review State 04/13/2017 Finding: There are Facility Report Deviations
CAA TX0000004805700002 AIR FCE OnSite State 08/23/2016
CAA TX0000004805700002 AIR TV ACC Receipt/Review State 08/23/2016 Finding: There are Facility Report Deviations
CAA TX0000004805700002 AIR TV ACC Receipt/Review State 08/28/2015 Finding: There are Facility Report Deviations
CAA TX0000004805700002 AIR Stack Test State 01/31/2014 Findings: Pass Pollutants: FACIL
CAA TX0000004805700002 AIR TV ACC Receipt/Review State 08/30/2013 Finding: There are Facility Report Deviations
CAA TX0000004805700002 AIR Stack Test State 08/23/2013 Findings: Pass Pollutants: FACIL
CAA TX0000004805700002 AIR Stack Test State 08/06/2013 Findings: Pass Pollutants: FACIL
CWA TX0004715 ICP Evaluation State 07/23/2015
CWA TX0004715 ICP Evaluation State 12/06/2012
CWA TX0004715 ICP Evaluation State 12/05/2012
RCRA TXD008123168 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 04/19/2016 Violations Or Compliance Issues Were Found
RCRA TXD008123168 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 07/27/2012 No Violations Or Compliance Issues Were Found
Entries in italics are not considered inspections in official counts.
Compliance Summary Data
Statute Source ID Current SNC (Significant Noncompliance)/HPV (High Priority Violation)Description Current As Of Qtrs in NC (NonCompliance) (of 12)
CAA TX0000004805700002 No 05/13/2017 2
CWA TX0004715 No 12/31/2016 7
RCRA TXD008123168 No 05/13/2017 1
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
CAA (Source ID: TX0000004805700002)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
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Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
FacilityLevel Status Viol Viol
HPV History
Violation
Type Agency Programs Pollutants
Historic Violations
CAA TITLE V
PERMITS VHPV
Vio
VHPV
Vio
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
CWA (Source ID: TX0004715)01/01
03/31/14 04/0106/30/14 07/0109/30/14 10/01
12/31/14 01/0103/31/15 04/0106/30/15 07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
FacilityLevel Status No Viol In Viol In Viol No
Viol In Viol In Viol SNC/Cat
1 In Viol In Viol No Viol No
Viol
No
Viol
SNC (Significant Non
compliance)/RNC
(Reportable Non
Compliance) History
R(Resolvd)V(NonRNCV)V(NonRNCV)V(NonRNCV)V(NonRNCV)D(DMR
NR)N(RptViol)N(RptViol)R(Resolvd)
Pollutant Disch
Point Freq
CWA
Carbon, tot
organic
[TOC]
002 Mthly 2%
CWA
Carbon, tot
organic
[TOC]
003 NMth 8%
CWA pH 003 NMth LIMIT VIOL LIMIT VIOL LIMIT VIOL LIMIT
VIOL
LIMIT
VIOL
CWA pH 003 Neither LIMIT VIOL LIMIT VIOL
CWA
Temperature,
water deg.
fahrenheit
004 NMth 9%2%
CWA pH 004 NMth LIMIT
VIOL
LIMIT
VIOL
CWA pH 004 Neither LIMIT
VIOL LIMIT VIOL LIMIT VIOL
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Informal Enforcement Actions (5 Years)
ICIS (Integrated Compliance Information System) Case History (5 years)
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
CWA pH 005 NMth LIMIT VIOL
Single
Event
Violations
NPDES
Violation ID
CWA
Permit
Violations
Violation
Specified in
Comment
3603286464
0722
1507
2315
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA (Source ID: TXD008123168)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16 04/0106/30/16 07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
RCRA FacilityLevel Status In Viol
Violation Agency
RCRA State Statute or
Regulation TX APR192016 APR
262016
Statute System Source ID Type of Action Lead Agency Date
CAA AIR TX0000004805700002 Notice of Violation State 08/30/2013
Formal Enforcement Actions (5 Years)
Statute Source ID Type of Action Lead Agency Date Penalty Penalty Description
CAA TX0000004805700002 Administrative Order State 04/18/2014 $5,513
CAA TX0000004805700002 Administrative Order State 04/18/2014 $5,513
Primary Law/SectionCase No.Case Type Lead Agency Case Name Issued/Filed Date Settlement Date Federal Penalty State/Local Penalty SEP (Supplemental Environmental Project) Cost Comp Action Cost
No data records returned
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Water Quality
Toxics Release Inventory History of Reported Chemicals Released in Pounds per Year at Site
TRI Pollution Prevention Report Air Pollutant Report
Environmental Conditions
Permit ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow) Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC (RAD
(Reach Address Database))
WBD (Watershed Boundary Dataset)
Subwatershed Name (RAD (Reach
Address Database))
State Waterbody Name (ICIS
(Integrated Compliance
Information System))
Impaired
Waters
Impaired
Class
Causes of
Impairment(s)
by Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
TX0004715 121004010500 Matagorda Bay LAVACA BAY 303(D)
Listed 5 PATHOGENS Yes
Waterbody Designated Uses
Reach Code Waterbody Name Exceptional Use Recreational Use Aquatic Life Use Shellfish Use Beach Closure Within Last Year Beach Closure Within Last Two Years
12100401000758 Cox Creek No Yes Yes No No No
Air Quality
NonAttainment Area?Pollutant(s)
No Ozone
No Lead
Yes Particulate Matter
No Sulfur Dioxide
Pollutants
TRI Facility ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned
Treatment Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
77978LMNMCSTATE 2015 611 8 0 235,012 235,631 92
77978LMNMCSTATE 2014 730 2 0 228,721 229,453 0
77978LMNMCSTATE 2013 777 3 0 214,700 215,480 2
77978LMNMCSTATE 2012 509 3 0 187,768 188,280 3
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TRI Facility ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned
Treatment Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
77978LMNMCSTATE 2011 902 2 0 198,893 199,797 321
77978LMNMCSTATE 2010 1,224 7 0 177,540 178,771 129
77978LMNMCSTATE 2009 502 1 0 104,035 104,538 225
77978LMNMCSTATE 2008 14,828 5 0 228,276 243,109 525
77978LMNMCSTATE 2007 19,768 9 0 242,434 262,211 6
Toxics Release Inventory Total Releases and Transfers in Pounds by Chemical and Year
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
ALUMINUM OXIDE
(FIBROUS FORMS)
CHLORINE
HYDROCHLORIC ACID
(1995 AND AFTER ACID
AEROSOLS ONLY)
HYDROGEN FLUORIDE 13,594 18,628
LEAD COMPOUNDS 230,897 224,980 208,737 184,240 198,101 177,119 103,821 227,751 241,953
MERCURY
MERCURY COMPOUNDS 1,295 1,193 1,865 793 2,016 1,782 942 2,289 1,635
METHANOL
NITRATE COMPOUNDS 3,530 3,280 4,880 3,250
SODIUM HYDROXIDE
(SOLUTION)
SODIUM SULFATE
(SOLUTION)
SULFURIC ACID (1994
AND AFTER ACID
AEROSOLS ONLY)
Demographic Profile
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Demographic Profile of Surrounding Area (3 Miles)
This section provides demographic information regarding the community surrounding the facility. ECHO compliance data alone are not sufficient to determine whether violations at
a particular facility had negative impacts on public health or the environment. Statistics are based upon the 2010 US Census and American Community Survey data, and are accurate
to the extent that the facility latitude and longitude listed below are correct. The latitude and longitude are obtained from the EPA Locational Reference Table (LRT) when available.
Radius of Area:3 Land Area:27%Households in Area:257
Center Latitude:28.65083 Water Area:73%Housing Units in Area:378
Center Longitude:96.56222 Population Density:98/sq.mi.Households on Public Assistance:0
Total Persons:738 Percent Minority:41%Persons Below Poverty Level:209
Race Breakdown Persons (%)Age Breakdown Persons (%)
White:620 (84%)Child 5 years and younger:55 (7%)
AfricanAmerican:5 (1%)Minors 17 years and younger:198 (27%)
HispanicOrigin:233 (32%)Adults 18 years and older:540 (73%)
Asian/Pacific Islander:55 (7%)Seniors 65 years and older:118 (16%)
American Indian:5 (1%)
Other/Multiracial:52 (7%)
Education Level (Persons 25 & older)Persons (%)Income Breakdown Households (%)
Less than 9th Grade:10 (1.46%)Less than $15,000:11 (4.35%)
9th through 12th Grade:45 (6.55%)$15,000 $25,000:59 (23.32%)
High School Diploma:163 (23.73%)$25,000 $50,000:54 (21.34%)
Some College/2yr:194 (28.24%)$50,000 $75,000:83 (32.81%)
B.S./B.A. or More:275 (40.03%)Greater than $75,000:46 (18.18%)
Alcoa Rockdale Operations
4069A Charles Martin Hall Rd
Rockdale, TX 76567
Facility Registry Service ID: 110008144025
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ALCOA INC
MARKET ROAD 1786, ROCKDALE, TX 76567
FRS (Facility Registry Service) ID: 110008144025
EPA Region: 06
Latitude: 30.574194
Longitude: 97.049361
Locational Data Source: NPDES
Industry: Mining (except Oil and Gas); Primary Metal Manufacturing
Indian Country: N
Detailed Facility Report
Facility Summary
Enforcement and Compliance Summary
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
CAA 3 12/16/2015 2 0
CWA 3 02/03/2016 No
Violation
0 0
Quarters
12-Quarter Violation History
Under Development
1 2 3 4 5 6 7 8 9 10 11 12
RCRA
CWA
CAA
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Related Reports
Air Pollutant Report
CWA Pollutant Loading Report
CWA Effluent Charts
Regulatory Information
Clean Air Act (CAA): Operating Major (TX0000004833100001)
Clean Water Act (CWA): Major, Permit Effective (TX0000876), Minor,
(TXU000557)
Resource Conservation and Recovery Act (RCRA): Active (H ) CESQG
(TXR000079028), Active (H ) LQG (TXD008091712)
Safe Drinking Water Act (SDWA): No Information
Other Regulatory Reports
Air Emissions Inventory (EIS): No Information
Greenhouse Gas Emissions (eGGRT): No Information
Toxic Releases (TRI): 76567LMNMCSANDO
Facility/System Characteristics
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
RCRA 1 12/13/2013 No
Violation
0 0 1
Facility/System Characteristics
System Statute Identifier Universe Status Areas Permit Expiration
Date
Indian
Country Latitude Longitude
FRS 110008144025 N 30.574194 97.049361
AIR CAA TX0000004833100001 Major Emissions Operating CAAMACT, CAANSPS, CAANSR, CAAPSD,
CAASIP, CAATVP N
ICP CWA TX0000876 Major: NPDES Individual
Permit Effective 11/01/2018 N 30.553889 97.051111
ICP CWA TXU000557 Minor: Unpermitted
Facility N 30.553889 97.051111
TRI EP313 76567LMNMCSANDO Toxics Release Inventory Last Reported for
2014 N 30.574194 97.049361
RCR RCRA TXR000079028 CESQG Active (H )N
RCR RCRA TXD008091712 LQG Active (H )N 30.530766 97.07373
Facility Address
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Facility SIC (Standard Industrial Classification) Codes
System Identifier SIC Code SIC Desc
TRI 76567LMNMCSANDO 1221 Bituminous Coal And Lignite Surface
TRI 76567LMNMCSANDO 3334 Primary Aluminum
TRI 76567LMNMCSANDO 3354 Aluminum Extruded Products
ICP TX0000876 3334 Primary Aluminum
ICP TXU000557 5093 Scrap And Waste Materials
Facility NAICS (North American Industry Classification System) Codes
System Identifier NAICS Code NAICS Description
TRI 76567LMNMCSANDO 331311 Alumina Refining
TRI 76567LMNMCSANDO 331312 Primary Aluminum Production
TRI 76567LMNMCSANDO 331313
AIR TX0000004833100001 331312 Primary Aluminum Production
RCR TXD008091712 331313
RCR TXR000079028 212111 Bituminous Coal And Lignite Surface Mining
Reservation Name Tribe Name EPA Tribal ID Distance to Tribe (miles)
No data records returned
System Statute Identifier Facility Name Facility Address
FRS 110008144025 ALCOA INC MARKET ROAD 1786, ROCKDALE, TX 76567
AIR CAA TX0000004833100001 ALCOA ROCKDALE OPERATIONS 4069 CHARLES MARTIN HALL RD, ROCKDALE, TX 76567
ICP CWA TX0000876 ALCOAROCKDALE OPERATIONS FMR 1786 AND 2116; APPROX 7.5 MILES SW, ROCKDALE, TX 76567
ICP CWA TXU000557 ALUMINUM COMPANY OF AMERICA MARKET ROAD 1786, ROCKDALE, TX 76567
TRI EP313 76567LMNMCSANDO ALCOA INC FM 1786 OFF RT 79, ROCKDALE, TX 76567
RCR RCRA TXR000079028 ALCOA INC FM 1786 5 MILES SOUTH OF US HW, ROCKDALE, TX 76567
RCR RCRA TXD008091712 ALCOA ROCKDALE OPERATIONS 4069A CHARLES MARTIN HALL RD, ROCKDALE, TX 765673082
Facility Tribe Information
Enforcement and Compliance
Compliance Monitoring History (5 years)
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA TX0000004833100001 AIR TV ACC Receipt/Review State 10/18/2016 Finding: No Facility Report Deviations
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Statute Source ID System Inspection Type Lead Agency Date Finding
CAA TX0000004833100001 AIR FCE OnSite State 12/16/2015
CAA TX0000004833100001 AIR TV ACC Receipt/Review State 12/16/2015 Finding: No Facility Report Deviations
CAA TX0000004833100001 AIR TV ACC Receipt/Review State 10/24/2014 Finding: No Facility Report Deviations
CAA TX0000004833100001 AIR FCE OnSite State 07/17/2014
CAA TX0000004833100001 AIR PCE OnSite Record/Report Review State 07/17/2014
CAA TX0000004833100001 AIR TV ACC Receipt/Review State 07/17/2014 Finding: No Facility Report Deviations
CAA TX0000004833100001 AIR TV ACC Receipt/Review State 07/16/2014 Finding: No Facility Report Deviations
CAA TX0000004833100001 AIR TV ACC Receipt/Review State 02/12/2014
CAA TX0000004833100001 AIR TV ACC Receipt/Review State 07/01/2013 Finding: There are Facility Report Deviations
CAA TX0000004833100001 AIR PCE OffSite State 03/14/2013
CAA TX0000004833100001 AIR PCE OffSite State 02/10/2013
CAA TX0000004833100001 AIR PCE OffSite State 09/14/2012
CAA TX0000004833100001 AIR PCE OffSite State 09/07/2012
CAA TX0000004833100001 AIR PCE OffSite State 06/11/2012
CAA TX0000004833100001 AIR FCE OnSite State 05/24/2012
CAA TX0000004833100001 AIR TV ACC Receipt/Review State 05/24/2012 Finding: No Facility Report Deviations
CAA TX0000004833100001 AIR PCE OnSite Record/Report Review State 05/24/2012
CAA TX0000004833100001 AIR TV ACC Receipt/Review State 05/23/2012 Finding: No Facility Report Deviations
CWA TX0000876 ICP Evaluation State 02/03/2016
CWA TX0000876 ICP Evaluation State 12/12/2013
CWA TX0000876 ICP Sampling State 05/30/2012
RCRA TXD008091712 RCR NONFINANCIAL RECORD REVIEW State 05/15/2014 No Violations Or Compliance Issues Were Found
RCRA TXD008091712 RCR NONFINANCIAL RECORD REVIEW State 03/17/2014 No Violations Or Compliance Issues Were Found
RCRA TXD008091712 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 12/13/2013 Violations Or Compliance Issues Were Found
Entries in italics are not considered inspections in official counts.
Compliance Summary Data
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Three Year Compliance Status by Quarter
Statute Source ID Current SNC (Significant Noncompliance)/HPV (High Priority Violation)Description Current As Of Qtrs in NC (NonCompliance) (of 12)
CAA TX0000004833100001 No 05/13/2017 2
CWA TX0000876 No 12/31/2016 0
CWA TXU000557 No 12/31/2016 0
RCRA TXR000079028 No 05/13/2017 0
RCRA TXD008091712 No 05/13/2017 0
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
CAA (Source ID: TX0000004833100001)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
FacilityLevel Status Viol Viol
HPV History
Violation
Type Agency Programs Pollutants
Historic Violations
CAA NSR SHPV
Sch
CAA PSD SHPV
Sch
CAA TITLE V
PERMITS VHPV
Vio
VHPV
Vio
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
CWA (Source ID: TX0000876)01/01
03/31/14
04/01
06/30/14
07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
FacilityLevel Status No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol Und
SNC (Significant Noncompliance)/RNC (Reportable
NonCompliance) History
CWA (Source ID: TXU000557)01/01
03/31/14
04/01
06/30/14
07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
FacilityLevel Status No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol Und
SNC (Significant Noncompliance)/RNC (Reportable
NonCompliance) History
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Informal Enforcement Actions (5 Years)
ICIS (Integrated Compliance Information System) Case History (5 years)
Water Quality
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA (Source ID: TXD008091712)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
RCRA FacilityLevel Status
RCRA (Source ID: TXR000079028)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
RCRA FacilityLevel Status
Statute System Source ID Type of Action Lead Agency Date
RCRA RCR TXD008091712 WRITTEN INFORMAL State 02/11/2014
Formal Enforcement Actions (5 Years)
Statute Source ID Type of Action Lead Agency Date Penalty Penalty Description
No data records returned
Primary Law/SectionCase No.Case Type Lead Agency Case Name Issued/Filed Date Settlement Date Federal Penalty State/Local Penalty SEP (Supplemental Environmental Project) Cost Comp Action Cost
No data records returned
Environmental Conditions
Permit ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow) Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC (RAD
(Reach Address Database))
WBD (Watershed Boundary
Dataset) Subwatershed Name (RAD
(Reach Address Database))
State Waterbody Name (ICIS
(Integrated Compliance
Information System))
Impaired
Waters
Impaired
Class
Causes of
Impairment(s)
by Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
TX0000876 120701020201 Walleye Creek UNNAMED TRIB;EAST
YEGUA CREEK No Yes
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Toxics Release Inventory History of Reported Chemicals Released in Pounds per Year at Site
TRI Pollution Prevention Report Air Pollutant Report
Permit ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow) Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC (RAD
(Reach Address Database))
WBD (Watershed Boundary
Dataset) Subwatershed Name (RAD
(Reach Address Database))
State Waterbody Name (ICIS
(Integrated Compliance
Information System))
Impaired
Waters
Impaired
Class
Causes of
Impairment(s)
by Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
TXU000557 120701020201 Reece CreekEast Yegua Creek No Yes
Waterbody Designated Uses
Reach Code Waterbody Name Exceptional Use Recreational Use Aquatic Life Use Shellfish Use Beach Closure Within Last Year Beach Closure Within Last Two Years
12070102000459 Walleye Creek No No No No No No
12070102000084 East Yegua Creek No No No No No No
Air Quality
NonAttainment Area?Pollutant(s)
No Ozone
No Lead
Yes Particulate Matter
No Sulfur Dioxide
Pollutants
TRI Facility ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned
Treatment Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
76567LMNMCSANDO 2014 31,200 0 31,216 62,416
76567LMNMCSANDO 2013 94,452 0 38,946 133,398
76567LMNMCSANDO 2012 120,476 0 38,946 159,422
76567LMNMCSANDO 2011 262,000 0 91,000 353,000
76567LMNMCSANDO 2010 264,000 0 264,000
76567LMNMCSANDO 2009 177,836 0 3,018 180,854 1,602
76567LMNMCSANDO 2008 1,005,987 0 3,000 1,008,987 108,902
76567LMNMCSANDO 2007 1,182,214 0 3,057 1,185,271 134,498
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Toxics Release Inventory Total Releases and Transfers in Pounds by Chemical and Year
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
1,1,1TRICHLOROETHANE
ALUMINUM (FUME OR
DUST)62,416 133,398 159,422 353,000 264,000 177,275 227,218 270,245
ALUMINUM OXIDE
(FIBROUS FORMS)
BARIUM COMPOUNDS 0 2,877 3,523
BENZO(G,H,I)PERYLENE 1 123 455
BERYLLIUM
CARBONYL SULFIDE 0 565,107 587,809
CHLORINE 0 1,173 1,795
CHROMIUM 5 1,407 1,431
CHROMIUM
COMPOUNDS(EXCEPT
CHROMITE ORE MINED IN
THE TRANSVAAL REGION)
10 422 536
COPPER 3,000 6,185 8,242
COPPER COMPOUNDS 0 0 22
CYANIDE COMPOUNDS 1,586 79,736 98,161
DIOXIN AND DIOXINLIKE
COMPOUNDS (in grams)0 0 0
ETHYLENE GLYCOL
HYDROCHLORIC ACID
(1995 AND AFTER ACID
AEROSOLS ONLY)
0 35,065
HYDROGEN FLUORIDE 0 168,200 309,598
LEAD COMPOUNDS 18 178 190
MANGANESE 0 21,156 25,962
MANGANESE COMPOUNDS 0
MERCURY COMPOUNDS 0 0 3
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Demographic Profile of Surrounding Area (3 Miles)
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
NICKEL COMPOUNDS 0 1,040 890
POLYCYCLIC AROMATIC
COMPOUNDS 561 819 3,187
SELENIUM COMPOUNDS 0 5 6
SULFURIC ACID (1994 AND
AFTER ACID AEROSOLS
ONLY)
0 5,918 6,761
THALLIUM COMPOUNDS
VANADIUM COMPOUNDS 0 1,259 953
ZINC COMPOUNDS 0 0 0
Demographic Profile
This section provides demographic information regarding the community surrounding the facility. ECHO compliance data alone are not sufficient to determine whether violations at
a particular facility had negative impacts on public health or the environment. Statistics are based upon the 2010 US Census and American Community Survey data, and are accurate
to the extent that the facility latitude and longitude listed below are correct. The latitude and longitude are obtained from the EPA Locational Reference Table (LRT) when available.
Radius of Area:3 Land Area:98%Households in Area:48
Center Latitude:30.530766 Water Area:2%Housing Units in Area:59
Center Longitude:97.07373 Population Density:4/sq.mi.Households on Public Assistance:2
Total Persons:121 Percent Minority:16%Persons Below Poverty Level:48
Race Breakdown Persons (%)Age Breakdown Persons (%)
White:107 (88%)Child 5 years and younger:9 (7%)
AfricanAmerican:0 (0%)Minors 17 years and younger:29 (24%)
HispanicOrigin:16 (13%)Adults 18 years and older:92 (76%)
Asian/Pacific Islander:0 (0%)Seniors 65 years and older:26 (21%)
American Indian:6 (5%)
Other/Multiracial:8 (7%)
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Education Level (Persons 25 & older)Persons (%)Income Breakdown Households (%)
Less than 9th Grade:4 (4.88%)Less than $15,000:7 (14.29%)
9th through 12th Grade:6 (7.32%)$15,000 $25,000:6 (12.24%)
High School Diploma:36 (43.9%)$25,000 $50,000:15 (30.61%)
Some College/2yr:24 (29.27%)$50,000 $75,000:10 (20.41%)
B.S./B.A. or More:12 (14.63%)Greater than $75,000:11 (22.45%)
Alcoa Wenatchee Works
6200 Malaga Alcoa Hwy
Malaga, WA 98828
Facility Registry Service ID: 110000491156
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ALCOA WENATCHEE WORKS
6200 MALAGA ALCOA HWY, MALAGA, WA 98828
FRS (Facility Registry Service) ID: 110000491156
EPA Region: 10
Latitude: 47.3567
Longitude: 120.1273
Locational Data Source: EIS
Industry: Primary Metal Manufacturing
Indian Country: N
Detailed Facility Report
Facility Summary
Enforcement and Compliance Summary
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
CAA 2 07/30/2015 7 7 3 1 $2,000
CWA 9 06/01/2015 Noncompliance 11 2 2 3 $50,000
RCRA 1 09/11/2013 No Violation 0 0 1
Quarters
12-Quarter Violation History
Under Development
1 2 3 4 5 6 7 8 9 10 11 12
RCRA
CWA
CAA
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Related Reports
Air Pollutant Report
CWA Pollutant Loading Report
CWA Effluent Charts
Regulatory Information
Clean Air Act (CAA): Temporarily Closed Major
(WA0000005300700001)
Clean Water Act (CWA): Major, Permit Effective (WA0000680)
Resource Conservation and Recovery Act (RCRA): Active (H ) LQG
(WAD009270794)
Safe Drinking Water Act (SDWA): No Information
Other Regulatory Reports
Air Emissions Inventory (EIS): 4880111
Greenhouse Gas Emissions (eGGRT): 1000635
Toxic Releases (TRI): 98807WNTCHMALAG
Facility/System Characteristics
Facility/System Characteristics
System Statute Identifier Universe Status Areas Permit Expiration
Date
Indian
Country Latitude Longitude
FRS 110000491156 N 47.3567 120.1273
GHG CAA 1000635 Direct Emitter Subject General Stationary Fuel Combustion,
Aluminum Production N 47.3589 120.133
AIR CAA WA0000005300700001 Major Emissions Temporarily
Closed CAAMACT, CAAPSD, CAASIP, CAATVP N
EIS CAA 4880111 OPERATING N 47.3567 120.1273
ICP CWA WA0000680 Major: NPDES Individual
Permit Effective 12/31/2019 N 47.357616 120.132321
TRI EP313 98807WNTCHMALAG Toxics Release Inventory Last Reported for
2015 N 47.3567 120.1273
RCR RCRA WAD009270794 LQG Active (H )N 47.3585 120.132444
TSCA TSCA 100604539 N
TSCA TSCA TSCA5842 N
Facility Address
System Statute Identifier Facility Name Facility Address
FRS 110000491156 ALCOA WENATCHEE WORKS 6200 MALAGA ALCOA HWY, MALAGA, WA 98828
GHG CAA 1000635 ALCOA INC WENATCHEE WORKS 6200 MALAGA HIGHWAY, MALAGA, WA 98828
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Facility SIC (Standard Industrial Classification) Codes
System Identifier SIC Code SIC Desc
TRI 98807WNTCHMALAG 3334 Primary Aluminum
TRI 98807WNTCHMALAG 7334 Photocopying & Duplicating Services
AIR WA0000005300700001 3334 Primary Aluminum
ICP WA0000680 3334 Primary Aluminum
Facility NAICS (North American Industry Classification System) Codes
System Identifier NAICS Code NAICS Description
GHG 1000635 331312 Primary Aluminum Production
EIS 4880111 331313
TRI 98807WNTCHMALAG 331311 Alumina Refining
TRI 98807WNTCHMALAG 331312 Primary Aluminum Production
TRI 98807WNTCHMALAG 331313
AIR WA0000005300700001 331312 Primary Aluminum Production
ICP WA0000680 331312 Primary Aluminum Production
RCR WAD009270794 331313
Reservation Name Tribe Name EPA Tribal ID Distance to Tribe (miles)
No data records returned
System Statute Identifier Facility Name Facility Address
AIR CAA WA0000005300700001 ALCOA WENATCHEE WORKS 6200 MALAGA ALCOA HWY, WENATCHEE, WA 988289784
EIS CAA 4880111 ALCOA PRIMARY METALS WENATCHEE WORKS 6200 MALAGA ALCOA HWY, MALAGA, WA 98828
ICP CWA WA0000680 ALCOA WENATCHEE LLC 6200 MALAGA RD, MALAGA, WA 98828
TRI EP313 98807WNTCHMALAG ALCOA WENATCHEE WORKS 6200 MALAGA HWY, MALAGA, WA 98828
RCR RCRA WAD009270794 ALCOA WENATCHEE LLC 6200 MALAGA ALCOA HWY, MALAGA, WA 98828
TSCA TSCA 100604539 ALCOA WENATCHEE WORKS 6200 MALAGA HIGHWAY, MALAGA, WA 98828
TSCA TSCA TSCA5842 ALCOA WENATCHEE WORKS 6200 MALAGA HIGHWAY, MALAGA, WA 98828
Facility Tribe Information
Enforcement and Compliance
Compliance Monitoring History (5 years)
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110000491156 4/17
Statute Source ID System Inspection Type Lead
Agency Date Finding
CAA WA0000005300700001 AIR TV ACC Receipt/Review State 04/28/2017 Finding: No Facility Report Deviations
CAA WA0000005300700001 AIR TV ACC Receipt/Review State 05/03/2016 Finding: There are Facility Report Deviations
CAA WA0000005300700001 AIR Stack Test State 12/11/2015 Findings: Fail Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 12/09/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 11/16/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 11/16/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 11/10/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 10/19/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 10/19/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 10/15/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 10/13/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 10/13/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 10/08/2015 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA WA0000005300700001 AIR Stack Test State 09/23/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 09/23/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 09/21/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 09/16/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 08/31/2015 Findings: Fail Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 08/21/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR FCE OnSite State 07/30/2015
CAA WA0000005300700001 AIR Stack Test State 07/22/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 07/08/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 07/08/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 07/07/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 06/02/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 06/02/2015 Findings: Pass Pollutants: Fluoride
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110000491156 5/17
Statute Source ID System Inspection Type Lead
Agency Date Finding
CAA WA0000005300700001 AIR Stack Test State 06/01/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 06/01/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 05/20/2015 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA WA0000005300700001 AIR Stack Test State 05/19/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 05/19/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 05/06/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR TV ACC Receipt/Review State 05/05/2015 Finding: There are Facility Report Deviations
CAA WA0000005300700001 AIR Stack Test State 05/01/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 04/07/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 04/01/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 04/01/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR PCE OnSite State 03/24/2015
CAA WA0000005300700001 AIR Stack Test State 03/17/2015 Findings: Pass Pollutants: VOLATILE ORGANIC COMPOUNDS
(VOCS)
CAA WA0000005300700001 AIR Stack Test State 03/03/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 03/03/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 02/10/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 02/10/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 02/03/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 02/03/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 01/15/2015 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA WA0000005300700001 AIR Stack Test State 01/15/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 01/15/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 01/05/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 01/05/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test EPA 12/17/2014 Findings: Pass
CAA WA0000005300700001 AIR Stack Test State 12/01/2014 Findings: Pass Pollutants: Particulate matter
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110000491156 6/17
Statute Source ID System Inspection Type Lead
Agency Date Finding
CAA WA0000005300700001 AIR Stack Test State 12/01/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 11/03/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 11/03/2014 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 10/06/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 10/06/2014 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 10/02/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 10/02/2014 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR Stack Test State 10/01/2014 Findings: Pass Pollutants: Particulate matter
CAA WA0000005300700001 AIR TV ACC Receipt/Review State 06/05/2014 Finding: No Facility Report Deviations
CAA WA0000005300700001 AIR Stack Test State 06/04/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 06/04/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 05/07/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 05/07/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR TV ACC Receipt/Review State 05/06/2014
CAA WA0000005300700001 AIR Stack Test State 05/05/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 05/05/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 04/03/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 04/03/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 04/02/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 04/02/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 04/01/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 03/27/2014 Findings: Pass Pollutants: VOLATILE ORGANIC COMPOUNDS
(VOCS)
CAA WA0000005300700001 AIR PCE OnSite State 03/05/2014
CAA WA0000005300700001 AIR Stack Test State 03/05/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 03/03/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 02/03/2014 Findings: Pass Pollutants: Fluoride
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110000491156 7/17
Statute Source ID System Inspection Type Lead
Agency Date Finding
CAA WA0000005300700001 AIR Stack Test State 02/03/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 01/13/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 01/13/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 01/07/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 01/06/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 01/06/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 01/01/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 01/01/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 01/01/2014 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA WA0000005300700001 AIR Stack Test State 12/16/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 12/16/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 11/26/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 11/19/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 11/18/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 11/18/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 11/17/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 10/16/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 10/16/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 10/08/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 10/02/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 10/02/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 09/04/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 09/04/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 09/03/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 09/03/2013 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA WA0000005300700001 AIR Stack Test State 09/03/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR FCE OnSite State 08/20/2013
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110000491156 8/17
Statute Source ID System Inspection Type Lead
Agency Date Finding
CAA WA0000005300700001 AIR TV ACC Receipt/Review State 08/19/2013 Finding: No Facility Report Deviations
CAA WA0000005300700001 AIR Stack Test State 08/06/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 08/06/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 07/24/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 07/09/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 07/02/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 07/01/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 07/01/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 06/17/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 06/17/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 06/11/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 06/11/2013 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA WA0000005300700001 AIR Stack Test State 05/20/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 05/20/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 05/14/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 05/07/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 05/06/2013 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA WA0000005300700001 AIR Stack Test State 05/01/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 05/01/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR TV ACC Receipt/Review State 04/30/2013
CAA WA0000005300700001 AIR Stack Test State 04/16/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 04/16/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 03/20/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 03/20/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR PCE OnSite State 02/27/2013
CAA WA0000005300700001 AIR Stack Test State 02/20/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 02/20/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110000491156 9/17
Statute Source ID System Inspection Type Lead
Agency Date Finding
CAA WA0000005300700001 AIR Stack Test State 02/13/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 01/18/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 01/18/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 01/16/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 01/16/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 01/10/2013 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA WA0000005300700001 AIR Stack Test State 01/03/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 12/19/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 12/19/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 12/05/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 12/04/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 11/21/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 11/21/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 10/19/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 10/19/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 10/05/2012 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA WA0000005300700001 AIR Stack Test State 10/04/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 10/04/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 10/02/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 10/01/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 09/19/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 09/19/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 08/22/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 08/22/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 07/18/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 07/18/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 07/12/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110000491156 10/17
Three Year Compliance Status by Quarter
Statute Source ID System Inspection Type Lead
Agency Date Finding
CAA WA0000005300700001 AIR Stack Test State 07/11/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 07/10/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 07/10/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 07/10/2012 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA WA0000005300700001 AIR Stack Test State 06/20/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 06/20/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005300700001 AIR Stack Test State 05/18/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005300700001 AIR Stack Test State 05/18/2012 Findings: Pass Pollutants: Fluoride
CWA WA0000680 ICP Evaluation State 06/01/2015
CWA WA0000680 ICP Evaluation State 03/06/2015
CWA WA0000680 ICP Evaluation State 04/07/2014
CWA WA0000680 ICP Evaluation State 03/05/2014
CWA WA0000680 ICP Evaluation State 09/26/2013
CWA WA0000680 ICP Evaluation State 04/22/2013
CWA WA0000680 ICP Evaluation State 02/26/2013
CWA WA0000680 ICP Evaluation State 02/20/2013
CWA WA0000680 ICP Evaluation State 10/25/2012
RCRA WAD009270794 RCR COMPLIANCE EVALUATION INSPECTION ON
SITE State 09/11/2013 Violations Or Compliance Issues Were Found
Entries in italics are not considered inspections in official counts.
Compliance Summary Data
Statute Source ID Current SNC (Significant Noncompliance)/HPV (High Priority Violation)Description Current As Of Qtrs in NC (NonCompliance) (of 12)
CAA WA0000005300700001 No 05/13/2017 7
CWA WA0000680 No 12/31/2016 10
RCRA WAD009270794 No 05/13/2017 0
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110000491156 11/17
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
CAA (Source ID: WA0000005300700001)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
FacilityLevel Status No Viol HPV HPV HPV HPV HPV HPV HPV
HPV History Unaddr
State
Unaddr
State
Unaddr
State
Unaddr
State
Unaddr
State
Unaddr
State
Addrs
State
Violation
Type Agency Programs Pollutants
CAA HPV WA CAAMACT,
CAATVP Fluoride 04/08/2016 08/02/2016
CAA HPV WA CAAMACT,
CAATVP Fluoride 10/06/2014 >>>>>>>>>12/16/2015
CAA FRV WA CAAMACT,
CAATVP Fluoride 09/04/2015
Historic Violations
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
CWA (Source ID: WA0000680)01/01
03/31/14 04/0106/30/14 07/01
09/30/14 10/0112/31/14 01/01
03/31/15
04/01
06/30/15 07/0109/30/15 10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
FacilityLevel Status No
Viol In Viol No
Viol In Viol SNC/Cat
1
SNC/Cat
1 In Viol In Viol In Viol In Viol In Viol In Viol In Viol
SNC (Significant Non
compliance)/RNC
(Reportable Non
Compliance) History
V(NonRNCV)V(NonRNCV)D(DMR
NR)
D(DMR
NR)V(NonRNCV)N(RptViol)N(RptViol)N(RptViol)N(RptViol)N(RptViol)
Pollutant Disch
Point Freq
CWA
Aluminum,
total [as
Al]
001 NMth 60%115%48%
CWA Fluoride,
total [as F]001 Mthly 144%
CWA Fluoride,
total [as F]001 NMth 41%11%184%
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110000491156 12/17
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
CWA
Solids,
total
suspended
001 Mthly 75%
CWA
Solids,
total
suspended
001 NMth 158%
CWA
Aluminum,
total [as
Al]
001N Mthly 112%
CWA
Aluminum,
total [as
Al]
001N NMth 434%
CWA
Solids,
total
suspended
001N Mthly 65%
CWA
Solids,
total
suspended
001N NMth 160%
Permit Schedule
Violations
CWA
Schedule Event achieved
late but reported: Operation
and Maintenance (O&M)
Manual
013116 040516
CWA
Schedule Event achieved
late but reported: Operation
and Maintenance (O&M)
Manual
013116 040516
CWA
Schedule Event reported
late: Operation and
Maintenance (O&M)
Manual
013116 040516
CWA
Schedule Event reported
late: Operation and
Maintenance (O&M)
Manual
013116 040516
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110000491156 13/17
Informal Enforcement Actions (5 Years)
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
CWA
Schedule Event unachieved
and not reported:
Monitoring Report
0301
17
CWA
Schedule Event unachieved
and not reported: Operation
and Maintenance (O&M)
Manual
013116 040516
CWA
Schedule Event unachieved
and not reported: Operation
and Maintenance (O&M)
Manual
013116 040516
CWA
Schedule Event unachieved
and not reported: Plan,
Report, or Scope of Work
0331
17
CWA
Schedule Event unachieved
but reported: Operation and
Maintenance (O&M)
Manual
013116 040516
CWA
Schedule Event unachieved
but reported: Operation and
Maintenance (O&M)
Manual
013116 040516
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA (Source ID: WAD009270794)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
RCRA FacilityLevel Status
Statute System Source ID Type of Action Lead Agency Date
CAA AIR WA0000005300700001 Notice of Violation State 04/20/2016
CAA AIR WA0000005300700001 Notice of Violation State 04/06/2016
CAA AIR WA0000005300700001 Notice of Violation State 10/21/2015
CWA ICP WA0000680 Notice of Violation State 05/06/2016
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110000491156 14/17
ICIS (Integrated Compliance Information System) Case History (5 years)
Water Quality
Statute System Source ID Type of Action Lead Agency Date
CWA ICP WA0000680 Letter of Violation/ Warning Letter State 04/22/2016
RCRA RCR WAD009270794 WRITTEN INFORMAL State 09/16/2013
Formal Enforcement Actions (5 Years)
Statute Source ID Type of Action Lead Agency Date Penalty Penalty Description
CAA WA0000005300700001 Administrative Order State 06/14/2016 $2,000
CWA WA0000680 State CWA Penalty AO State 07/29/2015 $36,000
CWA WA0000680 State CWA Penalty AO State 08/18/2014 $6,000
CWA WA0000680 State CWA Penalty AO State 12/07/2012 $8,000
Primary Law/SectionCase No.Case Type Lead Agency Case Name Issued/Filed Date Settlement Date Federal Penalty State/Local Penalty SEP (Supplemental Environmental Project) Cost Comp Action Cost
No data records returned
Environmental Conditions
Permit ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow) Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC (RAD
(Reach Address Database))
WBD (Watershed Boundary
Dataset) Subwatershed Name (RAD
(Reach Address Database))
State Waterbody Name (ICIS
(Integrated Compliance
Information System))
Impaired
Waters
Impaired
Class
Causes of
Impairment(s)
by Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
WA0000680 170200100313 Hammond LakeColumbia River No Yes
Waterbody Designated Uses
Reach Code Waterbody Name Exceptional Use Recreational Use Aquatic Life Use Shellfish Use Beach Closure Within Last Year Beach Closure Within Last Two Years
17020010000097 Columbia River No No No No No No
Air Quality
NonAttainment Area?Pollutant(s)
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Toxics Release Inventory History of Reported Chemicals Released in Pounds per Year at Site
TRI Pollution Prevention Report Air Pollutant Report
No Ozone
No Lead
Yes Particulate Matter
No Sulfur Dioxide
Pollutants
TRI Facility ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned
Treatment Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
98807WNTCHMALAG 2015 776,929 0 71 777,000 6,784
98807WNTCHMALAG 2014 806,372 0 72 806,444 8,198
98807WNTCHMALAG 2013 963,559 0 53 963,612 8,404
98807WNTCHMALAG 2012 886,337 0 94 886,431 9,296
98807WNTCHMALAG 2011 815,402 0 86 815,488 62,606
98807WNTCHMALAG 2010 533,913 0 109 534,022 35,304
98807WNTCHMALAG 2009 539,081 0 539,081 42,334
98807WNTCHMALAG 2008 504,564 0 504,564 51,767
98807WNTCHMALAG 2007 507,331 0 0 507,331 41,709
Toxics Release Inventory Total Releases and Transfers in Pounds by Chemical and Year
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
ALUMINUM OXIDE
(FIBROUS FORMS)
BENZO(G,H,I)PERYLENE 1,225 1,610 1,329 1,590 7,593 4,280 5,215 6,320 5,136
CARBONYL SULFIDE 557,629 558,135 593,158 528,173 477,738 376,754 382,059 383,194 371,826
CHLORINE
COPPER
CYANIDE COMPOUNDS
5/19/2017 Detailed Facility Report | ECHO | US EPA
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Demographic Profile of Surrounding Area (3 Miles)
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
DINITROTOLUENE
(MIXED ISOMERS)1,401
HYDROGEN FLUORIDE 216,301 245,642 368,085 353,562 334,743 155,488 155,028 119,496 133,568
LEAD 446 458 433
LEAD COMPOUNDS 632 599 453 841 838 572
MANGANESE 0
MANGANESE
COMPOUNDS 158 144 27
PHENANTHRENE
POLYCYCLIC AROMATIC
COMPOUNDS 7,997 8,498 8,848 10,133 57,182 32,232 38,668 46,862 38,077
ZINC (FUME OR DUST)
Demographic Profile
This section provides demographic information regarding the community surrounding the facility. ECHO compliance data alone are not sufficient to determine whether violations at
a particular facility had negative impacts on public health or the environment. Statistics are based upon the 2010 US Census and American Community Survey data, and are accurate
to the extent that the facility latitude and longitude listed below are correct. The latitude and longitude are obtained from the EPA Locational Reference Table (LRT) when available.
