# Hazardous Materials: Transportation of Lithium Batteries

- **operation:** document
- **citation:** 75 FR 1302
- **title:** Hazardous Materials: Transportation of Lithium Batteries
- **source type:** rulemaking
- **agency:** Pipeline and Hazardous Materials Safety Administration
- **status:** proposed
- **official:** true
- **published on:** 2010-01-11
- **effective on:** Not available
- **summary:** PHMSA, in consultation with the Federal Aviation Administration (FAA), is proposing to amend requirements in the Hazardous Materials Regulations (HMR) on the transportation of lithium cells and batteries, including lithium cells and batteries packed with or contained in equipment. The proposed changes are intended to enhance safety by ensuring that all lithium batteries are designed to withstand normal transportation conditions. This would include provisions to ensure all lithium batteries are packaged to reduce the possibility of damage that could lead to a catastrophic incident, and minimize the consequences of an incident. In addition, lithium batteries would be accompanied by hazard communication that ensures appropriate and careful handling by air carrier personnel, including the flight crew, and informs both transport workers and emergency response personnel of actions to be taken in an emergency. These proposals are largely consistent with changes made to the United Nations Recommendations on the Transport of Dangerous Goods (UN Recommendations) and the International Civil Aviation Organization Technical Instructions on the Safe Transport of Dangerous Goods by Air (ICAO Technical Instructions) and respond to recommendations issued by the National Transportation Safety Board (NTSB).
- **machine formats:** - **json:** https://regulus.evalyn.ai/document/federal-register-2010-281.json
- **markdown:** https://regulus.evalyn.ai/document/federal-register-2010-281.md
- **app url:** https://regulus.evalyn.ai/document/federal-register-2010-281
- **source url:** https://www.federalregister.gov/documents/2010/01/11/2010-281/hazardous-materials-transportation-of-lithium-batteries
**body:**

Federal Register, Volume 75 Issue 6 (Monday, January 11, 2010) [Federal Register Volume 75, Number 6 (Monday, January 11, 2010)] [Proposed Rules] [Pages 1302-1324] From the Federal Register Online via the Government Publishing Office [ www.gpo.gov ] [FR Doc No: 2010-281] ======================================================================= ----------------------------------------------------------------------- DEPARTMENT OF TRANSPORTATION Pipeline and Hazardous Materials Safety Administration 49 CFR Parts 172, 173, 175 [Docket No. PHMSA-2009-0095 (HM-224F)] RIN 2137-AE44 Hazardous Materials: Transportation of Lithium Batteries AGENCY: Pipeline and Hazardous Materials Safety Administration (PHMSA), DOT. ACTION: Notice of proposed rulemaking. ----------------------------------------------------------------------- SUMMARY: PHMSA, in consultation with the Federal Aviation Administration (FAA), is proposing to amend requirements in the Hazardous Materials Regulations (HMR) on the transportation of lithium cells and batteries, including lithium cells and batteries packed with or contained in equipment. The proposed changes are intended to enhance safety by ensuring that all lithium batteries are designed to withstand normal transportation conditions. This would include provisions to ensure all lithium batteries are packaged to reduce the possibility of damage that could lead to a catastrophic incident, and minimize the consequences of an incident. In addition, lithium batteries would be accompanied by hazard communication that ensures appropriate and careful handling by air carrier personnel, including the flight crew, and informs both transport workers and emergency response personnel of actions to be taken in an emergency. These proposals are largely consistent with changes made to the United Nations Recommendations on the Transport of Dangerous Goods (UN Recommendations) and the International Civil Aviation Organization Technical Instructions on the Safe Transport of Dangerous Goods by Air (ICAO Technical Instructions) and respond to recommendations issued by the National Transportation Safety Board (NTSB). DATES: Comments must be received by March 12, 2010. We are proposing a mandatory compliance date of 75 days after the date of publication of a final rule in the Federal Register. In this NPRM, we solicit comments from interested persons regarding the feasibility of the proposed compliance date. ADDRESSES: You may submit comments by any of the following methods: [[Page 1303]] Federal Rulemaking Portal: http://www.regulations.gov . Follow the on-line instructions for submitting comments. Fax: 1-202-493-2251. Mail: Docket Management System; U.S. Department of Transportation, Dockets Operations, M-30, Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001. Hand Delivery: To U.S. Department of Transportation, Dockets Operations, M-30, Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590-0001 between 9 a.m. and 5 p.m. Monday through Friday, except Federal holidays. Instructions: Include the agency name and docket number PHMSA-2009- 0095 (HM-224F) or RIN 2137-AE44 for this rulemaking at the beginning of your comment. Note that all comments received will be