Radius of Area:3 Land Area:92%Households in Area:606
Center Latitude:47.3567 Water Area:8%Housing Units in Area:667
Center Longitude:120.1273 Population Density:71/sq.mi.Households on Public Assistance:56
Total Persons:1,801 Percent Minority:43%Persons Below Poverty Level:926
Race Breakdown Persons (%)Age Breakdown Persons (%)
White:1,279 (71%)Child 5 years and younger:129 (7%)
AfricanAmerican:15 (1%)Minors 17 years and younger:517 (29%)
HispanicOrigin:729 (40%)Adults 18 years and older:1,284 (71%)
Asian/Pacific Islander:5 (0%)Seniors 65 years and older:239 (13%)
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110000491156 17/17
Race Breakdown Persons (%)Age Breakdown Persons (%)
American Indian:13 (1%)
Other/Multiracial:489 (27%)
Education Level (Persons 25 & older)Persons (%)Income Breakdown Households (%)
Less than 9th Grade:154 (12.57%)Less than $15,000:73 (10.4%)
9th through 12th Grade:175 (14.29%)$15,000 $25,000:88 (12.54%)
High School Diploma:358 (29.22%)$25,000 $50,000:250 (35.61%)
Some College/2yr:315 (25.71%)$50,000 $75,000:131 (18.66%)
B.S./B.A. or More:223 (18.2%)Greater than $75,000:160 (22.79%)
Alcoa Intalco Works
4050 Mountain View Rd
Ferndale, WA 98248
Facility Registry Service ID: 110040947820
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110040947820 1/26
ALCOA INTALCO WORKS
4050 MOUNTAIN VIEW RD, FERNDALE, WA 98248
FRS (Facility Registry Service) ID: 110040947820
EPA Region: 10
Latitude: 48.8455
Longitude: 122.7055
Locational Data Source: EIS
Industry: Primary Metal Manufacturing
Indian Country: N
Detailed Facility Report
Facility Summary
Enforcement and Compliance Summary
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
CAA 2 08/17/2015 Significant
Violation
6 4 4 1 $0
CWA 9 05/04/2015 Significant
Violation
11 3 2 3 $1,000
Quarters
12-Quarter Violation History
Under Development
1 2 3 4 5 6 7 8 9 10 11 12
SDWA
RCRA
CWA
CAA
5/19/2017 Detailed Facility Report | ECHO | US EPA
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Related Reports
Air Pollutant Report
CWA Pollutant Loading Report
CWA Effluent Charts
Regulatory Information
Clean Air Act (CAA): Operating Major (WA0000005307300001)
Clean Water Act (CWA): Major, Permit Effective (WA0002950), Minor,
Permit Effective (WAL002950)
Resource Conservation and Recovery Act (RCRA): Active (HPA S)
LQG TSDF (WAD009488131)
Safe Drinking Water Act (SDWA): OWNER: Private SOURCE: Surface
water TYPE: NonTransient noncommunity system, Permit Active
(WA5335800)
Other Regulatory Reports
Air Emissions Inventory (EIS): 4937811
Greenhouse Gas Emissions (eGGRT): 1003562
Toxic Releases (TRI): 98248NTLCL4050M
Facility/System Characteristics
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
RCRA 1 07/23/2014 No Violation 0 0
SDWA Noncompliance 3 0
Facility/System Characteristics
System Statute Identifier Universe Status Areas
Permit
Expiration
Date
Indian
Country Latitude Longitude
FRS 110040947820 N 48.8455 122.7055
EIS CAA 4937811 OPERATING N 48.8455 122.7055
AIR CAA WA0000005307300001 Major Emissions Operating CAAMACT, CAASIP, CAATVP N
GHG CAA 1003562 Direct Emitter Subject
General Stationary Fuel Combustion,
Aluminum Production, Industrial Waste
Landfills
N 48.84843 122.700112
ICP CWA WA0002950 Major: NPDES Individual Permit Effective 01/31/2020 N 48.847317 122.71264
ICP CWA WAL002950 Minor: Associated Permit Record Effective Biosolids 12/31/2020 N 48.8455 122.7055
5/19/2017 Detailed Facility Report | ECHO | US EPA
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Facility SIC (Standard Industrial Classification) Codes
System Identifier SIC Code SIC Desc
TRI 98248NTLCL4050M 3334 Primary Aluminum
Facility NAICS (North American Industry Classification System) Codes
System Identifier NAICS Code NAICS Description
GHG 1003562 331312 Primary Aluminum Production
System Statute Identifier Universe Status Areas
Permit
Expiration
Date
Indian
Country Latitude Longitude
TRI EP313 98248NTLCL4050M Toxics Release Inventory
Last
Reported for
2015
N 48.8455 122.7055
RCR RCRA WAD009488131 LQG TSDF Active (HPA
S)N 48.848525 122.701353
SDWIS SDWA WA5335800
OWNER: Private SOURCE: Surface water
TYPE: NonTransient noncommunity
system
Active Population Served: 547 N
TSCA TSCA TSCA8386 N
TSCA TSCA 100604535 N
Facility Address
System Statute Identifier Facility Name Facility Address
FRS 110040947820 ALCOA INTALCO WORKS 4050 MOUNTAIN VIEW RD, FERNDALE, WA 98248
EIS CAA 4937811 ALCOA PRIMARY METALS INTALCO WORKS 4050 MOUNTAIN VIEW RD, FERNDALE, WA 98248
AIR CAA WA0000005307300001 INTALCO ALUMINUM CORPORATION 4050 MOUNTAIN VIEW RD, FERNDALE, WA 98248
GHG CAA 1003562 ALCOA INTALCO WORKS 4050 MOUNTAIN VIEW RD., FERNDALE, WA 98248
ICP CWA WA0002950 INTALCO ALUMINUM CORP FERNDALE 4050 MOUNTAIN VIEW RD, FERNDALE, WA 98248
ICP CWA WAL002950 INTALCO ALUMINUM CORP FERNDALE 4050 MOUNTAIN VIEW RD, FERNDALE, WA 982489683
TRI EP313 98248NTLCL4050M INTALCO ALUMINUM CORP 4050 MOUNTAIN VIEW RD, FERNDALE, WA 98248
RCR RCRA WAD009488131 INTALCO ALUMINUM CORP FERNDALE 4050 MOUNTAIN VIEW RD, FERNDALE, WA 98248
SDWIS SDWA WA5335800 Intalco Aluminum Corporation WS WA
TSCA TSCA TSCA8386 ALCOA INTALCO WORKS 4050 MOUNTAIN VIEW RD, FERNDALE, WA 98248
TSCA TSCA 100604535 ALCOA INTALCO WORKS 4050 MOUNTAIN VIEW RD, FERNDALE, WA 98248
5/19/2017 Detailed Facility Report | ECHO | US EPA
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System Identifier SIC Code SIC Desc
AIR WA0000005307300001 3334 Primary Aluminum
ICP WA0002950 3334 Primary Aluminum
System Identifier NAICS Code NAICS Description
EIS 4937811 331313
TRI 98248NTLCL4050M 331311 Alumina Refining
TRI 98248NTLCL4050M 331312 Primary Aluminum Production
TRI 98248NTLCL4050M 331313
AIR WA0000005307300001 331312 Primary Aluminum Production
ICP WA0002950 331313
RCR WAD009488131 331313
Reservation Name Tribe Name EPA Tribal
ID
Distance to Tribe
(miles)
Lummi Reservation Lummi Tribe of the Lummi
Reservation 100000146 1.8
Nooksack OffReservation
Trust Land Nooksack Indian Tribe 100000174 16.15
Nooksack Reservation Nooksack Indian Tribe 100000174 22.28
Facility Tribe Information
Enforcement and Compliance
Compliance Monitoring History (5 years)
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA WA0000005307300001 AIR TV ACC Receipt/Review State 04/13/2017 Finding: There are Facility Report Deviations
CAA WA0000005307300001 AIR Stack Test State 01/30/2017 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 01/30/2017 Findings: Fail Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 01/26/2017 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 01/26/2017 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 01/24/2017 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 01/24/2017 Findings: Fail Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 01/18/2017 Findings: Pass Pollutants: Fluoride
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110040947820 5/26
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA WA0000005307300001 AIR Stack Test State 01/12/2017 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 01/06/2017 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 12/29/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 12/29/2016 Findings: Fail Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 12/21/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 12/21/2016 Findings: Fail Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 12/16/2016 Findings: Fail Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 12/16/2016 Findings: Fail Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 12/16/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 12/09/2016 Findings: Fail Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 11/29/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 11/29/2016 Findings: Fail Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 11/19/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 11/19/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 11/18/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 11/15/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 11/09/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 11/09/2016 Findings: Fail Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 10/28/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 10/20/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 10/20/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 09/28/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 09/22/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 09/22/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 09/20/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 09/20/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 09/19/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 09/12/2016 Findings: Pass Pollutants: Fluoride
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110040947820 6/26
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA WA0000005307300001 AIR Stack Test State 08/30/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 08/28/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 08/28/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 08/25/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 08/23/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 08/23/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR PCE OnSite State 08/04/2016
CAA WA0000005307300001 AIR Stack Test State 07/25/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 07/22/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 07/19/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 07/19/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 07/15/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR PCE OnSite Interview State 06/29/2016
CAA WA0000005307300001 AIR Stack Test State 06/22/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 06/21/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 06/16/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 06/16/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 05/26/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 05/26/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 05/25/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 05/23/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 05/19/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 05/19/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 05/12/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 04/27/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 04/27/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 04/25/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 04/25/2016 Findings: Pass Pollutants: Particulate matter
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110040947820 7/26
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA WA0000005307300001 AIR Stack Test State 04/14/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR TV ACC Receipt/Review State 04/14/2016 Finding: There are Facility Report Deviations
CAA WA0000005307300001 AIR Stack Test State 03/22/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 03/18/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 03/16/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 03/16/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 03/14/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 03/04/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 03/04/2016 Findings: Pass Pollutants: Hydrochloric acid
CAA WA0000005307300001 AIR Stack Test State 03/04/2016 Findings: Pass Pollutants: Carbon monoxide
CAA WA0000005307300001 AIR Stack Test State 03/04/2016 Findings: Pass Pollutants: Nitrogen oxides
CAA WA0000005307300001 AIR Stack Test State 03/04/2016 Findings: Pass Pollutants: Furans
CAA WA0000005307300001 AIR Stack Test State 03/04/2016 Findings: Pass Pollutants: Hydrofluoric acid
CAA WA0000005307300001 AIR Stack Test State 02/22/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 02/18/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 02/18/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 02/16/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 02/16/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 02/04/2016 Findings: Pass Pollutants: Hydrochloric acid
CAA WA0000005307300001 AIR Stack Test State 02/04/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 02/04/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 01/26/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 01/25/2016 Findings: Pass Pollutants: Nitrogen oxides
CAA WA0000005307300001 AIR Stack Test State 01/25/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 01/18/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 01/18/2016 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 01/16/2016 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 01/16/2016 Findings: Pass Pollutants: Particulate matter
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110040947820 8/26
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA WA0000005307300001 AIR Stack Test State 12/23/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 12/21/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 12/16/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 12/16/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 12/15/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 12/07/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 11/25/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 11/25/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 11/19/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 11/19/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 11/18/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 11/18/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 11/17/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 11/16/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 11/13/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 10/30/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 10/26/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 10/26/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 10/22/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 10/20/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 10/20/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 10/15/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 10/06/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 09/22/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 09/21/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 09/21/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 09/17/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 09/17/2015 Findings: Pass Pollutants: Particulate matter
5/19/2017 Detailed Facility Report | ECHO | US EPA
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Statute Source ID System Inspection Type Lead Agency Date Finding
CAA WA0000005307300001 AIR Stack Test State 09/16/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 09/16/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 09/08/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 08/26/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 08/18/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 08/18/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR FCE OnSite State 08/17/2015
CAA WA0000005307300001 AIR Stack Test State 08/04/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 07/29/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 07/27/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 07/27/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 07/22/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 07/21/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 07/21/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 06/29/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 06/19/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 06/19/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 06/18/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 06/16/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 06/16/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR PCE OnSite State 06/11/2015
CAA WA0000005307300001 AIR Stack Test State 06/09/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 05/21/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 05/21/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 05/19/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 05/19/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 05/18/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 05/15/2015 Findings: Pass Pollutants: Particulate matter
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110040947820 10/26
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA WA0000005307300001 AIR Stack Test State 05/11/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 05/08/2015 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA WA0000005307300001 AIR Stack Test State 05/08/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 05/08/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 05/05/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 04/28/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 04/28/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 04/23/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 04/23/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 04/21/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 04/16/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 04/16/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 04/15/2015 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA WA0000005307300001 AIR TV ACC Receipt/Review State 04/15/2015 Finding: There are Facility Report Deviations
CAA WA0000005307300001 AIR Stack Test State 04/15/2015 Findings: Fail Pollutants: Particulate matter PM10
CAA WA0000005307300001 AIR Stack Test State 04/08/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 03/26/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 03/25/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 03/23/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 03/23/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 03/20/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 03/19/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 03/19/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 03/18/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 03/18/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 03/12/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 03/12/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 03/02/2015 Findings: Pass Pollutants: Fluoride
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110040947820 11/26
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA WA0000005307300001 AIR Stack Test State 02/26/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 02/25/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 02/17/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 02/17/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 02/16/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 02/16/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 02/02/2015 Findings: Pass Pollutants: Nitrogen oxides
CAA WA0000005307300001 AIR Stack Test State 01/30/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 01/30/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 01/23/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 01/21/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 01/19/2015 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 01/19/2015 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 12/30/2014 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 12/23/2014 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 12/16/2014 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 12/15/2014 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 12/15/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 12/03/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 11/26/2014 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 11/20/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 11/20/2014 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 10/31/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 10/30/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 10/30/2014 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 10/24/2014 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 10/23/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 10/23/2014 Findings: Pass Pollutants: Particulate matter
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110040947820 12/26
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA WA0000005307300001 AIR Stack Test State 10/16/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 10/16/2014 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 09/29/2014 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 09/22/2014 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 09/22/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 09/19/2014 Findings: Fail
CAA WA0000005307300001 AIR Stack Test State 09/19/2014 Findings: Pass Pollutants: Particulate matter
CAA WA0000005307300001 AIR Stack Test State 08/21/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 08/20/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 08/20/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 08/13/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 07/17/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 07/17/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 07/16/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 07/16/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 07/15/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 06/18/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 06/16/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 06/16/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 06/12/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 06/11/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 06/11/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 06/10/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 05/19/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 05/19/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 05/15/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 05/14/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 05/14/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110040947820 13/26
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA WA0000005307300001 AIR Stack Test State 04/29/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 04/29/2014 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA WA0000005307300001 AIR Stack Test State 04/29/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR TV ACC Receipt/Review State 04/27/2014 Finding: There are Facility Report Deviations
CAA WA0000005307300001 AIR Stack Test State 04/23/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 04/23/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 04/21/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 04/16/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 04/16/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 04/14/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 04/10/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 03/25/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 03/25/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 03/24/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 03/20/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR PCE OnSite State 03/18/2014
CAA WA0000005307300001 AIR Stack Test State 03/05/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 02/26/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 02/26/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 02/20/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 02/20/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 02/06/2014 Findings: Pass Pollutants: NITROGEN OXIDES
CAA WA0000005307300001 AIR Stack Test State 02/03/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 01/20/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 01/20/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 01/13/2014 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 01/09/2014 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 01/02/2014 Findings: Pass Pollutants: Fluoride
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110040947820 14/26
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA WA0000005307300001 AIR Stack Test State 12/16/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 12/16/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 12/13/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 12/12/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 11/18/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 11/16/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 11/16/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 11/14/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 11/08/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 10/17/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 10/17/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 10/16/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 10/16/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 10/15/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 10/03/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 09/18/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 09/16/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 09/16/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR FCE OnSite State 09/13/2013
CAA WA0000005307300001 AIR Stack Test State 09/11/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 08/14/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 08/14/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 08/13/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 08/13/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 07/16/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 07/16/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 07/15/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 07/10/2013 Findings: Pass Pollutants: Fluoride
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110040947820 15/26
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA WA0000005307300001 AIR Stack Test State 06/17/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 06/17/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 06/12/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 06/12/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 05/28/2013 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA WA0000005307300001 AIR Stack Test State 05/28/2013 Findings: Pass Pollutants: PARTICULATE MATTER < 10 UM
CAA WA0000005307300001 AIR Stack Test State 05/24/2013 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA WA0000005307300001 AIR Stack Test State 05/24/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 05/24/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR PCE OnSite State 05/22/2013
CAA WA0000005307300001 AIR Stack Test State 05/16/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 05/16/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 05/15/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 05/08/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR TV ACC Receipt/Review State 04/30/2013 Finding: There are Facility Report Deviations
CAA WA0000005307300001 AIR TV ACC Receipt/Review State 04/17/2013
CAA WA0000005307300001 AIR Stack Test State 04/16/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 04/16/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 04/15/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 04/03/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 03/20/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 03/18/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 03/18/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 03/13/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 02/19/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 02/19/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 02/14/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 02/13/2013 Findings: Pass Pollutants: Fluoride
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110040947820 16/26
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA WA0000005307300001 AIR Stack Test State 02/13/2013 Findings: Pass Pollutants: NITROGEN OXIDES
CAA WA0000005307300001 AIR Stack Test State 01/28/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 01/28/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 01/24/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 01/16/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 01/16/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 01/13/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 01/08/2013 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 01/08/2013 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 12/21/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 12/18/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 12/18/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 12/13/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 11/20/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 11/16/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 11/16/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 11/14/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 10/28/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 10/28/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 10/18/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 10/16/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 10/16/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 10/12/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 10/11/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 09/24/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 09/24/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 09/18/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 09/18/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110040947820 17/26
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA WA0000005307300001 AIR Stack Test State 09/17/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 09/13/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 08/30/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 08/23/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 08/23/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 08/21/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR PCE OnSite State 08/21/2012
CAA WA0000005307300001 AIR Stack Test State 08/21/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 08/13/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 08/07/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 07/18/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 07/18/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 07/16/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 07/06/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 06/22/2012 Findings: Pass Pollutants: Hydrochloric acid
CAA WA0000005307300001 AIR Stack Test State 06/22/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 06/21/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 06/21/2012 Findings: Pass Pollutants: POLYCYCLIC ORGANIC MATTER
CAA WA0000005307300001 AIR Stack Test State 06/21/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 06/18/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 06/18/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 06/15/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 06/07/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 05/30/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 05/30/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 05/21/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR Stack Test State 05/21/2012 Findings: Pass Pollutants: Fluoride
CAA WA0000005307300001 AIR Stack Test State 05/17/2012 Findings: Pass Pollutants: Fluoride
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110040947820 18/26
SDWA (Safe Drinking Water Act) Sanitary Survey Results (5 Years)
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA WA0000005307300001 AIR Stack Test State 05/17/2012 Findings: Pass Pollutants: TOTAL PARTICULATE MATTER
CAA WA0000005307300001 AIR TV ACC Receipt/Review State 05/16/2012 Finding: There are Facility Report Deviations
CWA WA0002950 ICP Evaluation State 05/04/2015
CWA WA0002950 ICP Evaluation State 03/30/2015
CWA WA0002950 ICP Evaluation State 07/22/2014
CWA WA0002950 ICP Evaluation State 06/03/2014
CWA WA0002950 ICP Evaluation State 07/25/2013
CWA WA0002950 ICP Evaluation State 06/25/2013
CWA WA0002950 ICP Evaluation State 02/07/2013
CWA WA0002950 ICP Evaluation State 02/06/2013
CWA WA0002950 ICP Evaluation State 08/20/2012
RCRA WAD009488131 RCR FINANCIAL RECORD REVIEW State 04/22/2016 No Violations Or Compliance Issues Were Found
RCRA WAD009488131 RCR FINANCIAL RECORD REVIEW State 03/01/2016 No Violations Or Compliance Issues Were Found
RCRA WAD009488131 RCR FINANCIAL RECORD REVIEW State 08/27/2014 No Violations Or Compliance Issues Were Found
RCRA WAD009488131 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 07/23/2014 No Violations Or Compliance Issues Were Found
RCRA WAD009488131 RCR FINANCIAL RECORD REVIEW State 08/05/2013 No Violations Or Compliance Issues Were Found
Entries in italics are not considered inspections in official counts.
Sanitary Survey Results
Date Type Agency Data Verification Distribution Management Operation Finished Water Storage Operator Compliance Other Evaluation Pumps Security Source Financial Treatment
No data records returned
Sanitary survey result codes:S=Significant Deficiencies R=Recommendations Made X=Not Evaluated =Not Reported to EPA
M=Minor Deficiencies N=No Deficiencies or Recommendations Z=Not Applicable
Compliance Summary Data
Statute Source ID Current SNC (Significant Noncompliance)/HPV (High Priority Violation)Description Current As Of Qtrs in NC (NonCompliance) (of 12)
5/19/2017 Detailed Facility Report | ECHO | US EPA
https://echo.epa.gov/detailedfacilityreport?fid=110040947820 19/26
Three Year Compliance Status by Quarter
CAA WA0000005307300001 Yes UnaddrState 05/13/2017 6
CWA WA0002950 Yes 12/31/2016 10
CWA WAL002950 No 12/31/2016 0
RCRA WAD009488131 No 05/13/2017 0
SDWA WA5335800 No 01/01/2017 3
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
CAA (Source ID: WA0000005307300001)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
FacilityLevel Status No
Viol Viol Viol HPV HPV HPV HPV
HPV History Unaddr
State
Unaddr
State
Unaddr
State
Unaddr
State
Violation
Type Agency Programs Pollutants
CAA HPV WA
CAAMACT,
CAASIP,
CAATVP
Particulate matter 11/18/2016 >>>04/03/2017
CAA HPV WA CAASIP,
CAATVP
Particulate matter,
Fluoride, Carbon
monoxide
08/02/2016 >>>>>>>>>
CAA FRV WA CAAMACT,
CAATVP Fluoride 12/19/2014
CAA FRV WA CAASIP,
CAATVP
Particulate matter
PM10 06/12/2015
Historic Violations
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
CWA (Source ID: WA0002950)01/0103/31/14 04/01
06/30/14 07/0109/30/14 10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
FacilityLevel Status In Viol No
Viol In Viol No
Viol
SNC/Cat
1
SNC/Cat
1 In Viol In Viol In Viol In Viol In Viol SNC/Cat
1 In Viol
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Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
SNC (Significant Non
compliance)/RNC
(Reportable Non
Compliance) History
V(NonRNCV)V(NonRNCV)D(DMR
NR)
D(DMR
NR)N(RptViol)N(RptViol)N(RptViol)N(RptViol)N(RptViol)D(DMR
NR)
Pollutant Disch
Point Freq
CWA
Cyanide,
free [amen.
to
chlorination]
001C NMth 42%
CWA
Oil and
grease
[soxhlet
extr.] tot.
001C Mthly 32%
CWA Solids, total
suspended 101N NMth 28%95%
CWA Aluminum,
total [as Al]D10 Mthly 30%
CWA Fluoride,
total [as F]D10 Mthly 14%
Permit Schedule Violations
CWA
Schedule Event achieved late
but reported: Biomonitoring
Report
103015
110615
CWA
Schedule Event achieved late
but reported: Biomonitoring
Report
103015
110615
CWA
Schedule Event achieved late
but reported: Biomonitoring
Report
1030
1611
1016
CWA
Schedule Event achieved late
but reported: Biomonitoring
Report
0430
1705
1017
CWA
Schedule Event achieved late
but reported: Implement
Corrective Actions
071516
080116
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Informal Enforcement Actions (5 Years)
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
CWA
Schedule Event achieved late
but reported: Storm Water
Pollution Prevention Plan
(SWPPP)
080115
080315
CWA
Schedule Event reported late:
Implement Corrective
Actions
071516
080116
CWA (Source ID: WAL002950)01/0103/31/14 04/01
06/30/14 07/0109/30/14 10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
FacilityLevel Status No Viol No
Viol No Viol No
Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol Und
SNC (Significant Non
compliance)/RNC
(Reportable Non
Compliance) History
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA (Source ID: WAD009488131)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
RCRA FacilityLevel Status
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13*
SDWA (Source ID: WA5335800)01/01
03/31/14
04/01
06/30/14
07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
SDWA FacilityLevel Status No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
In
Violation
In
Violation
In
Violation
SDWA Total Coliform Rule No No No No No No No No No No Yes Yes Yes
*Quarter 13 data is voluntarily entered and/or incomplete, and may not form a complete picture for that quarter. Read more
Statute System Source ID Type of Action Lead Agency Date
CAA AIR WA0000005307300001 Notice of Violation State 11/18/2016
CAA AIR WA0000005307300001 Notice of Violation State 09/07/2016
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SDWA (Safe Drinking Water Act) Violations and Enforcement Actions (5 Years)
ICIS (Integrated Compliance Information System) Case History (5 years)
Water Quality
Statute System Source ID Type of Action Lead Agency Date
CAA AIR WA0000005307300001 Notice of Violation State 10/26/2015
CAA AIR WA0000005307300001 Notice of Violation State 01/14/2015
CWA ICP WA0002950 Letter of Violation/ Warning Letter State 05/18/2016
CWA ICP WA0002950 Letter of Violation/ Warning Letter State 10/28/2015
Formal Enforcement Actions (5 Years)
Statute Source ID Type of Action Lead Agency Date Penalty Penalty Description
CAA WA0000005307300001 Administrative Order State 11/18/2016 $0
CWA WA0002950 State CWA Penalty AO State 03/25/2016 $1,000
CWA WA0002950 State Administrative Order of Consent State 08/19/2014 $0
CWA WA0002950 State Administrative Order of Consent State 10/31/2013 $0
Violations Enforcement Actions
Source ID Compliance
Period
Violation
ID Federal Rule ContaminantCategory Description Measured
Value
State MCL (Maximum
Contaminant Level)
Federal MCL
(Maximum Contaminant
Level)
Status DateCategoryDescriptionAgency
WA5335800 08/01/2016
08/31/2016 1661743
Total
Coliform
Rule
Coliform
(TCR)MR Monitoring
and Reporting Unaddressed
Primary Law/SectionCase No.Case Type Lead Agency Case Name Issued/Filed Date Settlement Date Federal Penalty State/Local Penalty SEP (Supplemental Environmental Project) Cost Comp Action Cost
No data records returned
Environmental Conditions
5/19/2017 Detailed Facility Report | ECHO | US EPA
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Toxics Release Inventory History of Reported Chemicals Released in Pounds per Year at Site
TRI Pollution Prevention Report Air Pollutant Report
Permit ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow) Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC (RAD
(Reach Address Database))
WBD (Watershed Boundary
Dataset) Subwatershed Name (RAD
(Reach Address Database))
State Waterbody Name (ICIS
(Integrated Compliance
Information System))
Impaired
Waters
Impaired
Class
Causes of
Impairment(s)
by Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
WA0002950 171100020600 Padilla BayStrait of Georgia No Yes
WAL002950 No Yes
Waterbody Designated Uses
Reach Code Waterbody Name Exceptional Use Recreational Use Aquatic Life Use Shellfish Use Beach Closure Within Last Year Beach Closure Within Last Two Years
17110002000107 Lummi Bay No No No No No No
No No No No No No
Air Quality
NonAttainment Area?Pollutant(s)
No Ozone
No Lead
Yes Particulate Matter
No Sulfur Dioxide
Pollutants
TRI Facility ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned Treatment
Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
98248NTLCL4050M 2015 574,467 15 0 574,482 4,506
98248NTLCL4050M 2014 568,630 17 0 568,647 3,068
98248NTLCL4050M 2013 527,569 47 0 527,616 1,760
98248NTLCL4050M 2012 621,264 16 0 621,280 1,480
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TRI Facility ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned Treatment
Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
98248NTLCL4050M 2011 503,488 14 0 59 503,561 1,373
98248NTLCL4050M 2010 492,226 61 0 109 492,396 1,328
98248NTLCL4050M 2009 422,479 0 0 60 422,539 540
98248NTLCL4050M 2008 520,961 0 0 104 521,065 1,212
98248NTLCL4050M 2007 419,614 0 0 0 126 419,740 1,177
Toxics Release Inventory Total Releases and Transfers in Pounds by Chemical and Year
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
ALUMINUM (FUME OR
DUST)
ALUMINUM OXIDE
(FIBROUS FORMS)
ANTHRACENE
BENZO(G,H,I)PERYLENE 79 30 49 342 1,624 337 270 515 417
CARBONYL SULFIDE 452,000 428,200 423,000 425,000 396,000 406,580 368,400 429,000 367,000
CHLORINE
CHROMIUM 584 611 279 344 244 1,446
COPPER 1,789 1,379 666 644 693 742 538 1,242 902
DINITROTOLUENE
(MIXED ISOMERS)3,000 4,100 3,100 1,600 800
DIOXIN AND DIOXIN
LIKE COMPOUNDS (in
grams)
0 0 0 0 0 0 0 0
ETHYLENE GLYCOL
HYDROGEN FLUORIDE 116,600 133,200 101,220 135,460 98,400 83,360 52,600 87,900 48,000
LEAD
LEAD COMPOUNDS 1,908 1,015 338 250 134 94 255 336 306
LITHIUM CARBONATE 0
MANGANESE 2,834 2,619 3,006 642 520 882 630 879 978
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Demographic Profile of Surrounding Area (3 Miles)
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
MERCURY
METHYL ETHYL KETONE
PHENANTHRENE
POLYCYCLIC AROMATIC
COMPOUNDS 778 588 486 57,043 5,619 685 387 2,405 1,869
SODIUM HYDROXIDE
(SOLUTION)
SULFURIC ACID (1994
AND AFTER ACID
AEROSOLS ONLY)
SDWA (Safe Drinking Water Act) Lead and Copper (Last 5 years)
Source ID Contaminant Sample Dates 90th Percentile Sample Concentrations Action Level Number of Open HealthBased Violations
No data records returned
Demographic Profile
This section provides demographic information regarding the community surrounding the facility. ECHO compliance data alone are not sufficient to determine whether violations at
a particular facility had negative impacts on public health or the environment. Statistics are based upon the 2010 US Census and American Community Survey data, and are accurate
to the extent that the facility latitude and longitude listed below are correct. The latitude and longitude are obtained from the EPA Locational Reference Table (LRT) when available.
Radius of Area:3 Land Area:71%Households in Area:905
Center Latitude:48.8455 Water Area:29%Housing Units in Area:1,046
Center Longitude:122.7055 Population Density:129/sq.mi.Households on Public Assistance:25
Total Persons:2,412 Percent Minority:16%Persons Below Poverty Level:441
Race Breakdown Persons (%)Age Breakdown Persons (%)
White:2,075 (86%)Child 5 years and younger:124 (5%)
AfricanAmerican:17 (1%)Minors 17 years and younger:562 (23%)
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Race Breakdown Persons (%)Age Breakdown Persons (%)
HispanicOrigin:135 (6%)Adults 18 years and older:1,850 (77%)
Asian/Pacific Islander:32 (1%)Seniors 65 years and older:353 (15%)
American Indian:146 (6%)
Other/Multiracial:142 (6%)
Education Level (Persons 25 & older)Persons (%)Income Breakdown Households (%)
Less than 9th Grade:24 (1.6%)Less than $15,000:93 (10.97%)
9th through 12th Grade:82 (5.47%)$15,000 $25,000:59 (6.96%)
High School Diploma:380 (25.33%)$25,000 $50,000:238 (28.07%)
Some College/2yr:570 (38%)$50,000 $75,000:140 (16.51%)
B.S./B.A. or More:444 (29.6%)Greater than $75,000:318 (37.5%)
Northwest Alloys Inc
1560A Marble Valley Basin Rd
Addy, WA 99101
Facility Registry Service ID: 110005328886
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NORTHWEST ALLOYS INC
1560A MARBLE VALLEY BASIN RD, ADDY, WA 99101
FRS (Facility Registry Service) ID: 110005328886
EPA Region: 10
Latitude: 48.35739
Longitude: 117.848561
Locational Data Source: FRS
Industry: Primary Metal Manufacturing
Indian Country: N
Detailed Facility Report
Facility Summary
Enforcement and Compliance Summary
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
CAA
RCRA 06/25/1998 No
Violation
0 0
Quarters
12-Quarter Violation History
1 2 3 4 5 6 7 8 9 10 11 12
SDWA
RCRA
5/19/2017 Detailed Facility Report | ECHO | US EPA
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Regulatory Information
Clean Air Act (CAA): No Information
Clean Water Act (CWA): No Information
Resource Conservation and Recovery Act (RCRA): Inactive ( ) Other
(WAD094626868)
Safe Drinking Water Act (SDWA): OWNER: Private SOURCE: Ground
water TYPE: NonTransient noncommunity system, Permit Inactive
20031201 (WA5331746)
Other Regulatory Reports
Air Emissions Inventory (EIS): 6164911
Greenhouse Gas Emissions (eGGRT): No Information
Toxic Releases (TRI): 99101NRTHWMARBL
Facility/System Characteristics
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
SDWA No
Violation
0 0
Facility/System Characteristics
System Statute Identifier Universe Status Areas Permit
Expiration Date
Indian
Country Latitude Longitude
FRS 110005328886 N 48.35739 117.848561
RMP CAA 100000146442 INACTIVE N
EIS CAA 6164911 PERMANENTLY
SHUTDOWN N 48.355919 117.851496
TRI EP313 99101NRTHWMARBL Toxics Release Inventory Last Reported for
2003 N 48.35739 117.848561
RCR RCRA WAD094626868 Other Inactive ( )N 48.474111 117.948694
SDWIS SDWA WA5331746 OWNER: Private SOURCE: Ground water TYPE: Non
Transient noncommunity system Inactive 20031201 Population
Served: 38 N
Facility Address
System Statute Identifier Facility Name Facility Address
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Facility SIC (Standard Industrial Classification) Codes
System Identifier SIC Code SIC Desc
TRI 99101NRTHWMARBL 2879 Agricultural Chemicals
TRI 99101NRTHWMARBL 3313 Electrometallurgical Products
TRI 99101NRTHWMARBL 3339 Primary Nonferrous Metals
Facility NAICS (North American Industry Classification System) Codes
System Identifier NAICS
Code NAICS Description
RMP 100000146442 331419 Primary Smelting And Refining Of Nonferrous Metal
(Except Copper And Aluminum)
EIS 6164911 331410
TRI 99101NRTHWMARBL 331419 Primary Smelting And Refining Of Nonferrous Metal
(Except Copper And Aluminum)
RCR WAD094626868 331419 Primary Smelting And Refining Of Nonferrous Metal
(Except Copper And Aluminum)
Reservation Name Tribe Name EPA Tribal
ID
Distance to
Tribe (miles)
Colville Reservation Confederated Tribes of the Colville
Reservation 100000055 14.68
Kalispel Reservation Kalispel Indian Community of the
Kalispel Reservation 100000119 24.98
Kalispel OffReservation
Trust Land
Kalispel Indian Community of the
Kalispel Reservation 100000119 24.4
Spokane Reservation Spokane Tribe of the Spokane
Reservation 100000287 24.54
Spokane OffReservation
Trust Land
Spokane Tribe of the Spokane
Reservation 100000287 9.73
FRS 110005328886 NORTHWEST ALLOYS INC 1560A MARBLE VALLEY BASIN RD, ADDY, WA 99101
RMP CAA 100000146442 NORTHWEST ALLOYS, INC.1560A MARBLE VALLEY ROAD, ADDY, WA 99101
EIS CAA 6164911 NORTHWEST ALLOYS 1560A MARBLE VALLEY RD, ADDY, WA 99101
TRI EP313 99101NRTHWMARBL NORTHWEST ALLOYS INC 1560A MARBLE VALLEY RD, ADDY, WA 991010115
RCR RCRA WAD094626868 NORTHWEST ALLOYS INC 1560A MARBLE VALLEY BASIN RD, ADDY, WA 99101
SDWIS SDWA WA5331746 NORTHWEST ALLOYS INC WA
Facility Tribe Information
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Three Year Compliance Status by Quarter
Informal Enforcement Actions (5 Years)
Enforcement and Compliance
Compliance Monitoring History (5 years)
Statute Source ID System Inspection Type Lead Agency Date Finding
RCRA WAD094626868 RCR FINANCIAL RECORD REVIEW State 04/22/2016 Undetermined, Agency May Still be Determining
RCRA WAD094626868 RCR FINANCIAL RECORD REVIEW State 03/01/2016 No Violations Or Compliance Issues Were Found
RCRA WAD094626868 RCR FINANCIAL RECORD REVIEW State 08/27/2014 No Violations Or Compliance Issues Were Found
RCRA WAD094626868 RCR FINANCIAL RECORD REVIEW State 08/05/2013 No Violations Or Compliance Issues Were Found
Entries in italics are not considered inspections in official counts.
Compliance Summary Data
Statute Source ID Current SNC (Significant Noncompliance)/HPV (High Priority Violation)Description Current As Of Qtrs in NC (NonCompliance) (of 12)
RCRA WAD094626868 No 05/13/2017 0
SDWA WA5331746 No 01/01/2017 0
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA (Source ID: WAD094626868)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
RCRA FacilityLevel Status
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13*
SDWA (Source ID: WA5331746)01/01
03/31/14
04/01
06/30/14
07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
SDWA FacilityLevel Status No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
*Quarter 13 data is voluntarily entered and/or incomplete, and may not form a complete picture for that quarter. Read more
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ICIS (Integrated Compliance Information System) Case History (5 years)
Water Quality
Statute System Source ID Type of Action Lead Agency Date
No data records returned
Formal Enforcement Actions (5 Years)
Statute Source ID Type of Action Lead Agency Date Penalty Penalty Description
No data records returned
Primary Law/SectionCase No.Case Type Lead Agency Case Name Issued/Filed Date Settlement Date Federal Penalty State/Local Penalty SEP (Supplemental Environmental Project) Cost Comp Action Cost
No data records returned
Environmental Conditions
Permit
ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow) Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC (RAD
(Reach Address Database))
WBD (Watershed Boundary Dataset)
Subwatershed Name (RAD (Reach
Address Database))
State Waterbody Name (ICIS
(Integrated Compliance
Information System))
Impaired
Waters
Impaired
Class
Causes of
Impairment(s)
by Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
No data records returned
Waterbody Designated Uses
Reach Code Waterbody Name Exceptional Use Recreational Use Aquatic Life Use Shellfish Use Beach Closure Within Last Year Beach Closure Within Last Two Years
No data records returned
Air Quality
NonAttainment Area?Pollutant(s)
No Ozone
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Toxics Release Inventory History of Reported Chemicals Released in Pounds per Year at Site
NonAttainment Area?Pollutant(s)
No Lead
Yes Particulate Matter
No Sulfur Dioxide
Pollutants
TRI Facility
ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned Treatment
Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
No data records returned
Toxics Release Inventory Total Releases and Transfers in Pounds by Chemical and Year
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
AMMONIA
AMMONIUM NITRATE (SOLUTION)
CHLORINE
COPPER
HYDROCHLORIC ACID (1995 AND AFTER ACID
AEROSOLS ONLY)
LEAD
MANGANESE COMPOUNDS
METHANOL
SULFURIC ACID (1994 AND AFTER ACID
AEROSOLS ONLY)
SDWA (Safe Drinking Water Act) Lead and Copper (Last 5 years)
Source ID Contaminant Sample Dates 90th Percentile Sample Concentrations Action Level Number of Open HealthBased Violations
No data records returned
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Demographic Profile of Surrounding Area (3 Miles)
Source ID Contaminant Sample Dates 90th Percentile Sample Concentrations Action Level Number of Open HealthBased Violations
Demographic Profile
This section provides demographic information regarding the community surrounding the facility. ECHO compliance data alone are not sufficient to determine whether violations at
a particular facility had negative impacts on public health or the environment. Statistics are based upon the 2010 US Census and American Community Survey data, and are accurate
to the extent that the facility latitude and longitude listed below are correct. The latitude and longitude are obtained from the EPA Locational Reference Table (LRT) when available.
Radius of Area:3 Land Area:100%Households in Area:224
Center Latitude:48.35739 Water Area:0%Housing Units in Area:255
Center Longitude:117.848561 Population Density:22/sq.mi.Households on Public Assistance:3
Total Persons:591 Percent Minority:11%Persons Below Poverty Level:169
Race Breakdown Persons (%)Age Breakdown Persons (%)
White:532 (90%)Child 5 years and younger:44 (7%)
AfricanAmerican:1 (0%)Minors 17 years and younger:149 (25%)
HispanicOrigin:14 (2%)Adults 18 years and older:442 (75%)
Asian/Pacific Islander:0 (0%)Seniors 65 years and older:88 (15%)
American Indian:20 (3%)
Other/Multiracial:38 (6%)
Education Level (Persons 25 & older)Persons (%)Income Breakdown Households (%)
Less than 9th Grade:4 (1.15%)Less than $15,000:20 (9.17%)
9th through 12th Grade:18 (5.19%)$15,000 $25,000:35 (16.06%)
High School Diploma:92 (26.51%)$25,000 $50,000:88 (40.37%)
Some College/2yr:157 (45.24%)$50,000 $75,000:37 (16.97%)
B.S./B.A. or More:76 (21.9%)Greater than $75,000:38 (17.43%)
Reynolds Metals Co Gum Springs Plant
500 East Reynolds Road
Arkadelphia, AR 71923
Facility Registry Service ID: 110000608771
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REYNOLDS METALS CO GUM SPRINGS PLANT
500 E REYNOLDS RD, ARKADELPHIA, AR 71923
FRS (Facility Registry Service) ID: 110000608771
EPA Region: 06
Latitude: 34.0403
Longitude: 93.0448
Locational Data Source: EPLAN
Industry: Primary Metal Manufacturing; Waste Management and Remediation
Services
Indian Country: N
Detailed Facility Report
Facility Summary
Enforcement and Compliance Summary
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
CAA 4 03/02/2016 0 0
CWA 1 10/23/2014 No
Violation
0 0
Quarters
12-Quarter Violation History
Under Development
1 2 3 4 5 6 7 8 9 10 11 12
RCRA
CWA
CAA
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Related Reports
Air Pollutant Report
CWA Pollutant Loading Report
CWA Effluent Charts
Facility Documents
Regulatory Information
Clean Air Act (CAA): Operating Major (AR0000000501900004)
Clean Water Act (CWA): Minor, Permit Effective (ARR000886)
Resource Conservation and Recovery Act (RCRA): Active (HP ) LQG
Operating TSDF TSDF Transporter (ARD006354161)
Safe Drinking Water Act (SDWA): No Information
Other Regulatory Reports
Air Emissions Inventory (EIS): 864911
Greenhouse Gas Emissions (eGGRT): 1011789
Toxic Releases (TRI): 71923RYNLD500ER
Facility/System Characteristics
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
RCRA 11 03/28/2017 No
Violation
7 5 8 2 $34,375
Facility/System Characteristics
System Statute Identifier Universe Status Areas Permit Expiration
Date
Indian
Country Latitude Longitude
FRS 110000608771 N 34.0403 93.0448
GHG CAA 1011789 Direct Emitter Subject General Stationary Fuel Combustion N
AIR CAA AR0000000501900004 Major Emissions Operating CAAMACT, CAAMRR, CAANSPS,
CAASIP, CAATVP N
EIS CAA 864911 OPERATING N 34.06473 93.08255
ICP CWA ARR000886 Minor: General Permit Covered
Facility Effective Storm Water Industrial 06/30/2019 N 34.066389 93.079972
TRI EP313 71923RYNLD500ER Toxics Release Inventory Last Reported for
2015 N 34.0403 93.0448
RCR RCRA ARD006354161 LQG Operating TSDF TSDF
Transporter Active (HP )N 34.077133 93.030914
Facility Address
System Statute Identifier Facility Name Facility Address
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Facility SIC (Standard Industrial Classification) Codes
System Identifier SIC Code SIC Desc
TRI 71923RYNLD500ER 4953 Refuse Systems
AIR AR0000000501900004 4953 Refuse Systems
ICP ARR000886 4953 Refuse Systems
Facility NAICS (North American Industry Classification System) Codes
System Identifier NAICS Code NAICS Description
GHG 1011789 562211 Hazardous Waste Treatment And Disposal
TRI 71923RYNLD500ER 562211 Hazardous Waste Treatment And Disposal
EIS 864911 562211 Hazardous Waste Treatment And Disposal
AIR AR0000000501900004 331312 Primary Aluminum Production
RCR ARD006354161 562211 Hazardous Waste Treatment And Disposal
ICP ARR000886 562211 Hazardous Waste Treatment And Disposal
Reservation Name Tribe Name EPA Tribal ID Distance to Tribe (miles)
No data records returned
FRS 110000608771 REYNOLDS METALS CO GUM SPRINGS PLANT 500 E REYNOLDS RD, ARKADELPHIA, AR 71923
GHG CAA 1011789 Reynolds Metals Company Gum Springs Plant 500 East Reynolds Road, Arkadelphia, AR 71923
AIR CAA AR0000000501900004 REYNOLDS METAL GUM SPRINGS 500 EAST REYNOLDS ROAD, ARKADELPHIA, AR 71923
EIS CAA 864911 REYNOLDS METALS COMPANY 500 EAST REYNOLDS ROAD, ARKADELPHIA, AR 71923
ICP CWA ARR000886 REYNOLDS METALS COMPANY, LLCGUM SPRINGS PLANT 500 EAST REYNOLDS RD, ARKADELPHIA, AR 71923
TRI EP313 71923RYNLD500ER REYNOLDS METALS CO GUM SPRINGS PLANT 500 E REYNOLDS RD, ARKADELPHIA, AR 71923
RCR RCRA ARD006354161 REYNOLDS METALS COMPANY GUM, LLC SPRINGS PLANT 500 EAST REYNOLDS ROAD, ARKADELPHIA, AR 71923
Facility Tribe Information
Enforcement and Compliance
Compliance Monitoring History (5 years)
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA AR0000000501900004 AIR TV ACC Receipt/Review State 06/30/2016 Finding: There are Facility Report Deviations
CAA AR0000000501900004 AIR FCE OnSite State 03/02/2016
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Statute Source ID System Inspection Type Lead Agency Date Finding
CAA AR0000000501900004 AIR Stack Test State 11/30/2015 Findings: Pass Pollutants: NITROGEN OXIDES, Sulfur dioxide
CAA AR0000000501900004 AIR TV ACC Receipt/Review State 06/30/2015
CAA AR0000000501900004 AIR Stack Test State 12/01/2014 Findings: Pass Pollutants: NITROGEN OXIDES, Sulfur dioxide
CAA AR0000000501900004 AIR TV ACC Receipt/Review State 08/03/2014
CAA AR0000000501900004 AIR FCE OnSite State 07/10/2014
CAA AR0000000501900004 AIR TV ACC Receipt/Review State 06/25/2014
CAA AR0000000501900004 AIR FCE OnSite State 09/24/2013
CAA AR0000000501900004 AIR TV ACC Receipt/Review State 09/23/2013
CAA AR0000000501900004 AIR TV ACC Receipt/Review State 07/01/2013
CAA AR0000000501900004 AIR FCE OnSite State 09/27/2012
CAA AR0000000501900004 AIR TV ACC Receipt/Review State 09/26/2012
CAA AR0000000501900004 AIR TV ACC Receipt/Review State 09/26/2012 Finding: There are Facility Report Deviations
CAA AR0000000501900004 AIR TV ACC Receipt/Review State 06/29/2012
CWA ARR000886 ICP Evaluation State 10/23/2014
RCRA ARD006354161 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 03/28/2017 Undetermined, Agency May Still be Determining
RCRA ARD006354161 RCR FINANCIAL RECORD REVIEW State 03/31/2016 No Violations Or Compliance Issues Were Found
RCRA ARD006354161 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 03/29/2016 No Violations Or Compliance Issues Were Found
RCRA ARD006354161 RCR NONFINANCIAL RECORD REVIEW State 12/04/2015 No Violations Or Compliance Issues Were Found
RCRA ARD006354161 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 09/14/2015 Violations Or Compliance Issues Were Found
RCRA ARD006354161 RCR GROUNDWATER MONITORING EVALUATION State 08/26/2015 No Violations Or Compliance Issues Were Found
RCRA ARD006354161 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 02/10/2015 Violations Or Compliance Issues Were Found
RCRA ARD006354161 RCR NONFINANCIAL RECORD REVIEW State 12/08/2014 No Violations Or Compliance Issues Were Found
RCRA ARD006354161 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 09/11/2014 Violations Or Compliance Issues Were Found
RCRA ARD006354161 RCR FINANCIAL RECORD REVIEW State 03/24/2014 No Violations Or Compliance Issues Were Found
RCRA ARD006354161 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 02/19/2014 No Violations Or Compliance Issues Were Found
RCRA ARD006354161 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 07/18/2013 No Violations Or Compliance Issues Were Found
RCRA ARD006354161 RCR FINANCIAL RECORD REVIEW State 03/20/2013 No Violations Or Compliance Issues Were Found
RCRA ARD006354161 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 01/17/2013 No Violations Or Compliance Issues Were Found
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Three Year Compliance Status by Quarter
Statute Source ID System Inspection Type Lead Agency Date Finding
RCRA ARD006354161 RCR OPERATION AND MAINTENANCE INSPECTION State 09/25/2012 No Violations Or Compliance Issues Were Found
RCRA ARD006354161 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 08/16/2012 No Violations Or Compliance Issues Were Found
Entries in italics are not considered inspections in official counts.
Compliance Summary Data
Statute Source ID Current SNC (Significant Noncompliance)/HPV (High Priority Violation)Description Current As Of Qtrs in NC (NonCompliance) (of 12)
CAA AR0000000501900004 No 05/13/2017 0
CWA ARR000886 No 12/31/2016 0
RCRA ARD006354161 No 05/13/2017 7
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
CAA (Source ID: AR0000000501900004)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
FacilityLevel Status No Viol No Viol
HPV History
Violation
Type Agency Programs Pollutants
Historic Violations
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
CWA (Source ID: ARR000886)01/01
03/31/14
04/01
06/30/14
07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
FacilityLevel Status No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol No Viol Und
SNC (Significant Noncompliance)/RNC (Reportable
NonCompliance) History
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA (Source ID: ARD006354161)07/01
09/30/14 10/0112/31/14 01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
RCRA FacilityLevel Status In Viol SNC SNC SNC SNC SNC In Viol
Violation Agency
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Informal Enforcement Actions (5 Years)
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA Generators Pretransport AR OCT022014
OCT232014
RCRA Permit Condition or Requirement AR SEP30
2015
OCT29
2015
RCRA Permit Condition or Requirement AR SEP30
2015 >>>>>>>>>>>>APR21
2016
RCRA Permit Condition or Requirement AR SEP30
2015 >>>>>>>>>>>>APR21
2016
RCRA Permit Condition or Requirement AR SEP30
2015 >>>>>>>>>>>>APR21
2016
RCRA Permit Condition or Requirement AR MAR11
2015 >>>>>>SEP21
2015
RCRA Permit Condition or Requirement AR MAR11
2015
APR09
2015
RCRA TSD Air Emission Standards
Equipment Leaks AR MAR11
2015
APR09
2015
RCRA TSD Tank System Standards AR MAR11
2015 >>>>>>SEP21
2015
RCRA TSD ISContainer Use and
Management AR SEP30
2015
OCT29
2015
RCRA TSD ISContainer Use and
Management AR MAR11
2015
APR09
2015
RCRA Used Oil Generators AR MAR11
2015
APR09
2015
Statute System Source ID Type of Action Lead Agency Date
RCRA RCR ARD006354161 PROPOSED CAO State 12/16/2015
RCRA RCR ARD006354161 LETTER OF INTENT TO INITIATE ENFORCEMENT ACTION State 09/30/2015
RCRA RCR ARD006354161 WRITTEN INFORMAL State 09/30/2015
RCRA RCR ARD006354161 PROPOSED CAO State 05/07/2015
RCRA RCR ARD006354161 LETTER OF INTENT TO INITIATE ENFORCEMENT ACTION State 03/11/2015
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ICIS (Integrated Compliance Information System) Case History (5 years)
Water Quality
Statute System Source ID Type of Action Lead Agency Date
RCRA RCR ARD006354161 WRITTEN INFORMAL State 03/11/2015
RCRA RCR ARD006354161 WRITTEN INFORMAL State 10/02/2014
RCRA RCR ARD006354161 WRITTEN INFORMAL State 05/17/2012
Formal Enforcement Actions (5 Years)
Statute Source ID Type of Action Lead Agency Date Penalty Penalty Description
RCRA ARD006354161 FINAL 3008(A) COMPLIANCE ORDER State 01/26/2016 $8,375 Final Monetary Penalty
RCRA ARD006354161 FINAL 3008(A) COMPLIANCE ORDER State 06/23/2015 $26,000 Final Monetary Penalty
Primary Law/SectionCase No.Case Type Lead Agency Case Name Issued/Filed Date Settlement Date Federal Penalty State/Local Penalty SEP (Supplemental Environmental Project) Cost Comp Action Cost
No data records returned
Environmental Conditions
Permit ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow) Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC (RAD
(Reach Address Database))
WBD (Watershed Boundary
Dataset) Subwatershed Name (RAD
(Reach Address Database))
State Waterbody Name (ICIS
(Integrated Compliance
Information System))
Impaired
Waters
Impaired
Class
Causes of
Impairment(s)
by Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
ARR000886 080401020502 Deceiper CreekOuachita River Decipher Cr No Yes
Waterbody Designated Uses
Reach Code Waterbody Name Exceptional Use Recreational Use Aquatic Life Use Shellfish Use Beach Closure Within Last Year Beach Closure Within Last Two Years
08040102001039 No No No No No No
Air Quality
NonAttainment Area?Pollutant(s)
No Ozone
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Toxics Release Inventory History of Reported Chemicals Released in Pounds per Year at Site
TRI Pollution Prevention Report Air Pollutant Report
NonAttainment Area?Pollutant(s)
No Lead
Yes Particulate Matter
No Sulfur Dioxide
Pollutants
TRI Facility ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned
Treatment Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
71923RYNLD500ER 2015 18 0 20,127 20,145 18,380
71923RYNLD500ER 2014 13 0 14,599 14,612 16,730
71923RYNLD500ER 2013 17 0 16,606 16,623 46,214
71923RYNLD500ER 2012 15 0 16,839 16,854 56,394
71923RYNLD500ER 2011 12 0 16,359 16,371 67,449
71923RYNLD500ER 2010 9 0 16,179 16,188 81,821
71923RYNLD500ER 2009 11 0 20,083 20,094 52,971
71923RYNLD500ER 2008 21 0 45,147 45,168 27,000
71923RYNLD500ER 2007 21 0 0 40,899 40,920 102
Toxics Release Inventory Total Releases and Transfers in Pounds by Chemical and Year
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
BARIUM COMPOUNDS 14,100 10,071 11,049 9,650 8,759 11,509 14,384 31,149 26,361
BENZO(G,H,I)PERYLENE 3 2 7 3
CHROMIUM
COMPOUNDS(EXCEPT
CHROMITE ORE MINED IN
THE TRANSVAAL REGION)
CYANIDE COMPOUNDS 23,469 20,616 51,069 63,160 74,618 85,681 57,856 39,970 13,518
DIOXIN AND DIOXINLIKE
COMPOUNDS (in grams)2 2 2 1 1 1 1 2 2
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Demographic Profile of Surrounding Area (3 Miles)
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
LEAD COMPOUNDS 803 474 390 386 357 596 685 995 1,141
NICKEL COMPOUNDS
POLYCYCLIC AROMATIC
COMPOUNDS 149 178 320 48 85 222 139 52 0
Demographic Profile
This section provides demographic information regarding the community surrounding the facility. ECHO compliance data alone are not sufficient to determine whether violations at
a particular facility had negative impacts on public health or the environment. Statistics are based upon the 2010 US Census and American Community Survey data, and are accurate
to the extent that the facility latitude and longitude listed below are correct. The latitude and longitude are obtained from the EPA Locational Reference Table (LRT) when available.
Radius of Area:3 Land Area:99%Households in Area:80
Center Latitude:34.0403 Water Area:1%Housing Units in Area:91
Center Longitude:93.0448 Population Density:7/sq.mi.Households on Public Assistance:0
Total Persons:197 Percent Minority:15%Persons Below Poverty Level:118
Race Breakdown Persons (%)Age Breakdown Persons (%)
White:169 (86%)Child 5 years and younger:10 (5%)
AfricanAmerican:21 (11%)Minors 17 years and younger:41 (21%)
HispanicOrigin:10 (5%)Adults 18 years and older:156 (79%)
Asian/Pacific Islander:0 (0%)Seniors 65 years and older:24 (12%)
American Indian:0 (0%)
Other/Multiracial:7 (4%)
Education Level (Persons 25 & older)Persons (%)Income Breakdown Households (%)
Less than 9th Grade:3 (2.52%)Less than $15,000:23 (27.06%)
9th through 12th Grade:7 (5.88%)$15,000 $25,000:12 (14.12%)
High School Diploma:52 (43.7%)$25,000 $50,000:32 (37.65%)
Some College/2yr:32 (26.89%)$50,000 $75,000:4 (4.71%)
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Education Level (Persons 25 & older)Persons (%)Income Breakdown Households (%)
B.S./B.A. or More:25 (21.01%)Greater than $75,000:14 (16.47%)
Reynolds Metals Bauxite
1401 Bauxite Cutoff Road
Bauxite, AR 72011
Facility Registry Service ID: 110007408787
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Regulatory Information Other Regulatory Reports
REYNOLDS METALS BAUXITE
SARDIS ROAD, BAUXITE, AR 72011
FRS (Facility Registry Service) ID: 110007408787
EPA Region: 06
Latitude:
Longitude:
Locational Data Source:
Industry: Mining (except Oil and Gas)
Indian Country: N
Detailed Facility Report
Facility Summary
Enforcement and Compliance Summary
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
RCRA No
Violation
0 0
Quarters
12-Quarter Violation History
1 2 3 4 5 6 7 8 9 10 11 12
RCRA
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Clean Air Act (CAA): No Information
Clean Water Act (CWA): No Information
Resource Conservation and Recovery Act (RCRA): Active (H ) CESQG
(ARD000804286)
Safe Drinking Water Act (SDWA): No Information
Air Emissions Inventory (EIS): No Information
Greenhouse Gas Emissions (eGGRT): No Information
Toxic Releases (TRI): No Information
Facility/System Characteristics
Facility SIC (Standard Industrial Classification) Codes
System Identifier SIC Code SIC Desc
No data records returned
Facility NAICS (North American Industry Classification System) Codes
System Identifier NAICS Code NAICS Description
RCR ARD000804286 212299 All Other Metal Ore Mining
Reservation Name Tribe Name EPA Tribal ID Distance to Tribe (miles)
No data records returned
Facility/System Characteristics
System Statute Identifier Universe Status Areas Permit Expiration Date Indian Country Latitude Longitude
FRS 110007408787 N
RCR RCRA ARD000804286 CESQG Active (H )N
Facility Address
System Statute Identifier Facility Name Facility Address
FRS 110007408787 REYNOLDS METALS BAUXITE SARDIS ROAD, BAUXITE, AR 72011
RCR RCRA ARD000804286 REYNOLDS METALS COMPANY, LLC BAUXITE OPERATION 1401 BAUXITE CUTOFF ROAD, BAUXITE, AR 72011
Facility Tribe Information
Enforcement and Compliance
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Three Year Compliance Status by Quarter
Informal Enforcement Actions (5 Years)
ICIS (Integrated Compliance Information System) Case History (5 years)
Compliance Monitoring History (5 years)
Statute Source ID System Inspection Type Lead Agency Date Finding
No data records returned
Entries in italics are not considered inspections in official counts.
Compliance Summary Data
Statute Source ID Current SNC (Significant Noncompliance)/HPV (High Priority Violation)Description Current As Of Qtrs in NC (NonCompliance) (of 12)
RCRA ARD000804286 No 05/13/2017 0
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA (Source ID: ARD000804286)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
RCRA FacilityLevel Status
Statute System Source ID Type of Action Lead Agency Date
No data records returned
Formal Enforcement Actions (5 Years)
Statute Source ID Type of Action Lead Agency Date Penalty Penalty Description
No data records returned
Primary Law/SectionCase No.Case Type Lead Agency Case Name Issued/Filed Date Settlement Date Federal Penalty State/Local Penalty SEP (Supplemental Environmental Project) Cost Comp Action Cost
No data records returned
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Water Quality
Toxics Release Inventory History of Reported Chemicals Released in Pounds per Year at Site
Environmental Conditions
Permit
ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow) Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC (RAD
(Reach Address Database))
WBD (Watershed Boundary Dataset)
Subwatershed Name (RAD (Reach
Address Database))
State Waterbody Name (ICIS
(Integrated Compliance
Information System))
Impaired
Waters
Impaired
Class
Causes of
Impairment(s)
by Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
No data records returned
Waterbody Designated Uses
Reach Code Waterbody Name Exceptional Use Recreational Use Aquatic Life Use Shellfish Use Beach Closure Within Last Year Beach Closure Within Last Two Years
No data records returned
Air Quality
NonAttainment Area?Pollutant(s)
No Ozone
No Lead
Yes Particulate Matter
No Sulfur Dioxide
Pollutants
TRI Facility
ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned Treatment
Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
No data records returned
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Demographic Profile of Surrounding Area (3 Miles)
Toxics Release Inventory Total Releases and Transfers in Pounds by Chemical and Year
Chemical Name
No data records returned
Demographic Profile
This section provides demographic information regarding the community surrounding the facility. ECHO compliance data alone are not sufficient to determine whether violations at
a particular facility had negative impacts on public health or the environment. Statistics are based upon the 2010 US Census and American Community Survey data, and are accurate
to the extent that the facility latitude and longitude listed below are correct. The latitude and longitude are obtained from the EPA Locational Reference Table (LRT) when available.
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Bauxite Operation (Reynolds Metals Company LLC –)
1401 Bauxite Cutoff Road
Bauxite, AR 72011
Facility Registry Service ID: 110033149340
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BAUXITE OPERATION (REYNOLDS METALS COMPANY, LLC)
1401 BAUXITE CUTOFF ROAD, BAUXITE, AR 72011
FRS (Facility Registry Service) ID: 110033149340
EPA Region: 06
Latitude: 34.54847
Longitude: 92.50448
Locational Data Source: FRS
Industry: Mining (except Oil and Gas); Primary Metal Manufacturing
Indian Country: N
Detailed Facility Report
Facility Summary
Enforcement and Compliance Summary
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
CWA 2 07/17/2015 No
Violation
2 0 2
RCRA 06/11/1997 No
Violation
0 0
Quarters
12-Quarter Violation History
1 2 3 4 5 6 7 8 9 10 11 12
RCRA
CWA
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Related Reports
CWA Pollutant Loading Report
CWA Effluent Charts
Facility Documents
Regulatory Information
Clean Air Act (CAA): No Information
Clean Water Act (CWA): Major, Permit Active (AR0000582), Major,
Permit Admin Continued (AR0000582), Minor, Permit Effective
(ARR00C423)
Resource Conservation and Recovery Act (RCRA): Active ( A ) Other
(ARD006354187)
Safe Drinking Water Act (SDWA): No Information
Other Regulatory Reports
Air Emissions Inventory (EIS): No Information
Greenhouse Gas Emissions (eGGRT): No Information
Toxic Releases (TRI): No Information
Facility/System Characteristics
Facility SIC (Standard Industrial Classification) Codes
System Identifier SIC Code SIC Desc
Facility NAICS (North American Industry Classification System) Codes
System Identifier NAICS Code NAICS Description
Facility/System Characteristics
System Statute Identifier Universe Status Areas Permit Expiration Date Indian Country Latitude Longitude
FRS 110033149340 N 34.54847 92.50448
ICP CWA AR0000582 Major: NPDES Individual Permit Active 09/30/2011 N 34.548889 92.505278
ICP CWA AR0000582 Major: NPDES Individual Permit Admin Continued 09/30/2011 N 34.548889 92.505278
ICP CWA ARR00C423 Minor: General Permit Covered Facility Effective Storm Water Industrial 06/30/2019 N 34.547639 92.505056
RCR RCRA ARD006354187 Other Active ( A )N 34.579893 92.465393
Facility Address
System Statute Identifier Facility Name Facility Address
FRS 110033149340 BAUXITE OPERATION (REYNOLDS METALS COMPANY, LLC)1401 BAUXITE CUTOFF ROAD, BAUXITE, AR 72011
ICP CWA AR0000582 REYNOLDS METALS COMPANY, LLC BAUXITE OPERATION 1401 BAUXITE CUTOFF ROAD, BAUXITE, AR 72011
ICP CWA AR0000582 REYNOLDS METALS COMPANY, LLC BAUXITE OPERATION 1401 BAUXITE CUTOFF ROAD, BAUXITE, AR 72011
ICP CWA ARR00C423 BAUXITE OPERATION (REYNOLDS METALS COMPANY, LLC)1401 BAUXITE CUTOFF ROAD, BAUXITE, AR 72011
RCR RCRA ARD006354187 REYNOLDS METALS COMPANY, LLC HURRICANE CREEK 1401 BAUXITE CUTOFF ROAD, BAUXITE, AR 72011
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ICP AR0000582 1099 Metal Ores
ICP ARR00C423 1099 Metal Ores
ICP AR0000582 212299 All Other Metal Ore Mining
RCR ARD006354187 33131
ICP ARR00C423 212299 All Other Metal Ore Mining
Reservation Name Tribe Name EPA Tribal ID Distance to Tribe (miles)
No data records returned
Three Year Compliance Status by Quarter
Facility Tribe Information
Enforcement and Compliance
Compliance Monitoring History (5 years)
Statute Source ID System Inspection Type Lead Agency Date Finding
CWA AR0000582 ICP Evaluation State 07/17/2015
CWA ARR00C423 ICP Evaluation State 07/17/2015
Entries in italics are not considered inspections in official counts.
Compliance Summary Data
Statute Source ID Current SNC (Significant Noncompliance)/HPV (High Priority Violation)Description Current As Of Qtrs in NC (NonCompliance) (of 12)
CWA AR0000582 No 12/31/2016 1
CWA AR0000582 No 12/31/2016 1
CWA ARR00C423 No 12/31/2016 1
RCRA ARD006354187 No 05/13/2017 0
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
CWA (Source ID: AR0000582)01/01
03/31/14 04/0106/30/14 07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
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Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
FacilityLevel Status No Viol In Viol No
Viol
No
Viol
No
Viol
No
Viol
No
Viol
No
Viol
No
Viol
No
Viol
No
Viol
No
Viol Und
SNC (Significant Noncompliance)/RNC (Reportable
NonCompliance) History V(NonRNCV)
Pollutant Disch
Point Freq
CWA Aluminum, total [as Al]028 NMth 45%
CWA Iron, total [as Fe]028 NMth 30%
Single Event Violations NPDES
Violation ID
CWA Permit Violations Discharge
Without a Valid Permit 3404198667 010914
CWA (Source ID: AR0000582)01/01
03/31/14 04/0106/30/14 07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
FacilityLevel Status No Viol In Viol No
Viol
No
Viol
No
Viol
No
Viol
No
Viol
No
Viol
No
Viol
No
Viol
No
Viol
No
Viol Und
SNC (Significant Noncompliance)/RNC (Reportable
NonCompliance) History V(NonRNCV)
Pollutant Disch
Point Freq
CWA Aluminum, total [as Al]028 NMth 45%
CWA Iron, total [as Fe]028 NMth 30%
Single Event Violations NPDES
Violation ID
CWA Permit Violations Discharge
Without a Valid Permit 3404198667 010914
CWA (Source ID: ARR00C423)01/01
03/31/14 04/0106/30/14 07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
FacilityLevel Status In Viol No Viol No
Viol
No
Viol
No
Viol
No
Viol
No
Viol
No
Viol
No
Viol
No
Viol
No
Viol
No
Viol Und
SNC (Significant Noncompliance)/RNC (Reportable
NonCompliance) History N(RptViol)
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
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Informal Enforcement Actions (5 Years)
ICIS (Integrated Compliance Information System) Case History (5 years)
Water Quality
RCRA (Source ID: ARD006354187)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
RCRA FacilityLevel Status
Statute System Source ID Type of Action Lead Agency Date
CWA ICP AR0000582 Letter of Violation/ Warning Letter State 07/14/2014
CWA ICP AR0000582 Letter of Violation/ Warning Letter State 03/14/2014
Formal Enforcement Actions (5 Years)
Statute Source ID Type of Action Lead Agency Date Penalty Penalty Description
No data records returned
Primary Law/SectionCase No.Case Type Lead Agency Case Name Issued/Filed Date Settlement Date Federal Penalty State/Local Penalty SEP (Supplemental Environmental Project) Cost Comp Action Cost
No data records returned
Environmental Conditions
Permit ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow) Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC (RAD
(Reach Address Database))
WBD (Watershed Boundary
Dataset) Subwatershed Name (RAD
(Reach Address Database))
State Waterbody Name (ICIS
(Integrated Compliance
Information System))
Impaired
Waters
Impaired
Class
Causes of
Impairment(s)
by Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
ARR00C423 080402030401 Little Hurricane CreekHurricane
Creek
HOLLY CK,LOST
CK,BLUE BR,HURR
CK,SA
No Yes
AR0000582 080402030704 Trace CreekSaline River HURRICANE CK
(008,028);HOLLY CK(009 No Yes
Waterbody Designated Uses
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Toxics Release Inventory History of Reported Chemicals Released in Pounds per Year at Site
Demographic Profile of Surrounding Area (3 Miles)
Reach Code Waterbody Name Exceptional Use Recreational Use Aquatic Life Use Shellfish Use Beach Closure Within Last Year Beach Closure Within Last Two Years
08040203002274 No No No No No No
08040203003296 Hurricane Creek No No No No No No
Air Quality
NonAttainment Area?Pollutant(s)
No Ozone
No Lead
Yes Particulate Matter
No Sulfur Dioxide
Pollutants
TRI Facility
ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned Treatment
Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
No data records returned
Toxics Release Inventory Total Releases and Transfers in Pounds by Chemical and Year
Chemical Name
No data records returned
Demographic Profile
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This section provides demographic information regarding the community surrounding the facility. ECHO compliance data alone are not sufficient to determine whether violations at
a particular facility had negative impacts on public health or the environment. Statistics are based upon the 2010 US Census and American Community Survey data, and are accurate
to the extent that the facility latitude and longitude listed below are correct. The latitude and longitude are obtained from the EPA Locational Reference Table (LRT) when available.
Radius of Area:3 Land Area:97%Households in Area:2,180
Center Latitude:34.54883 Water Area:3%Housing Units in Area:2,337
Center Longitude:92.50548 Population Density:219/sq.mi.Households on Public Assistance:65
Total Persons:5,960 Percent Minority:9%Persons Below Poverty Level:1,434
Race Breakdown Persons (%)Age Breakdown Persons (%)
White:5,507 (92%)Child 5 years and younger:488 (8%)
AfricanAmerican:235 (4%)Minors 17 years and younger:1,692 (28%)
HispanicOrigin:202 (3%)Adults 18 years and older:4,268 (72%)
Asian/Pacific Islander:30 (1%)Seniors 65 years and older:623 (10%)
American Indian:33 (1%)
Other/Multiracial:156 (3%)
Education Level (Persons 25 & older)Persons (%)Income Breakdown Households (%)
Less than 9th Grade:188 (5.12%)Less than $15,000:181 (8.88%)
9th through 12th Grade:372 (10.13%)$15,000 $25,000:189 (9.27%)
High School Diploma:1,249 (34%)$25,000 $50,000:585 (28.7%)
Some College/2yr:1,057 (28.77%)$50,000 $75,000:508 (24.93%)
B.S./B.A. or More:808 (21.99%)Greater than $75,000:575 (28.21%)
Reynolds Metals
7734 Hall St
St Louis, MO 63147-2504
Facility Registry Service ID: 110001452259
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REYNOLDS METALS
7734 HALL STREET, SAINT LOUIS, MO 63147
FRS (Facility Registry Service) ID: 110001452259
EPA Region: 07
Latitude: 38.7069
Longitude: 90.22555
Locational Data Source: FRS
Industry: Fabricated Metal Product Manufacturing; Waste Management and
Remediation Services
Indian Country: N
Detailed Facility Report
Facility Summary
Enforcement and Compliance Summary
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
CAA 1 08/21/2012 0 0
RCRA No
Violation
0 0
Quarters
12-Quarter Violation History
Under Development
1 2 3 4 5 6 7 8 9 10 11 12
RCRA
CAA
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Regulatory Information
Clean Air Act (CAA): Permanently Closed Minor
(MO0000002951000064)
Clean Water Act (CWA): No Information
Resource Conservation and Recovery Act (RCRA): Inactive ( ) Other
(MOD077145183)
Safe Drinking Water Act (SDWA): No Information
Other Regulatory Reports
Air Emissions Inventory (EIS): No Information
Greenhouse Gas Emissions (eGGRT): No Information
Toxic Releases (TRI): No Information
Facility/System Characteristics
Facility SIC (Standard Industrial Classification) Codes
System Identifier SIC Code SIC Desc
AIR MO0000002951000064 3341 Secondary Nonferrous Metals
Facility NAICS (North American Industry Classification System) Codes
System Identifier NAICS Code NAICS Description
AIR MO0000002951000064 332114 Custom Roll Forming
RCR MOD077145183 56291
Reservation Name Tribe Name EPA Tribal ID Distance to Tribe (miles)
Facility/System Characteristics
System Statute Identifier Universe Status Areas Permit Expiration Date Indian Country Latitude Longitude
FRS 110001452259 N 38.7069 90.22555
AIR CAA MO0000002951000064 Minor Emissions Permanently Closed N
RCR RCRA MOD077145183 Other Inactive ( )N 38.709633 90.227836
Facility Address
System Statute Identifier Facility Name Facility Address
FRS 110001452259 REYNOLDS METALS 7734 HALL STREET, SAINT LOUIS, MO 63147
AIR CAA MO0000002951000064 REYNOLDS METALS 2122 HEREFORD STREET, SAINT LOUIS, MO 63110
RCR RCRA MOD077145183 REYNOLDS METALS COMPANY 7734 HALL ST, ST LOUIS, MO 631472504
Facility Tribe Information
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No data records returned
Three Year Compliance Status by Quarter
Informal Enforcement Actions (5 Years)
Enforcement and Compliance
Compliance Monitoring History (5 years)
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA MO0000002951000064 AIR FCE OnSite State 08/21/2012
Entries in italics are not considered inspections in official counts.
Compliance Summary Data
Statute Source ID Current SNC (Significant Noncompliance)/HPV (High Priority Violation)Description Current As Of Qtrs in NC (NonCompliance) (of 12)
CAA MO0000002951000064 No 05/13/2017 0
RCRA MOD077145183 No 05/13/2017 0
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
CAA (Source ID: MO0000002951000064)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
FacilityLevel Status No Viol No Viol
HPV History
Violation
Type Agency Programs Pollutants
Historic Violations
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA (Source ID: MOD077145183)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
RCRA FacilityLevel Status
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ICIS (Integrated Compliance Information System) Case History (5 years)
Water Quality
Statute System Source ID Type of Action Lead Agency Date
No data records returned
Formal Enforcement Actions (5 Years)
Statute Source ID Type of Action Lead Agency Date Penalty Penalty Description
No data records returned
Primary Law/SectionCase No.Case Type Lead Agency Case Name Issued/Filed Date Settlement Date Federal Penalty State/Local Penalty SEP (Supplemental Environmental Project) Cost Comp Action Cost
No data records returned
Environmental Conditions
Permit
ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow) Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC (RAD
(Reach Address Database))
WBD (Watershed Boundary Dataset)
Subwatershed Name (RAD (Reach
Address Database))
State Waterbody Name (ICIS
(Integrated Compliance
Information System))
Impaired
Waters
Impaired
Class
Causes of
Impairment(s)
by Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
No data records returned
Waterbody Designated Uses
Reach Code Waterbody Name Exceptional Use Recreational Use Aquatic Life Use Shellfish Use Beach Closure Within Last Year Beach Closure Within Last Two Years
No data records returned
Air Quality
NonAttainment Area?Pollutant(s)
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Toxics Release Inventory History of Reported Chemicals Released in Pounds per Year at Site
Demographic Profile of Surrounding Area (3 Miles)
Yes Ozone
No Lead
Yes Particulate Matter
No Sulfur Dioxide
Pollutants
TRI Facility
ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned Treatment
Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
No data records returned
Toxics Release Inventory Total Releases and Transfers in Pounds by Chemical and Year
Chemical Name
No data records returned
Demographic Profile
This section provides demographic information regarding the community surrounding the facility. ECHO compliance data alone are not sufficient to determine whether violations at
a particular facility had negative impacts on public health or the environment. Statistics are based upon the 2010 US Census and American Community Survey data, and are accurate
to the extent that the facility latitude and longitude listed below are correct. The latitude and longitude are obtained from the EPA Locational Reference Table (LRT) when available.
Radius of Area:3 Land Area:86%Households in Area:29,019
Center Latitude:38.70801 Water Area:14%Housing Units in Area:36,232
Center Longitude:90.22347 Population Density:3,086/sq.mi.Households on Public Assistance:1,580
Total Persons:75,224 Percent Minority:94%Persons Below Poverty Level:40,764
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Race Breakdown Persons (%)Age Breakdown Persons (%)
White:4,427 (6%)Child 5 years and younger:5,090 (7%)
AfricanAmerican:69,329 (92%)Minors 17 years and younger:19,644 (26%)
HispanicOrigin:627 (1%)Adults 18 years and older:55,581 (74%)
Asian/Pacific Islander:96 (0%)Seniors 65 years and older:9,594 (13%)
American Indian:125 (0%)
Other/Multiracial:1,247 (2%)
Education Level (Persons 25 & older)Persons (%)Income Breakdown Households (%)
Less than 9th Grade:2,596 (5.44%)Less than $15,000:7,051 (24.11%)
9th through 12th Grade:8,736 (18.32%)$15,000 $25,000:5,250 (17.95%)
High School Diploma:16,778 (35.18%)$25,000 $50,000:8,902 (30.44%)
Some College/2yr:14,494 (30.39%)$50,000 $75,000:4,692 (16.04%)
B.S./B.A. or More:5,089 (10.67%)Greater than $75,000:3,351 (11.46%)
Alcoa Inc, East Plant
194 County Rte 45
Massena, NY 13662
Facility Registry Service ID: 110000326111
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ALCOA INC, EAST PLANT
194 COUNTY ROUTE 45, MASSENA, NY 13662
FRS (Facility Registry Service) ID: 110000326111
EPA Region: 02
Latitude: 44.982804
Longitude: 74.748897
Locational Data Source: RMP
Industry: Utilities; Primary Metal Manufacturing
Indian Country: N
Detailed Facility Report
Facility Summary
Enforcement and Compliance Summary
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
CAA 4 08/24/2015 0 0
CWA 1 07/19/2016 Noncompliance 12 0
RCRA 1 03/05/2015 No Violation 1 0 1
Quarters
12-Quarter Violation History
Under Development
1 2 3 4 5 6 7 8 9 10 11 12
SDWA
RCRA
CWA
CAA
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Related Reports
Enforcement Case Report
Air Pollutant Report
CWA Pollutant Loading Report
CWA Effluent Charts
Regulatory Information
Clean Air Act (CAA): Operating Synthetic Minor
(NY0000006405800024)
Clean Water Act (CWA): Major, Permit Effective (NY0000132)
Resource Conservation and Recovery Act (RCRA): Active (H A ) LQG
(NYD002245967)
Safe Drinking Water Act (SDWA): OWNER: Private SOURCE: Surface
water TYPE: NonTransient noncommunity system, Permit Active
(NY4425001)
Other Regulatory Reports
Air Emissions Inventory (EIS): 7982411
Greenhouse Gas Emissions (eGGRT): 1002485
Toxic Releases (TRI): 13662RYNLDSOUTH
Facility/System Characteristics
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
SDWA No Violation 1 0 4
Facility/System Characteristics
System Statute Identifier Universe Status Areas Permit
Expiration Date
Indian
Country Latitude Longitude
FRS 110000326111 N 44.982804 74.748897
EIS CAA 7982411 OPERATING N 44.982433 74.751532
RMP CAA 100000065706 INACTIVE N
GHG CAA 1002485 No Longer
Subject N 44.982804 74.748897
AIR CAA NY0000006405800024 Synthetic Minor Emissions Operating CAANESH N
ICP CWA NY0000132 Major: NPDES Individual Permit Effective 05/31/2019 N 44.982417 74.751528
TRI EP313 13662RYNLDSOUTH Toxics Release Inventory Last Reported
for 2015 N 44.982804 74.748897
RCR RCRA NYD002245967 LQG Active (H A )N 44.928949 74.891843
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Facility SIC (Standard Industrial Classification) Codes
System Identifier SIC Code SIC Desc
TRI 13662RYNLDSOUTH 3334 Primary Aluminum
AIR NY0000006405800024 3334 Primary Aluminum
ICP NY0000132 3334 Primary Aluminum
Facility NAICS (North American Industry Classification System) Codes
System Identifier NAICS Code NAICS Description
RMP 100000065706 22131
RMP 100000065706 331314 Secondary Smelting And Alloying Of Aluminum
RMP 100000065706 49311
GHG 1002485 331312 Primary Aluminum Production
TRI 13662RYNLDSOUTH 331311 Alumina Refining
TRI 13662RYNLDSOUTH 331312 Primary Aluminum Production
TRI 13662RYNLDSOUTH 331313
System Statute Identifier Universe Status Areas Permit
Expiration Date
Indian
Country Latitude Longitude
SDWIS SDWA NY4425001 OWNER: Private SOURCE: Surface water TYPE: Non
Transient noncommunity system Active Population
Served: 50 N
TSCA TSCA TSCA7208 N
TSCA TSCA 100607730 N
Facility Address
System Statute Identifier Facility Name Facility Address
FRS 110000326111 ALCOA INC, EAST PLANT 194 COUNTY ROUTE 45, MASSENA, NY 13662
EIS CAA 7982411 REYNOLDS METALS ST LAWRENCE REDUCTION PLANT 194 CO RTE 45, MASSENA, NY 13662
RMP CAA 100000065706 REYNOLDS METALS CO. ST. LAWRENCE REDUCTION PLANT 194 COUNTY ROUTE 45, MASSENA, NY 13662
GHG CAA 1002485 REYNOLDS METALS ST LAWRENCE REDUCTION PL 194 COUNTY ROUTE 45, MASSENA, NY 13662
AIR CAA NY0000006405800024 REYNOLDS METALS ST LAWRENCE REDUCTION PLANT 194 CO RTE 45, MASSENA, NY 13662
ICP CWA NY0000132 ALCOA EAST 194 CO RTE 45, MASSENA, NY 13662
TRI EP313 13662RYNLDSOUTH REYNOLDS METALS CO ST LAWRENCE REDUCTION PLANT 194 COUNTY RT 45, MASSENA, NY 13662
RCR RCRA NYD002245967 REYNOLDS METAL CO 194 COUNTY RTE 45, MASSENA, NY 13662
SDWIS SDWA NY4425001 REYNOLDS METALS COMPANYALCOA EAST NY
TSCA TSCA TSCA7208 REYNOLDS METALS CO ST LAWRENCE REDUCTION PLANT 194 COUNTY ROUTE 45, MASSENA, NY 13662
TSCA TSCA 100607730 REYNOLDS METALS CO ST LAWRENCE REDUCTION PLANT 194 COUNTY ROUTE 45, MASSENA, NY 13662
5/19/2017 Detailed Facility Report | ECHO | US EPA
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System Identifier NAICS Code NAICS Description
EIS 7982411 331313
AIR NY0000006405800024 331312 Primary Aluminum Production
RCR NYD002245967 331313
Reservation Name Tribe Name EPA Tribal
ID
Distance to Tribe
(miles)
St. Regis Mohawk
Reservation
Saint Regis Mohawk
Tribe 100000251 1.18
Facility Tribe Information
Enforcement and Compliance
Compliance Monitoring History (5 years)
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA NY0000006405800024 AIR TV ACC Receipt/Review State 02/28/2017 Finding: No Facility Report Deviations
CAA NY0000006405800024 AIR PCE OffSite State 02/28/2017
CAA NY0000006405800024 AIR PCE OffSite State 02/26/2016
CAA NY0000006405800024 AIR TV ACC Receipt/Review State 02/26/2016 Finding: No Facility Report Deviations
CAA NY0000006405800024 AIR PCE OffSite State 08/28/2015
CAA NY0000006405800024 AIR FCE OnSite State 08/24/2015
CAA NY0000006405800024 AIR PCE OnSite State 08/21/2015
CAA NY0000006405800024 AIR PCE OffSite EPA 08/05/2015
CAA NY0000006405800024 AIR TV ACC Receipt/Review State 02/25/2015 Finding: No Facility Report Deviations
CAA NY0000006405800024 AIR PCE OffSite State 02/25/2015
CAA NY0000006405800024 AIR PCE OffSite State 08/26/2014
CAA NY0000006405800024 AIR FCE OnSite State 06/09/2014
CAA NY0000006405800024 AIR PCE OnSite State 06/05/2014
CAA NY0000006405800024 AIR PCE OffSite State 02/26/2014
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SDWA (Safe Drinking Water Act) Sanitary Survey Results (5 Years)
Statute Source ID System Inspection Type Lead Agency Date Finding
CAA NY0000006405800024 AIR TV ACC Receipt/Review State 02/26/2014
CAA NY0000006405800024 AIR TV ACC Receipt/Review State 02/26/2014 Finding: No Facility Report Deviations
CAA NY0000006405800024 AIR PCE OffSite State 08/29/2013
CAA NY0000006405800024 AIR FCE OnSite State 06/24/2013
CAA NY0000006405800024 AIR PCE OnSite State 04/30/2013
CAA NY0000006405800024 AIR PCE OffSite State 02/28/2013
CAA NY0000006405800024 AIR TV ACC Receipt/Review State 02/28/2013
CAA NY0000006405800024 AIR TV ACC Receipt/Review State 02/28/2013 Finding: No Facility Report Deviations
CAA NY0000006405800024 AIR FCE OnSite State 09/25/2012
CAA NY0000006405800024 AIR PCE OffSite State 08/28/2012
CAA NY0000006405800024 AIR PCE OnSite State 08/15/2012
CWA NY0000132 ICP Evaluation State 07/19/2016
RCRA NYD002245967 RCR FINANCIAL RECORD REVIEW EPA 01/19/2016 No Violations Or Compliance Issues Were Found
RCRA NYD002245967 RCR COMPLIANCE EVALUATION INSPECTION ONSITE State 03/05/2015 Violations Or Compliance Issues Were Found
RCRA NYD002245967 RCR FINANCIAL RECORD REVIEW EPA 06/14/2013 Undetermined, Agency May Still be Determining
RCRA NYD002245967 RCR FINANCIAL RECORD REVIEW EPA 08/30/2012 No Violations Or Compliance Issues Were Found
SDWA NY4425001 SDWIS Sanitary Survey, Complete State 02/01/2017
SDWA NY4425001 SDWIS Sanitary Survey, Complete State 06/16/2015
SDWA NY4425001 SDWIS Sanitary Survey, Complete State 10/03/2013
Entries in italics are not considered inspections in official counts.
Sanitary Survey Results
Date Type Agency Data
Verification Distribution Management
Operation
Finished Water
Storage
Operator
Compliance
Other
Evaluation PumpsSecuritySourceFinancialTreatment
SDWA (Source ID: NY4425001)
02/01/2017 Sanitary Survey,
Complete District N N N N N N N N N N
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Three Year Compliance Status by Quarter
Sanitary Survey Results
Date Type Agency Data
Verification Distribution Management
Operation
Finished Water
Storage
Operator
Compliance
Other
Evaluation PumpsSecuritySourceFinancialTreatment
06/16/2015 Sanitary Survey,
Complete District Z Z Z Z Z Z Z Z Z Z Z
10/03/2013 Sanitary Survey,
Complete District Z Z Z Z Z Z Z Z Z Z Z
Sanitary survey result codes:S=Significant Deficiencies R=Recommendations Made X=Not Evaluated =Not Reported to EPA
M=Minor Deficiencies N=No Deficiencies or Recommendations Z=Not Applicable
Compliance Summary Data
Statute Source ID Current SNC (Significant Noncompliance)/HPV (High Priority Violation)Description Current As Of Qtrs in NC (NonCompliance) (of 12)
CAA NY0000006405800024 No 05/13/2017 0
CWA NY0000132 No 12/31/2016 12
RCRA NYD002245967 No 05/13/2017 1
SDWA NY4425001 No 03/27/2017 1
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
CAA (Source ID: NY0000006405800024)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
FacilityLevel Status No Viol No Viol
HPV History
Violation
Type Agency Programs Pollutants
Historic Violations
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
CWA (Source ID: NY0000132)01/01
03/31/14
04/01
06/30/14
07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
FacilityLevel Status In Viol In Viol In Viol In Viol In Viol In Viol In Viol In Viol In Viol In Viol In Viol In Viol In Viol
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Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
SNC (Significant Non
compliance)/RNC
(Reportable Non
Compliance) History
N(RptViol)N(RptViol)N(RptViol)N(RptViol)N(RptViol)N(RptViol)N(RptViol)N(RptViol)N(RptViol)N(RptViol)N(RptViol)N(RptViol)
Pollutant Disch
Point Freq
CWA
Fluoride,
total [as
F]
008 Neither 85%
Permit Schedule
Violations
CWA
Schedule Event achieved
late but reported:
Status/Progress Report
110114
110414
CWA
Schedule Event unachieved
and not reported: Sampling
and Analysis
090114 >>>>>>>>>>>>>>>>>>>>>>>>>>>>>>
CWA
Schedule Event unachieved
and not reported:
Status/Progress Report
012814 >>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>>
CWA
Schedule Event unachieved
and not reported:
Status/Progress Report
012816 >>>>>>>>>>>>
CWA
Schedule Event unachieved
and not reported:
Status/Progress Report
0128
17
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA (Source ID: NYD002245967)07/01
09/30/14
10/01
12/31/14 01/0103/31/15 04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
RCRA FacilityLevel Status In Viol
Violation Agency
RCRA Generators Pre
transport NY MAR052015 MAR
052015
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SDWA (Safe Drinking Water Act) Violations and Enforcement Actions (5 Years)
Informal Enforcement Actions (5 Years)
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13*
SDWA (Source ID: NY4425001)01/01
03/31/14
04/01
06/30/14
07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
SDWA FacilityLevel Status In
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
No
Violation
SDWA Total Coliform Rule Yes No No No No No No No No No No No No
*Quarter 13 data is voluntarily entered and/or incomplete, and may not form a complete picture for that quarter. Read more
Statute System Source ID Type of Action Lead Agency Date
RCRA RCR NYD002245967 WRITTEN INFORMAL State 03/13/2015
SDWA SDWIS NY4425001 State Formal Notice of Violation issued State 03/13/2014
SDWA SDWIS NY4425001 State Public Notification received State 06/28/2012
SDWA SDWIS NY4425001 State Formal Notice of Violation issued State 06/01/2012
SDWA SDWIS NY4425001 State Public Notification requested State 06/01/2012
Formal Enforcement Actions (5 Years)
Statute Source ID Type of Action Lead Agency Date Penalty Penalty Description
No data records returned
Violations Enforcement Actions
Source ID Compliance
Period
Violation
ID Federal Rule ContaminantCategory Description Measured
Value
State MCL
(Maximum
Contaminant
Level)
Federal MCL
(Maximum
Contaminant
Level)
Status Date Category Description Agency
NY4425001 03/01/2014
03/31/2014
913 Total Coliform Rule Coliform
(TCR)
MCL Maximum
Contaminant
Level Violation
5% of samples Resolved
03/13/2014 Resolving
State
Compliance
achieved
State
5/19/2017 Detailed Facility Report | ECHO | US EPA
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ICIS (Integrated Compliance Information System) Case History (5 years)
Water Quality
Violations Enforcement Actions
Source ID Compliance
Period
Violation
ID Federal Rule ContaminantCategory Description Measured
Value
State MCL
(Maximum
Contaminant
Level)
Federal MCL
(Maximum
Contaminant
Level)
Status Date Category Description Agency
03/13/2014 Informal
State
Formal
Notice of
Violation
issued
State
NY4425001
04/01/2012
06/30/2012
911
Stage 1
Disinfectants and
Disinfection
Byproducts Rule
TTHM MCL
Maximum
Contaminant
Level Violation
87
UG/L 80 UG/L 0.080 mg/L Resolved
09/27/2012 Resolving
State
Compliance
achieved
State
06/28/2012 Informal
State Public
Notification
received
State
06/01/2012 Informal
State
Formal
Notice of
Violation
issued
State
06/01/2012 Informal
State Public
Notification
requested
State
Primary
Law/Section Case No.Case Type Lead
Agency Case Name Issued/Filed
Date
Settlement
Date
Federal
Penalty
State/Local
Penalty
SEP (Supplemental Environmental
Project) Cost
Comp Action
Cost
CERCLA /
§122H
022016
2008
Administrative
Formal EPA Reynolds Metals
Company 03/17/2016 03/17/2016 $0 $0 $0 $0
Environmental Conditions
5/19/2017 Detailed Facility Report | ECHO | US EPA
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Toxics Release Inventory History of Reported Chemicals Released in Pounds per Year at Site
TRI Pollution Prevention Report Air Pollutant Report
Permit ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow)
Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC
(RAD (Reach Address
Database))
WBD (Watershed Boundary
Dataset) Subwatershed Name
(RAD (Reach Address
Database))
State Waterbody Name
(ICIS (Integrated
Compliance Information
System))
Impaired
Waters
Impaired
Class
Causes of Impairment(s) by
Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
NY0000132 041503010302 Raquette CreekFrontal
Saint Lawrence River ST LAWRENCE R No
DIOXINS | FLOW
ALTERATION(S) | OTHER
CAUSE | PESTICIDES |
POLYCHLORINATED
BIPHENYLS (PCBS)
No
Waterbody Designated Uses
Reach Code Waterbody Name Exceptional Use Recreational Use Aquatic Life Use Shellfish Use Beach Closure Within Last Year Beach Closure Within Last Two Years
04150310009477 Saint Lawrence River No Yes Yes No No No
Air Quality
NonAttainment Area?Pollutant(s)
No Ozone
No Lead
Yes Particulate Matter
No Sulfur Dioxide
Pollutants
TRI Facility ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned
Treatment Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
13662RYNLDSOUTH 2015 0 0 0 0 188,441
13662RYNLDSOUTH 2014 53,760 0 0 53,760 84,797
13662RYNLDSOUTH 2013 536,347 95 0 536,442 26,473
13662RYNLDSOUTH 2012 588,629 2 0 588,631 4,592
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TRI Facility ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned
Treatment Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
13662RYNLDSOUTH 2011 329,909 0 0 329,909 50,390
13662RYNLDSOUTH 2010 76 0 0 76 49
13662RYNLDSOUTH 2009 143,605 48 0 143,653 4,714
13662RYNLDSOUTH 2008 382,133 51 0 382,184 45,203
13662RYNLDSOUTH 2007 387,003 27 0 0 0 387,030 50,494
Toxics Release Inventory Total Releases and Transfers in Pounds by Chemical and Year
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
ALUMINUM OXIDE
(FIBROUS FORMS)
ANTHRACENE
ASBESTOS (FRIABLE)
BENZENE 26,699 29,000 29,000 29,000
BENZO(G,H,I)PERYLENE 20,169 10,711 757 1,751 6,433 14 512 773 1,017
CARBONYL SULFIDE 52,700 392,540 441,000 233,000 97,000 246,000 257,000
CHLORINE
CHROMIUM 1,933 88
COPPER 2,418 6,669 1,515
COPPER COMPOUNDS
CYANIDE COMPOUNDS 26,121 32,047 44,054
DINITROTOLUENE (MIXED
ISOMERS)492 550 750
DIOXIN AND DIOXINLIKE
COMPOUNDS (in grams)3 15 0 0
HYDROGEN FLUORIDE 109,752 110,270 90,270 43,770 99,900 94,100
LEAD
LEAD COMPOUNDS 790 360 486 196 368 381
LITHIUM CARBONATE 0
MANGANESE 2,616 717
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Demographic Profile of Surrounding Area (3 Miles)
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
MANGANESE COMPOUNDS
PHOSPHORIC ACID
POLYCHLORINATED
BIPHENYLS
POLYCYCLIC AROMATIC
COMPOUNDS 168,272 75,143 5,749 10,292 49,360 111 4,471 8,082 9,651
SODIUM HYDROXIDE
(SOLUTION)
SODIUM SULFATE
(SOLUTION)
ZINC COMPOUNDS
SDWA (Safe Drinking Water Act) Lead and Copper (Last 5 years)
Source ID Contaminant Sample Dates 90th Percentile Sample Concentrations Action Level Number of Open HealthBased Violations
No data records returned
Demographic Profile
This section provides demographic information regarding the community surrounding the facility. ECHO compliance data alone are not sufficient to determine whether violations at
a particular facility had negative impacts on public health or the environment. Statistics are based upon the 2010 US Census and American Community Survey data, and are accurate
to the extent that the facility latitude and longitude listed below are correct. The latitude and longitude are obtained from the EPA Locational Reference Table (LRT) when available.
Radius of Area:3 Land Area:84%Households in Area:547
Center Latitude:44.982804 Water Area:16%Housing Units in Area:586
Center Longitude:74.748897 Population Density:80/sq.mi.Households on Public Assistance:22
Total Persons:1,402 Percent Minority:73%Persons Below Poverty Level:398
Race Breakdown Persons (%)Age Breakdown Persons (%)
White:384 (27%)Child 5 years and younger:118 (8%)
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Race Breakdown Persons (%)Age Breakdown Persons (%)
AfricanAmerican:6 (0%)Minors 17 years and younger:415 (30%)
HispanicOrigin:22 (2%)Adults 18 years and older:987 (70%)
Asian/Pacific Islander:1 (0%)Seniors 65 years and older:143 (10%)
American Indian:960 (68%)
Other/Multiracial:51 (4%)
Education Level (Persons 25 & older)Persons (%)Income Breakdown Households (%)
Less than 9th Grade:60 (7.12%)Less than $15,000:103 (20.36%)
9th through 12th Grade:106 (12.57%)$15,000 $25,000:30 (5.93%)
High School Diploma:253 (30.01%)$25,000 $50,000:120 (23.72%)
Some College/2yr:251 (29.77%)$50,000 $75,000:165 (32.61%)
B.S./B.A. or More:173 (20.52%)Greater than $75,000:88 (17.39%)
Reynolds Metals Troutdale Reduction Plant
5100 NE Sundial Rd
Troutdale, OR 97060-9521
Facility Registry Service ID: 110007737814
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REYNOLDS METALS TROUTDALE REDUCTION PLANT
5100 NE SUNDIAL RD, TROUTDALE, OR 97060
FRS (Facility Registry Service) ID: 110007737814
EPA Region: 10
Latitude: 45.5569
Longitude: 122.39916
Locational Data Source: CERCLIS
Industry: Primary Metal Manufacturing
Indian Country: N
Detailed Facility Report
Facility Summary
Enforcement and Compliance Summary
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
CAA
CWA 09/23/2010 Unknown 0 0
RCRA 06/02/2004 No
Violation
0 0
Quarters
12-Quarter Violation History
1 2 3 4 5 6 7 8 9 10 11 12
RCRA
CWA
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Related Reports
CWA Pollutant Loading Report
CWA Effluent Charts
Regulatory Information
Clean Air Act (CAA): No Information
Clean Water Act (CWA): Minor, Permit Admin Continued
(OR0000060)
Resource Conservation and Recovery Act (RCRA): Inactive ( ) Other
(ORD009412677)
Safe Drinking Water Act (SDWA): No Information
Other Regulatory Reports
Air Emissions Inventory (EIS): 890111
Greenhouse Gas Emissions (eGGRT): No Information
Toxic Releases (TRI): 97060RYNLDSUNDI
Facility/System Characteristics
Facility SIC (Standard Industrial Classification) Codes Facility NAICS (North American Industry Classification System) Codes
Facility/System Characteristics
System Statute Identifier Universe Status Areas Permit Expiration Date Indian Country Latitude Longitude
FRS 110007737814 N 45.5569 122.39916
EIS CAA 890111 PERMANENTLY SHUTDOWN N 45.55848 122.39995
RMP CAA 100000147879 INACTIVE N
ICP CWA OR0000060 Minor: NPDES Individual Permit Admin Continued 10/31/2012 N 45.558 122.402778
TRI EP313 97060RYNLDSUNDI Toxics Release Inventory Last Reported for 2000 N 45.5569 122.39916
RCR RCRA ORD009412677 Other Inactive ( )N
Facility Address
System Statute Identifier Facility Name Facility Address
FRS 110007737814 REYNOLDS METALS TROUTDALE REDUCTION PLANT 5100 NE SUNDIAL RD, TROUTDALE, OR 97060
EIS CAA 890111 REYNOLDS METALS COMPANY 5100 NE SUNDIAL RD, TROUTDALE, OR 97060
RMP CAA 100000147879 REYNOLDS METALS COMPANY TROUTDALE 5100 SUN DIAL ROAD, TROUTDALE, OR 97060
ICP CWA OR0000060 PORT OF PORTLAND TROUTDALE 5100 NE SUNDIAL RD, TROUTDALE, OR 970609521
TRI EP313 97060RYNLDSUNDI REYNOLDS METALS CO TROUTDALE REDUCTION PLANT 5100 NE SUNDIAL RD, TROUTDALE, OR 970609499
RCR RCRA ORD009412677 REYNOLDS METALS COMPANY 5100 NE SUNDIAL RD, TROUTDALE, OR 970609521
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System Identifier SIC Code SIC Desc
TRI 97060RYNLDSUNDI 3334 Primary Aluminum
ICP OR0000060 3334 Primary Aluminum
System Identifier NAICS Code NAICS Description
RMP 100000147879 331312 Primary Aluminum Production
EIS 890111 331313
TRI 97060RYNLDSUNDI 331312 Primary Aluminum Production
RCR ORD009412677 331312 Primary Aluminum Production
Reservation Name Tribe Name EPA Tribal ID Distance to Tribe (miles)
No data records returned
Three Year Compliance Status by Quarter
Facility Tribe Information
Enforcement and Compliance
Compliance Monitoring History (5 years)
Statute Source ID System Inspection Type Lead Agency Date Finding
No data records returned
Entries in italics are not considered inspections in official counts.
Compliance Summary Data
Statute Source ID Current SNC (Significant Noncompliance)/HPV (High Priority Violation)Description Current As Of Qtrs in NC (NonCompliance) (of 12)
CWA OR0000060 No 12/31/2016 0
RCRA ORD009412677 No 05/13/2017 0
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
CWA (Source ID: OR0000060)01/01
03/31/14
04/01
06/30/14
07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
05/12/17
FacilityLevel Status Unk Unk Unk Unk Unk Unk Unk Unk Unk Unk Unk Unk Und
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Informal Enforcement Actions (5 Years)
ICIS (Integrated Compliance Information System) Case History (5 years)
Water Quality
Statute Program/Pollutant/Violation Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12 QTR 13+
SNC (Significant Noncompliance)/RNC (Reportable
NonCompliance) History U(N/A)U(N/A)U(N/A)U(N/A)U(N/A)U(N/A)U(N/A)U(N/A)U(N/A)U(N/A)U(N/A)U(N/A)
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA (Source ID: ORD009412677)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
RCRA FacilityLevel Status
Statute System Source ID Type of Action Lead Agency Date
No data records returned
Formal Enforcement Actions (5 Years)
Statute Source ID Type of Action Lead Agency Date Penalty Penalty Description
No data records returned
Primary Law/SectionCase No.Case Type Lead Agency Case Name Issued/Filed Date Settlement Date Federal Penalty State/Local Penalty SEP (Supplemental Environmental Project) Cost Comp Action Cost
No data records returned
Environmental Conditions
Permit ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow) Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC (RAD
(Reach Address Database))
WBD (Watershed Boundary Dataset)
Subwatershed Name (RAD (Reach
Address Database))
State Waterbody Name (ICIS
(Integrated Compliance
Information System))
Impaired
Waters
Impaired
Class
Causes of
Impairment(s)
by Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
OR0000060 170900120500 Hayden IslandColumbia River COLUMBIA RIVER No Yes
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Toxics Release Inventory History of Reported Chemicals Released in Pounds per Year at Site
Waterbody Designated Uses
Reach Code Waterbody Name Exceptional Use Recreational Use Aquatic Life Use Shellfish Use Beach Closure Within Last Year Beach Closure Within Last Two Years
17080001000061 Sandy River No No No No No No
Air Quality
NonAttainment Area?Pollutant(s)
No Ozone
No Lead
Yes Particulate Matter
No Sulfur Dioxide
Pollutants
TRI Facility
ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned Treatment
Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
No data records returned
Toxics Release Inventory Total Releases and Transfers in Pounds by Chemical and Year
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
ALUMINUM (FUME OR DUST)
ALUMINUM OXIDE (FIBROUS FORMS)
ANTHRACENE
CARBONYL SULFIDE
CHLORINE
CHROMIUM
COPPER
CYANIDE COMPOUNDS
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Demographic Profile of Surrounding Area (3 Miles)
Chemical Name 2015 2014 2013 2012 2011 2010 2009 2008 2007
HYDROCHLORIC ACID (1995 AND AFTER ACID
AEROSOLS ONLY)
HYDROGEN FLUORIDE
LITHIUM CARBONATE
MANGANESE
POLYCYCLIC AROMATIC COMPOUNDS
SODIUM HYDROXIDE (SOLUTION)
Demographic Profile
This section provides demographic information regarding the community surrounding the facility. ECHO compliance data alone are not sufficient to determine whether violations at
a particular facility had negative impacts on public health or the environment. Statistics are based upon the 2010 US Census and American Community Survey data, and are accurate
to the extent that the facility latitude and longitude listed below are correct. The latitude and longitude are obtained from the EPA Locational Reference Table (LRT) when available.