posted without change to http://www.regulations.gov including any personal information provided. If sent by mail, comments must be submitted in duplicate. Persons wishing to receive confirmation of receipt of their comments must include a self-addressed stamped postcard. Privacy Act: Anyone is able to search the electronic form of any written communications and comments received into any of our dockets by the name of the individual submitting the document (or signing the document, if submitted on behalf of an association, business, labor union, etc.). You may review DOT's complete Privacy Act Statement in the Federal Register published on April 11, 2000 (65 FR 19477), or you may visit http://www.regulations.gov . Docket: You may view the public docket through the Internet at http://www.regulations.gov or in person at the Docket Operations office at the above address (See ADDRESSES). FOR FURTHER INFORMATION CONTACT: Charles E. Betts or Kevin A. Leary, Office of Hazardous Materials Standards, Pipeline and Hazardous Materials Safety Administration, telephone (202) 366-8553, or Janet McLaughlin, International & Outreach Division, Federal Aviation Administration, telephone 202-385-4897. SUPPLEMENTARY INFORMATION: Contents I. Background A. The Safety Problem B. Overview of Current Regulations C. Ongoing Efforts To Evaluate Lithium Battery Risk II. Discussion of Proposed Regulatory Changes A. Summary of Proposals in This NPRM B. Evidence Preservation C. New Shipping Names D. Watt Hours Versus Equivalent Lithium Content E. Design Type Testing F. Elimination of Exceptions for Small Lithium Batteries G. Packaging and Stowage H. Consolidation of Lithium Battery Regulations I. Ongoing Safety Initiatives J. Compliance Date III. Regulatory Analyses and Notices A. Statutory/Legal Authority for This Rulemaking B. Executive Order 12866 and DOT Regulatory Policies and Procedures C. Executive Order 13132 D. Executive Order 13175 E. Regulatory Flexibility Act, Executive Order 13272, and DOT Procedures and Policies F. Paperwork Reduction Act G. Regulation Identifier Number (RIN) H. Unfunded Mandates Reform Act I. Environmental Assessment J. Privacy Act K. International Trade Analysis I. Background A. The Safety Problem Lithium batteries are hazardous in transportation because they present both chemical (e.g., flammable electrolytes) and electrical hazards. If not safely packaged and handled, lithium batteries can present a significant risk in transportation. Batteries which are misused, mishandled, improperly packaged, improperly stored, overcharged, or defective can overheat and ignite and, once ignited, fires can be especially difficult to extinguish. Overheating has the potential to create a thermal runaway, a chain reaction leading to self-heating and release of the battery's stored energy. In general, the risks posed by all batteries are a function of battery size and chemistry. The high energy density (i.e., high energy to weight ratio) of lithium batteries increases the consequences of a short circuit or fire posing a greater risk in transportation. Lithium batteries fall into one of two basic categories, lithium metal, including lithium alloy (also known as primary lithium batteries), and lithium ion, including lithium ion polymer (also known as secondary lithium batteries). As the name indicates, lithium metal batteries contain a small amount of metallic lithium or a lithium alloy. Batteries of this type are mostly non-rechargeable and these cells and batteries are often used in medical devices, computer memory and as replaceable batteries (AA and AAA size) suitable for electronic devices. The lithium content in these cells and batteries ranges from a fraction of a gram to a few grams and typical geometries include coin cells, cylindrical, and rectangular. Conversely, lithium ion cells and batteries contain a lithium compound (e.g., lithium cobalt dioxide, lithium iron phosphate) and they are generally rechargeable. Lithium ion batteries are mostly found in portable computers, mobile phones and power tools. Common configurations are cylindrical and rectangular. The size of a lithium ion battery is currently measured by equivalent lithium content. Equivalent lithium content is described in greater detail in Part II, Section C ``Watt Hours versus Equivalent Lithium Content.'' Once used primarily in industrial and military applications, lithium batteries have become commonplace in consumer electronic devices because they have a much higher energy density compared to their predecessors (e.g., alkaline, nickel cadmium, and nickel metal hydride batteries). They are now found in a variety of popular consumer items, including cameras, notebook computers, and mobile telephones. The numbers, types, and sizes of lithium batteries moving in transportation have grown steadily in recent years with the increasing popularity of these and other portable devices and a corresponding proliferation of battery designs, manufacturers, and applications. An estimated 3.3 billion lithium cells and batteries were transported worldwide in 2008 by all modes of transportation. On aircraft, lithium batteries are transported in shipments of batteries by themselves and they are also packed with or contained in battery powered equipment. Lithium batteries are also carried on board