Radius of Area:3 Land Area:78%Households in Area:16,725
Center Latitude:45.5569 Water Area:22%Housing Units in Area:17,797
Center Longitude:122.39916 Population Density:2,042/sq.mi.Households on Public Assistance:515
Total Persons:44,932 Percent Minority:24%Persons Below Poverty Level:13,980
Race Breakdown Persons (%)Age Breakdown Persons (%)
White:36,276 (81%)Child 5 years and younger:3,422 (8%)
AfricanAmerican:1,016 (2%)Minors 17 years and younger:11,968 (27%)
HispanicOrigin:6,196 (14%)Adults 18 years and older:32,964 (73%)
Asian/Pacific Islander:1,964 (4%)Seniors 65 years and older:4,226 (9%)
American Indian:558 (1%)
Other/Multiracial:5,118 (11%)
Education Level (Persons 25 & older)Persons (%)Income Breakdown Households (%)
Less than 9th Grade:1,272 (4.72%)Less than $15,000:1,485 (9.32%)
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Education Level (Persons 25 & older)Persons (%)Income Breakdown Households (%)
9th through 12th Grade:2,142 (7.95%)$15,000 $25,000:1,503 (9.44%)
High School Diploma:7,556 (28.06%)$25,000 $50,000:4,218 (26.48%)
Some College/2yr:10,309 (38.28%)$50,000 $75,000:3,687 (23.15%)
B.S./B.A. or More:5,650 (20.98%)Greater than $75,000:5,034 (31.61%)
Alcoa Technical Center LLC
859 White Cloud Rd
New Kensington, PA 15068
Facility Registry Service ID: PAR000554246
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Regulatory Information Other Regulatory Reports
ALCOA TECHNICAL CENTER LLC
859 WHITE CLOUD RD, NEW KENSINGTON, PA 15068
FRS (Facility Registry Service) ID:
EPA Region: 03
Latitude:
Longitude:
Locational Data Source:
Industry: Professional, Scientific, and Technical Services
Indian Country: N
Detailed Facility Report
Facility Summary
Enforcement and Compliance Summary
Statute Insp (5
Years)
Date of Last
Inspection
Compliance
Status
Qtrs in NC (Non
Compliance) (of 12)
Qtrs in
Significant
Violation
Informal Enforcement
Actions (5 years)
Formal Enforcement
Actions (5 years)
Penalties from Formal
Enforcement Actions (5 years)
EPA Cases
(5 years)
Penalties from EPA
Cases (5 years)
RCRA No
Violation
0 0
Quarters
12-Quarter Violation History
1 2 3 4 5 6 7 8 9 10 11 12
RCRA
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Clean Air Act (CAA): No Information
Clean Water Act (CWA): No Information
Resource Conservation and Recovery Act (RCRA): Active (H ) LQG
(PAR000554246)
Safe Drinking Water Act (SDWA): No Information
Air Emissions Inventory (EIS): No Information
Greenhouse Gas Emissions (eGGRT): No Information
Toxic Releases (TRI): No Information
Facility/System Characteristics
Facility SIC (Standard Industrial Classification) Codes
System Identifier SIC Code SIC Desc
No data records returned
Facility NAICS (North American Industry Classification System) Codes
System Identifier NAICS Code NAICS Description
RCR PAR000554246 541712
Reservation Name Tribe Name EPA Tribal ID Distance to Tribe (miles)
No data records returned
Facility/System Characteristics
System Statute Identifier Universe Status Areas Permit Expiration Date Indian Country Latitude Longitude
RCR RCRA PAR000554246 LQG Active (H )N
Facility Address
System Statute Identifier Facility Name Facility Address
RCR RCRA PAR000554246 ALCOA TECHNICAL CENTER LLC 859 WHITE CLOUD RD, NEW KENSINGTON, PA 15068
Facility Tribe Information
Enforcement and Compliance
Compliance Monitoring History (5 years)
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Three Year Compliance Status by Quarter
Informal Enforcement Actions (5 Years)
ICIS (Integrated Compliance Information System) Case History (5 years)
Statute Source ID System Inspection Type Lead Agency Date Finding
No data records returned
Entries in italics are not considered inspections in official counts.
Compliance Summary Data
Statute Source ID Current SNC (Significant Noncompliance)/HPV (High Priority Violation)Description Current As Of Qtrs in NC (NonCompliance) (of 12)
RCRA PAR000554246 No 05/13/2017 0
Statute Program/Pollutant/Violation
Type QTR 1 QTR 2 QTR 3 QTR 4 QTR 5 QTR 6 QTR 7 QTR 8 QTR 9 QTR 10 QTR 11 QTR 12
RCRA (Source ID: PAR000554246)07/01
09/30/14
10/01
12/31/14
01/01
03/31/15
04/01
06/30/15
07/01
09/30/15
10/01
12/31/15
01/01
03/31/16
04/01
06/30/16
07/01
09/30/16
10/01
12/31/16
01/01
03/31/17
04/01
06/30/17
RCRA FacilityLevel Status
Statute System Source ID Type of Action Lead Agency Date
No data records returned
Formal Enforcement Actions (5 Years)
Statute Source ID Type of Action Lead Agency Date Penalty Penalty Description
No data records returned
Primary Law/SectionCase No.Case Type Lead Agency Case Name Issued/Filed Date Settlement Date Federal Penalty State/Local Penalty SEP (Supplemental Environmental Project) Cost Comp Action Cost
No data records returned
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Water Quality
Toxics Release Inventory History of Reported Chemicals Released in Pounds per Year at Site
Environmental Conditions
Permit
ID
Combined
Sewer
System?
Number of CSO
(Combined Sewer
Overflow) Outfalls
12Digit WBD (Watershed
Boundary Dataset) HUC (RAD
(Reach Address Database))
WBD (Watershed Boundary Dataset)
Subwatershed Name (RAD (Reach
Address Database))
State Waterbody Name (ICIS
(Integrated Compliance
Information System))
Impaired
Waters
Impaired
Class
Causes of
Impairment(s)
by Group(s)
Watershed with ESA
(Endangered Species
Act)listed Aquatic
Species?
No data records returned
Waterbody Designated Uses
Reach Code Waterbody Name Exceptional Use Recreational Use Aquatic Life Use Shellfish Use Beach Closure Within Last Year Beach Closure Within Last Two Years
No data records returned
Air Quality
NonAttainment Area?Pollutant(s)
No Ozone
No Lead
Yes Particulate Matter
No Sulfur Dioxide
Pollutants
TRI Facility
ID Year Total Air
Emissions
Surface Water
Discharges
OffSite Transfers to POTWs (Publicly Owned Treatment
Works)
Underground
Injections
Releases to
Land
Total Onsite
Releases
Total Offsite
Releases
No data records returned
Toxics Release Inventory Total Releases and Transfers in Pounds by Chemical and Year
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Demographic Profile of Surrounding Area (3 Miles)
Chemical Name
No data records returned
Demographic Profile
This section provides demographic information regarding the community surrounding the facility. ECHO compliance data alone are not sufficient to determine whether violations at
a particular facility had negative impacts on public health or the environment. Statistics are based upon the 2010 US Census and American Community Survey data, and are accurate
to the extent that the facility latitude and longitude listed below are correct. The latitude and longitude are obtained from the EPA Locational Reference Table (LRT) when available.
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BADIN BUSINESS PARK Part B Permit Application
Original: February 19, 2016
Revision 2: June 20, 2018
APPENDIX N-2
2016 COMPREHENSIVE ANNUAL FINANCIAL REPORT -
FINANCIAL STATEMENTS AND SUPPLEMENTARY DATA
Item 8. Financial Statements and Supplementary Data.
Report of Independent Registered Public Accounting Firm
To the Shareholders and Board of Directors of Alcoa Corporation:
In our opinion, the accompanying consolidated balance sheets and the related statements of consolidated operations,
consolidated comprehensive (loss) income, changes in consolidated equity, and consolidated cash flows present fairly,
in all material respects, the financial position of Alcoa Corporation and its subsidiaries as of December 31, 2016 and
2015, and the results of their operations and their cash flows for each of the three years in the period ended
December 31, 2016 in conformity with accounting principles generally accepted in the United States of America.
These financial statements are the responsibility of the Company’s management. Our responsibility is to express an
opinion on these financial statements based on our audits. We conducted our audits of these financial statements in
accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards
require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are
free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and
disclosures in the financial statements, assessing the accounting principles used and significant estimates made by
management, and evaluating the overall financial statement presentation. We believe that our audits provide a
reasonable basis for our opinion.
PricewaterhouseCoopers LLP
Pittsburgh, Pennsylvania
March 15, 2017
96
Alcoa Corporation and subsidiaries
Statement of Consolidated Operations
(in millions, except per-share amounts)
For the year ended December 31, 2016 2015 2014
Sales to unrelated parties $8,360 $10,121 $11,364
Sales to related parties 958 1,078 1,783
Total sales (E) 9,318 11,199 13,147
Cost of goods sold (exclusive of expenses below) 7,898 9,039 10,548
Selling, general administrative, and other expenses 359 353 383
Research and development expenses 33 69 95
Provision for depreciation, depletion, and amortization 718 780 954
Restructuring and other charges (D) 318 983 863
Interest expense (S) 243 270 309
Other (income) expenses, net (S) (89) 42 58
Total costs and expenses 9,480 11,536 13,210
Loss before income taxes (162) (337) (63)
Provision for income taxes (P) 184 402 284
Net loss (346) (739) (347)
Less: Net income (loss) attributable to noncontrolling interest 54 124 (91)
Net Loss Attributable to Alcoa Corporation (400) $ (863) $ (256)
Earnings per Share Attributable to Alcoa Corporation Common Shareholders (F):
Basic $(2.19) $ (4.73) $ (1.40)
Diluted $(2.19) $ (4.73) $ (1.40)
The accompanying notes are an integral part of the consolidated financial statements.
97
Alcoa Corporation and subsidiaries
Statement of Consolidated Comprehensive (Loss) Income
(in millions)
Alcoa Corporation
Noncontrolling
Interest Total
For the year ended December 31, 2016 2015 2014 2016 2015 2014 2016 2015 2014
Net (loss) income $(400) $ (863) $(256) $ 54 $ 124 $ (91) $(346) $ (739) $ (347)
Other comprehensive (loss) income, net
of tax (G):
Change in unrecognized net actuarial
loss and prior service cost/benefit
related to pension and other
postretirement benefits (202) 72 (51) - 8 (13) (202) 80 (64)
Foreign currency translation
adjustments 213 (1,183) (688) 102 (428) (236) 315 (1,611) (924)
Net change in unrecognized gains/
losses on cash flow hedges (346) 827 80 4 (1) - (342) 826 80
Total Other comprehensive (loss)
income, net of tax (335) (284) (659) 106 (421) (249) (229) (705) (908)
Comprehensive (loss) income $(735) $(1,147) $(915) $160 $(297) $(340) $(575) $(1,444) $(1,255)
The accompanying notes are an integral part of the consolidated financial statements.
98
Alcoa Corporation and subsidiaries
Consolidated Balance Sheet
(in millions)
December 31,2016 2015
Assets
Current assets:
Cash and cash equivalents (O) $ 853 $ 557
Receivables from customers 668 380
Other receivables 166 124
Inventories (I)1,160 1,172
Prepaid expenses and other current assets 334 333
Total current assets 3,181 2,566
Properties, plants, and equipment, net (J) 9,325 9,390
Investments (H)1,358 1,472
Deferred income taxes (P) 741 589
Fair value of derivative contracts (O) 468 997
Other noncurrent assets (S) 1,668 1,399
Total Assets $16,741 $16,413
Liabilities
Current liabilities:
Accounts payable, trade $ 1,455 $ 1,379
Accrued compensation and retirement costs 456 313
Taxes, including income taxes 147 136
Other current liabilities 742 558
Long-term debt due within one year (L & O) 21 18
Total current liabilities 2,821 2,404
Long-term debt, less amount due within one year (L & O) 1,424 207
Accrued pension benefits (N) 1,851 359
Accrued other postretirement benefits (N) 1,166 78
Asset retirement obligations (Q) 604 539
Environmental remediation (R) 264 207
Noncurrent income taxes (P) 310 508
Other noncurrent liabilities and deferred credits (S) 604 598
Total liabilities 9,044 4,900
Contingencies and commitments (R)
Equity
Alcoa Corporation shareholders’ equity:
Parent Company net investment (A) - 11,042
Common stock (M)2-
Additional capital 9,531 -
Retained deficit (104) -
Accumulated other comprehensive loss (G) (3,775) (1,600)
Total Alcoa Corporation shareholders’ equity 5,654 9,442
Noncontrolling interest (A) 2,043 2,071
Total equity 7,697 11,513
Total Liabilities and Equity $16,741 $16,413
The accompanying notes are an integral part of the consolidated financial statements.
99
Alcoa Corporation and subsidiaries
Statement of Consolidated Cash Flows
(in millions)
For the year ended December 31, 2016 2015 2014
Cash from Operations
Net loss $ (346) $(739) $(347)
Adjustments to reconcile net loss to cash from operations:
Depreciation, depletion, and amortization 718 780 954
Deferred income taxes (P)(46) 86 (50)
Equity income, net of dividends (H) 48 158 97
Restructuring and other charges (D) 318 983 863
Net gain from investing activities—asset sales (S) (164) (32) (34)
Net periodic pension benefit cost (N) 66 67 77
Stock-based compensation (M) 28 35 39
Other (16) 41 15
Changes in assets and liabilities, excluding effects of acquisitions, divestitures, and foreign currency
translation adjustments:
(Increase) Decrease in receivables (234) 130 (91)
Decrease (Increase) in inventories 1 212 (126)
(Increase) Decrease in prepaid expenses and other current assets (52) 58 (21)
Increase (Decrease) in accounts payable, trade 6 (156) 110
(Decrease) in accrued expenses (320) (311) (404)
(Decrease) in taxes, including income taxes (148) (32) (67)
Pension contributions (N) (66) (69) (154)
(Increase) in noncurrent assets (R) (184) (356) (32)
Increase in noncurrent liabilities 80 20 13
Cash (used for) provided from operations (311) 875 842
Financing Activities
Net transfers from (to) Parent Company 802 (34) (332)
Cash provided at separation to Parent Company (A) (1,072) - -
Net change in short-term borrowings (original maturities of three months or less) (4) - -
Additions to debt (original maturities greater than three months) - - 1
Payments on debt (original maturities greater than three months) (L) (34) (24) (36)
Proceeds from exercise of employee stock options (M) 10 - -
Contributions from noncontrolling interest (A) 48 2 43
Distributions to noncontrolling interest (233) (106) (120)
Cash used for financing activities (483) (162) (444)
Investing Activities
Capital expenditures (404) (391) (444)
Proceeds from the sale of assets and businesses (C) 112 70 223
Additions to investments (H)(3) (63) (145)
Sales of investments (H)146 - 28
Net change in restricted cash (L) 1,226 - -
Cash provided from (used for) investing activities 1,077 (384) (338)
Effect of exchange rate changes on cash and cash equivalents 13 (38) (7)
Net change in cash and cash equivalents 296 291 53
Cash and cash equivalents at beginning of year 557 266 213
Cash and cash equivalents at end of year $ 853 $ 557 $ 266
The accompanying notes are an integral part of the consolidated financial statements.
100
Alcoa Corporation and subsidiaries
Statement of Changes in Consolidated Equity
(in millions)
Alcoa Corporation Shareholders
Parent
Company
net investment
Common
stock
Additional
capital
Retained
deficit
Accumulated
other compre-
hensive loss
Noncontrolling
interest
Total
equity
Balance at December 31, 2013 $12,550 $- $ - $ - $ (657) $2,896 $14,789
Net loss (256) - - - - (91) (347)
Other comprehensive loss (G) - - - - (659) (249) (908)
Change in Parent Company net investment (379) - - - - - (379)
Distributions - - - - - (120) (120)
Contributions (A) - - - - - 43 43
Other - - - - - (5) (5)
Balance at December 31, 2014 11,915 - - - (1,316) 2,474 13,073
Net (loss) income (863) - - - - 124 (739)
Other comprehensive loss (G) - - - - (284) (421) (705)
Change in Parent Company net investment (10) - - - - - (10)
Distributions - - - - - (106) (106)
Contributions (A) - - - - - 2 2
Other - - - - - (2) (2)
Balance at December 31, 2015 11,042 - - - (1,600) 2,071 11,513
Net (loss) income (296) - - (104) - 54 (346)
Other comprehensive (loss) income (G) - - - - (335) 106 (229)
Establishment of additional defined benefit
plans (N) 176 - - - (2,704) - (2,528)
Change in Parent Company net investment (603) - - - - - (603)
Cash provided at separation to Parent
Company (A) (1,072) - - - - - (1,072)
Separation-related adjustments (A) (9,247) - 9,521 - 864 - 1,138
Issuance of common stock (M) - 2 (2) - - - -
Stock-based compensation (M) - - 2 - - - 2
Common stock issued: compensation
plans (M) - - 10 - - - 10
Distributions - - - - - (233) (233)
Contributions (A) - - - - - 48 48
Other - - - - - (3) (3)
Balance at December 31, 2016 $ - $2 $9,531 $(104) $(3,775) $2,043 $ 7,697
The accompanying notes are an integral part of the consolidated financial statements.
101
Alcoa Corporation and subsidiaries
Notes to the Consolidated Financial Statements
(dollars in millions, except per-share amounts)
A. Basis of Presentation
Alcoa Corporation (or the “Company”) is a vertically integrated aluminum company comprised of bauxite mining,
alumina refining, aluminum production (smelting, casting, and rolling), and energy generation. The Company has
43 operating locations in 10 countries around the world, primarily in Australia, Brazil, Canada, Europe, and the
United States.
References in these Notes to “ParentCo” refer to Alcoa Inc., a Pennsylvania corporation, and its consolidated
subsidiaries (through October 31, 2016, at which time was renamed Arconic Inc. (Arconic)).
Separation Transaction.On September 28, 2015, ParentCo’s Board of Directors preliminarily approved a plan to
separate ParentCo into two standalone, publicly-traded companies (the “Separation Transaction”). One company, later
named Alcoa Corporation, was to include the Alumina and Primary Metals segments, which comprised the bauxite
mining, alumina refining, aluminum production, and energy operations of ParentCo, as well as the Warrick, Indiana
rolling operations and the 25.1% equity interest in the rolling mill at the joint venture in Saudi Arabia, both of which
were part of ParentCo’s Global Rolled Products segment. ParentCo, later changed its name to Arconic Inc., was to
continue to own the Global Rolled Products (except for the aforementioned rolling operations that were to be included
in Alcoa Corporation), Engineered Products and Solutions, and Transportation and Construction Solutions segments.
The Separation Transaction was subject to a number of conditions, including, but not limited to: final approval by
ParentCo’s Board of Directors (see below); the continuing validity of the private letter ruling from the Internal
Revenue Service regarding certain U.S. federal income tax matters relating to the transaction; receipt of an opinion of
legal counsel regarding the qualification of the distribution, together with certain related transactions, as a transaction
that is generally tax-free for U.S. federal income tax purposes; and the U.S. Securities and Exchange Commission (the
“SEC”) declaring effective a Registration Statement on Form 10, as amended, filed with the SEC on October 11, 2016
(effectiveness was declared by the SEC on October 17, 2016).
On September 29, 2016, ParentCo’s Board of Directors approved the completion of the Separation Transaction by
means of a pro rata distribution by ParentCo of 80.1% of the outstanding common stock of Alcoa Corporation to
ParentCo shareholders of record as of the close of business on October 20, 2016 (the “Record Date”). Arconic was to
retain the remaining 19.9% of Alcoa Corporation common stock. At the time of the Separation Transaction, ParentCo
shareholders were to receive one share of Alcoa Corporation common stock for every three shares of ParentCo
common stock held as of the close of business on the Record Date. ParentCo shareholders were to receive cash in lieu
of fractional shares.
In connection with the Separation Transaction, as of October 31, 2016, Alcoa Corporation entered into certain
agreements with Arconic to implement the legal and structural separation between the two companies, govern the
relationship between Alcoa Corporation and Arconic after the completion of the Separation Transaction, and allocate
between Alcoa Corporation and Arconic various assets, liabilities and obligations, including, among other things,
employee benefits, environmental liabilities, intellectual property, and tax-related assets and liabilities. These
agreements included a Separation and Distribution Agreement, Tax Matters Agreement, Employee Matters Agreement,
Transition Services Agreement, and certain Patent, Know-How, Trade Secret License and Trademark License
Agreements.
On November 1, 2016 (the “Separation Date”), the Separation Transaction was completed and became effective at
12:01 a.m. Eastern Standard Time. To effect the Separation Transaction, ParentCo undertook a series of transactions to
separate the net assets and certain legal entities of ParentCo, resulting in a cash payment of $1,072 to ParentCo by
Alcoa Corporation with the net proceeds of a previous debt offering (see Note L). In conjunction with the Separation
102
Transaction, 146,159,428 shares of Alcoa Corporation common stock were distributed to ParentCo shareholders.
Additionally, Arconic retained 36,311,767 shares of Alcoa Corporation common stock representing its 19.9% retained
interest (on February 14, 2017, Arconic sold 23,353,000 of these shares). “Regular-way” trading of Alcoa
Corporation’s common stock began with the opening of the New York Stock Exchange on November 1, 2016 under
the ticker symbol “AA.” Alcoa Corporation’s common stock has a par value of $0.01 per share.
ParentCo incurred costs to evaluate, plan, and execute the Separation Transaction, and Alcoa Corporation was
allocated a pro rata portion of those costs based on segment revenue (see Cost Allocations below). ParentCo
recognized $152 from January 2016 through October 2016 and $24 in 2015 for costs related to the Separation
Transaction, of which $68 and $12, respectively, was allocated to Alcoa Corporation. The allocated amounts were
included in Selling, general administrative, and other expenses on the accompanying Statement of Consolidated
Operations.
Basis of Presentation.The Consolidated Financial Statements of Alcoa Corporation are prepared in conformity with
accounting principles generally accepted in the United States of America (GAAP) and require management to make
certain judgments, estimates, and assumptions. These may affect the reported amounts of assets and liabilities and the
disclosure of contingent assets and liabilities at the date of the financial statements. They also may affect the reported
amounts of revenues and expenses during the reporting periods. Actual results could differ from those estimates upon
subsequent resolution of identified matters.
Principles of Consolidation.The Consolidated Financial Statements of Alcoa Corporation include the accounts of
Alcoa Corporation and companies in which Alcoa Corporation has a controlling interest, including those that comprise
the Alcoa World Alumina & Chemicals (AWAC) joint venture (see below). Intercompany transactions have been
eliminated. The equity method of accounting is used for investments in affiliates and other joint ventures over which
Alcoa Corporation has significant influence but does not have effective control. Investments in affiliates in which
Alcoa Corporation cannot exercise significant influence are accounted for on the cost method.
AWAC is an unincorporated global joint venture between Alcoa Corporation and Alumina Limited of Australia
(Alumina Limited) and consists of a number of affiliated operating entities, which own, or have an interest in, or
operate the bauxite mines and alumina refineries within Alcoa Corporation’s Bauxite and Alumina segments (except
for the Poços de Caldas mine and refinery and a portion of the São Luís refinery, all in Brazil) and the Portland smelter
in Australia. Alcoa Corporation owns 60% and Alumina Limited owns 40% of these individual entities, which are
consolidated by the Company for financial reporting purposes and include Alcoa of Australia Limited (AofA), Alcoa
World Alumina LLC (AWA), and Alcoa World Alumina Brasil Ltda. (AWAB). Alumina Limited’s interest in the
equity of such entities is reflected as Noncontrolling interest on the accompanying Consolidated Balance Sheet. In
2016, 2015, and 2014, AWAC received $48, $2, and $43, respectively, in contributions from Alumina Limited.
Management evaluates whether an Alcoa Corporation entity or interest is a variable interest entity and whether Alcoa
Corporation is the primary beneficiary. Consolidation is required if both of these criteria are met. Alcoa Corporation
does not have any variable interest entities requiring consolidation.
Prior to the Separation Date, Alcoa Corporation did not operate as a separate, standalone entity. Alcoa Corporation’s
operations were included in ParentCo’s financial results. Accordingly, for all periods prior to the Separation Date, the
accompanying Consolidated Financial Statements were prepared from ParentCo’s historical accounting records and
were presented on a standalone basis as if Alcoa Corporation’s operations had been conducted independently from
ParentCo. Such Consolidated Financial Statements include the historical operations that were considered to comprise
Alcoa Corporation’s businesses, as well as certain assets and liabilities that were historically held at ParentCo’s
corporate level but were specifically identifiable or otherwise attributable to Alcoa Corporation. ParentCo’s net
investment in these operations is reflected as Parent Company net investment in the accompanying Consolidated
Balance Sheet. All significant transactions and accounts within Alcoa Corporation have been eliminated. All
significant intercompany transactions between ParentCo and Alcoa Corporation were included within Parent Company
net investment in the accompanying Consolidated Financial Statements.
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Cost Allocations.The description and information on cost allocations is applicable for all periods included in the
Consolidated Financial Statements prior to the Separation Date.
The Consolidated Financial Statements of Alcoa Corporation include general corporate expenses of ParentCo that were
not historically charged to Alcoa Corporation for certain support functions that were provided on a centralized basis,
such as expenses related to finance, audit, legal, information technology, human resources, communications,
compliance, facilities, employee benefits and compensation, and research and development activities. These general
corporate expenses were included in the accompanying Statement of Consolidated Operations within Cost of goods
sold, Selling, general administrative and other expenses, and Research and development expenses. These expenses
were allocated to Alcoa Corporation on the basis of direct usage when identifiable, with the remainder allocated based
on Alcoa Corporation’s segment revenue as a percentage of ParentCo’s total segment revenue for both Alcoa
Corporation and Arconic.
All external debt not directly attributable to Alcoa Corporation was excluded from the accompanying Consolidated
Balance Sheet of Alcoa Corporation. Financing costs related to these debt obligations were allocated to Alcoa
Corporation based on the ratio of capital invested in Alcoa Corporation to the total capital invested by ParentCo in both
Alcoa Corporation and Arconic, and were included in the accompanying Statement of Consolidated Operations within
Interest expense.
The following table reflects the allocations described above:
2016 2015 2014
Cost of goods sold(1)$40 $93 $76
Selling, general administrative, and other expenses(2)150 146 158
Research and development expenses 2 17 21
Provision for depreciation, depletion, and amortization 18 22 37
Restructuring and other charges(3)13223
Interest expense 198 245 278
Other (income) expenses, net $ (7) $ 12 $ 5
(1)Allocation principally relates to expenses for ParentCo’s retained pension and other postretirement benefits
associated with closed and sold operations.
(2)Allocation includes costs incurred by ParentCo associated with the Separation Transaction (see Separation
Transaction above).
(3)Allocation primarily relates to layoff programs for ParentCo corporate employees.
Management believes the assumptions regarding the allocation of ParentCo’s general corporate expenses and financing
costs were reasonable.
Nevertheless, the Consolidated Financial Statements of Alcoa Corporation may not include all of the actual expenses
that would have been incurred and may not reflect Alcoa Corporation’s consolidated results of operations, financial
position, and cash flows had it been a standalone company during the periods prior to the Separation Date. Actual costs
that would have been incurred if Alcoa Corporation had been a standalone company would depend on multiple factors,
including organizational structure, capital structure, and strategic decisions made in various areas, including
information technology and infrastructure. Transactions between Alcoa Corporation and ParentCo, including sales to
Arconic, were included as related party transactions in the Consolidated Financial Statements and are considered to be
effectively settled for cash at the time the transaction was recorded. The total net effect of the settlement of these
transactions is reflected in the accompanying Statement of Consolidated Cash Flows as a financing activity and in the
accompanying Consolidated Balance Sheet as Parent Company net investment.
Cash Management.The description and information on cash management is applicable for all periods included in the
Consolidated Financial Statements prior to the Separation Date.
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Cash was managed centrally with certain net earnings reinvested locally and working capital requirements met from
existing liquid funds. Accordingly, the cash and cash equivalents held by ParentCo at the corporate level were not
attributed to Alcoa Corporation for any of the periods prior to the Separation Date. Only cash amounts specifically
attributable to Alcoa Corporation were reflected in the accompanying Consolidated Balance Sheet. Transfers of cash,
both to and from ParentCo’s centralized cash management system, were reflected as a component of Parent Company
net investment in the accompanying Consolidated Balance Sheet and as a financing activity on the accompanying
Consolidated Statement of Cash Flows.
ParentCo had an arrangement with several financial institutions to sell certain customer receivables without recourse
on a revolving basis. The sale of such receivables was completed through the use of a bankruptcy-remote special-
purpose entity, which was a consolidated subsidiary of ParentCo. In connection with this arrangement, certain of Alcoa
Corporation’s customer receivables were sold on a revolving basis to this bankruptcy-remote subsidiary of ParentCo;
these sales were reflected as a component of Parent Company net investment in the accompanying Consolidated
Balance Sheet.
ParentCo participated in several accounts payable settlement arrangements with certain vendors and third-party
intermediaries. These arrangements provided that, at the vendor’s request, the third-party intermediary advance the
amount of the scheduled payment to the vendor, less an appropriate discount, before the scheduled payment date and
ParentCo made payment to the third-party intermediary on the date stipulated in accordance with the commercial terms
negotiated with its vendors. In connection with these arrangements, certain of Alcoa Corporation’s accounts payable
were settled, at the vendor’s request, before the scheduled payment date; these settlements were reflected as a
component of Parent Company net investment in the accompanying Consolidated Balance Sheet.
Related Party Transactions.Alcoa Corporation buys products from and sells products to various related companies,
consisting of entities in which Alcoa Corporation retains a 50% or less equity interest, at negotiated prices between the
two parties. These transactions were not material to the financial position or results of operations of Alcoa Corporation
for all periods presented.
Transactions between Alcoa Corporation and Arconic have been presented as related party transactions in the
accompanying Consolidated Financial Statements. Sales to Arconic from Alcoa Corporation were $958, $1,078, and
$1,783 in 2016, 2015, and 2014, respectively. As of December 31, 2016, outstanding receivables from Arconic were
not material to the accompanying Consolidated Balance Sheet.
B. Summary of Significant Accounting Policies
Cash Equivalents.Cash equivalents are highly liquid investments purchased with an original maturity of three months
or less.
Inventory Valuation.Inventories are carried at the lower of cost or market, with cost for a substantial portion of U.S.
and Canadian inventories determined under the last-in, first-out (LIFO) method. The cost of other inventories is
principally determined under the average-cost method.
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Properties, Plants, and Equipment.Properties, plants, and equipment are recorded at cost. Depreciation is recorded
principally on the straight-line method at rates based on the estimated useful lives of the assets. For greenfield assets,
which refer to the construction of new assets on undeveloped land, the units of production method is used to record
depreciation. These assets require a significant period (generally greater than one-year) to ramp-up to full production
capacity. As a result, the units of production method is deemed a more systematic and rational method for recognizing
depreciation on these assets. Depreciation is recorded on temporarily idled facilities until such time management
approves a permanent closure. The following table details the weighted-average useful lives of structures and
machinery and equipment by reporting segment (numbers in years):
Segment Structures Machinery and equipment
Bauxite 35 17
Alumina 30 27
Aluminum 36 22
Cast Products 33 19
Energy 34 25
Rolled Products 31 22
Gains or losses from the sale of assets are generally recorded in other income or expenses. Repairs and maintenance are
charged to expense as incurred. Interest related to the construction of qualifying assets is capitalized as part of the
construction costs.
Properties, plants, and equipment are reviewed for impairment whenever events or changes in circumstances indicate
that the carrying amount of such assets (asset group) may not be recoverable. Recoverability of assets is determined by
comparing the estimated undiscounted net cash flows of the operations related to the assets (asset group) to their
carrying amount. An impairment loss would be recognized when the carrying amount of the assets (asset group)
exceeds the estimated undiscounted net cash flows. The amount of the impairment loss to be recorded is calculated as
the excess of the carrying value of the assets (asset group) over their fair value, with fair value determined using the
best information available, which generally is a discounted cash flow (DCF) model. The determination of what
constitutes an asset group, the associated estimated undiscounted net cash flows, and the estimated useful lives of
assets also require significant judgments.
Equity Investments.Alcoa Corporation invests in a number of privately-held companies, primarily through joint
ventures and consortia, which are accounted for using the equity method. The equity method is applied in situations
where Alcoa Corporation has the ability to exercise significant influence, but not control, over the investee.
Management reviews equity investments for impairment whenever certain indicators are present suggesting that the
carrying value of an investment is not recoverable. This analysis requires a significant amount of judgment from
management to identify events or circumstances indicating that an equity investment is impaired. The following items
are examples of impairment indicators: significant, sustained declines in an investee’s revenue, earnings, and cash flow
trends; adverse market conditions of the investee’s industry or geographic area; the investee’s ability to continue
operations measured by several items, including liquidity; and other factors. Once an impairment indicator is identified,
management uses considerable judgment to determine if the impairment is other than temporary, in which case the
equity investment is written down to its estimated fair value. An impairment that is other than temporary could
significantly and adversely impact reported results of operations.
Deferred Mining Costs.Alcoa Corporation recognizes deferred mining costs during the development stage of a mine
life cycle. Such costs include the construction of access and haul roads, detailed drilling and geological analysis to
further define the grade and quality of the known bauxite, and overburden removal costs. These costs relate to sections
of the related mines where Alcoa Corporation is either currently extracting bauxite or is preparing for production in the
near term. These sections are outlined and planned incrementally and generally are mined over periods ranging from
one to five years, depending on mine specifics. The amount of geological drilling and testing necessary to determine
the economic viability of the bauxite deposit being mined is such that the reserves are considered to be proven, and the
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mining costs are amortized based on this level of reserves. Deferred mining costs are included in Other noncurrent
assets on the accompanying Consolidated Balance Sheet.
Goodwill and Other Intangible Assets.Goodwill is not amortized; instead, it is reviewed for impairment annually (in
the fourth quarter) or more frequently if indicators of impairment exist or if a decision is made to sell or exit a business.
A significant amount of judgment is involved in determining if an indicator of impairment has occurred. Such
indicators may include deterioration in general economic conditions, negative developments in equity and credit
markets, adverse changes in the markets in which an entity operates, increases in input costs that have a negative effect
on earnings and cash flows, or a trend of negative or declining cash flows over multiple periods, among others. The fair
value that could be realized in an actual transaction may differ from that used to evaluate the impairment of goodwill.
Goodwill is allocated among and evaluated for impairment at the reporting unit level, which is defined as an operating
segment or one level below an operating segment. Alcoa Corporation has six reporting units as follows: Bauxite,
Alumina, Aluminum, Cast Products, Energy, and Rolled Products. Of these six reporting units, only Bauxite and
Alumina contain goodwill. As of December 31, 2016, the carrying value of the goodwill for Bauxite and Alumina was
$52 and $103, respectively. These amounts include an allocation of goodwill held at the corporate level (see Note K).
In reviewing goodwill for impairment, an entity has the option to first assess qualitative factors to determine whether
the existence of events or circumstances leads to a determination that it is more likely than not (greater than 50%) that
the estimated fair value of a reporting unit is less than its carrying amount. If an entity elects to perform a qualitative
assessment and determines that an impairment is more likely than not, the entity is then required to perform the
existing two-step quantitative impairment test (described below), otherwise no further analysis is required. An entity
also may elect not to perform the qualitative assessment and, instead, proceed directly to the two-step quantitative
impairment test. The ultimate outcome of the goodwill impairment review for a reporting unit should be the same
whether an entity chooses to perform the qualitative assessment or proceeds directly to the two-step quantitative
impairment test.
Alcoa Corporation’s policy for its annual review of goodwill is to perform the qualitative assessment for all reporting
units not subjected directly to the two-step quantitative impairment test. Generally, management will proceed directly
to the two-step quantitative impairment test for each of its two reporting units that contain goodwill at least once during
every three-year period, as part of its annual review of goodwill.
Under the qualitative assessment, various events and circumstances (or factors) that would affect the estimated fair
value of a reporting unit are identified (similar to impairment indicators above). These factors are then classified by the
type of impact they would have on the estimated fair value using positive, neutral, and adverse categories based on
current business conditions. Additionally, an assessment of the level of impact that a particular factor would have on
the estimated fair value is determined using high, medium, and low weighting. Furthermore, management considers the
results of the most recent two-step quantitative impairment test completed for a reporting unit and compares the
weighted average cost of capital (WACC) between the current and prior years for each reporting unit.
During the 2016 annual review of goodwill, management performed the qualitative assessment for the Bauxite
reporting unit. Management concluded it was not more likely than not that the estimated fair value of this reporting unit
was less than its carrying value. As such, no further analysis was required.
Under the two-step quantitative impairment test, the evaluation of impairment involves comparing the current fair
value of each reporting unit to its carrying value, including goodwill. Alcoa Corporation uses a DCF model to estimate
the current fair value of its reporting units when testing for impairment, as management believes forecasted cash flows
are the best indicator of such fair value. A number of significant assumptions and estimates are involved in the
application of the DCF model to forecast operating cash flows, including markets and market share, sales volumes and
prices, production costs, tax rates, capital spending, discount rate, and working capital changes. Certain of these
assumptions can vary significantly among the reporting units. Cash flow forecasts are generally based on approved
business unit operating plans for the early years and historical relationships in later years. The betas used in calculating
the individual reporting units’ WACC rate are estimated for each business with the assistance of valuation experts.
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In the event the estimated fair value of a reporting unit per the DCF model is less than the carrying value, additional
analysis would be required. The additional analysis would compare the carrying amount of the reporting unit’s
goodwill with the implied fair value of that goodwill, which may involve the use of valuation experts. The implied fair
value of goodwill is the excess of the fair value of the reporting unit over the fair value amounts assigned to all of the
assets and liabilities of that unit as if the reporting unit was acquired in a business combination and the fair value of the
reporting unit represented the purchase price. If the carrying value of goodwill exceeds its implied fair value, an
impairment loss equal to such excess would be recognized.
During the 2016 annual review of goodwill, management proceeded directly to the two-step quantitative impairment
test for the Alumina reporting unit. The estimated fair value of this reporting unit was substantially in excess of its
carrying value, resulting in no impairment.
Goodwill impairment tests in all prior years presented indicated that goodwill was not impaired for any of Alcoa
Corporation’s reporting units, and there were no triggering events since that time that necessitated an impairment test.
Intangible assets with finite useful lives are amortized generally on a straight-line basis over the periods benefited. The
following table details the weighted-average useful lives of software and other intangible assets by reporting segment
(numbers in years):
Segment Software Other intangible assets
Bauxite 8 10
Alumina 7 19
Aluminum 6 38
Cast Products 3 —
Energy 437
Rolled Products 6 20
Asset Retirement Obligations.Alcoa Corporation recognizes asset retirement obligations (AROs) related to legal
obligations associated with the normal operation of bauxite mines, alumina refineries, and aluminum smelters. These
AROs consist primarily of costs associated with mine reclamation, closure of bauxite residue areas, spent pot lining
disposal, and landfill closure. Alcoa Corporation also recognizes AROs for any significant lease restoration obligation,
if required by a lease agreement, and for the disposal of regulated waste materials related to the demolition of certain
power facilities. The fair values of these AROs are recorded on a discounted basis, at the time the obligation is
incurred, and accreted over time for the change in present value. Additionally, Alcoa Corporation capitalizes asset
retirement costs by increasing the carrying amount of the related long-lived assets and depreciating these assets over
their remaining useful life.
Certain conditional asset retirement obligations (CAROs) related to alumina refineries, aluminum smelters, rolling
mills, and energy generation facilities have not been recorded in the Consolidated Financial Statements due to
uncertainties surrounding the ultimate settlement date. A CARO is a legal obligation to perform an asset retirement
activity in which the timing and/or method of settlement are conditional on a future event that may or may not be
within Alcoa Corporation’s control. Such uncertainties exist as a result of the perpetual nature of the structures,
maintenance and upgrade programs, and other factors. At the date a reasonable estimate of the ultimate settlement date
can be made (e.g., planned demolition), Alcoa Corporation would record an ARO for the removal, treatment,
transportation, storage, and/or disposal of various regulated assets and hazardous materials such as asbestos,
underground and aboveground storage tanks, polychlorinated biphenyls (PCBs), various process residuals, solid
wastes, electronic equipment waste, and various other materials. Such amounts may be material to the Consolidated
Financial Statements in the period in which they are recorded.
Environmental Matters.Expenditures for current operations are expensed or capitalized, as appropriate. Expenditures
relating to existing conditions caused by past operations, which will not contribute to future revenues, are expensed.
Liabilities are recorded when remediation costs are probable and can be reasonably estimated. The liability may
include costs such as site investigations, consultant fees, feasibility studies, outside contractors, and monitoring
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expenses. Estimates are generally not discounted or reduced by potential claims for recovery. Claims for recovery are
recognized as agreements are reached with third parties. The estimates also include costs related to other potentially
responsible parties to the extent that Alcoa Corporation has reason to believe such parties will not fully pay their
proportionate share. The liability is continuously reviewed and adjusted to reflect current remediation progress,
prospective estimates of required activity, and other factors that may be relevant, including changes in technology or
regulations.
Litigation Matters.For asserted claims and assessments, liabilities are recorded when an unfavorable outcome of a
matter is deemed to be probable and the loss is reasonably estimable. Management determines the likelihood of an
unfavorable outcome based on many factors such as, among others, the nature of the matter, available defenses and
case strategy, progress of the matter, views and opinions of legal counsel and other advisors, applicability and success
of appeals processes, and the outcome of similar historical matters. Once an unfavorable outcome is deemed probable,
management weighs the probability of estimated losses, and the most reasonable loss estimate is recorded. If an
unfavorable outcome of a matter is deemed to be reasonably possible, then the matter is disclosed and no liability is
recorded. With respect to unasserted claims or assessments, management must first determine that the probability that
an assertion will be made is likely, then, a determination as to the likelihood of an unfavorable outcome and the ability
to reasonably estimate the potential loss is made. Legal matters are reviewed on a continuous basis to determine if there
has been a change in management’s judgment regarding the likelihood of an unfavorable outcome or the estimate of a
potential loss.
Revenue Recognition.Alcoa Corporation recognizes revenue when title, ownership, and risk of loss pass to the
customer, all of which occurs upon shipment or delivery of the product and is based on the applicable shipping terms.
The shipping terms vary across all businesses and depend on the product, the country of origin, and the type of
transportation (truck, train, or vessel). Alcoa Corporation periodically enters into long-term supply contracts with
alumina and aluminum customers and receives advance payments for product to be delivered in future periods. These
advance payments are recorded as deferred revenue, and revenue is recognized as shipments are made and title,
ownership, and risk of loss pass to the customer during the term of the contracts. Deferred revenue is included in Other
current liabilities and Other noncurrent liabilities and deferred credits on the accompanying Consolidated Balance
Sheet.
Stock-Based Compensation.For all periods prior to the Separation Date (see Note A), employees attributable to
Alcoa Corporation operations participated in ParentCo’s stock-based compensation plans. The compensation expense
recorded by Alcoa Corporation included the expense associated with these employees, as well as the expense
associated with the allocation of stock-based compensation expense for ParentCo’s corporate employees. From the
Separation Date through December 31, 2016, Alcoa Corporation recorded stock-based compensation expense for all of
the Company’s employees. The following accounting policy describes how stock-based compensation expense is
initially determined for both Alcoa Corporation and ParentCo.
Compensation expense for employee equity grants is recognized using the non-substantive vesting period approach, in
which the expense (net of estimated forfeitures) is recognized ratably over the requisite service period based on the
grant date fair value. The fair value of new stock options is estimated on the date of grant using a lattice-pricing model.
Determining the fair value of stock options at the grant date requires judgment, including estimates for the average
risk-free interest rate, dividend yield, volatility, annual forfeiture rate, and exercise behavior. These assumptions may
differ significantly between grant dates because of changes in the actual results of these inputs that occur over time.
Most plan participants can choose whether to receive their award in the form of stock options, stock awards, or a
combination of both. This choice is made before the grant is issued and is irrevocable.
Pension and Other Postretirement Benefit Plans.For all periods prior to August 1, 2016 (see below), certain
employees attributable to Alcoa Corporation operations participated in defined benefit pension and other
postretirement benefit plans (the “Shared Plans”) sponsored by ParentCo, which also included participants attributable
to non-Alcoa Corporation operations. Alcoa Corporation accounted for these Shared Plans as multiemployer benefit
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plans. Accordingly, Alcoa Corporation did not record an asset or liability to recognize the funded status of the Shared
Plans. However, the related expense recorded by Alcoa Corporation was based primarily on pensionable compensation
and estimated interest costs related to employees attributable to Alcoa Corporation operations.
Prior to the Separation Date (see Note A), certain other plans that were entirely attributable to employees of Alcoa
Corporation-related operations (the “Direct Plans”) were accounted for as defined benefit pension and other
postretirement benefit plans. Accordingly, the funded and unfunded position of each Direct Plan was recorded in the
Consolidated Balance Sheet. Actuarial gains and losses that had not yet been recognized through earnings were
recorded in accumulated other comprehensive income, net of taxes, until they were amortized as a component of net
periodic benefit cost. The determination of benefit obligations and recognition of expenses related to Direct Plans is
dependent on various assumptions. The major assumptions primarily relate to discount rates, long-term expected rates
of return on plan assets, and future compensation increases. ParentCo’s management developed each assumption using
relevant company experience in conjunction with market-related data for each individual location in which such plans
exist.
In preparation for the Separation Transaction (see Note A), effective August 1, 2016, certain of the Shared Plans were
separated into standalone plans for both Alcoa Corporation and ParentCo (see Note N). Additionally, certain of the
other remaining Shared Plans were assumed by Alcoa Corporation (See Note N). Accordingly, from August 1, 2016
through December 31, 2016, the standalone plans and assumed plans were accounted for as defined benefit pension and
other postretirement plans. Additionally, the Direct Plans continued to be accounted for as defined benefit pension and
other postretirement plans through December 31, 2016.
Derivatives and Hedging.Derivatives are held for purposes other than trading and are part of a formally documented
risk management program. For derivatives designated as fair value hedges, Alcoa Corporation measures hedge
effectiveness by formally assessing, at inception and at least quarterly, the historical high correlation of changes in the
fair value of the hedged item and the derivative hedging instrument. For derivatives designated as cash flow hedges,
Alcoa Corporation measures hedge effectiveness by formally assessing, at inception and at least quarterly, the probable
high correlation of the expected future cash flows of the hedged item and the derivative hedging instrument. The
ineffective portions of both types of hedges are recorded in sales or other income or expense in the current period. If
the hedging relationship ceases to be highly effective or it becomes probable that an expected transaction will no longer
occur, future gains or losses on the derivative instrument are recorded in other income or expense.
Alcoa Corporation accounts for hedges of firm customer commitments for aluminum as fair value hedges. As a result,
the fair values of the derivatives and changes in the fair values of the underlying hedged items are reported in other
current and noncurrent assets and liabilities in the Consolidated Balance Sheet. Changes in the fair values of these
derivatives and underlying hedged items generally offset and are recorded each period in sales, consistent with the
underlying hedged item.
Alcoa Corporation accounts for hedges of foreign currency exposures and certain forecasted transactions as cash flow
hedges. The fair values of the derivatives are recorded in other current and noncurrent assets and liabilities in the
Consolidated Balance Sheet. The effective portions of the changes in the fair values of these derivatives are recorded in
other comprehensive income and are reclassified to sales, cost of goods sold, or other income or expense in the period
in which earnings are impacted by the hedged items or in the period that the transaction no longer qualifies as a cash
flow hedge. These contracts cover the same periods as known or expected exposures, generally not exceeding five
years.
If no hedging relationship is designated, the derivative is marked to market through earnings.
Cash flows from derivatives are recognized in the Statement of Consolidated Cash Flows in a manner consistent with
the underlying transactions.
Income Taxes.From the Separation Date (see Note A) through December 31, 2016, the provision for income taxes
was determined using the asset and liability approach of accounting for income taxes. Under this approach, the
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provision for income taxes represents income taxes paid or payable (or received or receivable) for the current year plus
the change in deferred taxes during the year. Deferred taxes represent the future tax consequences expected to occur
when the reported amounts of assets and liabilities are recovered or paid, and result from differences between the
financial and tax bases of Alcoa Corporation’s assets and liabilities and are adjusted for changes in tax rates and tax
laws when enacted.
In all periods prior to the Separation Date, Alcoa Corporation’s operations were included in the income tax filings of
ParentCo. The provision for income taxes in Alcoa Corporation’s Statement of Consolidated Operations was
determined in the same manner described above, but on a separate return methodology as if the Company was a
standalone taxpayer filing hypothetical income tax returns where applicable. Any additional accrued tax liability or
refund arising as a result of this approach was assumed to be immediately settled with ParentCo as a component of
Parent Company net investment. Deferred tax assets were also determined in the same manner described above and
were reflected in the Consolidated Balance Sheet for net operating losses, credits or other attributes to the extent that
such attributes were expected to transfer to Alcoa Corporation upon the Separation Transaction (see Note A). Any
difference from attributes generated in a hypothetical return on a separate return basis was adjusted as a component of
Parent Company net investment.
Valuation allowances are recorded to reduce deferred tax assets when it is more likely than not (greater than 50%) that
a tax benefit will not be realized. In evaluating the need for a valuation allowance, management considers all potential
sources of taxable income, including income available in carryback periods, future reversals of taxable temporary
differences, projections of taxable income, and income from tax planning strategies, as well as all available positive
and negative evidence. Positive evidence includes factors such as a history of profitable operations, projections of
future profitability within the carryforward period, including from tax planning strategies, and Alcoa Corporation’s
experience with similar operations. Existing favorable contracts and the ability to sell products into established markets
are additional positive evidence. Negative evidence includes items such as cumulative losses, projections of future
losses, or carryforward periods that are not long enough to allow for the utilization of a deferred tax asset based on
existing projections of income. Deferred tax assets for which no valuation allowance is recorded may not be realized
upon changes in facts and circumstances, resulting in a future charge to establish a valuation allowance. Existing
valuation allowances are re-examined under the same standards of positive and negative evidence. If it is determined
that it is more likely than not that a deferred tax asset will be realized, the appropriate amount of the valuation
allowance, if any, is released. Deferred tax assets and liabilities are also re-measured to reflect changes in underlying
tax rates due to law changes and the granting and lapse of tax holidays.
Tax benefits related to uncertain tax positions taken or expected to be taken on a tax return are recorded when such
benefits meet a more likely than not threshold. Otherwise, these tax benefits are recorded when a tax position has been
effectively settled, which means that the statute of limitation has expired or the appropriate taxing authority has
completed their examination even though the statute of limitations remains open. Interest and penalties related to
uncertain tax positions are recognized as part of the provision for income taxes and are accrued beginning in the period
that such interest and penalties would be applicable under relevant tax law until such time that the related tax benefits
are recognized.
Foreign Currency.The local currency is the functional currency for Alcoa Corporation’s significant operations
outside the United States, except for certain operations in Canada and Iceland, where the U.S. dollar is used as the
functional currency. The determination of the functional currency for Alcoa Corporation’s operations is made based on
the appropriate economic and management indicators.
Recently Adopted Accounting Guidance.On January 1, 2016, Alcoa Corporation adopted changes issued by the
Financial Accounting Standards Board (FASB) to the presentation of extraordinary items. Such items are defined as
transactions or events that are both unusual in nature and infrequent in occurrence, and, previously, were required to be
presented separately in an entity’s income statement, net of income tax, after income from continuing operations. The
changes eliminate the concept of an extraordinary item and, therefore, the presentation of such items is no longer
required. Notwithstanding this change, an entity is still required to present and disclose a transaction or event that is
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both unusual in nature and infrequent in occurrence in the notes to the financial statements. The adoption of these
changes had no impact on the Consolidated Financial Statements.
On January 1, 2016, Alcoa Corporation adopted changes issued by the FASB to the analysis an entity must perform to
determine whether it should consolidate certain types of legal entities. These changes (i) modify the evaluation of
whether limited partnerships and similar legal entities are variable interest entities or voting interest entities,
(ii) eliminate the presumption that a general partner should consolidate a limited partnership, (iii) affect the
consolidation analysis of reporting entities that are involved with variable interest entities, particularly those that have
fee arrangements and related party relationships, and (iv) provide a scope exception from consolidation guidance for
reporting entities with interests in legal entities that are required to comply with or operate in accordance with
requirements that are similar to those in Rule 2a-7 of the Investment Company Act of 1940 for registered money
market funds. The adoption of these changes had no impact on the Consolidated Financial Statements.
On January 1, 2016, Alcoa Corporation adopted changes issued by the FASB to the presentation of debt issuance costs.
Previously, such costs were required to be presented as a noncurrent asset in an entity’s balance sheet and amortized
into interest expense over the term of the related debt instrument. The changes require that debt issuance costs be
presented in an entity’s balance sheet as a direct deduction from the carrying value of the related debt liability. The
amortization of debt issuance costs remains unchanged. The FASB issued an update to these changes based on an
announcement of the staff of the SEC. This update provides an exception to the FASB changes allowing, but not
requiring, debt issuance costs related to line-of-credit arrangements to continue to be presented as an asset regardless of
whether there are any outstanding borrowings under such arrangement. This additional change also was adopted by
Alcoa Corporation on January 1, 2016. The adoption of these changes had an immaterial impact on the Consolidated
Financial Statements.
On January 1, 2016, Alcoa Corporation adopted changes issued by the FASB to the presentation in the fair value
hierarchy of the fair value of certain investments. An entity is permitted to measure the fair value of certain
investments using the net asset value per share as a practical expedient. Previously, such investments were categorized
in the fair value hierarchy on the basis of whether the investment was redeemable with the investee at net asset value
on the measurement date, never redeemable with the investee at net asset value, or redeemable with the investee at net
asset value at a future date. However, the application of this criteria to determine the proper category in which these
investments should be included in the fair value hierarchy differed from the criteria used to categorize other fair value
measurements within the hierarchy. As a result, to remove this inconsistency, these changes eliminate the requirement
to categorize such investments in the fair value hierarchy. Instead, an entity is required to present such investments
outside the fair value hierarchy as a separate category of investments. In accordance with these changes, Alcoa
Corporation removed a significant amount of investments related to its pension plans from the fair value hierarchy and
presented them as a separate category (see Note N). Other than a change in the disclosure of such investments, the
adoption of these changes had no impact on the Consolidated Financial Statements.
In 2016, Alcoa Corporation adopted changes issued by the FASB to the disclosure of uncertainties about an entity’s
ability to continue as a going concern. Under GAAP, continuation of a reporting entity as a going concern is presumed
as the basis for preparing financial statements unless and until the entity’s liquidation becomes imminent. Even if an
entity’s liquidation is not imminent, there may be conditions or events that raise substantial doubt about the entity’s
ability to continue as a going concern. Because there is no guidance in GAAP about management’s responsibility to
evaluate whether there is substantial doubt about an entity’s ability to continue as a going concern or to provide related
note disclosures, there is diversity in practice whether, when, and how an entity discloses the relevant conditions and
events in its financial statements. As a result, these changes require an entity’s management to evaluate whether there
are conditions or events, considered in the aggregate, that raise substantial doubt about the entity’s ability to continue
as a going concern within one year after the date that financial statements are issued. Substantial doubt is defined as an
indication that it is probable that an entity will be unable to meet its obligations as they become due within one year
after the date that financial statements are issued. If management has concluded that substantial doubt exists, then the
following disclosures should be made in the financial statements: (i) principal conditions or events that raised the
substantial doubt, (ii) management’s evaluation of the significance of those conditions or events in relation to the
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entity’s ability to meet its obligations, (iii) management’s plans that alleviated the initial substantial doubt or, if
substantial doubt was not alleviated, management’s plans that are intended to at least mitigate the conditions or events
that raise substantial doubt, and (iv) if the latter in (iii) is disclosed, an explicit statement that there is substantial doubt
about the entity’s ability to continue as a going concern. The adoption of these changes had no impact on the
Consolidated Financial Statements. Going forward, this guidance will need to continue to be applied by management at
the end of each annual period and interim period therein to determine what, if any, impact there may be on the
Consolidated Financial Statements in a given reporting period.
Recently Issued Accounting Guidance.In January 2016, the FASB issued changes to the accounting and reporting of
certain equity investments. These changes require equity investments (except those accounted for under the equity
method of accounting or those that result in consolidation of the investee) to be measured at fair value with changes in
fair value recognized in net income. However, an entity may choose to measure equity investments that do not have
readily determinable fair values at cost minus impairment, if any, plus or minus changes resulting from observable
price changes in orderly transactions for the identical or similar investment of the same issuer. Additionally, the
impairment assessment of equity investments without readily determinable fair values has been simplified by requiring
a qualitative assessment to identify impairment. These changes become effective for Alcoa Corporation on January 1,
2018. Management has determined that the adoption of these changes will not have an impact on the Consolidated
Financial Statements, as all of Alcoa Corporation’s equity investments are accounted for under the equity method of
accounting.
In February 2016, the FASB issued changes to the accounting and presentation of leases. These changes require lessees
to recognize a right of use asset and lease liability on the balance sheet for all leases with terms longer than 12 months.
For leases with a term of 12 months or less, a lessee is permitted to make an accounting policy election by class of
underlying asset not to recognize a right of use asset and lease liability. Additionally, when measuring assets and
liabilities arising from a lease, optional payments should be included only if the lessee is reasonably certain to exercise
an option to extend the lease, exercise a purchase option, or not exercise an option to terminate the lease. These
changes become effective for Alcoa Corporation on January 1, 2019. Upon adoption of these changes, management
does expect to record a right of use asset and lease liability on Alcoa Corporation’s Consolidated Balance Sheet. While
the precise amount of this asset and liability will not be known until closer to the adoption date, based on Alcoa
Corporation’s Consolidated Balance Sheet and lease portfolio as of December 31, 2016, the amount is expected to be
less than 5% of both total assets and total liabilities.
In March 2016, the FASB issued changes to derivative instruments designated as hedging instruments. These changes
clarify that a change in the counterparty to a derivative instrument that has been designated as a hedging instrument
does not, in and of itself, require de-designation of that hedging relationship provided that all other hedge accounting
criteria continue to be met. These changes become effective for Alcoa Corporation on January 1, 2017. Management
has determined that the adoption of these changes will not have an immediate impact on the Consolidated Financial
Statements. This guidance will need to be considered in the event the existing counterparty to any of Alcoa
Corporation’s derivative instruments changes to a new counterparty.
In March 2016, the FASB issued changes eliminating the requirement for an investor to adjust an equity method
investment, results of operations, and retained earnings retroactively on a step-by-step basis as if the equity method had
been in effect during all previous periods that the investment had been held as a result of an increase in the level of
ownership interest or degree of influence. Additionally, an entity that has an available-for-sale equity security that
becomes qualified for the equity method of accounting must recognize through earnings the unrealized holding gain or
loss in accumulated other comprehensive income at the date the investment becomes qualified for use of the equity
method. These changes become effective for Alcoa Corporation on January 1, 2017. Management has determined that
the adoption of these changes will not have an immediate impact on the Consolidated Financial Statements. This
guidance will need to be considered in the event any of Alcoa Corporation’s investments undergo a change as
previously described.
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In March 2016, the FASB issued changes to employee share-based payment accounting. Currently, an entity must
determine for each share-based payment award whether the difference between the deduction for tax purposes and the
compensation cost recognized for financial reporting purposes results in either an excess tax benefit or a tax deficiency.
Excess tax benefits are recognized in additional paid-in capital; tax deficiencies are recognized either as an offset to
accumulated excess tax benefits, if any, or in the income statement. Excess tax benefits are not recognized until the
deduction reduces taxes payable. The changes require all excess tax benefits and tax deficiencies related to share-based
payment awards to be recognized as income tax expense or benefit in the income statement. The tax effects of
exercised or vested awards should be treated as discrete items in the reporting period in which they occur. An entity
also should recognize excess tax benefits regardless of whether the benefit reduces taxes payable in the current period.
Additionally, the presentation of excess tax benefits related to share-based payment awards in the statement of cash
flows is changed. Currently, excess tax benefits must be separated from other income tax cash flows and classified as a
financing activity. The changes require excess tax benefits to be classified along with other income tax cash flows as an
operating activity. Also, the changes require cash paid by an employer when directly withholding shares for tax-
withholding purposes to be classified as a financing activity. Currently, there is no specific guidance on the
classification in the statement of cash flows of cash paid by an employer to the tax authorities when directly
withholding shares for tax-withholding purposes. Additionally, for a share-based award to qualify for equity
classification it cannot partially settle in cash in excess of the employer’s minimum statutory withholding requirements.
The changes permit equity classification of share-based awards for withholdings up to the maximum statutory tax rates
in applicable jurisdictions. These changes become effective for Alcoa Corporation on January 1, 2017. Management
has determined that the adoption of these changes will not have a material impact on the Consolidated Financial
Statements.
In June 2016, the FASB added a new impairment model (known as the current expected credit loss (CECL) model) that
is based on expected losses rather than incurred losses. Under the new guidance, an entity recognizes as an allowance
its estimate of expected credit losses. The CECL model applies to most debt instruments, trade receivables, lease
receivables, financial guarantee contracts, and other loan commitments. The CECL model does not have a minimum
threshold for recognition of impairment losses and entities will need to measure expected credit losses on assets that
have a low risk of loss. These changes become effective for Alcoa Corporation on January 1, 2020. Management is
currently evaluating the potential impact of these changes on the Consolidated Financial Statements.
In both August and October 2016, the FASB issued changes to the presentation of a number of items in the statement
of cash flows. Specifically, the changes identify nine specific cash flow items and the sections where they must be
presented within the statement of cash flows, including distributions received from equity method investees, proceeds
from the settlement of insurance claims, and restricted cash. These changes become effective for Alcoa Corporation on
January 1, 2018. Management has determined that the adoption of these changes will not have a material impact on the
Consolidated Financial Statements.
In October 2016, the FASB issued changes to the accounting for intra-entity transactions, other than
inventory. Currently, no immediate tax impact is recognized in an entity’s financial statements as a result of intra-entity
transfers of assets. An entity is precluded from reflecting a tax benefit or expense from an intra-entity asset transfer
between entities that file separate tax returns, whether or not such entities are in different tax jurisdictions, until the
asset has been sold to a third party or otherwise recovered. The buyer of such asset is prohibited from recognizing a
deferred tax asset for the temporary difference arising from the excess of the buyer’s tax basis over the cost to the
seller. The changes require the current and deferred income tax consequences of the intra-entity transfer to be recorded
when the transaction occurs. The exception to defer the tax consequences of inventory transactions is maintained.
These changes became effective for Alcoa Corporation on January 1, 2017. Management has determined that the
adoption of these changes will not have a material impact on the Consolidated Financial Statements.
In October 2016, the FASB issued changes to consolidation accounting. Prior to these changes, an entity is required to
consider indirect economic interests in a variable interest entity held through related parties under common control as
direct interests in their entirety in the entity’s assessment of whether it is the primary beneficiary of the variable interest
entity. The changes result in an entity considering such indirect economic interests only on a proportionate basis as
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indirect interests instead of as direct interests in their entirety. These changes became effective for Alcoa Corporation
on January 1, 2017. Management has determined that the adoption of these changes will not have an impact on the
Consolidated Financial Statements. This guidance will need to be considered in future assessments of whether Alcoa
Corporation is the primary beneficiary of a variable interest entity.
In July 2015, the FASB issued changes to the subsequent measurement of inventory. Currently, an entity is required to
measure its inventory at the lower of cost or market, whereby market can be replacement cost, net realizable value, or
net realizable value less an approximately normal profit margin. The changes require that inventory be measured at the
lower of cost and net realizable value, thereby eliminating the use of the other two market methodologies. Net
realizable value is defined as the estimated selling prices in the ordinary course of business less reasonably predictable
costs of completion, disposal, and transportation. These changes do not apply to inventories measured using LIFO
(last-in, first-out) or the retail inventory method. Currently, Alcoa Corporation applies the net realizable value market
option to measure non-LIFO inventories at the lower of cost or market. These changes became effective for Alcoa
Corporation on January 1, 2017. Management has determined that the adoption of these changes will not have an
impact on the Consolidated Financial Statements.
In May 2014, the FASB issued changes to the recognition of revenue from contracts with customers. These changes
created a comprehensive framework for all entities in all industries to apply in the determination of when to recognize
revenue, and, therefore, supersede virtually all existing revenue recognition requirements and guidance. This
framework is expected to result in less complex guidance in application while providing a consistent and comparable
methodology for revenue recognition. The core principle of the guidance is that an entity should recognize revenue to
depict the transfer of promised goods or services to customers in an amount that reflects the consideration to which the
entity expects to be entitled in exchange for those goods or services. To achieve this principle, an entity should apply
the following steps: (i) identify the contract(s) with a customer, (ii) identify the performance obligations in the
contract(s), (iii) determine the transaction price, (iv) allocate the transaction price to the performance obligations in the
contract(s), and (v) recognize revenue when, or as, the entity satisfies a performance obligation. In August 2015, the
FASB deferred the effective date by one year, making these changes effective for Alcoa Corporation on January 1,
2018. Management has not yet finalized its assessment of the potential impact of these changes on the Consolidated
Financial Statements, but does not currently expect the adoption of these changes to have a material impact on the
Consolidated Financial Statements.
C. Acquisitions and Divestitures
2016 Divestitures.In July 2016, Alcoa Corporation’s wholly-owned subsidiary, Alcoa Power Generating Inc., reached
an agreement to sell its 215-megawatt Yadkin Hydroelectric Project (Yadkin) to Cube Hydro Carolinas, LLC. Yadkin
encompasses four hydroelectric power developments (reservoirs, dams and powerhouses), known as High Rock,
Tuckertown, Narrows and Falls, situated along a 38-mile stretch of the Yadkin River through the central part of North
Carolina. This transaction is expected to close in the first half of 2017, subject to customary federal and state regulatory
approvals (see Note T). Upon completion of this transaction, Alcoa Corporation will pay to Arconic the after-tax
proceeds it receives in accordance with the Separation and Distribution Agreement entered into by both companies in
conjunction with the Separation Transaction (see Note A). As a result, Alcoa Corporation recorded a liability of $243,
which is reflected in Other current liabilities on the accompanying Consolidated Balance Sheet as of December 31,
2016, representing the estimated future payment to Arconic. The power generated by Yadkin is primarily sold into the
open market. Yadkin generated sales of $29 in 2016 and had approximately 30 employees as of December 31, 2016.
The carrying value of the net assets to be sold was $125 and $127 as of December 31, 2016 and 2015, respectively,
which consists mostly of properties, plants, and equipment.
2015 Divestitures.In 2015, Alcoa Corporation had post-closing adjustments, as provided for in the respective
purchase agreements, related to two divestitures completed in December 2014 (see 2014 Divestitures below). The
combined post-closing adjustments resulted in net cash received of $41 and a net loss of $24, which was recorded in
Restructuring and other charges (see Note D) on the accompanying Statement of Consolidated Operations. These two
divestitures are no longer subject to post-closing adjustments.
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2014 Divestitures.In 2014, Alcoa Corporation completed the divestiture of three operations as described below.
Combined, these transactions yielded net cash proceeds of $223 and resulted in a net loss of $216, which was recorded
in Restructuring and other charges (see Note D) on the accompanying Statement of Consolidated Operations. Two of
the three transactions were subject to certain post-closing adjustments as defined in the respective purchase agreements
as of December 31, 2014 (see 2015 Divestitures above).
In November 2014, Alcoa Corporation completed the sale of an aluminum rod plant located in Bécancour, Québec,
Canada to Sural Laminated Products. This facility takes molten aluminum and shapes it into the form of a rod, which is
used by customers primarily for the transportation of electricity. While owned by Alcoa Corporation, the operating
results and assets and liabilities of this plant were included in the former Primary Metals segment (see Note E). In
conjunction with this transaction, Alcoa Corporation entered into a multi-year agreement with Sural Laminated
Products to supply molten aluminum for the rod plant. The aluminum rod plant generated sales of approximately $200
in 2013 and, at the time of divestiture, had approximately 60 employees.
In December 2014, Alcoa Corporation’s majority-owned subsidiary (60%), Alcoa Minerals of Jamaica, LLC (AMJ,
part of AWAC), completed the sale of its 55% ownership stake in a bauxite mine and alumina refinery joint venture in
Jamaica to Noble Group Ltd. While owned by AMJ, 55% of both the operating results and assets and liabilities of this
joint venture were included in the former Alumina segment (see Note E). As it relates to AMJ’s previous 55%
ownership stake, the refinery (AMJ’s share of the capacity was 779 kmt-per-year) generated sales (third-party and
intersegment) of approximately $200 in 2013, and the refinery and mine combined, at the time of divestiture, had
approximately 500 employees.
Also in December 2014, Alcoa Corporation completed the sale of its 50.33% ownership stake in the Mt. Holly smelter
located in Goose Creek, South Carolina to Century Aluminum Company. While owned by Alcoa Corporation, 50.33%
of both the operating results and assets and liabilities related to the smelter were included in the former Primary Metals
segment (see Note E). As it relates to Alcoa Corporation’s previous 50.33% ownership stake, the smelter (Alcoa
Corporation’s share of the capacity was 115 kmt-per-year) generated sales of approximately $280 in 2013 and, at the
time of divestiture, had approximately 250 employees.
D. Restructuring and Other Charges
Restructuring and other charges for each year in the three-year period ended December 31, 2016 were comprised of the
following:
2016 2015 2014
Asset impairments $155 $311 $328
Asset retirement obligations 97 76 87
Layoff costs 32 199 157
Environmental remediation 26 86 28
Legal matters in Italy (R) - 201 -
Net (gain) loss on divestitures of businesses (C) (3) 25 214
Other 47 92 66
Reversals of previously recorded layoff and other exit costs (36) (7) (17)
Restructuring and other charges $318 $983 $863
* In 2016, 2015, and 2014, Other includes $1, $32, and $23, respectively, related to the allocation of restructuring
charges to Alcoa Corporation from ParentCo (see Note A).
Layoff costs were recorded based on approved detailed action plans submitted by the operating locations that specified
positions to be eliminated, benefits to be paid under existing severance plans, union contracts or statutory requirements,
and the expected timetable for completion of the plans.
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2016 Actions.In 2016, Alcoa Corporation recorded Restructuring and other charges of $318, which were comprised of
the following components: $131 for exit costs related to a decision to permanently close and demolish a refinery (see
below); $87 for additional net costs related to decisions made in late 2015 to permanently close and demolish the
Warrick (Indiana) smelter and to curtail the Wenatchee (Washington) smelter and Point Comfort (Texas) refinery (see
2015 Actions below); $72 for the impairment of an interest in gas exploration assets in Western Australia (see below);
$32 for layoff costs related to cost reduction initiatives, including the separation of approximately 75 employees (60 in
the Aluminum segment and 15 in the Bauxite segment) and related pension settlement costs (see Note N); a net charge
of $8 for other miscellaneous items; and a reversal of $12 associated with a number of small layoff reserves related to
prior periods.
In December 2016, management approved the permanent closure of the Suralco refinery (capacity of 2,207 kmt-per-
year) in Suriname. The Suralco refinery had been fully curtailed since November 2015 (see 2015 Actions below).
Management of ParentCo decided to curtail the remaining operating capacity of the Suralco refinery during 2015 in an
effort to improve the position of ParentCo’s refining operations on the global alumina cost curve. Since that time,
management of ParentCo (through October 31, 2016) and then separately management of Alcoa Corporation (from
November 1, 2016 through the end of 2016) had been in discussions with the Government of the Republic of Suriname
to determine the best long-term solution for Suralco due to limited bauxite reserves and the absence of a long-term
energy alternative. The decision to permanently close the Suralco refinery was based on the ultimate conclusion of
those discussions. Demolition and remediation activities related to this action will begin in mid-2017 and are expected
to be completed by the end of 2021. The related bauxite mines in Suriname will also be permanently closed while the
hydroelectric facility that supplied power to the Suralco refinery, known as Afobaka, will continue to operate and
supply power to the Government of the Republic of Suriname.
In 2016, costs related to the closure and curtailment actions included accelerated depreciation of $70 related to the
Warrick smelter as it continued to operate through March 2016; asset impairments of $16, representing the write-off of
the remaining book value of various assets; a reversal of $24 associated with severance costs initially recorded in late
2015; and $156 in other costs. Additionally in 2016, remaining inventories, mostly operating supplies and raw
materials, were written down to their net realizable value, resulting in a charge of $5, which was recorded in Cost of
goods sold on the accompanying Statement of Consolidated Operations. The other exit costs of $156 represent $94 in
asset retirement obligations and $26 in environmental remediation, both of which were triggered by the decisions to
permanently close and demolish the Suralco refinery (includes the rehabilitation of related bauxite mines) and the
rehabilitation of a coal mine related to the Warrick smelter, $32 for contraction terminations, and $4 in other related
costs.
Also in December 2016, management of Alcoa Corporation concluded that an interest in certain gas exploration assets
in Western Australia has been impaired. AofA owns an interest in a gas exploration project that was initially entered
into in 2007 as a potential source of low-cost gas to supply AofA’s refineries in Western Australia. This interest, now
at 43%, relates to four separate gas wells. In late 2016, AofA received the results of a technical analysis performed
earlier in the year for two of the wells and an updated analysis for a third well that concluded that the cost of gas
recovery would be significantly higher than the market price of gas. For the fourth well, the results of a technical
analysis performed prior to 2016 indicated that the cost of gas recovery would be lower than the market price of gas
and, therefore, would require additional investment to move to the next phase of commercial evaluation, which
management previously supported. In late 2016, management re-evaluated its options related to the fourth well and
decided it is not economical to make such a commitment for the foreseeable future. As a result, AofA fully impaired its
$72 interest.
As of December 31, 2016, approximately 55 of the 75 employees were separated. The remaining separations for 2016
restructuring programs are expected to be completed by the end of 2017. In 2016, cash payments of $7 were made
against layoff reserves related to 2016 restructuring programs.
2015 Actions.In 2015, Alcoa Corporation recorded Restructuring and other charges of $983, which were comprised of
the following components: $418 for exit costs related to decisions to permanently close and demolish three smelters
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and a power station (see below); $238 for the curtailment of two refineries and two smelters (see below); $201 related
to legal matters in Italy (see Note R); a $24 net loss primarily related to post-closing adjustments associated with two
December 2014 divestitures (see Note C); $45 for layoff costs, including the separation of approximately
465 employees; $33 for asset impairments related to prior capitalized costs for an expansion project at a refinery in
Australia that is no longer being pursued; a net credit of $1 for other miscellaneous items; a reversal of $7 associated
with a number of small layoff reserves related to prior periods; and $32 related to Corporate restructuring allocated to
Alcoa Corporation (see Note A).
During 2015, management initiated various alumina refining and aluminum smelting capacity curtailments and/or
closures. The curtailments were composed of the remaining capacity at all of the following: the São Luís smelter in
Brazil (74 kmt-per-year); the Suriname refinery (1,330 kmt-per-year); the Point Comfort refinery (2,010 kmt-per-year);
and the Wenatchee smelter (143 kmt-per-year). All of the curtailments were completed in 2015 except for 1,635 kmt-
per-year at the Point Comfort refinery, which was completed by the end of June 2016. The permanent closures were
composed of the capacity at the Warrick smelter (269 kmt-per-year) (includes the closure of a related coal mine) and
the infrastructure of the Massena East (New York) smelter (potlines were previously shut down in both 2013 and
2014—see 2014 Actions below), as the modernization of this smelter is no longer being pursued. The closure of the
Warrick smelter was completed by the end of March 2016.
The decisions on the above actions were part of a separate 12-month review in refining (2,800 kmt-per-year) and
smelting (500 kmt-per-year) capacity initiated by management in March 2015 for possible curtailment (partial or full),
permanent closure or divestiture. While many factors contributed to each decision, in general, these actions were
initiated to maintain competitiveness amid prevailing market conditions for both alumina and aluminum.
Separate from the actions initiated under the reviews described above, in mid-2015, management approved the
permanent closure and demolition of the Poços de Caldas smelter (capacity of 96 kmt-per-year) in Brazil and the
Anglesea power station (includes the closure of a related coal mine) in Australia. The entire capacity at Poços de
Caldas had been temporarily idled since May 2014 and the Anglesea power station was shut down at the end of August
2015. Demolition and remediation activities related to the Poços de Caldas smelter and the Anglesea power station
began in late 2015 and are expected to be completed by the end of 2026 and 2020, respectively.
The decision on the Poços de Caldas smelter was due to management’s conclusion that the smelter was no longer
competitive as a result of challenging global market conditions for primary aluminum, which led to the initial
curtailment, that have not dissipated and higher costs. For the Anglesea power station, the decision was made because a
sale process did not result in a sale and there would have been imminent operating costs and financial constraints
related to this site in the remainder of 2015 and beyond, including significant costs to source coal from available
resources, necessary maintenance costs, and a depressed outlook for forward electricity prices. The Anglesea power
station previously supplied approximately 40 percent of the power needs for the Point Henry smelter, which was closed
in August 2014 (see 2014 Actions below).
In 2015, costs related to the closure and curtailment actions included asset impairments of $226, representing the write-
off of the remaining book value of all related properties, plants, and equipment; $154 for the layoff of approximately
3,100 employees (1,800 in the former Primary Metals segment and 1,300 in the former Alumina segment—see Note
E), including $30 in pension costs (see Note N); accelerated depreciation of $85 related to certain facilities as they
continued to operate during 2015; and $222 in other exit costs. Additionally in 2015, remaining inventories, mostly
operating supplies and raw materials, were written down to their net realizable value, resulting in a charge of $90,
which was recorded in Cost of goods sold on the accompanying Statement of Combined Operations. The other exit
costs of $222 represent $72 in asset retirement obligations and $85 in environmental remediation, both of which were
triggered by the decisions to permanently close and demolish the aforementioned structures in the United States,
Brazil, and Australia (includes the rehabilitation of a related coal mine in each of Australia and the United States), and
$65 in supplier and customer contract-related costs.
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As of December 31, 2016, approximately 3,200 of the 3,400 (previously 3,600) employees were separated. The total
number of employees associated with 2015 restructuring programs was updated to reflect employees, who were
initially identified for separation, accepting other positions within ParentCo and natural attrition. The remaining
separations for 2015 restructuring programs are expected to be completed by mid-2017. In 2016 and 2015, cash
payments of $65 and $26, respectively, were made against layoff reserves related to 2015 restructuring programs.
2014 Actions.In 2014, Alcoa Corporation recorded Restructuring and other charges of $863, which were comprised of
the following components: $526 for exit costs related to decisions to permanently shut down and demolish three
smelters (see below); a $216 net loss for the divestitures of three operations (see Note C); $61 for the temporary
curtailment of two smelters and a related production slowdown at one refinery (see below); $33 for asset impairments
related to prior capitalized costs for a modernization project at a smelter in Canada that is no longer being pursued;
$9 for layoff costs, including the separation of approximately 60 employees; a net charge of $4 for an environmental
charge at a previously shut down refinery; $9 primarily for the reversal of a number of layoff reserves related to prior
periods; and $23 related to Corporate restructuring allocated to Alcoa Corporation (see Note A).
In early 2014, management approved the permanent closure and demolition of the remaining capacity (84 kmt-per-
year) at the Massena East smelter and the full capacity (190 kmt-per-year) at the Point Henry smelter in Australia. The
capacity at Massena East was fully shut down by the end of March 2014 and the Point Henry smelter was fully shut
down in August 2014. Demolition and remediation activities related to both the Massena East and Point Henry smelters
began in late 2014 and are expected to be completed by the end of 2020 and 2018, respectively.
The decisions on the Massena East and Point Henry smelters were part of a 15-month review of 460,000 metric tons of
smelting capacity initiated by management in May 2013 for possible curtailment. Through this review, management
determined that the remaining capacity of the Massena East smelter was no longer competitive and the Point Henry
smelter had no prospect of becoming financially viable.
Management also initiated the temporary curtailment of the remaining capacity (62 kmt-per-year) at the Poços de
Caldas smelter and additional capacity (85 kmt-per-year) at the São Luís smelter. These curtailments were completed
by the end of May 2014. As a result of these curtailments, 200 kmt-per-year of production at the Poços de Caldas
refinery was reduced by the end of June 2014.
Additionally, in August 2014, management approved the permanent closure and demolition of the capacity (150 kmt-
per-year) at the Portovesme smelter in Italy, which had been idle since November 2012. This decision was made
because the fundamental reasons that made the Portovesme smelter uncompetitive remained unchanged, including the
lack of a viable long-term power solution. Demolition and remediation activities related to the Portovesme smelter
began in 2016 and are expected to be completed by the end of 2022 (delayed due to discussions with the Italian
government and other stakeholders).
In 2014, costs related to the closure and curtailment actions included $149 for the layoff of approximately 1,290
employees, including $24 in pension costs (see Note N); accelerated depreciation of $146 related to the Point Henry
smelter in Australia as they continued to operate during 2014; asset impairments of $150 representing the write-off of
the remaining book value of all related properties, plants, and equipment; and $152 in other exit costs. Additionally in
2014, remaining inventories, mostly operating supplies and raw materials, were written down to their net realizable
value, resulting in a charge of $55, which was recorded in Cost of goods sold on the accompanying Statement of
Combined Operations. The other exit costs of $152 represent $87 in asset retirement obligations and $24 in
environmental remediation, both of which were triggered by the decisions to permanently close and demolish the
aforementioned structures in Australia, Italy, and the United States, and $41 in other related costs, including supplier
and customer contract-related costs.
As of March 31, 2016, the separations associated with 2014 restructuring programs were essentially complete. In 2016
and 2015, cash payments of $1 and $34, respectively, were made against layoff reserves related to 2014 restructuring
programs.
119
Alcoa Corporation does not include Restructuring and other charges in the results of its reportable segments. The
impact of allocating such charges to segment results would have been as follows:
2016 2015 2014
Bauxite $18 $16 $ -
Alumina 182 212 283
Aluminum 96 610 559
Cast Products (1) 2 (2)
Energy 23 84 -
Rolled Products -9-
Segment total 318 933 840
Corporate -5023
Total restructuring and other charges $318 $983 $863
Activity and reserve balances for restructuring charges were as follows:
Layoff
costs
Other
exit costs Total
Reserve balances at December 31, 2013 $ 58 $ 14 $ 72
2014:
Cash payments (120) (7) (127)
Restructuring charges 138 158 296
Other*(26) (152) (178)
Reserve balances at December 31, 2014 50 13 63
2015:
Cash payments (65) (1) (66)
Restructuring charges 199 423 622
Other*(47) (420) (467)
Reserve balances at December 31, 2015 137 15 152
2016:
Cash payments (74) (35) (109)
Restructuring charges 32 168 200
Other*(57) (120) (177)
Reserve balances at December 31, 2016 $ 38 $ 28 $ 66
* Other includes reversals of previously recorded restructuring charges and the effects of foreign currency translation.
In 2016, 2015, and 2014, Other for layoff costs also included a reclassification of $16, $35, and $24, respectively, in
pension and/or other postretirement benefits costs, as these obligations were included in Alcoa Corporation’s
separate liability for pension and other postretirement benefits obligations (see Note N). Additionally in 2016, 2015,
and 2014, Other for other exit costs also included a reclassification of the following restructuring charges: $97, $76,
and $87, respectively, in asset retirement and $26, $86, and $28, respectively, in environmental obligations, as these
liabilities were included in Alcoa Corporation’s separate reserves for asset retirement obligations (see Note Q) and
environmental remediation (see Note R).
The remaining reserves are expected to be paid in cash during 2017, with the exception of approximately $5, which is
expected to be paid by no later than the end of 2019 for contract termination and special layoff benefit payments.
120
E. Segment and Geographic Area Information
Segment Information
Alcoa Corporation is a producer of bauxite, alumina, primary aluminum, and aluminum sheet and the Company’s
segments are organized by product on a worldwide basis. Segment performance under Alcoa Corporation’s
management reporting system is evaluated based on a number of factors; however, the primary measure of
performance is the after-tax operating income (ATOI) of each segment. Certain items such as the impact of LIFO
inventory accounting; metal price lag; interest expense; noncontrolling interest; corporate expense (general
administrative and selling expenses of operating the corporate headquarters and other global administrative facilities,
along with depreciation and amortization on corporate-owned assets); restructuring and other charges; income taxes,
including the impact of any discrete tax items, deferred tax valuation allowance adjustments, and other differences
between tax rates applicable to the segments and the consolidated effective tax rate; and intersegment profit elimination
and other nonoperating items such as foreign currency transaction gains/losses, gains/losses on certain asset sales, and
interest income are excluded from segment ATOI. Segment assets exclude, among others, cash and cash equivalents;
LIFO reserves; corporate fixed assets; goodwill not allocated to businesses for segment reporting purposes; deferred
income taxes; and certain derivative contracts.
The accounting policies of the segments are the same as those described in the Summary of Significant Accounting
Policies (see Note B). Transactions among segments are established based on negotiation among the parties.
Differences between segment totals and Alcoa Corporation’s consolidated totals for line items not reconciled are in
Corporate.
Effective January 1, 2015, Alcoa Corporation redefined its segments concurrent with an internal reorganization for
certain of its businesses. Following this reorganization, Alcoa Corporation’s operations consist of six reportable
segments as follows:
Bauxite.This segment represents Alcoa Corporation’s global portfolio of bauxite mining assets. Bauxite is mined and
sold primarily to internal customers within the Alumina segment, who then process it into alumina. A portion of this
segment’s production is also sold to third parties. Bauxite is transferred to the Alumina segment at negotiated terms
that are intended to approximate market prices; sales to third parties are conducted on a contract basis.
Alumina.This segment represents Alcoa Corporation’s worldwide refining system, which processes bauxite into
alumina, which is mainly sold directly to internal and external smelter customers worldwide, or is sold to customers
who process it into industrial chemical products. More than half of Alumina’s production is sold under supply contracts
to third parties worldwide, while the remainder is used internally by the Aluminum segment. Alumina produced by this
segment and used internally is transferred to the Aluminum segment at prevailing market prices. A portion of this
segment’s third-party sales are completed through the use of agents, alumina traders, and distributors.
Aluminum.This segment represents Alcoa Corporation’s worldwide smelter system. Aluminum receives alumina,
mostly from the Alumina segment, and produces molten primary aluminum. Virtually all of Aluminum’s production is
sold internally to the Cast Products or Rolled Products segment, and is transferred at prevailing market prices.
Cast Products.This segment represents Alcoa Corporation’s worldwide cast house system. Cast products are made
from molten aluminum, purchased primarily from Alcoa Corporation’s Aluminum segment, which is then formed into
various value-add ingot products, including billet and slab, for use in fabrication operations in a variety of industries.
Results from the sale of aluminum powder and scrap are also included in this segment. The majority of this segment’s
products are sold to third parties, including to Arconic’s aluminum fabrication businesses; the remaining portion is sold
to the Rolled Products segment at prevailing market prices.
Energy.This segment represents Alcoa Corporation’s portfolio of energy assets, with power production capacity of
approximately 1,685 megawatts. This power is sold to both internal customers within the Aluminum segment and
external customers, and provides operational flexibility to maximize operating results during market cyclicality.
121
Rolled Products.This segment represents Alcoa Corporation’s rolling mill in Warrick, Indiana, which produces
aluminum sheet primarily sold directly to customers in the packaging end market for the production of aluminum cans
(beverage, food, and pet food). Additionally, Alcoa Corporation has a tolling arrangement with Arconic whereby
Arconic’s rolling mill in Tennessee produces can sheet products for certain of this segment’s customers. Alcoa
Corporation supplies all of the raw materials to the Tennessee facility and pays Arconic for the tolling service.
Depending on certain factors, this arrangement concludes at the end of 2018. Seasonal increases in can sheet sales are
generally experienced in the second and third quarters of the year. This segment also includes Alcoa Corporation’s
investment in a rolling mill in Saudi Arabia (see Note H).
Under the applicable reporting guidance, when a Company changes its organizational structure, it should generally
prepare its segment information based on the new segments and provide comparative information for related
periods. However, in certain instances, changes to the structure of an internal organization could change the
composition of its reportable segments and it may not be practical to retrospectively revise prior periods. In connection
with the January 1, 2015 reorganization, Alcoa Corporation fundamentally altered the commercial nature of how
certain internal businesses transact with each other, moving from a cost-based transfer pricing model to one based on
estimated market pricing. As a result, certain operations (e.g., bauxite mining, smelting and casting) that had previously
been measured and evaluated primarily based on costs incurred were transformed into separate businesses with full
profit and loss information. In addition, this reorganization involved converting regional-based management
responsibility to global responsibility for each business, which had a further impact on overall cost structures of the
segments.
As a result of the significant changes associated with the reorganization (including substantial information system
modifications), which were implemented on a prospective basis only, Alcoa Corporation does not have all of the
information that would be necessary to present certain segment data, specifically ATOI, income taxes and total assets,
for periods prior to 2015. This information is not available to Alcoa Corporation management for its own internal use,
and it is impracticable to obtain or generate this information, as underlying commercial transactions between the
segments, which are necessary to determine these income-based and asset-based segment measures, did not take place
prior to 2015.
The operating results and assets of Alcoa Corporation’s reportable segments were as follows:
Bauxite Alumina Aluminum
Cast
Products Energy
Rolled
Products Total
2016
Sales:
Third-party sales—unrelated
party $ 315 $2,300 $ 9 $4,244 $ 279 $1,069 $ 8,216
Third-party sales—related party - - - 957 1 - 958
Intersegment sales 751 1,307 3,754 316 168 - 6,296
Total sales $1,066 $3,607 $3,763 $5,517 $ 448 $1,069 $15,470
Profit and loss:
Equity (loss) income $ - $ (40) $ 23 $ (7) $ - $ (40) $ (64)
Depreciation, depletion, and
amortization 77 186 295 42 57 23 680
Income taxes 87 37 (60) 60 26 (17) 133
ATOI 212 102 (19) 176 76 (41) 506
2015
Sales:
Third-party sales—unrelated
party $ 71 $3,343 $ 13 $5,127 $ 416 $ 985 $ 9,955
122
Bauxite Alumina Aluminum
Cast
Products Energy
Rolled
Products Total
Third-party sales—related party - - 1 1,059 10 8 1,078
Intersegment sales 1,160 1,687 5,092 46 297 - 8,282
Total sales $1,231 $5,030 $5,106 $6,232 $ 723 $ 993 $19,315
Profit and loss:
Equity (loss) income $ - $ (41) $ 25 $ (37) $ - $ (32) $ (85)
Depreciation, depletion, and
amortization 94 202 311 42 61 23 733
Income taxes 103 191 (77) 49 69 26 361
ATOI 258 476 1 110 145 20 1,010
2014
Sales:
Third-party sales—unrelated
party $ 41 $3,413 $ 21 $6,069 $ 682 $1,008 $11,234
Third-party sales—related
party(1)- - - 1,758 - 25 1,783
Intersegment sales
(1)1,106 1,941 6,221 262 663 - 10,193
Total sales $1,147 $5,354 $6,242 $8,089 $1,345 $1,033 $23,210
Profit and loss:
Equity loss $ - $ (29) $ (34) $ - $ - $ (27) $ (90)
Depreciation, depletion, and
amortization 120 201 365 47 68 24 825
Income taxes * * * * * 27 *
ATOI * * * * * 21 *
2016
Assets:
Capital expenditures $ 29 $ 109 $ 125 $ 31 $ 6 $ 94 $ 394
Equity investments 163 342 520 - 164 175 1,364
Goodwill 2 4 - - - - 6
Total assets 1,541 4,791 5,182 816 1,216 848 14,394
2015
Assets:
Capital expenditures $ 30 $ 154 $ 108 $ 32 $ 16 $ 52 $ 392
Equity investments 164 503 497 - 137 217 1,518
Goodwill 2 4 - - - - 6
Total assets 1,443 4,721 5,612 578 1,218 637 14,209
(1)Amounts were estimated by Alcoa Corporation’s management in an effort to provide comparable revenue
information for 2014.
* This information is not available for periods prior to 2015 and is impracticable to obtain.
The following tables reconcile certain segment information to consolidated totals:
2016 2015 2014(2)
Sales:
Total segment sales $15,470 $19,315 $ 23,210
Elimination of intersegment sales (6,296) (8,282) (10,193)
Other 144 166 130
Consolidated sales $ 9,318 $11,199 $ 13,147
123
(2)Amounts were estimated by Alcoa Corporation’s management in an effort to provide comparable revenue
information for 2014.
2016 2015
Net loss attributable to Alcoa Corporation:
Total segment ATOI
(3)$ 506 $1,010
Unallocated amounts:
Impact of LIFO (10) 107
Metal price lag 9 (30)
Interest expense (243) (270)
Noncontrolling interest (net of tax) (54) (124)
Corporate expense (182) (180)
Restructuring and other charges (318) (983)
Income taxes (51) (41)
Other (57) (352)
Consolidated net loss attributable to Alcoa Corporation $(400) $ (863)
(3)Segment ATOI information is not available for periods prior to 2015 and it is impracticable to obtain.
December 31,2016 2015
Assets:
Total segment assets $14,394 $14,209
Elimination of intersegment receivables (615) (709)
Unallocated amounts:
Cash and cash equivalents 853 557
LIFO reserve (215) (172)
Corporate fixed assets, net 585 454
Corporate goodwill 149 147
Deferred income taxes 741 589
Fair value of derivative contracts 501 1,078
Other 348 260
Consolidated assets $16,741 $16,413
As a result of the impracticability of providing all of the required disclosures for Alcoa Corporation’s current six
segments, the following information regarding Alcoa Corporation’s historical segments is provided on a supplemental
basis. Prior to January 1, 2015, Alcoa Corporation’s operations consisted of three reportable segments, as follows:
Alumina.This segment represented Alcoa Corporation’s worldwide refining system, and primarily comprised the
combined Bauxite and Alumina segments that were established on January 1, 2015, described above. This segment
encompassed the mining of bauxite, from which alumina is produced and sold directly to external smelter customers,
as well as to the previous Primary Metals segment (see below), or to customers who process it into industrial chemical
products. More than half of Alumina’s production was sold under supply contracts to third parties worldwide, while the
remainder was used internally by the Primary Metals segment. Alumina produced by this segment and used internally
was transferred to the Primary Metals segment at prevailing market prices. A portion of this segment’s third-party sales
was completed through the use of agents, alumina traders, and distributors.
Primary Metals.This segment represented Alcoa Corporation’s worldwide smelting system and associated cast houses,
and primarily comprised the Aluminum and Cast Products segments that were established on January 1, 2015, described
above. The majority of the power generation assets in the Energy segment that was established on January 1, 2015 were
also included in Primary Metals. The Primary Metals segment purchased alumina, mostly from the former Alumina
segment, from which primary aluminum was produced and then sold directly to external customers and traders, as well as
to the Rolled Products segment and ParentCo’s aluminum fabrication businesses. Results from the sale of aluminum
124
powder, scrap, and excess energy were also included in this segment. Primary aluminum produced by this segment and
used by the Rolled Products segment or by ParentCo’s aluminum fabrication businesses was transferred at prevailing
market prices. The sale of primary aluminum represented approximately 90% of this segments third-party sales.
Rolled Products.This segment represents Alcoa Corporation’s rolling mill in Warrick, Indiana, which produces aluminum
sheet primarily sold directly to customers in the packaging end market for the production of aluminum cans (beverage, food,
and pet food). Seasonal increases in can sheet sales are generally experienced in the second and third quarters of the year.
This segment also includes Alcoa Corporation’s investment in a rolling mill in Saudi Arabia (see Note H).