aircraft by passengers in portable electronic equipment and as spares; however these are not addressed in this rulemaking. As the demand for lithium batteries increases, so do the risks associated with their transportation, especially on board aircraft. The risk of transporting lithium batteries on-board aircraft increases with the increase in the number of batteries transported by air, given the assumption that the proportion of the number of correctly packaged shipments to the total number of shipments remains constant. In other words, an increase in the number of shipments will result in an increase in the number of incidents even if the incident rate remains the same since the number of incidents is a product of the incident rate and the total number of batteries transported. Moreover, increasing the proportion of flights that transport only one lithium battery shipment introduces a risk where previously there was none. The risk of [[Page 1304]] multiple shipments on one aircraft increases the probability of an event within individual shipments, and also introduces the possibility of one defective shipment influencing other, properly packaged shipments on the same aircraft. The increasing manifestation of these risks, inside and outside of transportation, drives the need for stricter safety standards. Since 1991, PHMSA and the FAA have identified over 40 air transport-related incidents and numerous additional non-transport incidents involving lithium batteries and devices powered by lithium batteries. These incidents occurred, variously, aboard passenger aircraft and cargo aircraft, prior to loading batteries aboard an aircraft, and after batteries were transported by air. Twenty-one of these 44 incidents involved a passenger aircraft. These incidents occurred in the cabin of the airplane, in a passenger's checked baggage, in the cargo area of the airplane or in the airport prior to boarding an aircraft. The incident data suggest overheating or damage to the device occurred immediately prior to the first indications of an incident. The remaining incidents involved lithium batteries transported aboard cargo aircraft. Many of these incidents were attributed to external short circuiting and several packages involved in the incidents were not subject to regulatory requirements for display of hazard communication markings or labels. It is important to note that while each single incident may appear relatively benign and while the overall incident numbers may appear small when compared to the total number of lithium batteries transported by aircraft each year, the incidents illustrate the short circuit and fire risks posed by lithium batteries and the potential for a serious incident that could result if the risks as not addressed through transportation safety controls. The following table shows a breakdown of these incidents: ---------------------------------------------------------------------------------------------------------------- Passenger aircraft -------------------------- Cargo on Cargo Checked passenger aircraft Grand total Carry-on baggage aircraft ---------------------------------------------------------------------------------------------------------------- Lithium Batteries.............................. 16 1 4 23 44 ---------------------------------------------------------------------------------------------------------------- A list of aviation incidents involving batteries reported to the FAA since 1991 is available through the following URL: http://www.faa.gov/about/office_org/headquarters_offices/ash/ash_programs/hazmat/aircarrier_info/ . Besides these incidents involving air transportation of lithium batteries, there have been several recalls of lithium batteries used in notebook computers and other consumer commodities. The Consumer Product Safety Commission (CPSC) found that these batteries could spontaneously overheat and cause a fire, because of a manufacturing defect or when the battery is struck forcefully on the corner (e.g., a direct fall to the ground). In addition to incidents definitely attributed to lithium batteries, the NTSB investigated a February 7, 2006 incident at the Philadelphia International Airport in which a fire--suspected to have been caused by lithium batteries--destroyed a United Parcel Service cargo aircraft and most of its cargo. While the captain, first officer, and a flight engineer evacuated the airplane after landing, sustaining only minor injuries, the NTSB concluded that flight crews on cargo-only aircraft remain at risk from in-flight fires involving both primary (non-rechargeable) and secondary (rechargeable) lithium batteries. Following the incident investigation, NTSB issued the following recommendations to PHMSA: Safety Recommendation A-07-104: Require aircraft operators to implement measures to reduce the risk of primary lithium batteries becoming involved in fires on cargo-only aircraft, such as transporting such batteries in fire resistant containers and/or in restricted quantities at any single location on the aircraft. Safety Recommendation A-07-105: Until fire suppression systems are required on cargo-only aircraft, as asked for in Safety Recommendation A-07-99, require that cargo shipments of secondary lithium batteries, including those contained in or packed with