The operating results and assets of Alcoa Corporation’s reportable segments under the historical presentation format
were as follows:
Alumina
Primary
Metals
Rolled
Products Total
2015
Sales:
Third-party sales—unrelated party $3,455 $5,667 $ 985 $10,107
Third-party sales—related party - 1,070 8 1,078
Intersegment sales 1,687 532 - 2,219
Total sales $5,142 $7,269 $ 993 $13,404
Profit and loss:
Equity loss $ (41) $ (12) $ (32) $ (85)
Depreciation, depletion, and amortization 296 429 23 748
Income taxes 300 (20) 26 306
ATOI 746 136 20 902
2014
Sales:
Third-party sales—unrelated party $3,509 $6,843 $1,008 $11,360
Third-party sales—related party - 1,758 25 1,783
Intersegment sales 1,941 614 - 2,555
Total sales $5,450 $9,215 $1,033 $15,698
Profit and loss:
Equity loss $ (29) $ (34) $ (27) $ (90)
Depreciation, depletion, and amortization 387 494 24 905
Income taxes 153 214 27 394
ATOI 370 627 21 1,018
2015
Assets:
Capital expenditures $ 184 $ 156 $ 52 $ 392
Equity investments 667 634 217 1,518
Goodwill 6 - - 6
Total assets 6,165 7,134 637 13,936
125
The following tables reconcile certain segment information under the historical presentation format to consolidated
totals:
2015 2014
Sales:
Total segment sales $13,404 $15,698
Elimination of intersegment sales (2,219) (2,555)
Other 14 4
Consolidated sales $11,199 $13,147
2015 2014
Net loss attributable to Alcoa Corporation:
Total segment ATOI $ 902 $1,018
Unallocated amounts:
Impact of LIFO 107 4
Metal price lag (30) 15
Interest expense (270) (309)
Noncontrolling interest (net of tax) (124) 91
Corporate expense (180) (208)
Restructuring and other charges (983) (863)
Income taxes (96) 110
Other (189) (114)
Consolidated net loss attributable to Alcoa Corporation $(863) $ (256)
December 31,2015
Assets:
Total segment assets $13,936
Elimination of intersegment receivables (306)
Unallocated amounts:
Cash and cash equivalents 557
Deferred income taxes 589
Corporate goodwill 147
Corporate fixed assets, net 454
LIFO reserve (172)
Fair value of derivative contracts 1,078
Other 130
Consolidated assets $16,413
Geographic Area Information
Geographic information for sales was as follows (based upon the country where the point of sale occurred):
2016 2015 2014
Sales:
United States(1)$4,365 $ 5,386 $ 6,096
Spain(2)2,663 2,852 3,198
Australia 1,644 2,147 2,656
Brazil 432 562 1,025
Canada 141 132 18
Other 73 120 154
$9,318 $11,199 $13,147
126
(1)Sales of a portion of the alumina from Alcoa Corporation’s refineries in Suriname, Brazil, Australia, and Jamaica
(prior to divestiture—see Note C) and most of the aluminum from Alcoa Corporation’s smelters in Canada
occurred in the United States.
(2)In all periods presented, sales of the aluminum produced from Alcoa Corporation’s smelters in Iceland and
Norway, as well as Alcoa Corporation’s off-take related to its interest in the Saudi Arabia joint venture (see
Note H), occurred in Spain.
Geographic information for long-lived assets was as follows (based upon the physical location of the assets):
December 31,2016 2015
Long-lived assets:
Australia $2,053 $2,158
Brazil 2,228 1,922
United States 1,816 1,963
Iceland 1,341 1,397
Canada 1,161 1,177
Norway 438 463
Spain 273 293
Other 15 17
$9,325 $9,390
F. Earnings Per Share
Basic earnings per share (EPS) amounts are computed by dividing earnings by the average number of common shares
outstanding. Diluted EPS amounts assume the issuance of common stock for all potentially dilutive share equivalents
outstanding.
The information used to compute basic and diluted EPS attributable to Alcoa Corporation common shareholders was as
follows (shares in millions):
2016 2015 2014
Net loss attributable to Alcoa Corporation $(400) $(863) $(256)
Average shares outstanding—basic 183 182 182
Effect of dilutive securities:
Stock options ---
Stock and performance awards - - -
Average shares outstanding—diluted 183 182 182
In 2016, basic average shares outstanding and diluted average shares outstanding were the same because the effect of
potential shares of common stock was anti-dilutive since Alcoa Corporation generated a net loss. As a result, 1 million
stock awards and stock options combined were not included in the computation of diluted EPS. Had Alcoa Corporation
generated net income in 2016, 1 million potential shares of common stock related to stock awards and stock options
combined would have been included in diluted average shares outstanding.
In 2015 and 2014, the EPS included on the accompanying Statement of Consolidated Operations was calculated based
on the 182,471,195 shares of Alcoa Corporation common stock distributed on the Separation Date in conjunction with
the completion of the Separation Transaction (see Note A) and is considered pro forma in nature. Prior to November 1,
2016, Alcoa Corporation did not have any issued and outstanding common stock.
Options to purchase 1 million shares of common stock at a weighted average exercise price of $33.05 per share were
outstanding as of December 31, 2016, but were not included in the computation of diluted EPS because they were anti-
dilutive, as the exercise prices of the options were greater than the average market price of Alcoa Corporation’s
common stock.
127
G. Accumulated Other Comprehensive Loss
The following table details the activity of the three components that comprise Accumulated other comprehensive loss
for both Alcoa Corporation’s shareholders and noncontrolling interest:
Alcoa Corporation Noncontrolling Interest
2016 2015 2014 2016 2015 2014
Pension and other postretirement benefits (N)
Balance at beginning of period $ (352) $ (424) $(373) $ (56) $ (64) $ (51)
Establishment of additional defined benefit plans (2,704) - - - - -
Separation-related adjustments (A) 928 - - - - -
Other comprehensive (loss) income:
Unrecognized net actuarial loss and prior service cost/
benefit (307) 73 (109) 2 5 (22)
Tax benefit (expense) 6 (18) 35 (6) (1) 7
Total Other comprehensive (loss) income before
reclassifications, net of tax (301) 55 (74) (4) 4 (15)
Amortization of net actuarial loss and prior service cost/
benefit(1)107 26 35 5 6 3
Tax expense
(2)(8) (9) (12) (1) (2) (1)
Total amount reclassified from Accumulated other
comprehensive loss, net of tax
(6)99 17 23 4 4 2
Total Other comprehensive (loss) income (202) 72 (51) - 8 (13)
Balance at end of period $(2,330) $ (352) $(424) $ (56) $ (56) $ (64)
Foreign currency translation
Balance at beginning of period $(1,851) $ (668) $ 20 $(779) $(351) $(115)
Separation-related adjustments (A) (17) - - - - -
Other comprehensive income (loss)
(3)213 (1,183) (688) 102 (428) (236)
Balance at end of period $(1,655) $(1,851) $(668) $(677) $(779) $(351)
Cash flow hedges (O)
Balance at beginning of period $ 603 $ (224) $(304) $ (3) $ (2) $ (2)
Separation-related adjustments (A) (47) - - - - -
Other comprehensive (loss) income:
Net change from periodic revaluations (558) 1,155 78 38 (1) -
Tax benefit (expense) 233 (344) (20) (12) - -
Total Other comprehensive (loss) income before
reclassifications, net of tax (325) 811 58 26 (1) -
Net amount reclassified to earnings:
Aluminum contracts
(4)72126 - - -
Energy contracts
(5)(54) - - (37) - -
Interest rate contracts
(5)7--5 - -
Sub-total (40) 21 26 (32) - -
Tax benefit (expense)
(2)19 (5) (4) 10 - -
Total amount reclassified from
Accumulated other comprehensive loss,
net of tax
(6)(21) 16 22 (22) --
Total Other comprehensive (loss) income (346) 827 80 4 (1)-
Balance at end of period $ 210 $ 603 $(224) $ 1 $ (3)$ (2)
(1)These amounts were included in the computation of net periodic benefit cost for pension and other postretirement
benefits (see Note N).
128
(2)These amounts were included in Provision for income taxes on the accompanying Statement of Consolidated
Operations.
(3)In all periods presented, there were no tax impacts related to rate changes and no amounts were reclassified to
earnings.
(4)These amounts were included in Sales on the accompanying Statement of Consolidated Operations.
(5)These amounts were included in Other (income) expenses, net on the accompanying Statement of Consolidated
Operations.
(6)A positive amount indicates a corresponding charge to earnings and a negative amount indicates a corresponding
benefit to earnings. These amounts were reflected on the accompanying Statement of Consolidated Operations in
the line items indicated in footnotes 1 through 5.
H. Investments
December 31,2016 2015
Equity investments $1,348 $1,471
Other investments 10 1
$1,358 $1,472
Equity Investments.The following table summarizes information of the equity investments as of December 31, 2016
and 2015, except that the interest in the Dampier to Bunbury Natural Gas Pipeline (DBNGP) Trust was sold in April
2016 (see DBNGP Trust below):
Investee Country Nature of investment(5)
Ownership
interest
Ma’aden Smelting Company(1)Saudi Arabia Aluminum smelter 25.1%
Ma’aden Bauxite and Alumina Company
(1)Saudi Arabia Bauxite mine and Alumina refinery 25.1%(6)
Ma’aden Rolling Company(1)Saudi Arabia Rolling mill 25.1%
Halco Mining, Inc.
(2)Guinea Bauxite mine 45%(6)
Energetica Barra Grande S.A. Brazil Hydroelectric generation facility 42.18%
Mineração Rio do Norte S.A. Brazil Bauxite mine 18.2%(6)
Pechiney Reynolds Quebec, Inc.(3)Canada Aluminum smelter 50%
Consorcio Serra do Facão Brazil Hydroelectric generation facility 34.97%
Manicouagan Power Limited Partnership Canada Hydroelectric generation facility 40%
DBNGP Trust
(4)Australia Natural gas pipeline 20%(6)
(1)See Saudi Arabia Joint Venture below for additional information.
(2)Halco Mining, Inc. owns 100% of Boké Investment Company, which owns 51% of Compagnie des Bauxites de
Guinée.
(3)Pechiney Reynolds Quebec, Inc. owns a 50.1% interest in the Bécancour smelter in Quebec, Canada thereby
entitling Alcoa Corporation to a 25.05% interest in the smelter. Through two wholly-owned Canadian
subsidiaries, Alcoa Corporation also owns 49.9% of the Bécancour smelter.
(4)See DBNGP Trust below for additional information.
(5)Each of the investees either owns the facility listed or has an ownership interest in an entity that owns the facility
listed.
(6)A portion or all of each of these ownership interests are held by wholly-owned subsidiaries that are part of
AWAC.
129
In 2016, 2015, and 2014, Alcoa Corporation received $74, $152, and $86, respectively, in dividends from these equity
investments. Financial information for these equity investments is as follows (amounts represent 100% of the
investee’s financial information):
Energetica
Barra
Grande
S.A.
Halco
Mining,
Inc.
Ma’aden
Rolling
Co.
Ma’aden
Smelting
Co.
Ma’aden
Bauxite
and
Alumina
Co.
Manicouagan
Power L.P.
Pechiney
Reynolds
Quebec,
Inc. Other Total
Profit and loss data—year ended
December 31, 2016
Sales $ 60 $437 $ 212 $1,410 $ 348 $104 $309 $ 627 $ 3,507
Cost of goods sold 35 242 336 1,238 331 10 272 380 2,844
Income (loss) before income
taxes 16 53 (169) 53 (179) 94 36 181 85
Net income (loss) 15 50 (169) 53 (179) 87 16 148 21
Equity in net income (loss)
of affiliated companies,
before reconciling
adjustments 6 23 (43) 13 (45) 35 8 28 25
Other (1) 2 4 1 2 - (4) (1) 3
Alcoa Corporation’s equity in
net income (loss) of
affiliated companies 5 25 (39) 14 (43) 35 4 27 28
Profit and loss data—year ended
December 31, 2015
Sales $130 $487 $ 286 $1,481 $ 258 $106 $486 $ 885 $ 4,119
Cost of goods sold 98 236 352 1,317 401 16 288 501 3,209
Income (loss) before income
taxes 27 86 (125) (52) (185) 91 113 170 125
Net income (loss) 7 80 (125) (56) (185) 90 104 128 43
Equity in net income (loss) of
affiliated companies, before
reconciling adjustments 3 36 (31) (14) (46) 36 52 24 60
Other (1) (2) (1) (1) - - 4 (6) (7)
Alcoa Corporation’s equity in
net income (loss) of
affiliated companies 2 34 (32) (15) (46) 36 56 18 53
Profit and loss data—year ended
December 31, 2014
Sales $170 $487 $ 42 $1,260 $ 3 $120 $318 $ 950 $ 3,350
Cost of goods sold 118 260 102 1,073 4 18 280 648 2,503
Income (loss) before income
taxes 44 76 (109) (149) (135) 103 39 55 (76)
Net income (loss) 19 72 (109) (149) (135) 102 28 28 (144)
Equity in net income (loss) of
affiliated companies, before
reconciling adjustments 8 32 (27) (37) (34) 41 14 3 -
Other - (1) - - - (1) 4 - 2
Alcoa Corporation’s equity in
net income (loss) of
affiliated companies 8 31 (27) (37) (34) 40 18 3 2
Balance sheet data—as of
December 31, 2016
Current assets $ 17 $ 12 $ 288 $ 606 $ 247 $ 24 $ 91 $ 111 $ 1,396
Noncurrent assets 302 189 1,693 4,739 3,221 68 147 1,095 11,454
130
Energetica
Barra
Grande
S.A.
Halco
Mining,
Inc.
Ma’aden
Rolling
Co.
Ma’aden
Smelting
Co.
Ma’aden
Bauxite
and
Alumina
Co.
Manicouagan
Power L.P.
Pechiney
Reynolds
Quebec,
Inc. Other Total
Current liabilities 31 4 324 862 266 7 62 211 1,767
Noncurrent liabilities 23 14 1,196 2,868 2,140 - - 536 6,777
Balance Sheet data—as of
December 31, 2015
Current assets $ 27 $ 40 $ 389 $ 469 $ 305 $ 23 $107 $ 195 $ 1,555
Noncurrent assets 288 165 1,659 4,696 3,005 62 130 3,373 13,378
Current liabilities 50 28 254 909 122 6 54 238 1,661
Noncurrent liabilities 43 16 1,329 2,913 2,206 - - 2,486 8,993
Saudi Arabia Joint Venture—Alcoa Corporation and Saudi Arabian Mining Company (known as “Ma’aden”) have a
30-year (from December 2009) joint venture shareholders’ agreement (automatic extension for an additional 20 years,
unless the parties agree otherwise or unless earlier terminated) setting forth the terms for the development,
construction, ownership, and operation of an integrated aluminum complex in Saudi Arabia. Specifically, the project
developed by the joint venture consists of: (i) a bauxite mine for the extraction of approximately 4,000 kmt of bauxite
from the Al Ba’itha bauxite deposit near Quiba in the northern part of Saudi Arabia; (ii) an alumina refinery with an
initial capacity of 1,800 kmt; (iii) a primary aluminum smelter with an initial capacity of 740 kmt; and (iv) a rolling
mill with an initial capacity of 380 kmt. The refinery, smelter, and rolling mill were constructed in an industrial area at
Ras Al Khair on the east coast of Saudi Arabia. The facilities use critical infrastructure, including power generation
derived from reserves of natural gas, as well as port and rail facilities, developed by the government of Saudi Arabia.
First production from the smelter, rolling mill, and mine and refinery occurred in December of 2012, 2013, and 2014,
respectively.
In 2012, Alcoa Corporation and Ma’aden agreed to expand the capabilities of the rolling mill to include a capacity of
100 kmt dedicated to supplying aluminum automotive, building and construction, and foil stock sheet. First production
related to the expanded capacity occurred in 2014. This expansion did not result in additional equity investment (see
below) due to significant savings from a change in the project execution strategy of the initial 380 kmt capacity of the
rolling mill.
The joint venture is owned 74.9% by Ma’aden and 25.1% by Alcoa Corporation and consists of three separate
companies as follows: one each for the mine and refinery, the smelter, and the rolling mill. The Alcoa Corporation
affiliates that hold Alcoa Corporation’s interests in the smelting company and the rolling mill company are indirectly
wholly owned by Alcoa Corporation, and the Alcoa Corporation affiliate that holds Alcoa Corporation’s interests in the
mining and refining company is wholly owned by AWAC. Except in limited circumstances, Alcoa Corporation may
not sell, transfer or otherwise dispose of or encumber or enter into any agreement in respect of the votes or other rights
attached to its interests in the joint venture without Ma’aden’s prior written consent.
Ma’aden and Alcoa Corporation have put and call options, respectively, whereby Ma’aden can require Alcoa
Corporation to purchase from Ma’aden, or Alcoa Corporation can require Ma’aden to sell to Alcoa Corporation, a
14.9% interest in the joint venture at the then fair market value. These options may only be exercised in a six-month
window that opens five years after the Commercial Production Date (as defined in the joint venture shareholders’
agreement) and, if exercised, must be exercised for the full 14.9% interest. The Commercial Production Date was
declared on September 1, 2014 for the smelting company and on October 1, 2016 for the mining and refining company.
There has not been a similar declaration yet for the rolling mill company.
Ma’aden and Alcoa Corporation also may not sell, transfer, or otherwise dispose of, pledge, or encumber any interests
in the joint venture until five years after the Commercial Production Date. Under the joint venture shareholders’
agreement, upon the occurrence of an unremedied event of default by Alcoa Corporation, Ma’aden may purchase, or,
upon the occurrence of an unremedied event of default by Ma’aden, Alcoa Corporation may sell, its interest for
consideration that varies depending on the time of the default.
131
A number of Alcoa Corporation employees perform various types of services for the smelting, rolling mill, and
refining and mining companies as part of the operation of the fully-integrated aluminum complex. At December 31,
2016 and 2015, Alcoa Corporation had an outstanding receivable of $11 and $19, respectively, from the smelting,
rolling mill, and refining and mining companies for labor and other employee-related expenses.
Capital investment in the project is expected to total approximately $10,800 (SAR 40.5 billion) and has been funded
through a combination of equity contributions by the joint venture partners and project financing by the joint venture,
which has been guaranteed by both partners (see below). Both the equity contributions and the guarantees of the project
financing are based on the joint venture’s partners’ ownership interests. Originally, it was estimated that Alcoa
Corporation’s total equity contribution in the joint venture would be approximately $1,100, of which Alcoa
Corporation has contributed $982, including $1 and $29 in 2016 and 2015, respectively. Based on changes to both the
project’s capital investment and equity and debt structure from the initial plans, the estimated $1,100 equity
contribution may be reduced. As of December 31, 2016 and 2015, the carrying value of Alcoa Corporation’s
investment in this project was $853 and $928, respectively.
The smelting and rolling mill companies have project financing totaling $4,133 (reflects principal payments made
through December 31, 2016), of which $1,037 represents Alcoa Corporation’s share (the equivalent of Alcoa
Corporation’s 25.1% interest in the smelting and rolling mill companies). Alcoa Corporation has issued guarantees (see
below) on behalf of the smelting and rolling mill companies to the lenders in the event that such companies default on
their debt service requirements through 2017 and 2020 for the smelting company and 2018 and 2021 for the rolling
mill company (Ma’aden issued similar guarantees for its 74.9% interest). Alcoa Corporation’s guarantees for the
smelting and rolling mill companies cover total debt service requirements of $100 in principal and up to a maximum of
approximately $35 in interest per year (based on projected interest rates). At December 31, 2016 and 2015, the
combined fair value of the guarantees was $3 and $7, respectively, which was included in Other noncurrent liabilities
and deferred credits on the accompanying Consolidated Balance Sheet.
The mining and refining company has project financing totaling $2,232, of which $560 represents AWAC’s 25.1%
interest in the mining and refining company. Alcoa Corporation, on behalf of AWAC, has issued guarantees (see
below) to the lenders in the event that the mining and refining company defaults on its debt service requirements
through 2019 and 2024 (Ma’aden issued similar guarantees for its 74.9% interest). Alcoa Corporation’s guarantees for
the mining and refining company cover total debt service requirements of $120 in principal and up to a maximum of
approximately $30 in interest per year (based on projected interest rates). At both December 31, 2016 and 2015, the
combined fair value of the guarantees was $3, which was included in Other noncurrent liabilities and deferred credits
on the accompanying Consolidated Balance Sheet. In the event Alcoa Corporation would be required to make
payments under the guarantees, 40% of such amount would be contributed to Alcoa Corporation by Alumina Limited,
consistent with its ownership interest in AWAC.
As a result of the Separation Transaction, the various lenders to the joint venture companies required Arconic to
maintain joint and several guarantees with Alcoa Corporation. In the event of default by any of the joint venture
companies, the lenders would make a claim against both Alcoa Corporation and Arconic. Accordingly, Alcoa
Corporation would perform under its guarantee; however, if the Company failed to perform, Arconic would be required
to perform under its own guarantee. Arconic would then subsequently seek indemnification from Alcoa Corporation
under the terms of the Separation and Distribution Agreement.
In June 2013, all three joint venture companies entered into a 20-year gas supply agreement with Saudi Aramco. The
gas supply agreement provides sufficient fuel to meet manufacturing process requirements as well as fuel to the
adjacent combined water and power plant constructed by Saline Water Conversion Corporation, which is owned by the
government of Saudi Arabia and is responsible for desalinating sea water and producing electricity for Saudi Arabia.
The combined water and power plant converts the three joint venture companies’ gas into electricity and water at cost,
which is supplied to the refinery, smelter, and rolling mill. A $60 letter of credit previously provided to the Ministry of
Petroleum and Mineral Resources of Saudi Arabia by Ma’aden (Alcoa Corporation is responsible for its pro rata share)
under the gas allocation was terminated in June 2015 due to the completion of certain auxiliary rolling facilities.
132
DBNGP Trust—In 2004, AofA acquired a 20% interest in a consortium, which subsequently purchased the DBNGP
in Western Australia, in exchange for an initial cash investment of $17 (A$24). The investment in the DBNGP was
made in order to secure a competitively priced long-term supply of natural gas to AofA’s refineries in Western
Australia. AofA made additional contributions of $141 (A$176) for its share of the pipeline capacity expansion and
other operational purposes of the consortium through September 2011. In late 2011, the consortium initiated a three-
year equity call plan to improve its capitalization structure. This plan required AofA to contribute $39 (A$40), all of
which was made through December 31, 2014. Following the completion of the three-year equity call plan in December
2014, the consortium initiated a new equity call plan to further improve its capitalization structure. This plan required
AofA to contribute $30 (A$36) through mid-2016, of which $20 (A$27) was made through March 31, 2016, including
$3 (A$5) and $16 (A$21) in 2016 and 2015, respectively.
In April 2016, AofA sold its 20% interest in the consortium, effectively terminating its remaining obligation to make
contributions under the most recent equity call plan, to the only other member of the consortium, DUET Group. AofA
received $145 (A$192) in cash, which was included in Sales of investments on the accompanying Statement of
Consolidated Cash Flows, and recorded a gain of $27 (A$35) ($11 (A$15) after-tax and noncontrolling interest) in
Other income, net on the accompanying Statement of Consolidated Operations. As part of the sale transaction, AofA
will maintain its current access to approximately 30% of the DBNGP transmission capacity for gas supply to its three
alumina refineries in Western Australia under an existing agreement to purchase gas transmission services from the
DBNGP. At December 31, 2016 and 2015, AofA has an asset of $270 (A$375) and $268 (A$368), respectively,
representing prepayments made under the agreement for future gas transmission services.
I. Inventories
December 31,2016 2015
Finished goods $ 226 $ 168
Work-in-process 220 206
Bauxite and alumina 429 445
Purchased raw materials 363 385
Operating supplies 137 140
LIFO reserve (215) (172)
$1,160 $1,172
At December 31, 2016 and 2015, the total amount of inventories valued on a LIFO basis was $393 and $361,
respectively, or 29% and 27%, respectively, of total inventories before LIFO adjustments. The inventory values, prior
to the application of LIFO, are generally determined under the average cost method, which approximates current cost.
133
J. Properties, Plants, and Equipment, Net
December 31,2016 2015
Land and land rights, including mines $ 346 $ 333
Structures:
Bauxite 1,194 986
Alumina 2,500 2,405
Aluminum 3,255 3,345
Cast Products 289 260
Energy 610 530
Rolled Products 287 256
Other 405 328
8,540 8,110
Machinery and equipment:
Bauxite 465 401
Alumina 3,773 3,717
Aluminum 6,143 6,480
Cast Products 512 435
Energy 1,080 980
Rolled Products 884 872
Other 309 306
13,166 13,191
Less: accumulated depreciation, depletion, and amortization
22,052
13,225
21,634
12,728
Construction work-in-progress
8,827
498
8,906
484
$ 9,325 $ 9,390
As of December 31, 2016 and 2015, the net carrying value of temporarily idled smelting assets was $314 and $324,
respectively, representing 778 kmt of idle capacity in both periods. Also, as of December 31, 2016 and 2015, the net
carrying value of temporarily idled refining assets was $158 and $53, representing 2,305 kmt and 2,801 kmt of idle
capacity, respectively. At the end of 2016, Alcoa Corporation permanently closed 2,207 kmt of refining capacity, of
which 2,131 kmt was included in the 2,801 kmt of idle capacity as of December 31, 2015.
134
K. Goodwill and Other Intangible Assets
The following table details the changes in the carrying amount of goodwill:
Bauxite Alumina Corporate* Total
Balance at December 31, 2014:
Goodwill $ 3 $ 5 $152 $160
Accumulated impairment losses - - - -
3 5 152 160
Translation (1) (1) (6) (8)
Balance at December 31, 2015:
Goodwill 2 4 146 152
Accumulated impairment losses - - - -
2 4 146 152
Translation - - 3 3
Balance at December 31, 2016:
Goodwill 2 4 149 155
Accumulated impairment losses - - - -
$ 2 $ 4 $149 $155
* As of December 31, 2016, the $149 of goodwill reflected in Corporate is allocated to two of Alcoa Corporation’s six
reportable segments ($50 to Bauxite and $99 to Alumina) included in the table above for purposes of impairment
testing (see Note B). This goodwill is reflected in Corporate for segment reporting purposes because it is not
included in management’s assessment of performance by the two reportable segments. There is no goodwill
associated with Alcoa Corporation’s other four reportable segments.
Other intangible assets, which are included in Other noncurrent assets on the accompanying Consolidated Balance
Sheet, were as follows:
2016 2015
December 31,
Gross
carrying
amount
Accumulated
amortization
Gross
carrying
amount
Accumulated
amortization
Computer software* $252 $(196) $176 $(158)
Patents and licenses** 70 (6) 25 (5)
Other intangibles 21 (6) 25 (10)
Total other intangible assets $343 $(208) $226 $(173)
* As of December 31, 2016, Computer software includes amounts related to the establishment of Alcoa
Corporation’s own enterprise business solution (EBS) separate from ParentCo.
** As of December 31, 2016, Patents and licenses include amounts related to the capitalization of costs associated
with the renewal of Alcoa Corporation’s FERC (Federal Energy Regulatory Commission) license at its Yadkin
Hydroelectric Project (see Note C).
Computer software consists primarily of software costs associated with an EBS within Alcoa Corporation to drive
common systems among all businesses.
Amortization expense related to the intangible assets in the tables above for the years ended December 31, 2016, 2015,
and 2014 was $7, $10, and $13, respectively, and is expected to be approximately $10 annually from 2017 to 2021.
135
L. Debt
Long-Term Debt.
December 31,2016 2015
6.75% Notes, due 2024 $ 750 $ -
7.00% Notes, due 2026 500 -
BNDES Loans, due 2017-2029 (see below for weighted average rates) 192 174
Chelan County Loan, due 2031 (5.85%)* - 14
Other 38 37
Unamortized discounts and deferred financing costs (35) -
1,445 225
Less: amount due within one year 21 18
$1,424 $207
* This loan was repaid early by ParentCo in October 2016 without penalty.
The principal amount of long-term debt maturing in each of the next five years is $21 in 2017, $19 in 2018, and $18 in
each of 2019, 2020, and 2021.
144A Debt—In September 2016, Alcoa Nederland Holding B.V. (ANHBV), a wholly-owned subsidiary of Alcoa
Corporation, completed a Rule 144A (U.S. Securities Act of 1933, as amended) debt offering for $750 of 6.75% Senior
Notes due 2024 (the “2024 Notes”) and $500 of 7.00% Senior Notes due 2026 (the “2026 Notes” and, collectively with
the 2024 Notes, the “Notes”). ANHBV received $1,228 in net proceeds (see below) from the debt offering reflecting a
discount to the initial purchasers of the Notes. The net proceeds were used to make a payment to ParentCo to fund the
transfer of certain assets from ParentCo to Alcoa Corporation in connection with the Separation Transaction (see
Note A), and the remaining net proceeds were used for general corporate purposes. The discount to the initial
purchasers, as well as costs to complete the financing, was deferred and is being amortized to interest expense over the
respective terms of the Notes. Interest on the Notes will be paid semi-annually in March and September, commencing
March 31, 2017.
ANBHV has the option to redeem the Notes on at least 30 days, but not more than 60 days, prior notice to the holders
of the Notes under multiple scenarios, including, in whole or in part, at any time or from time to time after September
2019, in the case of the 2024 Notes, or after September 2021, in the case of the 2026 Notes, at a redemption price
specified in the indenture (up to 105.063% of the principal amount for the 2024 Notes and up to 103.500% of the
principal amount of the 2026 Notes, plus any accrued and unpaid interest in each case). Also, the Notes are subject to
repurchase upon the occurrence of a change in control repurchase event (as defined in the indenture) at a repurchase
price in cash equal to 101% of the aggregate principal amount of the Notes repurchased, plus any accrued and unpaid
interest on the Notes repurchased.
The Notes are senior unsecured obligations of ANHBV and do not entitle the holders to any registration rights pursuant
to a registration rights agreement. ANHBV does not intend to file a registration statement with respect to resales of or
an exchange offer for the Notes. The Notes are guaranteed on a senior unsecured basis by Alcoa Corporation and its
subsidiaries that are guarantors under the Revolving Credit Agreement described below (the “subsidiary guarantors”
and, together with Alcoa Corporation, the “guarantors”). Each of the subsidiary guarantors will be released from their
Notes guarantees upon the occurrence of certain events, including the release of such guarantor from its obligations as
a guarantor under the Revolving Credit Agreement.
The Notes indenture contains various restrictive covenants similar to those described below for the Revolving Credit
Agreement, including a limitation on restricted payments, with, among other exceptions, capacity to pay annual
dividends generally consistent with those provided for in the Revolving Credit Agreement, with annual capacity to pay
$75 in each year within the 2021 through 2024 timeframe.
136
In conjunction with this debt offering, the net proceeds of $1,228, plus an additional $81 of ParentCo cash on hand,
were required to be placed in escrow contingent on completion of the Separation Transaction. The $81 represented the
necessary cash to fund the redemption of the Notes, pay all regularly scheduled interest on the Notes through a
specified date as defined in the indenture, and a premium on the principal of the Notes if the Separation Transaction
had not been completed by a certain time as defined in the indenture. As a result, the $1,228 of escrowed cash was
recorded as restricted cash. The issuance of the Notes and the increase in restricted cash both in the amount of $1,228
were not reflected in the accompanying Statement of Consolidated Cash Flows as these represent noncash financing
and investing activities, respectively. The subsequent release of the $1,228 from escrow occurred on October 31, 2016
in preparation for the Separation Transaction. This decrease in restricted cash was reflected in the accompanying
Statement of Consolidated Cash Flows as a cash inflow in the Net change in restricted cash line item.
BNDES Loans—Prior to July 5, 2016, Alcoa Alumínio (Alumínio), an indirect wholly-owned subsidiary of Alcoa
Corporation, had a loan agreement with Brazil’s National Bank for Economic and Social Development (BNDES) that
provided for a financing commitment of $397 (R$687), which was divided into three subloans and was used to pay for
certain expenditures of the Estreito hydroelectric power project. On July 5, 2016, this loan agreement was amended to
change the borrower from Alumínio to a wholly-owned subsidiary of Alumínio. Interest on the three subloans is a
Brazil real rate of interest equal to BNDES’ long-term interest rate, 7.50% and 7.00% as of December 31, 2016 and
2015, respectively, plus a weighted-average margin of 2.67% and 1.48%, respectively. Principal and interest are
payable monthly, which began in October 2011 and end in September 2029 for two of the subloans totaling R$667 and
began in July 2012 and end in June 2018 for the subloan of R$20. This loan may be repaid early without penalty with
the approval of BNDES.
As of December 31, 2016 and 2015, outstanding borrowings were $150 (R$490) and $136 (R$522), respectively, and
the weighted-average interest rate was 10.22% and 8.49%, respectively. During 2016 and 2015, Alumínio’s subsidiary
and/or Alumínio repaid $14 (R$48) and $15 (R$48), respectively, of outstanding borrowings. Additionally, Alumínio
borrowed less than $1 (R$1) under the loan in 2015.
Alumínio has a loan agreement with BNDES that provides for a financing commitment of $85 (R$177), which also
was used to pay for certain expenditures of the Estreito hydroelectric power project. Interest on the loan is a Brazil real
rate of interest equal to BNDES’ long-term interest rate plus a margin of 1.55%. Principal and interest are payable
monthly, which began in January 2013 and end in September 2029. This loan may be repaid early without penalty with
the approval of BNDES. As of December 31, 2016 and 2015, Alumínio’s outstanding borrowings were $42 (R137) and
$38 (R$146), respectively, and the interest rate was 9.05% and 8.55%, respectively. During 2016 and 2015, Alumínio
repaid $3 (R$11) and $3 (R$10), respectively, of outstanding borrowings.
Credit Facility.On September 16, 2016, Alcoa Corporation and ANHBV entered into a revolving credit agreement
with a syndicate of lenders and issuers named therein, as amended, (the “Revolving Credit Agreement”). The
Revolving Credit Agreement provides a $1,500 senior secured revolving credit facility (the “Revolving Credit
Facility”), the proceeds of which may be used for transaction costs related to the Separation Transaction (see Note A),
to provide working capital, and/or for other general corporate purposes of Alcoa Corporation and its subsidiaries.
Subject to the terms and conditions of the Revolving Credit Agreement, ANHBV may from time to time request the
issuance of letters of credit up to $750 under the Revolving Credit Facility, subject to a sublimit of $400 for any letters
of credit issued for the account of Alcoa Corporation or any of its domestic subsidiaries.
The Revolving Credit Facility is scheduled to mature on November 1, 2021, unless extended or earlier terminated in
accordance with the provisions of the Revolving Credit Agreement. ANHBV may make extension requests during the
term of the Revolving Credit Facility, subject to the lender consent requirements set forth in the Revolving Credit
Agreement. Under the provisions of the Revolving Credit Agreement, ANHBV will pay a quarterly commitment fee
ranging from 0.225% to 0.450% (based on Alcoa Corporation’s leverage ratio) on the unused portion of the Revolving
Credit Facility.
137
A maximum of $750 in outstanding borrowings under the Revolving Credit Facility may be denominated in euros.
Loans will bear interest at a rate per annum equal to, at ANHBV’s option, either (a) an adjusted LIBOR rate or (b) a
base rate determined by reference to the highest of (1) the prime rate of JPMorgan Chase Bank, N.A., (2) the greater of
the federal funds effective rate and the overnight bank funding rate, plus 0.5%, and (3) the one month adjusted LIBOR
rate plus 1% per annum, plus, in each case, an applicable margin. The applicable margin for all loans will vary based
on Alcoa Corporation’s leverage ratio and will range from 1.75% to 2.50% for LIBOR loans and 0.75% to 1.50% for
base rate loans. Outstanding borrowings may be prepaid without premium or penalty, subject to customary breakage
costs.
All obligations of Alcoa Corporation or a domestic entity under the Revolving Credit Facility are secured by, subject to
certain exceptions (including a limitation of pledges of equity interests in certain foreign subsidiaries to 65%, and
certain thresholds with respect to real property), a first priority lien on substantially all assets of Alcoa Corporation and
the material domestic wholly-owned subsidiaries of Alcoa Corporation and certain equity interests of specified non-
U.S. subsidiaries. All other obligations under the Revolving Credit Facility are secured by, subject to certain exceptions
(including certain thresholds with respect to real property), a first priority security interest in substantially all assets of
Alcoa Corporation, ANHBV, the material domestic wholly-owned subsidiaries of Alcoa Corporation, and the material
foreign wholly-owned subsidiaries of Alcoa Corporation located in Australia, Brazil, Canada, Luxembourg, the
Netherlands, and Norway, including equity interests of certain subsidiaries that directly hold equity interests in AWAC
entities. However, no AWAC entity is a guarantor of any obligation under the Revolving Credit Facility and no asset of
any AWAC entity, or equity interests in any AWAC entity, will be pledged to secure the obligations under the
Revolving Credit Facility.
The Revolving Credit Agreement includes a number of customary affirmative covenants. Additionally, the Revolving
Credit Agreement contains a number of negative covenants (applicable to Alcoa Corporation and certain subsidiaries
described as restricted), that, subject to certain exceptions, include limitations on (among other things): liens;
fundamental changes; sales of assets; indebtedness; entering into restrictive agreements; restricted payments, including
shareholder dividends and repurchases of common stock (see below); investments, loans, advances, guarantees, and
acquisitions; transactions with affiliates; amendment of certain material documents; and a covenant prohibiting
reductions in the ownership of AWAC entities, and certain other specified restricted subsidiaries of Alcoa Corporation,
below an agreed level. The Revolving Credit Agreement also includes financial covenants requiring the maintenance of
a specified interest expense coverage ratio of not less than 5.00 to 1.00, and a leverage ratio for any period of four
consecutive fiscal quarters that is not greater than 2.25 to 1.00. As of December 31, 2016, Alcoa Corporation was in
compliance with all such covenants.
In reference to the restricted payments covenant mentioned above, Alcoa Corporation may declare and make annual
ordinary dividends in an aggregate amount not to exceed $38 in each of the November 1, 2016 through December 31,
2017 time period and annual 2018, $50 in each of annual 2019 and 2020, and $75 in the January 1, 2021 through
November 1, 2021 time period (see below), except that 50% of any unused amount of the base amount in any of the
specified time periods may be used in the next succeeding period following the use of the base amount in said time
period. Also, Alcoa Corporation may repurchase shares of its common stock pursuant to stock option exercises and
benefit plans in an aggregate amount not to exceed $25 during any fiscal year, except that 50% of any unused amount
of the base amount in any fiscal year may be used in the next succeeding fiscal year following the use of the base
amount in said fiscal year.
The Revolving Credit Agreement contains customary events of default, including with respect to a failure to make
payments under the Revolving Credit Facility, cross-default and cross-judgment default, and certain bankruptcy and
insolvency events.
There were no amounts outstanding at December 31, 2016 and no amounts were borrowed during 2016 (September
16th through December 31st) under the Revolving Credit Facility.
138
M. Preferred and Common Stock
Preferred Stock.Alcoa Corporation is authorized to issue 100,000,000 shares of preferred stock at a par value of
$0.01 per share. At December 31, 2016, Alcoa Corporation had no issued preferred stock.
Common Stock.Alcoa Corporation is authorized to issue 750,000,000 shares of common stock at a par value of $0.01
per share. On November 1, 2016, in conjunction with the Separation Transaction (see Note A), Alcoa Corporation
distributed 182,471,195 shares of its common stock. Of this amount, 146,159,428 shares were distributed to ParentCo’s
shareholders and 36,311,767 shares were retained by ParentCo (on February 14, 2017, Arconic sold 23,353,000 of
these shares). From November 1, 2016 through December 31, 2016, Alcoa Corporation issued 459,800 shares for
employee stock-based compensation plans. As of December 31, 2016, Alcoa Corporation had 182,930,995 issued and
outstanding shares of common stock. Dividends on common stock are subject to authorization by Alcoa Corporation’s
Board of Directors. Alcoa Corporation did not declare any dividends from November 1, 2016 through December 31,
2016.
As of December 31, 2016, 18,540,200 shares of common stock were available for issuance under Alcoa Corporation’s
employee stock-based compensation plan. Alcoa Corporation issues new shares to satisfy the exercise of stock options
and the conversion of stock awards.
Stock-based Compensation
For all periods prior to the Separation Date (see Note A), Alcoa Corporation’s employees participated in ParentCo’s
stock-based compensation plan. The stock-based compensation expense recorded by Alcoa Corporation in the
referenced periods includes expense associated with employees historically attributable to Alcoa Corporation’s
operations and an allocation of expense (see Note A) related to ParentCo’s corporate employees. For the last two
months of 2016, Alcoa Corporation employees participated in the Company’s stock-based compensation plan.
Effective November 1, 2016, all outstanding stock options (vested and non-vested) and non-vested stock awards
originally granted under ParentCo’s stock-based compensation plan related to Alcoa Corporation employees were
replaced with similar stock options and stock awards under Alcoa Corporation’s stock-based compensation plan. In
order to preserve the intrinsic value of the stock options and stock awards originally granted under ParentCo’s stock-
based compensation plan, the number of stock options and stock awards issued under Alcoa Corporation’s stock-based
compensation plan were increased by a ratio of 1.34 developed by dividing the October 31, 2016 closing market price
of ParentCo’s common stock ($28.72) by the October 31, 2016 closing market price of Alcoa Corporation’s “when
issued” common stock ($21.44). This resulted in a beginning balance of outstanding stock options and stock awards
under Alcoa Corporation’s stock-based compensation plan of 4,673,829 and 2,605,423, respectively, as of
November 1, 2016.
The following description of Alcoa Corporation’s stock-based compensation plan is not materially different from the
description of ParentCo’s stock-based compensation plan prior to the Separation Transaction (see Note A).
Alcoa Corporation has a stock-based compensation plan under which stock options and stock awards generally will be
granted in February each year to eligible employees (Alcoa Corporation’s Board of Directors also receive certain stock
awards; however, these amounts are not material). Most plan participants can choose whether to receive their award in
the form of stock options, stock awards, or a combination of both. This choice is made before the grant is issued and is
irrevocable. Stock options will be granted at the closing market price of Alcoa Corporation’s common stock on the date
of grant and will vest over a three-year service period (1/3 each year) with a ten-year contractual term. Stock awards
will vest over a three-year service period from the date of grant and certain of these awards also include performance
conditions. In 2016, 2015, and 2014, the final number of performance stock awards earned will be based on Alcoa
Corporation’s achievement of sales and profitability targets over the respective three-year period. One-third of the
award will be earned each year based on the performance against the pre-established targets for that year. The
performance stock awards earned over the three-year period vest at the end of the third year.
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In 2016, 2015, and 2014, Alcoa Corporation recognized stock-based compensation expense of $28, $35, and $39,
respectively, of which approximately 80% related to stock awards in each period (there was no stock-based
compensation expense capitalized in 2016, 2015, or 2014). Of the total pretax stock-based compensation expense
recognized in 2016, 2015, and 2014, $16, $21, and $21, respectively, relates to the allocation of expense for ParentCo’s
corporate employees. As part of ParentCo’s stock-based compensation plan design, individuals who are retirement-
eligible have a six-month requisite service period in the year of grant. As a result, a larger portion of expense was
recognized in the first half of each year for these retirement-eligible employees. Of the total pretax stock-based
compensation expense recognized in 2016, 2015, and 2014, $7, $6, and $8, respectively, pertains to the acceleration of
expense related to retirement-eligible employees.
Stock-based compensation expense is based on the grant date fair value of the applicable equity grant. For stock
awards, the fair value was equivalent to the closing market price of either ParentCo’s or Alcoa Corporation’s common
stock on the date of grant. For stock options, the fair value was estimated on the date of grant using a lattice-pricing
model, which generated a result of $2.12, $4.47, and $2.84 per option in 2016, 2015, and 2014, respectively. The
lattice-pricing model uses a number of assumptions to estimate the fair value of a stock option, including an average
risk-free interest rate, dividend yield, volatility, annual forfeiture rate, exercise behavior, and contractual life. The
following paragraph describes in detail the assumptions used by ParentCo (Alcoa Corporation did not grant any stock
options from November 1, 2016 through December 31, 2016) to estimate the fair value of stock options granted in
2016 (the assumptions used to estimate the fair value of stock options granted in 2015 and 2014 were not materially
different).
The risk-free interest rate (2.06%) was based on a yield curve of interest rates at the time of the grant based on the
contractual life of the option. The dividend yield (1.1%) was based on a one-year average. Volatility (44.5%) was
based on historical and implied volatilities over the term of the option. ParentCo utilized historical option forfeiture
data to estimate annual pre- and post-vesting forfeitures (7%). Exercise behavior (60%) was based on a weighted
average exercise ratio (exercise patterns for grants issued over the number of years in the contractual option term) of an
option’s intrinsic value resulting from historical employee exercise behavior. Based upon the other assumptions used in
the determination of the fair value, the life of an option (5.7 years) was an output of the lattice-pricing model.
For stock options outstanding as of October 31, 2016 that were originally granted under ParentCo’s stock-based
compensation plan to Alcoa Corporation employees, the previously-mentioned fair values were adjusted to reflect both
the impact of ParentCo’s 1-for-3 reverse stock split that occurred on October 5, 2016 and to maintain the intrinsic value
of the stock options as a result of the Separation Transaction (see Note A). As a result, the fair value of the stock
options originally granted in 2016, 2015, and 2014 was adjusted to $4.75, $10.01, and $6.36, respectively. Alcoa
Corporation did not recognize any incremental stock-based compensation expense as a result of this adjustment.
The activity for stock options and stock awards during the November 1, 2016 through December 31, 2016 timeframe
was as follows:
Stock options Stock awards
Number of
options
Weighted
average
exercise price
Number of
awards
Weighted
average FMV
per award
Outstanding, November 1, 2016 4,673,829 $24.42 2,605,423 $22.59
Granted - - 22,858 28.88
Exercised (458,925) 21.69 - -
Converted - - (1,265) 22.31
Expired or forfeited (106,369) 25.73 (45,011) 22.75
Performance share adjustment - - (24,163) 21.88
Outstanding, December 31, 2016 4,108,535 24.69 2,557,842 22.65
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As of December 31, 2016, the number of stock options outstanding had a weighted average remaining contractual life
of 5.74 years and a total intrinsic value of $21. Additionally, 2,786,416 of the stock options outstanding were fully
vested and exercisable and had a weighted average remaining contractual life of 4.44 years, a weighted average
exercise price of $26.92, and a total intrinsic value of $9 as of December 31, 2016. In 2016, cash received from stock
option exercises was $10 and the total intrinsic value of stock options exercised during 2016 was $4.
At December 31, 2016, there was $17 (pretax) of unrecognized compensation expense related to non-vested stock
option grants and non-vested stock award grants. This expense is expected to be recognized over a weighted average
period of 1.5 years.
N. Pension and Other Postretirement Benefits
Alcoa maintains pension plans covering most U.S. employees and certain employees in foreign locations. Pension
benefits generally depend on length of service, job grade, and remuneration. Substantially all benefits are paid through
pension trusts that are sufficiently funded to ensure that all plans can pay benefits to retirees as they become due. Most
salaried and non-bargaining hourly U.S. employees hired after March 1, 2006 participate in a defined contribution plan
instead of a defined benefit plan.
ParentCo also maintains health care and life insurance postretirement benefit plans covering eligible U.S. retired
employees and certain retirees from foreign locations. Generally, the medical plans are unfunded and pay a percentage
of medical expenses, reduced by deductibles and other coverage. Life benefits are generally provided by insurance
contracts. ParentCo retains the right, subject to existing agreements, to change or eliminate these benefits. All salaried
and certain non-bargaining hourly U.S. employees hired after January 1, 2002 and certain bargaining hourly U.S.
employees hired after July 1, 2010 are not eligible for postretirement health care benefits. All salaried and certain
hourly U.S. employees that retire on or after April 1, 2008 are not eligible for postretirement life insurance benefits.
For all periods prior to August 1, 2016 (see below), eligible employees attributable to Alcoa Corporation operations
participated in the U.S. defined benefit pension and other postretirement benefit plans sponsored by ParentCo (the
“Shared Plans”), which included Arconic and ParentCo corporate participants. Alcoa Corporation accounted for the
Shared Plans as multiemployer benefit plans. Accordingly, Alcoa Corporation did not record an asset or liability to
recognize the funded status of the Shared Plans. The multiemployer contribution expense attributable to employees of
Alcoa Corporation-related operations was based primarily on pensionable compensation of such employees for the
pension plans and estimated interest costs for the other postretirement benefit plans. Multiemployer contribution
expenses attributable to Alcoa Corporation for the Shared Plans were $28, $64, and $64 related to pension plans and
$12, $32, and $39 related to other postretirement benefit plans in 2016 (through July 31, 2016), 2015, and 2014,
respectively.
Additionally, for all periods prior to August 1, 2016, Alcoa Corporation recorded an allocation of expenses for the
Shared Plans attributable to ParentCo corporate participants as well as to closed and sold operations (see Cost
Allocations in Note A). Including the multiemployer expenses described above, the total expenses associated with the
Shared Plans reflected in the accompanying Consolidated Statement of Operations were $73, $191, and $183 in 2016
(through July 31, 2016), 2015, and 2014, respectively.
Furthermore, certain of the ParentCo plans described above were specific to employees attributable to Alcoa
Corporation operations (non-U.S.) in their entirety (the “Direct Plans”). Alcoa Corporation accounted for the Direct
Plans as defined benefit pension and other postretirement benefit plans. Accordingly, the funded status of each of the
Direct Plans is recorded in the accompanying Consolidated Balance Sheet. Actuarial gains and losses that have not yet
been recognized in earnings are recorded in Accumulated other comprehensive loss until they are amortized as a
component of net periodic benefit cost. The determination of benefit obligations and recognition of expenses related to
Direct Plans are dependent on various assumptions. The major assumptions primarily relate to discount rates, long-
term expected rates of return on plan assets, and future compensation increases. Management develops each
assumption using relevant company experience in conjunction with market-related data for each of the plans.
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In preparation for the Separation Transaction (see Note A), effective August 1, 2016, certain of the Shared Plans were
separated into standalone plans for both Alcoa Corporation (the “New Direct Plans”) and Arconic. Accordingly, the
New Direct Plans for Alcoa Corporation were measured as of August 1, 2016. One of the primary assumptions used to
measure the New Direct Plans was a weighted average discount rate of 3.48%. This measurement yielded a combined
net unfunded status of $2,348, which was recognized in Alcoa Corporation’s Consolidated Balance Sheet at that time,
consisting of a current liability of $131 and a noncurrent liability of $2,217. Additionally, Alcoa Corporation
recognized $2,498 in Accumulated other comprehensive loss.
Additionally, certain other Shared Plans were assumed by Alcoa Corporation (the “Additional New Direct Plans”) that
did not require to be separated and/or to be remeasured. The Additional New Direct Plans had a combined net
unfunded status of $180, which was recognized in Alcoa Corporation’s Consolidated Balance Sheet, consisting of a
current liability of $5 and a noncurrent liability of $175. Additionally, Alcoa Corporation recognized $206 in
Accumulated other comprehensive loss.
Net periodic benefit cost for the Direct Plans, New Direct Plans, and/or Additional New Direct Plans were $83, $106,
and $101 related to pensions plans and $21, $(12), and $2 related to other postretirement benefit plans in the respective
periods in 2016, 2015, and 2014, respectively. Including the total expenses associated with the Shared Plans described
above, Alcoa Corporation recognized total expenses related to all pension and other postretirement benefits of $177,
$285, and $286 in 2016, 2015, and 2014, respectively.
The funded status of all of Alcoa Corporation’s Direct Plans, New Direct Plans, and Additional New Direct Plans are
measured as of December 31 each calendar year. All of the information that follows for pension and other
postretirement benefit plans is applicable to only the Direct Plans, New Direct Plans, and Additional New Direct Plans
in the respective periods.
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Obligations and Funded Status
Pension benefits
Other
postretirement benefits
December 31, 2016 2015 2016 2015
Change in benefit obligation
Benefit obligation at beginning of year $ 2,246 $2,507 $ 82 $ 98
Benefit obligation assumed on August 1, 2016 5,316 - 1,277 -
Service cost 74 63 2 -
Interest cost 142 95 16 4
Amendments 1 16 - -
Actuarial (gains) losses (244) 27 (33) (7)
Settlements (80) (65) - -
Curtailments - (13) - (5)
Benefits paid, net of participants’ contributions (218) (65) (61) (5)
Medicare Part D subsidy receipts - - 3 -
Foreign currency translation impact 32 (319) - (3)
Benefit obligation at end of year* $ 7,269 $2,246 $ 1,286 $ 82
Change in plan assets
Fair value of plan assets at beginning of year $ 1,891 $2,090 $ - $ -
Fair value of plan assets assumed on August 1, 2016 4,065 - - -
Actual return on plan assets (332) 111 - -
Employer contributions 72 76 - -
Participant contributions 18 19 - -
Benefits paid (224) (76) - -
Administrative expenses (11) (6) - -
Settlements (80) (65) - -
Foreign currency translation impact 22 (258) - -
Fair value of plan assets at end of year* $ 5,421 $1,891 $ - $ -
Funded status*$(1,848) $ (355) $(1,286) $(82)
Less: Amounts attributed to joint venture partners (30) (30) - -
Net funded status $(1,818) $ (325) $(1,286) $(82)
Amounts recognized in the Consolidated Balance Sheet consist
of:
Noncurrent assets $ 43 $ 35 $ - $ -
Current liabilities (10) (1) (120) (4)
Noncurrent liabilities (1,851) (359) (1,166) (78)
Net amount recognized $(1,818) $ (325) $(1,286) $(82)
Amounts recognized in Accumulated Other Comprehensive
Loss consist of:
Net actuarial loss $ 3,254 $ 625 $ 295 $ 1
Prior service cost (benefit) 42 35 (36) -
Total, before tax effect 3,296 660 259 1
Less: Amounts attributed to joint venture partners 36 39 - -
Net amount recognized, before tax effect $ 3,260 $ 621 $ 259 $ 1
Other Changes in Plan Assets and Benefit Obligations
Recognized in Other Comprehensive Loss consist of:
Net actuarial loss (benefit) $ 337 $ (61) $ (33) $(12)
Amortization of accumulated net actuarial loss (105) (45) (8) 7
Prior service cost (benefit) 2 (17) (1) 1
Amortization of prior service (cost) benefit (7) (6) 5 9
Total, before tax effect 227 (129) (37) 5
Less: Amounts attributed to joint venture partners (3) (5) - -
Net amount recognized, before tax effect $ 230 $ (124) $ (37) $ 5
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* At December 31, 2016, the benefit obligation, fair value of plan assets, and funded status for U.S. pension plans
were $4,977, $3,504, and $(1,473), respectively. At December 31, 2015, the benefit obligation, fair value of plan
assets, and funded status were related only to non-U.S. pension plans.
Pension Plan Benefit Obligations
Pension benefits
2016 2015
The projected benefit obligation and accumulated benefit obligation for all defined benefit pension
plans was as follows:
Projected benefit obligation $7,269 $2,246
Accumulated benefit obligation 7,075 2,049
The aggregate projected benefit obligation and fair value of plan assets for pension plans with
projected benefit obligations in excess of plan assets was as follows:
Projected benefit obligation 6,699 2,175
Fair value of plan assets 4,807 1,789
The aggregate accumulated benefit obligation and fair value of plan assets for pension plans with
accumulated benefit obligations in excess of plan assets was as follows:
Accumulated benefit obligation 6,531 1,467
Fair value of plan assets 4,807 1,252
Components of Net Periodic Benefit Cost
Pension benefits(1)Other postretirement benefits(2)
2016 2015 2014 2016 2015 2014
Service cost $ 61 $ 51 $ 55 $ 2 $ - $ 1
Interest cost 138 89 114 16 4 5
Expected return on plan assets (242) (121) (134) - - -
Recognized net actuarial loss 102 42 34 8 (3) (2)
Amortization of prior service cost (benefit) 7 6 8 (5) (9) (2)
Settlements(3)16 14 24 - - -
Curtailments(4)- 9 - - (4) -
Special termination benefits
(5)116 - - - -
Net periodic benefit cost(6)$ 83 $ 106 $ 101 $21 $(12) $ 2
(1)In 2016, net periodic benefit cost for U.S pension plans was $21.
(2)In 2016, net periodic benefit cost for other postretirement benefits reflects a reduction of $6 related to the recognition of
the federal subsidy awarded under Medicare Part D.
(3)In 2016 and 2014, settlements were due to workforce reductions (see Note D). In 2015, settlements were due to
workforce reductions (see Note D) and the payment of lump sum benefits.
(4)In 2015, curtailments were due to elimination of benefits or workforce reductions (see Note D).
(5)In 2016 and 2015, special termination benefits were due to workforce reductions (see Note D).
(6)Amounts attributed to joint venture partners are not included.
Amounts Expected to be Recognized in Net Periodic Benefit Cost
Pension benefits Other postretirement benefits
2017 2017
Net actuarial loss recognition $186 $16
Prior service cost (benefit) recognition 8 (6)
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Assumptions
Weighted average assumptions used to determine benefit obligations for pension and other postretirement benefit plans
were as follows:
December 31,2016 2015
Discount rate—pension plans 4.12% 4.03%
Discount rate—other postretirement benefit plans 3.93 4.07
Rate of compensation increase—pension plans 3.61 3.65
The discount rate is determined using a Company-specific yield curve model (above-median) developed with the
assistance of an external actuary. The cash flows of the plans’ projected benefit obligations are discounted using a
single equivalent rate derived from yields on high quality corporate bonds, which represent a broad diversification of
issuers in various sectors. The yield curve model parallels the plans’ projected cash flows, which have an average
duration ranging from 11 to 15 years, and the underlying cash flows of the bonds included in the model exceed the cash
flows needed to satisfy the Company’s plans’ obligations multiple times. If a deep market of high quality corporate
bonds does not exist in a country, then the yield on government bonds plus a corporate bond yield spread is used.
The rate of compensation increase is based upon anticipated compensation increases and estimated inflation. For 2017,
the rate of compensation increase will be 3.5%.
Weighted average assumptions used to determine net periodic benefit cost for pension and other postretirement benefit
plans were as follows:
2016 2015 2014
Discount rate—pension plans* 3.45% 4.09% 5.14%
Discount rate—other postretirement benefit plans* 2.90 4.15 4.88
Expected long-term rate of return on plan assets—pension plans 7.31 6.91 6.91
Rate of compensation increase—pension plans 3.65 3.74 3.79
* In all periods presented, the respective discount rates were used to determine net periodic benefit cost for most plans
for the full annual period. However, the discount rates for a limited number of plans were updated during 2016,
2015, and 2014 to reflect the remeasurement of these plans due to settlements and/or curtailments. The updated
discount rates used were not significantly different from the discount rates presented.
The expected long-term rate of return on plan assets is generally applied to a five-year market-related value of plan
assets (a four-year average or the fair value at the plan measurement date is used for certain non-U.S. plans). The
process used by management to develop this assumption is one that relies on forward-looking investment returns by
asset class. Management incorporates expected future investment returns on current and planned asset allocations using
information from various external investment managers and consultants, as well as management’s own judgment. For
2016, 2015, and 2014, the expected long-term rate of return used by management was based on the prevailing and
planned strategic asset allocations, as well as estimates of future returns by asset class. For 2017, management
anticipates that 7.47% will be the weighted-average expected long-term rate of return.
Assumed health care cost trend rates for U.S. other postretirement benefit plans were as follows (non-U.S. plans are not
material):
2016 2015 2014
Health care cost trend rate assumed for next year 5.5% 5.5% 5.5%
Rate to which the cost trend rate gradually declines 4.5% 4.5% 4.5%
Year that the rate reaches the rate at which it is assumed to remain 2020 2019 2018
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The assumed health care cost trend rate is used to measure the expected cost of gross eligible charges covered by Alcoa
Corporation’s other postretirement benefit plans. For 2017, a 5.5% trend rate will be used, reflecting management’s
best estimate of the change in future health care costs covered by the plans. The plans’ actual annual health care cost
trend experience (based on ParentCo’s plans that previously included the Alcoa Corporation participants) over the past
three years has ranged from 3.6%. to 9.6% Management does not believe this three-year range is indicative of expected
increases for future health care costs over the long-term.
Assumed health care cost trend rates have an effect on the amounts reported for a health care plan. A one-percentage
point change in these assumed rates would have the following effects:
1%
increase
1%
decrease
Effect on other postretirement benefit obligations $80 $(72)
Effect on total of service and interest cost components 1 (1)
Plan Assets
Alcoa Corporation’s pension plan investment policy and weighted average asset allocations at December 31, 2016 and
2015, by asset class, were as follows:
Plan assets
at
December 31,
Asset class Policy range 2016 2015
Equities 20–55% 37% 40%
Fixed income 25–55% 36 37
Other investments 15–35% 27 23
Total 100% 100%
The principal objectives underlying the investment of the pension plans’ assets are to ensure that Alcoa Corporation
can properly fund benefit obligations as they become due under a broad range of potential economic and financial
scenarios, maximize the long-term investment return with an acceptable level of risk based on such obligations, and
broadly diversify investments across and within various asset classes to protect asset values against adverse
movements. Specific objectives for long-term investment strategy include reducing the volatility of pension assets
relative to pension liabilities and achieving risk factor diversification across the balance of the asset portfolio. A
portion of the assets are matched to the interest rate profile of the benefit obligation through long duration fixed income
investments and fixed income derivative instruments. Exposure to broad equity risk has been decreased and diversified
through investments in discretionary and systematic macro hedge funds, long/short equity hedge funds, and global and
emerging market equities. Investments are further diversified by strategy, asset class, geography, and sector to enhance
returns and mitigate downside risk. A large number of external investment managers are used to gain broad exposure to
the financial markets and to mitigate manager-concentration risk.
Investment practices comply with the requirements of applicable laws and regulations in the respective jurisdictions,
including the Employee Retirement Income Security Act of 1974 (ERISA) in the United States. The use of derivative
instruments by external investment managers is permitted where appropriate and necessary for achieving overall
investment policy objectives and for mitigating interest rate and other asset class risks.
The following section describes the valuation methodologies used by the trustees to measure the fair value of pension
plan assets, including, if applicable, an indication of the level in the fair value hierarchy in which each type of asset is
generally classified (see Note O for the definition of fair value and a description of the fair value hierarchy). On
January 1, 2016, Alcoa Corporation adopted changes issued by the FASB related to certain investments for which fair
146
value is measured at net asset value as a practical expedient (see Recently Adopted Accounting Guidance in Note B).
The changes remove the requirement to categorize within the fair value hierarchy all such investments. Additionally,
an entity is required to remove these investments from the fair value hierarchy in all prior periods presented. As such,
the information in the table below has been updated to conform to these changes. All references below to net asset
value means net asset value of shares (or its equivalent) held at December 31 as a practical expedient.
Equities.These securities consist of: (i) direct investments in the stock of publicly traded U.S. and non-U.S. companies
and are valued based on the closing price reported in an active market on which the individual securities are traded
(generally classified in Level 1); (ii) the plans’ share of commingled funds that are invested in the stock of publicly
traded companies and are valued at net asset value; and (iii) direct investments in long/short equity hedge funds and
private equity (limited partnerships and venture capital partnerships) and are valued at net asset value.
Fixed income.These securities consist of: (i) U.S. government debt and are generally valued using quoted prices
(included in Level 1); (ii) cash and cash equivalents invested in publicly-traded funds and are valued based on the
closing price reported in an active market on which the individual securities are traded (generally classified in Level 1);
(iii) publicly traded U.S. and non-U.S. fixed interest obligations (principally corporate bonds and debentures) and are
valued through consultation and evaluation with brokers in the institutional market using quoted prices and other
observable market data (included in Level 2); (iv) fixed income derivatives and are generally valued using industry
standard models with market-based observable inputs (included in Level 2); and (v) cash and cash equivalents invested
in institutional funds and are valued at net asset value.
Other investments.These investments include, among others: (i) exchange traded funds, such as real estate
investment trusts and gold, and are valued based on the closing price reported in an active market on which the
investments are traded (included in Level 1); (ii) the plans’ share of commingled funds that are invested in real estate
investment trusts and are valued at net asset value; (iii) direct investments of discretionary and systematic macro hedge
funds and private real estate (includes limited partnerships) and are valued at net asset value; and (iv) absolute return
hedge funds and are valued at net asset value.
The fair value methods described above may not be indicative of net realizable value or reflective of future fair values.
Additionally, while Alcoa Corporation believes the valuation methods used by the plans’ trustees are appropriate and
consistent with other market participants, the use of different methodologies or assumptions to determine the fair value
of certain financial instruments could result in a different fair value measurement at the reporting date.
147
The following table presents the fair value of pension plan assets classified under either the appropriate level of the fair
value hierarchy or net asset value:
December 31, 2016 Level 1 Level 2 Level 3
Net Asset
Value Total
Equities:
Equity securities $ 520 $ - $- $ 772 $1,292
Long/short equity hedge funds - - - 449 449
Private equity - - - 246 246
$ 520 $ - $- $1,467 $1,987
Fixed income:
Intermediate and long duration government/credit $ 78 $283 $- $ 167 $ 528
Cash and cash equivalent funds 897 - - 468 1,365
Other - 61 - - 61
$ 975 $344 $- $ 635 $1,954
Other investments:
Real estate $ 88 $ - $- $ 331 $ 419
Discretionary and systematic macro hedge funds - - - 866 866
Other 71 - - 139 210
$ 159 $ - $- $1,336 $1,495
Total* $1,654 $344 $- $3,438 $5,436
December 31, 2015 Level 1 Level 2 Level 3
Net Asset
Value Total
Equities:
Equity securities $ 160 $ - $- $ 480 $ 640
Long/short equity hedge funds - - - 26 26
Private equity - - - 101 101
$ 160 $ - $- $ 607 $ 767
Fixed income:
Intermediate and long duration government/credit $ 152 $226 $- $ 157 $ 535
Other - 24 - 139 163
$ 152 $250 $- $ 296 $ 698
Other investments:
Real estate $ 4 $ - $- $ 185 $ 189
Discretionary and systematic macro hedge funds - - - 46 46
Other 4 - - 187 191
$ 8 $ - $- $ 418 $ 426
Total $ 320 $250 $- $1,321 $1,891
* As of December 31, 2016, the total fair value of pension plan assets excludes a net payable of $15, which represents
the amount due to Arconic pension plans from Alcoa Corporation pension plans as a result of certain plans that were
separated between the two companies.
Funding and Cash Flows
It is Alcoa Corporation’s policy to fund amounts for pension plans sufficient to meet the minimum requirements set
forth in applicable country benefits laws and tax laws, including the Pension Protection Act of 2006; the Worker,
Retiree, and Employer Recovery Act of 2008; the Moving Ahead for Progress in the 21
st Century Act of 2012; the
Highway and Transportation Funding Act of 2015; and the Bipartisan Budget Act of 2016 for U.S. plans. From time to
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time, Alcoa Corporation contributes additional amounts as deemed appropriate. In 2016 and 2015, cash contributions
to Alcoa Corporation’s pension plans were $66 and $69. The minimum required contribution to pension plans in 2017
is estimated to be $115, of which $60 is for U.S. plans.
Benefit payments expected to be paid to pension and other postretirement benefit plan participants and expected
Medicare Part D subsidy receipts are as follows:
Year ended December 31,
Pension
benefits
Gross Other
postretirement
benefits
Medicare Part D
subsidy receipts
Net Other
postretirement
benefits
2017 $ 475 $ 130 $10 $120
2018 475 120 10 110
2019 475 115 10 105
2020 480 115 10 105
2021 480 115 10 105
2022 through 2026 2,375 495 45 450
$4,760 $1,090 $95 $995
Defined Contribution Plans
Alcoa Corporation sponsors savings and investment plans in several countries, including the United States and
Australia. Prior to the Separation Date (see Note A), employees attributable to Alcoa Corporation operations
participated in ParentCo-sponsored plans. Alcoa Corporation’s expenses related to all such plans were $57 in 2016,
$59 in 2015, and $68 in 2014. In the United States, employees may contribute a portion of their compensation to the
plans, and Alcoa Corporation (ParentCo prior to Separation Date) matches a portion of these contributions in
equivalent form of the investments elected by the employee.
O. Derivatives and Other Financial Instruments
Fair Value.Fair value is defined as the price that would be received to sell an asset or paid to transfer a liability in an
orderly transaction between market participants at the measurement date. The fair value hierarchy distinguishes
between (i) market participant assumptions developed based on market data obtained from independent sources
(observable inputs) and (ii) an entity’s own assumptions about market participant assumptions developed based on the
best information available in the circumstances (unobservable inputs). The fair value hierarchy consists of three broad
levels, which gives the highest priority to unadjusted quoted prices in active markets for identical assets or liabilities
(Level 1) and the lowest priority to unobservable inputs (Level 3). The three levels of the fair value hierarchy are
described below:
• Level 1—Unadjusted quoted prices in active markets that are accessible at the measurement date for
identical, unrestricted assets or liabilities.
• Level 2—Inputs other than quoted prices included within Level 1 that are observable for the asset or liability,
either directly or indirectly, including quoted prices for similar assets or liabilities in active markets; quoted
prices for identical or similar assets or liabilities in markets that are not active; inputs other than quoted
prices that are observable for the asset or liability (e.g., interest rates); and inputs that are derived principally
from or corroborated by observable market data by correlation or other means.
• Level 3—Inputs that are both significant to the fair value measurement and unobservable.
Derivatives.Alcoa Corporation is exposed to certain risks relating to its ongoing business operations, including
financial, market, political, and economic risks. The following discussion provides information regarding Alcoa
Corporation’s exposure to the risks of changing commodity prices, interest rates, and foreign currency exchange rates.
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Alcoa Corporation’s commodity and derivative activities are subject to the management, direction, and control of the
Strategic Risk Management Committee (SRMC), which is composed of the chief executive officer, the chief financial
officer, and other officers and employees that the chief executive officer selects. The SRMC meets on a periodic basis
to review derivative positions and strategy and reports to Alcoa Corporation’s Board of Directors on the scope of its
activities.
The aluminum, energy, interest rate, and foreign exchange contracts are held for purposes other than trading. They are
used primarily to mitigate uncertainty and volatility, and to cover underlying exposures. Alcoa Corporation is not
involved in trading activities for energy, weather derivatives, or other nonexchange commodity trading activities.
A number of Alcoa Corporation’s aluminum, energy, and foreign exchange contracts are classified as Level 1 or
Level 2 under the fair value hierarchy. These aluminum, energy, and foreign exchange contracts are not material to
Alcoa Corporation’s Consolidated Financial Statements for all periods presented.
In addition to the Level 1 and 2 derivative instruments described above, Alcoa Corporation has nine (ten prior to
October 2016) derivative instruments classified as Level 3 under the fair value hierarchy. These instruments are
composed of seven (eight prior to October 2016) embedded aluminum derivatives, an energy contract, and an
embedded credit derivative, all of which relate to energy supply contracts associated with nine smelters and three
refineries. Five of the embedded aluminum derivatives and the energy contract (through November 2016 – see below)
were designated as cash flow hedging instruments and two (three prior to October 2016) of the embedded aluminum
derivatives, the embedded credit derivative, and the energy contract (in December 2016 – see below) were not
designated as hedging instruments.
The following section describes the valuation methodologies used by Alcoa Corporation to measure its Level 3
derivative instruments at fair value. Derivative instruments classified as Level 3 in the fair value hierarchy represent
those in which management has used at least one significant unobservable input in the valuation model. Alcoa
Corporation uses a discounted cash flow model to fair value all Level 3 derivative instruments. Where appropriate, the
description below includes the key inputs to those models and any significant assumptions. These valuation models are
reviewed and tested at least on an annual basis.
Inputs in the valuation models for Level 3 derivative instruments are composed of the following: (i) quoted market
prices (e.g., aluminum prices on the 10-year London Metal Exchange (LME) forward curve and energy prices),
(ii) significant other observable inputs (e.g., information concerning time premiums and volatilities for certain option
type embedded derivatives and regional premiums for aluminum contracts), and (iii) unobservable inputs (e.g.,
aluminum and energy prices beyond those quoted in the market). For periods beyond the term of quoted market prices
for aluminum, Alcoa Corporation estimates the price of aluminum by extrapolating the 10-year LME forward curve.
Additionally, for periods beyond the term of quoted market prices for energy, management has developed a forward
curve based on independent consultant market research. Where appropriate, valuations are adjusted for various factors
such as liquidity, bid/offer spreads, and credit considerations. Such adjustments are generally based on available
market evidence (Level 2). In the absence of such evidence, management’s best estimate is used (Level 3). If a
significant input that is unobservable in one period becomes observable in a subsequent period, the related asset or
liability would be transferred to the appropriate classification (Level 1 or 2) in the period of such change (there were no
such transfers in the periods presented).
Alcoa Corporation has two power contracts, each of which contain an embedded derivative that indexes the price of
power to the LME price of aluminum. Additionally, Alcoa Corporation has three power contracts, each of which
contain an embedded derivative that indexes the price of power to the LME price of aluminum plus the Midwest
premium. The embedded derivatives in these five power contracts are primarily valued using observable market prices;
however, due to the length of the contracts, the valuation models also require management to estimate the long-term
price of aluminum based upon an extrapolation of the 10-year LME forward curve. Additionally, for three of the
contracts, management also estimates the Midwest premium, generally, for the next twelve months based on recent
transactions and then holds the premium estimated in that twelfth month constant for the remaining duration of the
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contract. Significant increases or decreases in the actual LME price beyond 10 years would result in a higher or lower
fair value measurement. An increase in actual LME price and/or the Midwest premium over the inputs used in the
valuation models will result in a higher cost of power and a corresponding decrease to the derivative asset or increase
to the derivative liability. The embedded derivatives have been designated as cash flow hedges of forward sales of
aluminum. Unrealized gains and losses were included in Other comprehensive loss on the accompanying Consolidated
Balance Sheet while realized gains and losses were included in Sales on the accompanying Statement of Consolidated
Operations.
Also, Alcoa Corporation had a power contract (expired in September 2016 – see below) separate from above that
contains an LME-linked embedded derivative. Prior to its expiration, the embedded derivative was valued using the
probability and interrelationship of future LME prices, Australian dollar to U.S. dollar exchange rates, and the U.S.
consumer price index. Significant increases or decreases in the LME price would result in a higher or lower fair value
measurement. An increase in actual LME price over the inputs used in the valuation model will result in a higher cost
of power and a corresponding decrease to the derivative asset. This embedded derivative did not qualify for hedge
accounting treatment. Unrealized gains and losses from the embedded derivative were included in Other expenses
(income), net on the accompanying Statement of Consolidated Operations while realized gains and losses were
included in Cost of goods sold on the accompanying Statement of Consolidated Operations as electricity purchases
were made under the contract. At the time this derivative asset was recognized, an equivalent amount was recognized
as a deferred credit in Other noncurrent liabilities and deferred credits on the accompanying Consolidated Balance
Sheet (see Note S). This deferred credit was recognized in Other expenses (income), net on the accompanying
Statement of Consolidated Operations as power was received over the life of the contract.
Additionally, Alcoa Corporation has a natural gas supply contract, which has an LME-linked ceiling. This embedded
derivative is valued using probabilities of future LME aluminum prices and the price of Brent crude oil (priced on
Platts), including the interrelationships between the two commodities subject to the ceiling. Any change in the
interrelationship would result in a higher or lower fair value measurement. An LME ceiling was embedded into the
contract price to protect against an increase in the price of oil without a corresponding increase in the price of LME. An
increase in oil prices with no similar increase in the LME price would limit the increase of the price paid for natural
gas. This embedded derivative did not qualify for hedge accounting treatment. Unrealized gains and losses from the
embedded derivative were included in Other expenses (income), net on the accompanying Statement of Consolidated
Operations while realized gains and losses were included in Cost of goods sold on the accompanying Statement of
Consolidated Operations as gas purchases were made under the contract.
In mid-2016, Alcoa Corporation and the related counterparty elected to modify the pricing of an existing power
contract for a smelter in the United States. This amendment contains an embedded derivative that indexes the price of
power to the LME price of aluminum plus the Midwest premium. The embedded derivative is valued using the
interrelationship of future metal prices (LME base plus Midwest premium) and the amount of megawatt hours of
energy needed to produce the forecasted metric tons of aluminum at the smelter. Significant increases or decreases in
the metal price would result in a higher or lower fair value measurement. An increase in actual metal price over the
inputs used in the valuation model will result in a higher cost of power and a corresponding increase to the derivative
liability. Management elected not to qualify the embedded derivative for hedge accounting treatment. Unrealized gains
and losses from the embedded derivative will be included in Other (income) expenses, net on the accompanying
Statement of Consolidated Operations while realized gains and losses will be included in Cost of goods sold on the
accompanying Statement of Consolidated Operations as electricity purchases are made under the contract. At the time
this derivative liability was recognized, an equivalent amount was recognized as a deferred charge in Other noncurrent
assets on the accompanying Consolidated Balance Sheet. This deferred charge will be recognized in Other (income)
expenses, net on the accompanying Statement of Consolidated Operations as power is received over the life of the
contract.
Furthermore, Alcoa Corporation has a power contract, which contains an embedded derivative that indexes the
difference between the long-term debt ratings of Alcoa Corporation and the counterparty from any of the three major
credit rating agencies. Management uses market prices, historical relationships, and forecast services to determine fair
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value. Significant increases or decreases in any of these inputs would result in a lower or higher fair value
measurement. A wider credit spread between Alcoa Corporation and the counterparty would result in a higher cost of
power and a corresponding increase in the derivative liability. This embedded derivative did not qualify for hedge
accounting treatment. Unrealized gains and losses were included in Other expenses (income), net on the accompanying
Statement of Consolidated Operations while realized gains and losses were included in Cost of goods sold on the
accompanying Statement of Consolidated Operations as electricity purchases were made under the contract.
Finally, Alcoa Corporation has a derivative contract that hedges the anticipated power requirements at one of its
smelters that began when the previous power contract expired in September 2016 (see above). Beyond the term where
market information is available, management developed a forward curve, for valuation purposes, based on independent
consultant market research. Significant increases or decreases in the power market may result in a higher or lower fair
value measurement. Lower prices in the power market would cause a decrease in the derivative asset. The derivative
contract had been designated as a cash flow hedge of future purchases of electricity (this designation ceased in
December 2016 – see below). Through November 2016, unrealized gains and losses on this contract were recorded in
Other comprehensive loss on the accompanying Consolidated Balance Sheet, while realized gains and losses were
recorded in Cost of goods sold as electricity purchases were made under the power contract. In August 2016, Alcoa
Corporation gave the required notice to terminate this derivative contract one year from the date of notification. As a
result, Alcoa Corporation decreased both the related derivative asset recorded in Other noncurrent assets and the
unrealized gain recorded in Accumulated other comprehensive loss by $84, which related to the August 2017 through
2036 timeframe, resulting in no impact to Alcoa Corporation’s earnings. In December 2016, a portion of this contract
no longer qualified for hedge accounting treatment due to an outage at the smelter, at which point management elected
to discontinue hedge accounting for the entire contract. As a result, Alcoa Corporation reclassified an unrealized gain
of $7 from Accumulated other comprehensive loss to Other income, net related to the portion of the contract that no
longer qualified for hedge accounting. The remaining unrealized gain in Accumulated other comprehensive loss will be
reclassified to Other income, net as electricity purchases are made under the power contract through the termination
date.
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The following table presents quantitative information related to the significant unobservable inputs described above for
Level 3 derivative contracts:
Fair value at
December 31, 2016 Unobservable input
Range
($ in full amounts)
Assets:
Embedded aluminum
derivatives
$497 Price of aluminum beyond
forward curve
Aluminum: $2,137 per metric
ton in 2027 to $2,265 per
metric ton in 2029 (two
contracts) and $2,563 per
metric ton in 2036 (one
contract)
Midwest premium: $0.835 per
pound in 2017 to $0.0900
per pound in 2029 (two
contracts) and 2036 (one
contract)
Embedded aluminum
derivative
- Interrelationship of future
aluminum and oil prices
Aluminum: $1,694 per metric
ton in 2017 to $1,734 per
metric ton in 2018
Oil: $56 per barrel in 2017 to
$58 per barrel in 2018
Energy contract 17 Interrelationship of forward
energy price and the
Consumer Price Index
Electricity: $68 per megawatt
hour through September
2017
Liabilities:
Embedded aluminum
derivative
202 Price of aluminum beyond
forward curve
Aluminum: $2,137 per metric
ton in 2027 to $2,157 per
metric ton in 2027
Embedded aluminum
derivative
28 Interrelationship of LME price
to the amount of megawatt
hours of energy needed to
produce the forecasted
metric tons of aluminum
Aluminum: $1,694 per metric
ton in 2017 to $1,748 per
metric ton in 2019
Midwest premium: $0.0835
per pound in 2017 to
$0.0900 per pound in 2019
Electricity: rate of 2 million
megawatt hours per year
Embedded aluminum
derivative
2 Interrelationship of LME price
to overall energy price
Aluminum: $1,711 per metric
ton in 2017 to $1,758 per
metric ton in 2019
Embedded credit derivative 35 Credit spread between Alcoa
Corporation and
counterparty
4.12% (Alcoa Corporation—
5.12% and counterparty—
1.00%)
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The fair values of Level 3 derivative instruments recorded as assets and liabilities in the accompanying Consolidated
Balance Sheet were as follows:
Asset Derivatives
December 31,
2016
December 31,
2015
Derivatives designated as hedging instruments:
Prepaid expenses and other current assets:
Embedded aluminum derivatives $ 29 $ 72
Other noncurrent assets:
Embedded aluminum derivatives 468 994
Energy contract - 2
Total derivatives designated as hedging instruments $497 $1,068
Derivatives not designated as hedging instruments:
Prepaid expenses and other current assets:
Embedded aluminum derivatives $ - $ 69
Energy contract 17 -
Total derivatives not designated as hedging instruments $ 17 $ 69
Total Asset Derivatives $514 $1,137
Liability Derivatives
Derivatives designated as hedging instruments:
Other current liabilities:
Embedded aluminum derivatives $ 17 $ 9
Energy contract - 4
Other noncurrent liabilities and deferred credits:
Embedded aluminum derivatives 187 160
Total derivatives designated as hedging instruments $204 $ 173
Derivatives not designated as hedging instruments:
Other current liabilities:
Embedded aluminum derivative $ 10 $ -
Embedded credit derivative 5 6
Other noncurrent liabilities and deferred credits:
Embedded aluminum derivative 18 -
Embedded credit derivative 30 29
Total derivatives not designated as hedging instruments $ 63 $ 35
Total Liability Derivatives $267 $ 208
The following table shows the net fair values of the Level 3 derivative instruments at December 31, 2016 and the effect
on these amounts of a hypothetical change (increase or decrease of 10%) in the market prices or rates that existed as of
December 31, 2016:
Fair value
asset/(liability)
Index change
of + / -10%
Embedded aluminum derivatives $265 $402
Embedded credit derivative (35) 4
Energy contract 17 9
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The following tables present a reconciliation of activity for Level 3 derivative contracts:
Assets Liabilities
2016
Embedded
aluminum
derivatives
Energy
contract
Embedded
aluminum
derivatives
Embedded
credit
derivative
Energy
contract
Opening balance—January 1, 2016 $1,135 $ 2 $169 $35 $ 4
Total gains or losses (realized and unrealized)
included in:
Sales (5) - (12) - -
Cost of goods sold (92) - - (5) -
Other expenses, net* (13) (80) 2 5 (2)
Other comprehensive loss (568) 95 47 - (1)
Purchases, sales, issuances, and settlements** - - 32 - -
Transfers into and/or out of Level 3** - - - - -
Other 40 - (6) - (1)
Closing balance—December 31, 2016 $ 497 $ 17 $232 $35 $ -
Change in unrealized gains or losses included in
earnings for derivative contracts held at
December 31, 2016:
Sales $ - $ - $ - $ - $ -
Cost of goods sold - - - - -
Other expenses, net* (13) (80) 2 5 (2)
* In August 2016, Alcoa Corporation elected to terminate the energy contract in accordance with the provisions of
the agreement (see above). As a result, Alcoa Corporation decreased the derivative asset and recorded a charge in
Other income, net of $84, which is reflected in the table above. Additionally, Alcoa Corporation also decreased
the related unrealized gain included in Accumulated other comprehensive loss and recorded a benefit in Other
income, net of $84. As such, the termination of the specified term of this derivative contract described above did
not have an impact on Alcoa Corporation’s earnings.
** In 2016, there was an issuance of a new embedded derivative contained in an amendment to an existing power
contract (see above). There were no purchases, sales or settlements of Level 3 derivative instruments.
Additionally, there were no transfers of derivative instruments into or out of Level 3.
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Assets Liabilities
2015
Embedded
aluminum
derivatives
Energy
contract
Embedded
aluminum
derivatives
Embedded
credit
derivative
Energy
contract
Opening balance—January 1, 2015 $ 266 $ 2 $ 376 $18 $-
Total gains or losses (realized and unrealized)
included in:
Sales 5 - (16) - -
Cost of goods sold (99) - - - -
Other expenses, net (8) (2) - 17 1
Other comprehensive loss 964 1 (191) - 3
Purchases, sales, issuances, and settlements* - - - - -
Transfers into and/or out of Level 3* - - - - -
Foreign currency translation 7 1 - - -
Closing balance—December 31, 2015 $1,135 $ 2 $ 169 $35 $4
Change in unrealized gains or losses included in
earnings for derivative contracts held at
December 31, 2015:
Sales $ - $ - $ - $ - $-
Cost of goods sold - - - - -
Other expenses, net (8) (2) - 17 1
* In 2015, there were no purchases, sales, issuances or settlements of Level 3 derivative instruments. Additionally,
there were no transfers of derivative instruments into or out of Level 3.
Derivatives Designated As Hedging Instruments—Cash Flow Hedges
For derivative instruments that are designated and qualify as cash flow hedges, the effective portion of unrealized gains
or losses on the derivative is reported as a component of other comprehensive income (OCI). Realized gains or losses
on the derivative are reclassified from OCI into earnings in the same period or periods during which the hedged
transaction impacts earnings. Gains and losses on the derivative representing either hedge ineffectiveness or hedge
components excluded from the assessment of effectiveness are recognized directly in earnings immediately.
Alcoa Corporation has five Level 3 embedded aluminum derivatives and one Level 3 energy contract (through
November 2016 – see above) that have been designated as cash flow hedges as follows.
Embedded aluminum derivatives.Alcoa Corporation has entered into energy supply contracts that contain pricing
provisions related to the LME aluminum price. The LME-linked pricing features are considered embedded derivatives.
Five of these embedded derivatives have been designated as cash flow hedges of forward sales of aluminum, three of
which were new derivatives contained in three power contracts that were renewed in late 2014. At December 31, 2016
and 2015, these embedded aluminum derivatives hedge forecasted aluminum sales of 3,127 kmt and 3,307 kmt,
respectively.
In 2016, 2015, and 2014, Alcoa Corporation recognized an unrealized loss of $615, an unrealized gain of $1,155, and
an unrealized gain of $78, respectively, in Other comprehensive loss related to these five derivative instruments.
Additionally, Alcoa Corporation reclassified a realized loss of $7, $21, and $28 from Accumulated other
comprehensive loss to Sales in 2016, 2015, and 2014, respectively. Assuming market rates remain constant with the
rates at December 31, 2016, a realized gain of $8 is expected to be recognized in Sales over the next 12 months.
There was no ineffectiveness related to these five derivative instruments in 2016, 2015, and 2014.
Energy contract.Alcoa Corporation has a derivative contract that hedges the anticipated power requirements at one of
its smelters that became effective when the existing power contract expired in September 2016. In August 2016, Alcoa
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Corporation elected to terminate most of the remaining term of this derivative contract (see above). Additionally, in
December 2016, management elected to discontinue hedge accounting for this contract (see above). This energy
contract hedged forecasted electricity purchases of 1,969,544 megawatt hours prior to December 2016 and 59,409,328
megawatt hours at December 31, 2015. In 2016, 2015, and 2014, Alcoa Corporation recognized an unrealized gain of
$96, an unrealized loss of $2, and an unrealized loss of $4, respectively, in Other comprehensive loss. Additionally,
Alcoa Corporation recognized a gain of $3 and a loss of $3 in Other expenses, net related to hedge ineffectiveness in
2016 and 2015, respectively. There was no ineffectiveness related to this energy contract in 2014.
Derivatives Not Designated As Hedging Instruments
Alcoa Corporation has two (three prior to October 2016) Level 3 embedded aluminum derivatives and one Level 3
embedded credit derivative that do not qualify for hedge accounting treatment and one Level 3 energy contract that
management elected to discontinue hedge accounting treatment (see above). As such, gains and losses related to the
changes in fair value of these instruments are recorded directly in earnings. In 2016, 2015, and 2014, Alcoa
Corporation recognized a loss of $17, $25, and $13, respectively, in Other expenses (income), net, of which a loss of
$15, $8, and $15, respectively, related to the embedded aluminum derivatives, a loss of $5, a loss of $17, and a gain of
$2, respectively, related to the embedded credit derivative, and, in 2016, a gain of $3 related to the energy contract.
Material Limitations
The disclosures with respect to commodity prices, interest rates, and foreign currency exchange risk do not take into
account the underlying commitments or anticipated transactions. If the underlying items were included in the analysis,
the gains or losses on the futures contracts may be offset. Actual results will be determined by a number of factors that
are not under Alcoa Corporation’s control and could vary significantly from those factors disclosed.
Alcoa Corporation is exposed to credit loss in the event of nonperformance by counterparties on the above instruments,
as well as credit or performance risk with respect to its hedged customers’ commitments. Although nonperformance is
possible, Alcoa Corporation does not anticipate nonperformance by any of these parties. Contracts are with
creditworthy counterparties and are further supported by cash, treasury bills, or irrevocable letters of credit issued by
carefully chosen banks. In addition, various master netting arrangements are in place with counterparties to facilitate
settlement of gains and losses on these contracts.
Other Financial Instruments.The carrying values and fair values of Alcoa Corporation’s other financial instruments
were as follows:
December 31,
2016 2015
Carrying
value
Fair
value
Carrying
value
Fair
value
Cash and cash equivalents $ 853 $ 853 $557 $557
Restricted cash 6 6 - -
Long-term debt due within one year 21 21 18 18
Long-term debt, less amount due within one year 1,424 1,573 207 207
The following methods were used to estimate the fair values of other financial instruments:
Cash and cash equivalents and Restricted cash.The carrying amounts approximate fair value because of the short
maturity of the instruments. The fair value amounts for Cash and cash equivalents and Restricted cash were classified
in Level 1.
Long-term debt due within one year and Long-term debt, less amount due within one year.The fair value was
based on quoted market prices for public debt and on interest rates that are currently available to Alcoa Corporation for
issuance of debt with similar terms and maturities for non-public debt. The fair value amounts for all Long-term debt
were classified in Level 2 of the fair value hierarchy.
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P. Income Taxes
The components of loss before income taxes were as follows:
2016 2015 2014
United States $(688) $(1,053) $(709)
Foreign 526 716 646
$(162) $ (337) $ (63)
Provision for income taxes consisted of the following:
2016 2015 2014
Current:
Federal*$9$3$1
Foreign 221 313 333
State and local ---
230 316 334
Deferred:
Federal*- (85) (5)
Foreign (46) 171 (45)
State and local ---
(46) 86 (50)
Total $184 $402 $284
* Includes U.S. taxes related to foreign income
A reconciliation of the U.S. federal statutory rate to Alcoa Corporation’s effective tax rate was as follows (the effective
tax rate for all periods presented was a provision on a loss):
2016 2015 2014
U.S. federal statutory rate 35.0% 35.0% 35.0%
Taxes on foreign operations 24.8 (6.7) (67.5)
Nondeductible costs related to the Separation Transaction (9.6) - -
Permanent differences on restructuring and other charges and asset disposals - - (19.4)
Equity income/loss (3.7) (2.6) (23.0)
Noncontrolling interest
(1)(7.3) (8.5) (53.5)
Statutory tax rate and law changes
(2)(0.6) (0.3) (57.0)
Tax holidays
(3)11.2 6.2 (61.8)
Changes in valuation allowances (1.9) (62.6) 3.4
Losses and credits with no tax benefit
(4)(163.2) (82.0) (243.0)
Impact of capitalization of intercompany debt - 3.3 38.1
Other 1.7 (1.1) (2.1)
Effective tax rate (113.6)% (119.3)% (450.8)%
(1)In 2014, the noncontrolling interest’s impact on Alcoa Corporation’s effective tax rate was mostly due to the
noncontrolling interest’s share of a loss on the divestiture of an ownership interest in a mining and refining joint
venture in Jamaica (see Note C).
(2)In November 2014, Spain enacted corporate tax reform that changed the corporate tax rate from 30% in 2014 to
28% in 2015 to 25% in 2016. As a result, Alcoa Corporation remeasured certain deferred tax assets related to
Spanish operations.
(3)In 2014, a tax holiday for a Brazilian entity of Alcoa Corporation became effective (see below).
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(4)Hypothetical net operating losses and tax credits determined on a separate return basis for which it is more likely
than not that a tax benefit will not be realized. The related deferred tax asset and offsetting valuation allowance
have been adjusted to Parent Company net investment and, as such, are not reflected in subsequent deferred tax
and valuation allowance tables.
The components of net deferred tax assets and liabilities were as follows:
2016 2015
December 31,
Deferred
tax
assets
Deferred
tax
liabilities
Deferred
tax
assets
Deferred
tax
liabilities
Depreciation $ 187 $499 $ 264 $ 529
Employee benefits 1,240 - 286 39
Loss provisions 313 - 302 7
Deferred income/expense 28 136 48 312
Tax loss carryforwards 1,064 - 992 -
Tax credit carryforwards 23 - 15 -
Derivatives and hedging activities - 124 - 216
Other 233 125 420 412
3,088 884 2,327 1,515
Valuation allowance (1,755) - (712) -
$ 1,333 $884 $1,615 $1,515
The following table details the expiration periods of the deferred tax assets presented above:
December 31, 2016
Expires
within
10 years
Expires
within
11-20 years
No
expiration* Other* Total
Tax loss carryforwards $ 282 $177 $ 605 $ - $ 1,064
Tax credit carryforwards 23 - - - 23
Other - - 361 1,640 2,001
Valuation allowance (272) (88) (265) (1,130) (1,755)
$ 33 $ 89 $ 701 $ 510 $ 1,333
* Deferred tax assets with no expiration may still have annual limitations on utilization. Other represents deferred tax
assets whose expiration is dependent upon the reversal of the underlying temporary difference.
The total deferred tax asset (net of valuation allowance) is supported by projections of future taxable income exclusive
of reversing temporary differences and taxable temporary differences that reverse within the carryforward period.
Valuation allowances are recorded to reduce deferred tax assets when it is more likely than not (greater than 50%) that
a tax benefit will not be realized. In evaluating the need for a valuation allowance, management considers all potential
sources of taxable income, including income available in carryback periods, future reversals of taxable temporary
differences, projections of taxable income, and income from tax planning strategies, as well as all available positive
and negative evidence. Positive evidence includes factors such as a history of profitable operations, projections of
future profitability within the carryforward period, including from tax planning strategies, and Alcoa Corporation’s
experience with similar operations. Existing favorable contracts and the ability to sell products into established markets
are additional positive evidence. Negative evidence includes items such as cumulative losses, projections of future
losses, or carryforward periods that are not long enough to allow for the utilization of a deferred tax asset based on
existing projections of income. In certain jurisdictions, deferred tax assets related to cumulative losses exist without a
valuation allowance where in management’s judgment the weight of the positive evidence more than offsets the
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negative evidence of the cumulative losses. Upon changes in facts and circumstances, management may conclude that
deferred tax assets for which no valuation allowance is currently recorded may not be realized, resulting in a future
charge to establish a valuation allowance. Existing valuation allowances are re-examined under the same standards of
positive and negative evidence. If it is determined that it is more likely than not that a deferred tax asset will be
realized, the appropriate amount of the valuation allowance, if any, is released. Deferred tax assets and liabilities are
also re-measured to reflect changes in underlying tax rates due to law changes and the granting and lapse of tax
holidays.
In 2013, Alcoa Corporation recognized a $128 discrete income tax charge for a valuation allowance on the full value of
the deferred tax assets related to a Spanish consolidated tax group. These deferred tax assets have an expiration period
ranging from 2017 (for certain credits) to an unlimited life (for operating losses). After weighing all available positive
and negative evidence, as described above, management determined that it was no longer more likely than not that
Alcoa Corporation will realize the tax benefit of these deferred tax assets. This was mainly driven by a decline in the
outlook of the former Primary Metals business (2013 realized prices were the lowest since 2009) combined with prior
year cumulative losses of the Spanish consolidated tax group. During 2014, the underlying value of the deferred tax
assets decreased due to a remeasurement as a result of the enactment of new tax rates in Spain beginning in 2016 and a
change in foreign currency exchange rates. As a result, the valuation allowance decreased by the same amount. At
December 31, 2016 and 2015, the amount of the valuation allowance was $76 and $91, respectively. This valuation
allowance was reevaluated as of December 31, 2016, and no change to the allowance was deemed necessary based on
all available evidence. The need for this valuation allowance will be assessed on a continuous basis in future periods
and, as a result, a portion or all of the allowance may be reversed based on changes in facts and circumstances.
In 2015, Alcoa Corporation recognized an additional $141 discrete income tax charge for valuation allowances on
certain deferred tax assets in Iceland and Suriname. Of this amount, an $85 valuation allowance was established on the
full value of the deferred tax assets in Suriname, which were related mostly to employee benefits and tax loss
carryforwards. These deferred tax assets have an expiration period ranging from 2017 to 2022. The remaining
$56 charge relates to a valuation allowance established on a portion of the deferred tax assets recorded in Iceland.
These deferred tax assets have an expiration period ranging from 2017 to 2023. After weighing all available positive
and negative evidence, as described above, management determined that it was no longer more likely than not that
Alcoa Corporation will realize the tax benefit of either of these deferred tax assets. This was mainly driven by a decline
in the outlook of the former Primary Metals business, combined with prior year cumulative losses and a short
expiration period. At December 31, 2016 and 2015, the amount of the combined valuation allowance remained $141.
This valuation allowance was reevaluated as of December 31, 2016, and no change to the allowance was deemed
necessary based on all available evidence. The need for this valuation allowance will be assessed on a continuous basis
in future periods and, as a result, a portion or all of the allowance may be reversed based on changes in facts and
circumstances.
In December 2011, one of Alcoa Corporation’s subsidiaries in Brazil applied for a tax holiday related to its expanded
mining and refining operations. During 2013, the application was amended and re-filed and, separately, a similar
application was filed for one of the ParentCo’s subsidiaries in Brazil that has significant operations related to Alcoa
Corporation. The deadline for the Brazilian government to deny the application was July 11, 2014. Since Alcoa
Corporation did not receive notice that its applications were denied, the tax holiday took effect automatically on
July 12, 2014. As a result, the tax rate for these entities decreased significantly (from 34% to 15.25%), resulting in
future cash tax savings over the 10-year holiday period (retroactively effective as of January 1, 2013). Additionally, a
portion of the Alcoa Corporation subsidiary’s net deferred tax asset that reverses within the holiday period was
remeasured at the new tax rate (the net deferred tax asset of the other subsidiary was not remeasured since it could still
be utilized against the subsidiary’s future earnings not subject to the tax holiday). In 2014, this remeasurement resulted
in a decrease to that entity’s net deferred tax asset and a noncash charge to earnings of $52 ($31 after noncontrolling
interest) in Alcoa Corporation’s Statement of Consolidated Operations.
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The following table details the changes in the valuation allowance:
December 31,2016 2015 2014
Balance at beginning of year $ (712) $(486) $(517)
Increase to allowance (1,072) (289) (19)
Release of allowance 16 - 7
U.S. state tax apportionment and tax rate changes - 30 15
Foreign currency translation 13 33 28
Balance at end of year $(1,755) $(712) $(486)
The cumulative amount of Alcoa Corporation’s foreign undistributed net earnings for which no deferred taxes have
been provided was approximately $790 at December 31, 2016. This amount only relates to foreign undistributed net
earnings generated prior to the Separation Date. Alcoa Corporation has a number of commitments and obligations
related to the Company’s operations in various foreign jurisdictions. As such, management has no plans to distribute
such earnings in the foreseeable future, and, therefore, has determined it is not practicable to determine the related
deferred tax liability. Alcoa Corporation is currently evaluating its local and global cash needs for future business
operations and anticipated debt facilities, which may influence future repatriation decisions.
A reconciliation of the beginning and ending amount of unrecognized tax benefits (excluding interest and penalties)
was as follows:
December 31,2016 2015 2014
Balance at beginning of year $22 $25 $ 52
Additions for tax positions of the current year 3 2 2
Additions for tax positions of prior years 1 1 1
Reductions for tax positions of prior years (2) - (1)
Settlements with tax authorities (2) (2) (28)
Expiration of the statute of limitations - - -
Foreign currency translation 1 (4) (1)
Balance at end of year $23 $22 $ 25
For all periods presented, a portion of the balance at end of year pertains to state tax liabilities, which are presented
before any offset for federal tax benefits. The effect of unrecognized tax benefits, if recorded, that would impact the
annual effective tax rate for 2016, 2015, and 2014 would be 10%, 4%, and 17%, respectively, of pretax book loss.
Alcoa Corporation does not anticipate that changes in its unrecognized tax benefits will have a material impact on the
Statement of Consolidated Operations during 2017 (see Tax in Note R for a matter for which no reserve has been
recognized).
It is Alcoa Corporation’s policy to recognize interest and penalties related to income taxes as a component of the
Provision for income taxes on the accompanying Statement of Consolidated Operations. In 2016, 2015, and 2014,
Alcoa Corporation recognized $1, $7, and $1, respectively, in interest and penalties. Due to the expiration of the statute
of limitations, settlements with tax authorities, and refunded overpayments, Alcoa Corporation also recognized interest
income of $2, $1, and $5 in 2016, 2015, and 2014, respectively. As of December 31, 2016 and 2015, the amount
accrued for the payment of interest and penalties was $6 and $7, respectively.
Q. Asset Retirement Obligations
Alcoa Corporation has recorded AROs related to legal obligations associated with the normal operation of bauxite
mines, alumina refineries, and aluminum smelters. These AROs consist primarily of costs associated with mine
reclamation, closure of bauxite residue areas, spent pot lining disposal, and landfill closure. Alcoa Corporation also
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recognizes AROs for any significant lease restoration obligation, if required by a lease agreement, and for the disposal
of regulated waste materials related to the demolition of certain power facilities.
In addition to AROs, certain CAROs related to alumina refineries, aluminum smelters, rolling mills, and energy
generation facilities have not been recorded in the Consolidated Financial Statements due to uncertainties surrounding
the ultimate settlement date. Such uncertainties exist as a result of the perpetual nature of the structures, maintenance
and upgrade programs, and other factors. At the date a reasonable estimate of the ultimate settlement date can be made
(e.g., planned demolition), Alcoa Corporation would record an ARO for the removal, treatment, transportation, storage,
and/or disposal of various regulated assets and hazardous materials such as asbestos, underground and aboveground
storage tanks, PCBs, various process residuals, solid wastes, electronic equipment waste, and various other materials. If
Alcoa Corporation was required to demolish all such structures immediately, the estimated CARO as of December 31,
2016 ranges from $3 to $29 per structure (24 structures) in today’s dollars.
The following table details the carrying value of recorded AROs by major category (of which $104 and $96 was
classified as a current liability as of December 31, 2016 and 2015, respectively):
December 31,2016 2015
Mine reclamation $199 $191
Closure of bauxite residue areas 219 165
Spent pot lining disposal 135 141
Demolition*121 103
Landfill closure 30 29
Other 46
$708 $635
* In 2016 and 2015, AROs were recorded as a result of management’s decision to permanently close and demolish
certain structures (see Note D).
The following table details the changes in the total carrying value of recorded AROs:
December 31,2016 2015
Balance at beginning of year $635 $648
Accretion expense 19 18
Payments (47) (72)
Liabilities incurred 117 96
Foreign currency translation and other (16) (55)
Balance at end of year $708 $635
R. Contingencies and Commitments
Unless specifically described to the contrary, all matters within Note R are the full responsibility of Alcoa Corporation
pursuant to the Separation and Distribution Agreement (see Note A). Additionally, the Separation and Distribution
Agreement provides for cross-indemnities between the Company and Arconic for claims subject to indemnification.
Contingencies
Litigation.On June 5, 2015, AWA and St. Croix Alumina, L.L.C. (“SCA”) filed a complaint in Delaware Chancery
Court for a declaratory judgment and injunctive relief to resolve a dispute between ParentCo and Glencore Ltd.
(“Glencore”) with respect to claimed obligations under a 1995 asset purchase agreement between ParentCo and
Glencore. The dispute arose from Glencore’s demand that ParentCo indemnify it for liabilities it may have to pay to
Lockheed Martin (“Lockheed”) related to the St. Croix alumina refinery. Lockheed had earlier filed suit against
Glencore in federal court in New York seeking indemnity for liabilities it had incurred and would incur to the U.S.
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Virgin Islands to remediate certain properties at the refinery property and claimed that Glencore was required by an
earlier, 1989 purchase agreement to indemnify it. Glencore had demanded that ParentCo indemnify and defend it in the
Lockheed case and threatened to claim against ParentCo in the New York action despite exclusive jurisdiction for
resolution of disputes under the 1995 purchase agreement being in Delaware. After Glencore conceded that it was not
seeking to add ParentCo to the New York action, AWA and SCA dismissed their complaint in the Chancery Court case
and on August 6, 2015 filed a complaint for declaratory judgment in Delaware Superior Court. AWA and SCA filed a
motion for judgment on the pleadings on September 16, 2015. Glencore answered AWA’s and SCA’s complaint and
asserted counterclaims on August 27, 2015, and on October 2, 2015 filed its own motion for judgment on the
pleadings. Argument on the parties’ motions was held by the court on December 7, 2015, and by order dated
February 8, 2016, the court granted ParentCo’s motion and denied Glencore’s motion, resulting in ParentCo not being
liable to indemnify Glencore for the Lockheed action. The decision also leaves for pretrial discovery and possible
summary judgment or trial Glencore’s claims for costs and fees it incurred in defending and settling an earlier
Superfund action brought against Glencore by the Government of the Virgin Islands. On February 17, 2016, Glencore
filed notice of its application for interlocutory appeal of the February 8, 2016 ruling. AWA and SCA filed an
opposition to that application on February 29, 2016. On March 10, 2016, the court denied Glencore’s motion for
interlocutory appeal and on the same day entered judgment on claims other than Glencore’s claims for costs and fees it
incurred in defending and settling the earlier Superfund action brought against Glencore by the Government of the
Virgin Islands. On March 29, 2016, Glencore filed a withdrawal of its notice of interlocutory appeal, and on April 6,
2016, Glencore filed an appeal of the court’s March 10, 2016 judgment to the Delaware Supreme Court, which set the
appeal for argument for November 2, 2016. On November 4, 2016, the Delaware Supreme Court affirmed the
judgment of the Delaware Superior Court granting ParentCo’s motion. Remaining in the case were Glencore’s claims
for costs and fees it incurred related to the previously described Superfund action. On March 7, 2017, Alcoa
Corporation and Glencore agreed in principle to settle these claims and expect to request the court to dismiss the case
prior to the court’s scheduled March 21, 2017 conference. The amount of the proposed settlement is not material.
Before 2002, ParentCo purchased power in Italy in the regulated energy market and received a drawback of a portion
of the price of power under a special tariff in an amount calculated in accordance with a published resolution of the
Italian Energy Authority, Energy Authority Resolution n. 204/1999 (“204/1999”). In 2001, the Energy Authority
published another resolution, which clarified that the drawback would be calculated in the same manner, and in the
same amount, in either the regulated or unregulated market. At the beginning of 2002, ParentCo left the regulated
energy market to purchase energy in the unregulated market. Subsequently, in 2004, the Energy Authority introduced
regulation no. 148/2004, which set forth a different method for calculating the special tariff that would result in a
different drawback for the regulated and unregulated markets. ParentCo challenged the new regulation in the
Administrative Court of Milan and received a favorable judgment in 2006. Following this ruling, ParentCo continued
to receive the power price drawback in accordance with the original calculation method, through 2009, when the
European Commission declared all such special tariffs to be impermissible “state aid.” In 2010, the Energy Authority
appealed the 2006 ruling to the Consiglio di Stato (final court of appeal). On December 2, 2011, the Consiglio di Stato
ruled in favor of the Energy Authority and against ParentCo, thus presenting the opportunity for the energy regulators
to seek reimbursement from ParentCo of an amount equal to the difference between the actual drawback amounts
received over the relevant time period, and the drawback as it would have been calculated in accordance with
regulation 148/2004. On February 23, 2012, ParentCo filed its appeal of the decision of the Consiglio di Stato (this
appeal was subsequently withdrawn in March 2013). On March 26, 2012, ParentCo received a letter from the agency
(Cassa Conguaglio per il Settore Eletrico (CCSE)) responsible for making and collecting payments on behalf of the
Energy Authority demanding payment in the amount of approximately $110 (€85), including interest. By letter dated
April 5, 2012, ParentCo informed CCSE that it disputes the payment demand of CCSE since (i) CCSE was not
authorized by the Consiglio di Stato decisions to seek payment of any amount, (ii) the decision of the Consiglio di
Stato has been appealed (see above), and (iii) in any event, no interest should be payable. On April 29, 2012, Law
No. 44 of 2012 (“44/2012”) came into effect, changing the method to calculate the drawback. On February 21, 2013,
ParentCo received a revised request letter from CSSE demanding ParentCo’s former subsidiary, Alcoa Trasformazioni
S.r.l. (Trasformazioni is now a subsidiary of Alcoa Corporation), make a payment in the amount of $97 (€76),
including interest, which reflects a revised calculation methodology by CCSE and represents the high end of the range
of reasonably possible loss associated with this matter of $0 to $97 (€76). ParentCo rejected that demand and formally
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challenged it through an appeal before the Administrative Court on April 5, 2013. The Administrative Court scheduled
a hearing for December 19, 2013, which was subsequently postponed until April 17, 2014, and further postponed until
June 19, 2014. On this date, the Administrative Court listened to ParentCo’s oral argument, and on September 2, 2014,
rendered its decision. The Administrative Court declared the payment request of CCSE and the Energy Authority to
ParentCo to be unsubstantiated based on the 148/2004 resolution with respect to the January 19, 2007 through
November 19, 2009 timeframe. On December 18, 2014, the CCSE and the Energy Authority appealed the
Administrative Court’s September 2, 2014 decision; however, a date for the hearing has not been scheduled. As a result
of the conclusion of the European Commission Matter on January 26, 2016 (see below), ParentCo’s management
modified its outlook with respect to a portion of the pending legal proceedings related to this matter. As such, a charge
of $37 (€34) was recorded in Restructuring and other charges for the year ended December 31, 2015 on Alcoa
Corporation’s accompanying Statement of Consolidated Operations to establish a partial reserve for this matter. At this
time, Alcoa Corporation is unable to reasonably predict the ultimate outcome for this matter.
European Commission Matter.In July 2006, the European Commission (EC) announced that it had opened an
investigation to establish whether an extension of the regulated electricity tariff granted by Italy to some energy-
intensive industries complied with European Union (EU) state aid rules. The Italian power tariff extended the tariff that
was in force until December 31, 2005 through November 19, 2009 (ParentCo had been incurring higher power costs at
its smelters in Italy subsequent to the tariff end date through the end of 2012). The extension was originally through
2010, but the date was changed by legislation adopted by the Italian Parliament effective on August 15, 2009. Prior to
expiration of the tariff in 2005, ParentCo had been operating in Italy for more than 10 years under a power supply
structure approved by the EC in 1996. That measure provided a competitive power supply to the primary aluminum
industry and was not considered state aid from the Italian Government. The EC’s announcement expressed concerns
about whether Italy’s extension of the tariff beyond 2005 was compatible with EU legislation and potentially distorted
competition in the European market of primary aluminum, where energy is an important part of the production costs.
On November 19, 2009, the EC announced a decision in this matter stating that the extension of the tariff by Italy
constituted unlawful state aid, in part, and, therefore, the Italian Government is to recover a portion of the benefit
ParentCo received since January 2006 (including interest). The amount of this recovery was to be based on a
calculation prepared by the Italian Government (see below). In late 2009, after discussions with legal counsel and
reviewing the bases on which the EC decided, including the different considerations cited in the EC decision regarding
ParentCo’s two smelters in Italy, ParentCo recorded a charge of $250 (€173), which included $20 (€14) to write off a
receivable from the Italian Government for amounts due under the now expired tariff structure and $230 (€159) to
establish a reserve. On April 19, 2010, ParentCo filed an appeal of this decision with the General Court of the EU (see
below). Prior to 2012, ParentCo was involved in other legal proceedings related to this matter that separately sought the
annulment of the EC’s July 2006 decision to open an investigation alleging that such decision did not follow the
applicable procedural rules and requested injunctive relief to suspend the effectiveness of the EC’s November 19, 2009
decision. However, the decisions by the General Court, and subsequent appeals to the European Court of Justice,
resulted in the denial of these remedies.
In June 2012, ParentCo received formal notification from the Italian Government with a calculated recovery amount of
$375 (€303); this amount was reduced by $65 (€53) for amounts owed by the Italian Government to ParentCo,
resulting in a net payment request of $310 (€250). In a notice published in the Official Journal of the European Union
on September 22, 2012, the EC announced that it had filed an action against the Italian Government on July 18, 2012 to
compel it to collect the recovery amount (on October 17, 2013, the European Court of Justice ordered Italy to so
collect). On September 27, 2012, ParentCo received a request for payment in full of the $310 (€250) by October 31,
2012. Following discussions with the Italian Government regarding the timing of such payment, ParentCo paid the
requested amount in five quarterly installments of $69 (€50) beginning in October 2012 through December 2013.
On October 16, 2014, ParentCo received notice from the General Court of the EU that its April 19, 2010 appeal of the
EC’s November 19, 2009 decision was denied. On December 27, 2014, ParentCo filed an appeal of the General Court’s
October 16, 2014 ruling to the European Court of Justice (ECJ). Following submission of the EC’s response to the
appeal, on June 10, 2015, ParentCo filed a request for an oral hearing before the ECJ; no decision on that request was
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received. On January 26, 2016, ParentCo was informed that the ECJ had dismissed ParentCo’s December 27, 2014
appeal of the General Court’s October 16, 2014 ruling. The dismissal of ParentCo’s appeal represents the conclusion of
the legal proceedings in this matter. Prior to this dismissal, ParentCo had a noncurrent asset of $100 (€91) reflecting
the excess of the total of the five payments made to the Italian Government over the reserve recorded in 2009. As a
result, this noncurrent asset, along with the $58 (€53) for amounts owed by the Italian Government to ParentCo
mentioned above plus $6 (€6) for interest previously paid, was written-off. A charge of $164 (€150) was recorded in
Restructuring and other charges for the year ended December 31, 2015 on Alcoa Corporation’s accompanying
Statement of Consolidated Operations (see Note D).
As a result of the EC’s November 19, 2009 decision, ParentCo’s management had contemplated ceasing operations at
its Italian smelters due to uneconomical power costs. In February 2010, ParentCo’s management agreed to continue to
operate its smelters in Italy for up to six months while a long-term solution to address increased power costs could be
negotiated. Over a portion of this time, a long-term solution was not able to be reached related to the Fusina smelter,
therefore, in May 2010, ParentCo and the Italian Government agreed to a temporary idling of the Fusina smelter. As of
September 30, 2010, the Fusina smelter was fully curtailed (44,000 metric-tons-per-year). For the Portovesme smelter,
ParentCo executed a new power agreement effective September 1, 2010 through December 31, 2012, replacing the
short-term, market-based power contract that was in effect since early 2010. This new agreement along with
interruptibility rights (i.e. compensation for power interruptions when grids are overloaded) granted to ParentCo for the
Portovesme smelter provided additional time to negotiate a long-term solution (the EC had previously determined that
the interruptibility rights were not considered state aid).
At the end of 2011, as part of a restructuring of ParentCo’s global smelting system, ParentCo’s management decided to
curtail operations at the Portovesme smelter during 2012 due to the uncertain prospects for viable, long-term power,
along with rising raw materials costs and falling global aluminum prices (mid-2011 to late 2011). As of December 31,
2012, the Portovesme smelter was fully curtailed (150,000 metric-tons-per-year).
In June 2013 and August 2014, ParentCo decided to permanently shut down and demolish the Fusina and Portovesme
smelters, respectively, due to persistent uneconomical conditions (see Note D).
Environmental Matters.Alcoa Corporation participates in environmental assessments and cleanups at a number of
locations. These include owned or operating facilities and adjoining properties, previously owned or operating facilities
and adjoining properties, and waste sites, including Superfund (Comprehensive Environmental Response,
Compensation and Liability Act (CERCLA)) sites.
A liability is recorded for environmental remediation when a cleanup program becomes probable and the costs can be
reasonably estimated. As assessments and cleanups proceed, the liability is adjusted based on progress made in
determining the extent of remedial actions and related costs. The liability can change substantially due to factors such as,
among others, the nature and extent of contamination, changes in remedial requirements, and technological changes.
Alcoa Corporation’s remediation reserve balance was $324 and $235 at December 31, 2016 and 2015 (of which $60
and $28 was classified as a current liability), respectively, and reflects the most probable costs to remediate identified
environmental conditions for which costs can be reasonably estimated.
In 2016, the remediation reserve was increased by $39 due to a charge of $26 related to the planned demolition of the
Suriname refinery and permanent closure of the related bauxite mines (see Note D) and a net charge of $13 associated
with a number of other sites. In 2015, the remediation reserve was increased by $107 due to a charge of $52 related to
the planned demolition of the remaining structures at the Massena East smelter location (see Note D), a charge of $29
related to the planned demolition of the Poços de Caldas smelter and the Anglesea power station (see Note D), a charge
of $12 related to the Mosjøen location (see below), a charge of $7 related to the Portovesme location (see below), and a
net charge of $7 associated with a number of other sites. Of the changes to the remediation reserve in 2016 and 2015,
$26 and $86, respectively, was recorded in Restructuring and other charges, while the remainder was recorded in Cost
of goods sold on the accompanying Statement of Consolidated Operations.
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Payments related to remediation expenses applied against the reserve were $32 and $24 in 2016 and 2015, respectively.
These amounts include expenditures currently mandated, as well as those not required by any regulatory authority or
third party. In 2016, the change in the reserve also reflects an increase for each of the following: $60 of obligations
transferred from ParentCo in connection with the Separation Transaction (see Note A) on November 1, 2016, including
Sherwin and East St. Louis described below; $17 for the reclassification of amounts included in other reserves within
Other noncurrent liabilities and deferred credits on Alcoa Corporation’s Consolidated Balance Sheet as of
December 31, 2015; and $5 due to the effects of foreign currency translation. In 2015, the change in the reserve also
reflects a decrease of $13 due to the effects of foreign currency translation.
Included in annual operating expenses are the recurring costs of managing hazardous substances and environmental
programs. These costs are estimated to be approximately 2% of cost of goods sold.
The Separation and Distribution Agreement (see Note A) includes provisions for the assignment or allocation of
environmental liabilities between Alcoa Corporation and Arconic, including certain remediation obligations associated
with environmental matters. In general, the respective parties will be responsible for the environmental matters
associated with their operations, and with the properties and other assets assigned to each. Additionally, the Separation
and Distribution Agreement lists environmental matters with a shared responsibility between the two companies with
an allocation of responsibility and the lead party responsible for management of each matter. For matters assigned to
Alcoa Corporation under the Separation and Distribution Agreement, Alcoa Corporation has agreed to indemnify
Arconic in whole or in part for environmental liabilities arising from operations prior to the Separation Date. The
following discussion provides details regarding the current status of certain significant reserves related to current or
former Alcoa Corporation sites. With the exception of the Fusina, Italy matter, Alcoa Corporation assumed full
responsibility of the matters described below.
Sherwin, TX—In connection with ParentCo’s sale of the Sherwin alumina refinery, which was required to be divested
as part of ParentCo’s Reynolds merger in 2000, ParentCo agreed to retain responsibility for the remediation of the then
existing environmental conditions, as well as a pro rata share of the final closure of the active bauxite residue waste
disposal areas (known as the Copano facility). This obligation was transferred from ParentCo to Alcoa Corporation as
part of the Separation Transaction (see Note A) on November 1, 2016. Alcoa Corporation’s share of the closure costs is
proportional to the total period of operation of the active waste disposal areas. At December 31, 2016, the reserve
balance associated with Sherwin was $30. Approximately half of the project funding is expected to be spent through
2019 with the balance dependent on the schedule to complete closure of the waste disposal areas.
Baie Comeau, Quebec, Canada—In August 2012, ParentCo presented an analysis of remediation alternatives to the
Quebec Ministry of Sustainable Development, Environment, Wildlife and Parks (MDDEP), in response to a previous
request, related to known polychlorinated biphenyls (PCBs) and polycyclic aromatic hydrocarbons (PAHs) contained
in sediments of the Anse du Moulin bay. As such, ParentCo increased the reserve for Baie Comeau by $25 in 2012 to
reflect the estimated cost of ParentCo’s recommended alternative, consisting of both dredging and capping of the
contaminated sediments. In July 2013, ParentCo submitted the Environmental Impact Assessment for the project to the
MDDEP. The MDDEP notified ParentCo that the project as it was submitted was approved and a final mistrial decree
was issued in July 2015. As a result, no further adjustment to the reserve was required in 2015. The decree provided
final approval for the project and ParentCo began work on the final project design with construction on the project
expected to begin in April 2017. At December 31, 2016 and 2015, the reserve balance associated with this matter was
$24 and $26, respectively.
Fusina and Portovesme, Italy—In 1996, ParentCo acquired the Fusina smelter and rolling operations and the
Portovesme smelter, both of which were owned by ParentCo’s former subsidiary Alcoa Trasformazioni S.r.l.
(“Trasformazioni”) (Trasformazioni is now a subsidiary of Alcoa Corporation and owns the Fusina smelter and
Portovesme smelter sites, and Fusina Rolling S.r.l., a new ParentCo subsidiary, owns the Fusina rolling operations),
from Alumix, an entity owned by the Italian Government. At the time of the acquisition, Alumix indemnified ParentCo
for pre-existing environmental contamination at the sites. In 2004, the Italian Ministry of Environment and Protection
of Land and Sea (MOE) issued orders to Trasformazioni and Alumix for the development of a clean-up plan related to
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soil contamination in excess of allowable limits under legislative decree and to institute emergency actions and pay
natural resource damages. Trasformazioni appealed the orders and filed suit against Alumix, among others, seeking
indemnification for these liabilities under the provisions of the acquisition agreement. In 2009, Ligestra S.r.l.
(“Ligestra”), Alumix’s successor, and Trasformazioni agreed to a stay of the court proceedings while investigations
were conducted and negotiations advanced towards a possible settlement.
In December 2009, Trasformazioni and Ligestra reached an initial agreement for settlement of the liabilities related to
the Fusina operations while negotiations continued related to Portovesme (see below). The agreement outlined an
allocation of payments to the MOE for emergency action and natural resource damages and the scope and costs for a
proposed soil remediation project, which was formally presented to the MOE in mid-2010. The agreement was
contingent upon final acceptance of the remediation project by the MOE. As a result of entering into this agreement,
ParentCo increased the reserve by $12 in 2009 for Fusina. Based on comments received from the MOE and local and
regional environmental authorities, Trasformazioni submitted a revised remediation plan in the first half of 2012;
however, such revisions did not require any change to the existing reserve. In October 2013, the MOE approved the
project submitted by ParentCo, resulting in no adjustment to the reserve.
In January 2014, in anticipation of ParentCo reaching a final administrative agreement with the MOE, ParentCo and Ligestra
entered into a final agreement related to Fusina for allocation of payments to the MOE for emergency action and natural
resource damages and the costs for the approved soil remediation project. The agreement resulted in Ligestra assuming 50%
to 80% of all payments and remediation costs. On February 27, 2014, ParentCo and the MOE reached a final administrative
agreement for conduct of work. The agreement includes both a soil and groundwater remediation project estimated to cost
$33 (€24) and requires payments of $25 (€18) to the MOE for emergency action and natural resource damages. Based on the
final agreement with Ligestra, ParentCo’s share of all costs and payments was $17 (€12), of which $9 (€6) related to the
damages will be paid annually over a 10-year period, which began in April 2014, and was previously fully reserved. The soil
remediation project will begin once authorization to dispose of excavated waste into a third-party landfill is received from the
MOE, which is expected at some point in the remainder of 2017. The responsibility for the execution of groundwater
remediation project/emergency containment has been transferred to the MOE in accordance with the February 2014
settlement agreement and remediation is slated to begin in late 2017 or in 2018.
Effective with the Separation Transaction (see Note A), Arconic retained the portion of this obligation related to the
Fusina rolling operations. Specifically, under the Separation and Distribution Agreement, Trasformazioni, and with it
the Fusina properties, were assigned to Alcoa Corporation. Fusina Rolling S.r.l., entered into a lease agreement for the
portion of property that included the rolling operation. Pursuant to the Separation and Distribution Agreement, the
liabilities at Fusina described above were allocated between Alcoa Corporation (Trasformazioni) and Arconic (Fusina
Rolling S.r.l.). Arconic will pay $7 (€7) for the portion of remediation expenses associated with the section of property
that includes the rolling operation.
Separately, in 2009, due to additional information derived from the site investigations conducted at Portovesme,
ParentCo increased the reserve by $3. In November 2011, Trasformazioni and Ligestra reached an agreement for
settlement of the liabilities related to Portovesme, similar to the one for Fusina. A proposed soil remediation project for
Portovesme was formally presented to the MOE in June 2012. Neither the agreement with Ligestra nor the proposal to
the MOE resulted in a change to the reserve for Portovesme. In November 2013, the MOE rejected the proposed soil
remediation project and requested a revised project be submitted. In May 2014, Trasformazioni and Ligestra submitted
a revised soil remediation project that addressed certain stakeholders’ concerns. ParentCo increased the reserve by $3
in 2014 to reflect the estimated higher costs associated with the revised soil remediation project, as well as current
operating and maintenance costs of the Portovesme site.
In October 2014, the MOE required a further revised project be submitted to reflect the removal of a larger volume of
contaminated soil than what had been proposed, as well as design changes for the cap related to the remaining
contaminated soil left in place and the expansion of an emergency containment groundwater pump and treatment
system that was previously installed. Trasformazioni and Ligestra submitted the further revised soil remediation project
in February 2015. As a result, ParentCo increased the reserve by $7 in March 2015 to reflect the increase in the
estimated costs of the project. In October 2015, ParentCo received a final ministerial decree approving the February
2015 revised soil remediation project. Work on the soil remediation project commenced in mid-2016 and is expected to
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be completed in 2019. After further discussions with the MOE regarding the groundwater remediation project, Alcoa
Corporation and Ligestra are working to find a common remediation solution. The ultimate outcome of this matter may
result in a change to the existing reserve for Portovesme.
Mosjøen, Norway—In September 2012, ParentCo presented an analysis of remediation alternatives to the Norwegian
Environmental Agency (NEA) (formerly the Norwegian Climate and Pollution Agency, or “Klif”), in response to a
previous request, related to known PAHs in the sediments located in the harbor and extending out into the fjord. As
such, ParentCo increased the reserve for Mosjøen by $20 in 2012 to reflect the estimated cost of the baseline
alternative for dredging of the contaminated sediments. A proposed project reflecting this alternative was formally
presented to the NEA in June 2014, and was resubmitted in late 2014 to reflect changes by the NEA. The revised
proposal did not result in a change to the reserve for Mosjøen.
In April 2015, the NEA notified ParentCo that the revised project was approved and required submission of the final
project design before issuing a final order. ParentCo completed and submitted the final project design, which identified
a need to stabilize the related wharf structure to allow for the sediment dredging in the harbor. As a result, ParentCo
increased the reserve for Mosjøen by $11 in June 2015 to reflect the estimated cost of the wharf stabilization. Also in
June 2015, the NEA issued a final order approving the project as well as the final project design. In September 2015,
ParentCo increased the reserve by $1 to reflect the potential need (based on prior experience with similar projects) to
perform additional dredging if the results of sampling, which is required by the order, don’t achieve the required
cleanup levels. Project construction commenced in early 2016 and is expected to be completed by the end of 2017. At
December 31, 2016 and 2015, the reserve balance associated with this matter was $8 and $20, respectively.
East St. Louis, IL—ParentCo had an ongoing remediation project related to an area used for the disposal of bauxite
residue from former alumina refining operations. The project, which was selected by the EPA in a Record of Decision
(ROD) issued in July 2012, is aimed at implementing a soil cover over the affected area. On November 1, 2013, the
U.S. Department of Justice lodged a consent decree on behalf of the U.S. Environmental Protection Agency (EPA) for
ParentCo to conduct the work outlined in the ROD. This consent decree was entered as final in February 2014 by the
U.S. Department of Justice. As a result, ParentCo began construction in March 2014; the fieldwork on this project was
completed by the end of June 2016. The completion report was approved by the EPA in September 2016 and this
matter has now transitioned into a long-term (approximately 30 years) inspection, maintenance, and monitoring
program. This obligation was transferred from ParentCo to Alcoa Corporation as part of the Separation Transaction
(see Note A) on November 1, 2016. At December 31, 2016, the reserve balance associated with this matter was $4.
Tax.In September 2010, following a corporate income tax audit covering the 2003 through 2005 tax years, an
assessment was received as a result of Spain’s tax authorities disallowing certain interest deductions claimed by a
Spanish consolidated tax group owned by ParentCo. An appeal of this assessment in Spain’s Central Tax
Administrative Court by ParentCo was denied in October 2013. In December 2013, ParentCo filed an appeal of the
assessment in Spain’s National Court.
Additionally, following a corporate income tax audit of the same Spanish tax group for the 2006 through 2009 tax
years, Spain’s tax authorities issued an assessment in July 2013 similarly disallowing certain interest deductions. In
August 2013, ParentCo filed an appeal of this second assessment in Spain’s Central Tax Administrative Court, which
was denied in January 2015. ParentCo filed an appeal of this second assessment in Spain’s National Court in March
2015.
At December 31, 2016, the combined assessments, including interest, total $258 (€246). On January 16, 2017, Spain’s
National Court issued a decision in favor of the Company related to the assessment received in September 2010. On
March 6, 2017, the Company was notified that Spain’s tax authorities did not file an appeal, for which the deadline has
passed. As a result, the assessment related to the 2003 through 2005 tax years is null and void. Spain’s National Court
has not yet rendered a decision related to the assessment received in July 2013 for the 2006 through 2009 tax years.
The amount of this assessment on a standalone basis, including interest, was $136 (€130) as of December 31, 2016.
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The Company believes it has meritorious arguments to support its tax position and intends to vigorously litigate the
remaining assessment through Spain’s court system. However, in the event the Company is unsuccessful, a portion of
the remaining assessment may be offset with existing net operating losses available to the Spanish consolidated tax
group, which would be shared between the Company and Arconic as provided for in the Tax Matters Agreement
related to the Separation Transaction. Additionally, it is possible that the Company may receive similar assessments for
tax years subsequent to 2009. Despite the favorable decision received on the first assessment, at this time, the Company
is unable to reasonably predict the ultimate outcome for this matter.
In March 2013, AWAB was notified by the Brazilian Federal Revenue Office (RFB) that approximately $110 (R$220)
of value added tax credits previously claimed are being disallowed and a penalty of 50% assessed. Of this amount,
AWAB received $41 (R$82) in cash in May 2012. The value added tax credits were claimed by AWAB for both fixed
assets and export sales related to the Juruti bauxite mine and São Luís refinery expansion. The RFB has disallowed
credits they allege belong to the consortium in which AWAB owns an interest and should not have been claimed by
AWAB. Credits have also been disallowed as a result of challenges to apportionment methods used, questions about
the use of the credits, and an alleged lack of documented proof. AWAB presented defense of its claim to the RFB on
April 8, 2013. If AWAB is successful in this administrative process, the RFB would have no further recourse. If
unsuccessful in this process, AWAB has the option to litigate at a judicial level. Separately from the AWAB’s
administrative appeal, in June 2015, new tax law was enacted repealing the provisions in the tax code that were the
basis for the RFB assessing a 50% penalty in this matter. As such, the estimated range of reasonably possible loss is $0
to $32 (R$103), whereby the maximum end of this range represents the portion of the disallowed credits applicable to
the export sales and excludes the 50% penalty. Additionally, the estimated range of disallowed credits related to
AWAB’s fixed assets is $0 to $36 (R$117), which would increase the net carrying value of AWAB’s fixed assets if
ultimately disallowed. It is Alcoa Corporation’s management’s opinion that the allegations have no basis; however, at
this time, management is unable to reasonably predict the ultimate outcome for this matter.
Between 2000 and 2002, Alumínio sold approximately 2,000 metric tons of metal per month from its Poços de Caldas
facility, located in the State of Minas Gerais (the “State”), to Alfio, a customer also located in the State. Sales in the
State were exempted from value-added tax (VAT) requirements. Alfio subsequently sold metal to customers outside of
the State, but did not pay the required VAT on those transactions. In July 2002, Alumínio received an assessment from
State auditors on the theory that Alumínio should be jointly and severally liable with Alfio for the unpaid VAT. In June
2003, the administrative tribunal found Alumínio liable, and Alumínio filed a judicial case in the State in February
2004 contesting the finding. In May 2005, the Court of First Instance found Alumínio solely liable, and a panel of a
State appeals court confirmed this finding in April 2006. Alumínio filed a special appeal to the Superior Tribunal of
Justice (STJ) in Brasilia (the federal capital of Brazil) later in 2006. In 2011, the STJ (through one of its judges)
reversed the judgment of the lower courts, finding that Alumínio should neither be solely nor jointly and severally
liable with Alfio for the VAT, which ruling was then appealed by the State. In August 2012, the STJ agreed to have the
case reheard before a five-judge panel. On February 21, 2017, the lead judge of the STJ issued a ruling confirming that
Alumínio should be held liable in this matter. Alumínio is in the process of filing an appeal to have its case reheard
before the five-judge panel as originally agreed to by the STJ in August 2012. At December 31, 2016, the assessment
totaled $43 (R$142), including penalties and interest. While Alcoa Corporation believes it has meritorious defenses, the
Company is unable to reasonably predict the ultimate outcome for this matter.
Other.In connection with ParentCo’s sale in 2001 of Reynolds Metals Company’s (“Reynolds,” a subsidiary of Alcoa
Corporation), alumina refinery in Gregory, Texas, Reynolds assigned an Energy Services Agreement (“ESA”) with Gregory
Power Partners (“Gregory Power”) for purchase of steam and electricity by the refinery. On January 11, 2016, Sherwin
Alumina Company, LLC (“Sherwin”), the current owner of the refinery, and one of its affiliate entities, filed bankruptcy
petitions in Corpus Christi, Texas for reorganization under Chapter 11 of the Bankruptcy Code. On January 26, 2016,
Gregory Power delivered notice to Reynolds that Sherwin’s bankruptcy filing constitutes a breach of the ESA; on January 29,
2016, Reynolds responded that the filing does not constitute a breach. Sherwin informed the bankruptcy court that it intends
to cease operations because it is not able to continue its bauxite supply agreement, and, thereafter, Gregory Power filed a
complaint in the bankruptcy case against Reynolds alleging breach of the ESA. This matter is neither estimable nor probable;
therefore, at this time, Alcoa Corporation is unable to reasonably predict the ultimate outcome.
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On October 4, 2016, the state of Texas filed suit against Sherwin in the bankruptcy proceeding seeking to hold Sherwin
responsible for remediation of alleged environmental conditions at the facility. On October 11, 2016, Sherwin filed a
similar suit against Reynolds in the case. On November 10, 2016, Reynolds filed motions to dismiss the Gregory
Power complaint and to withdraw the case from bankruptcy court. On November 23, 2016, the bankruptcy court
approved Sherwin’s plans for cessation of its operations. On February 16, 2017, Sherwin filed a bankruptcy Chapter 11
Plan and on February 17, 2017 the court approved that Plan. As provided in the Plan, Sherwin, including certain
affiliated companies, and Reynolds are negotiating a settlement to allocate among them ownership of and responsibility
for certain areas of the refinery. A definitive agreement is anticipated prior to April 30, 2017 and would resolve
outstanding claims made by Sherwin against Reynolds.
General.In addition to the matters discussed above, various other lawsuits, claims, and proceedings have been or may
be instituted or asserted against Alcoa Corporation, including those pertaining to environmental, product liability,
safety and health, and tax matters. While the amounts claimed in these other matters may be substantial, the ultimate
liability cannot now be determined because of the considerable uncertainties that exist. Therefore, it is possible that the
Company’s liquidity or results of operations in a particular period could be materially affected by one or more of these
other matters. However, based on facts currently available, management believes that the disposition of these other
matters that are pending or asserted will not have a material adverse effect, individually or in the aggregate, on the
financial position of the Company.
Commitments
Purchase Obligations.Alcoa Corporation is party to unconditional purchase obligations for energy that expire
between 2028 and 2037. Commitments related to these contracts total $169 in 2017, $223 in 2018, $231 in 2019, $237
in 2020, $245 in 2021, and $3,286 thereafter. Expenditures under these contracts totaled $181 in 2016, $125 in 2015,
and $172 in 2014. Additionally, Alcoa Corporation has entered into other purchase commitments for energy, raw
materials, and other goods and services, which total $1,934 in 2017, $1,560 in 2018, $1,528 in 2019, $1,309 in 2020,
$1,237 in 2021, and $8,961 thereafter.
On April 8, 2015, AofA secured a new 12-year gas supply agreement to power its three alumina refineries in Western
Australia beginning in July 2020. This agreement was conditional on the completion of a third-party acquisition of the
related energy assets from the then-current owner, which occurred in June 2015. The terms of the gas supply agreement
required AofA to make a prepayment of $500 in two installments. The first installment of $300 was made at the time of
the completion of the third-party acquisition in June 2015 and the second installment of $200 was made in April 2016.
Both of these amounts were included in (Increase) in noncurrent assets on the accompanying Statement of
Consolidated Cash Flows in the respective periods. At December 31, 2016 and 2015, Alcoa Corporation has an asset of
$471 (A$654) and $288 (A$395), respectively, representing the respective prepayments made under this agreement,
which was included in Other noncurrent assets (see Note S) on the accompanying Consolidated Balance Sheet.
Operating Leases.Certain land and buildings, alumina refinery process control technology, plant equipment, vehicles,
and computer equipment are under operating lease agreements. Total expense for all leases was $90 in 2016, $98 in
2015, and $115 in 2014. Under long-term operating leases, minimum annual rentals are $98 in 2017, $78 in 2018, $62
in 2019, $47 in 2020, $39 in 2021, and $35 thereafter.
Guarantees of Third Parties.At December 31, 2016, Alcoa Corporation has maximum potential future payments for
guarantees issued on behalf of a third party of $354. These guarantees expire at various times between 2017 and 2024
and relate to project financing for the aluminum complex in Saudi Arabia (see Note H).
Bank Guarantees and Letters of Credit.Alcoa Corporation has outstanding bank guarantees and letters of credit
related to energy contracts, environmental obligations, legal and tax matters, outstanding debt, leasing obligations,
workers compensation, and customs duties, among others. The total amount committed under these instruments, which
automatically renew or expire at various dates between 2017 and 2021, was $444 at December 31, 2016. Additionally,
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Arconic has outstanding bank guarantees and letters of credit related to Alcoa Corporation in the amount of $115 at
December 31, 2016. In the event Arconic would be required to perform under any of these instruments, Arconic would
be indemnified by Alcoa Corporation in accordance with the Separation and Distribution Agreement. Likewise, Alcoa
Corporation has outstanding bank guarantees and letters of credit related to Arconic in the amount of $26 at
December 31, 2016. In the event Alcoa Corporation would be required to perform under any of these instruments,
Alcoa Corporation would be indemnified by Arconic in accordance with the Separation and Distribution Agreement.
Surety Bonds.Alcoa Corporation has outstanding surety bonds primarily related to tax matters, contract performance,
workers compensation, environmental-related matters, and customs duties. The total amount committed under these
bonds, which automatically renew or expire at various dates, mostly in 2017, was $159 at December 31, 2016.
Additionally, Arconic has outstanding surety bonds related to Alcoa Corporation in the amount of $22 at December 31,
2016. In the event Arconic would be required to perform under any of these instruments, Arconic would be
indemnified by Alcoa Corporation in accordance with the Separation and Distribution Agreement.
S. Other Financial Information
Interest Cost Components
2016 2015 2014
Amount charged to expense $243 $270 $309
Amount capitalized 23 30 34
$266 $300 $343
Other (Income) Expenses, Net
2016 2015 2014
Equity loss $ 70 $ 89 $ 94
Foreign currency losses (gains), net 8 (39) (16)
Net gain from asset sales (164) (32) (34)
Net loss on mark-to-market derivative contracts (O) 9 26 13
Other, net (12) (2) 1
$ (89) $ 42 $ 58
In 2016, Net gain from asset sales included a $118 gain related to the sale of wharf property near the Intalco,
Washington smelter and a $27 gain related to the sale of an equity interest in a natural gas pipeline in Australia (see
Note H). In 2015, Net gain from asset sales included a $29 gain related to the sale of land around the Lake Charles,
Louisiana anode facility. In 2014, Net gain from asset sales included a $28 gain related to the sale of a mining interest
in Suriname.
Other Noncurrent Assets
December 31,2016 2015
Gas supply prepayment (R) $ 471 $ 288
Value-added tax receivable 287 233
Prepaid gas transmission contract (H) 270 268
Goodwill (K)155 152
Intangibles, net (K)135 53
Deferred mining costs, net* 127 203
Prepaid pension benefit (N)43 35
Other 180 167
$1,668 $1,399
* As of December 31, 2016, this amount reflects an asset impairment of $72 (see Note D).
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Other Noncurrent Liabilities and Deferred Credits
December 31,2016 2015
Fair value of derivative contracts (O) $234 $189
Accrued compensation and retirement costs 122 92
Deferred alumina sales revenue 76 84
Liability related to the resolution of a legal matter 74 148
Other 98 85
$604 $598
* In early 2014, ParentCo and one of Alcoa’s Corporation’s current subsidiaries, AWA, resolved violations of certain
provisions of the Foreign Corrupt Practices Act of 1977 with the U.S. Department of Justice and U.S. Securities and
Exchange Commission. Under the resolution, ParentCo and AWA agreed to pay a combined $384 over a four-year
timeframe. Prior to the Separation Transaction, ParentCo and AWA paid $236 of the total amount. As part of the
Separation and Distribution Agreement, Alcoa Corporation assumed ParentCo’s portion of the $148 remaining
obligation. The $148 is to be paid in equal installments of $74 in each of January 2017 (paid on January 9th) and
January 2018.
Cash Flow Information
Cash paid for interest and income taxes was as follows:
2016 2015 2014
Interest, net of amount capitalized $226 $270 $309
Income taxes, net of amount refunded $265 265 184
Noncash Financing and Investing Activities.In September 2016, ANHBV issued $1,250 in new senior notes (see
Note L) in preparation for the Separation Transaction (see Note A). The net proceeds of $1,228 from the debt issuance
were required to be placed in escrow contingent on completion of the Separation Transaction. As a result, the $1,228 of
escrowed cash was recorded as restricted cash. The issuance of the new senior notes and the increase in restricted cash
both in the amount of $1,228 were not reflected in the accompanying Statement of Consolidated Cash Flows as these
represent noncash financing and investing activities, respectively. The subsequent release of the $1,228 from escrow
occurred on October 31, 2016. This decrease in restricted cash was reflected in the accompanying Statement of
Consolidated Cash Flows as a cash inflow in the Net change in restricted cash line item.
T. Subsequent Events
Management evaluated all activity of Alcoa Corporation and concluded that no subsequent events have occurred that
would require recognition in the Consolidated Financial Statements or disclosure in the Notes to the Consolidated
Financial Statements, except as described below.
On February 1, 2017, the sale of Yadkin closed (see Note C) and Alcoa Corporation received $241 in net proceeds, of
which $238 was remitted to Arconic (an additional $5 is expected to be received from the buyer and remitted to
Arconic at a later date as a post-closing adjustment) as part of the Separation and Distribution Agreement (see Note A).
In the first quarter of 2017, Alcoa Corporation will recognize a pretax gain of approximately $120.
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Supplemental Financial Information (unaudited)
Quarterly Data
(in millions, except per-share amounts)
First(1)Second(1)Third(1)Fourth(2)Year
2016
Sales $2,129 $2,323 $2,329 $2,537 $ 9,318
Net (loss) income $ (215) $ (12) $ 10 $ (129) $ (346)
Net loss attributable to Alcoa Corporation $ (210) $ (55) $ (10) $ (125) $ (400)
Earnings per share attributable to Alcoa Corporation common
shareholders(3):
Basic $(1.16) $(0.29) $(0.06) $(0.68) $ (2.19)
Diluted $(1.16) $(0.29) $(0.06) $(0.68) $ (2.19)
2015
Sales $3,105 $2,964 $2,679 $2,451 $11,199
Net income (loss) $ 226 $ (12) $ (63) $ (890) $ (739)
Net income (loss) attributable to Alcoa Corporation $ 166 $ (79) $ (124) $ (826) $ (863)
Earnings per share attributable to Alcoa Corporation common
shareholders(3):
Basic $ 0.91 $(0.43) $(0.68) $(4.52) $ (4.73)
Diluted $ 0.91 $(0.43) $(0.68) $(4.52) $ (4.73)
(1)In preparing the Combined Financial Statements for the nine months ended September 30, 2016 and 2015, management
discovered that the amounts for Research and development expenses previously reported for the six months ended
June 30, 2016 and 2015 included an immaterial error due to an over-allocation of such expenses of $10 and $18,
respectively. The amounts for Research and development expenses in the accompanying Statement of Consolidated
Operations for the years ended December 31, 2016 and 2015 are correctly stated.
Additionally, in preparing the Consolidated Financial Statements for the year ended December 31, 2016, management
discovered that the amounts for Cost of goods sold previously reported for the three months ended March 31, 2016, six
months ended June 30, 2016, and nine months ended September 30, 2016 included an immaterial error due to an under-
allocation of LIFO expense of $7, $10, and $14, respectively. The amount for Cost of goods sold in the accompanying
Statement of Consolidated Operations for the year ended December 31, 2016 is correctly stated.
The Quarterly Data above has been revised to correct the periods impacted by these two immaterial errors. Additionally,
financial information for the referenced prior periods not presented herein will be revised, as applicable, in future filings.
(2)In the fourth quarter of 2016, Alcoa Corporation recorded restructuring and other charges of $209 (pretax), which were
primarily related to the closure of the Suriname refinery and related bauxite mines and the impairment of an interest in a
gas exploration field in Australia (see Note D). In the fourth quarter of 2015, Alcoa Corporation recorded restructuring
and other charges of $686 (pretax), which were primarily related to closures and/or curtailments of a number of smelters
and refineries (see Note D) and a charge for legal matters in Italy (see Note R).
(3)Per share amounts are calculated independently for each period presented; therefore, the sum of the quarterly per share
amounts may not equal the per share amounts for the year.
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