equipment, be transported in crew-accessible locations where portable fire suppression systems can be used. Safety Recommendation A-07-106: Require aircraft operators that transport hazardous materials to immediately provide consolidated and specific information about hazardous materials on board an aircraft, including proper shipping name, hazard class, quantity, number of packages, and location, to on-scene emergency responders upon notification of an accident or incident. Safety Recommendation A-07-107: Require commercial cargo and passenger operators to report to the Pipeline and Hazardous Materials Safety Administration all incidents involving primary and secondary lithium batteries, including those contained in or packed with equipment, that occur either on board or during loading or unloading operations and retain the failed items for evaluation purposes. Safety Recommendation A-07-108: Analyze the causes of all thermal failures and fires involving secondary and primary lithium batteries and, based on this analysis, take appropriate action to mitigate any risks determined to be posed by transporting secondary and primary lithium batteries, including those contained in or packed with equipment, on board cargo and passenger aircraft as cargo; checked baggage; or carry-on items. Safety Recommendation A-07-109: Eliminate regulatory exemptions for the packaging, marking, and labeling of cargo shipments of small secondary lithium batteries (no more than 8 grams equivalent lithium content) until the analysis of the failures and the implementation of risk-based requirements asked for in Safety Recommendation A-07- 108 are completed. Safety Recommendation A-08-01: In collaboration with air carriers, manufacturers of lithium batteries and electronic devices, air travel associations, and other appropriate government and private organizations, establish a process to ensure wider, highly visible, and continuous dissemination of guidance and information to the air-traveling public, including flight crews, about the safe carriage of secondary (rechargeable) lithium batteries or electronic devices containing these batteries on board passenger aircraft. Safety Recommendation A-08-02: In collaboration with air carriers, manufacturers of lithium batteries and electronic devices, air travel associations, and other appropriate government and private organizations, establish a process to periodically measure the effectiveness of your efforts to educate the air-traveling public, including flight crews, about the safe carriage of secondary (rechargeable) lithium batteries or electronic devices containing these batteries on board passenger aircraft. Most of the recent lithium battery incidents have been determined to originate from packages in non-compliant shipments of lithium batteries. As a result, many feel that additional regulations will not help lower the number of incidents. PHMSA and FAA believe non- compliance most often arises from confusion concerning the regulatory requirements. This confusion typically results from a lack of proper training. Currently, shippers of small-size lithium batteries are excepted from the training requirements in Subpart H of Part 172 of the HMR. The proposals in this NPRM would require these shippers to train employees who prepare lithium battery shipments for transportation to ensure [[Page 1305]] the employees are knowledgeable about all the applicable regulatory requirements and that shipments conform to those requirements. The training requirements would also apply to air carrier employees; thus, training in the requirements applicable to the transportation of small lithium batteries would be included in the currently required air carrier training for acceptance, handling, and loading and unloading lithium battery packages. The proposals in this NPRM would also subject packages of small- size lithium batteries to well-recognized hazardous materials marking and labeling requirements. These hazard communication provisions will ensure that packages of lithium batteries are placed into a well- established and high-functioning cargo transportation system that provides for more careful handling, more precise record keeping, and more detailed tracking and reporting than is typically provided for non-hazardous cargo. In addition to markings and labels, the proposals in this NPRM would also require transport documentation to accompany a shipment of small-size lithium batteries. This includes notation of the presence and location of lithium batteries aboard the aircraft on the notice to the pilot in command (NOPIC). This will allow pilots and crew to make appropriate decisions in the event of an emergency. For example, if the flight crew identifies fire or smoke in a location where a lithium battery shipment is stowed, the crew can make an informed decision about the possible severity of the fire, whether the presence of lithium batteries could worsen the fire, and the time available to land the aircraft or take other emergency actions. The NOPIC also allows ground crew, firefighters and first responders to know how they should respond in case of an emergency because they will know not only that there are packages of lithium batteries aboard the aircraft, but also where on the aircraft these packages are located. The hazardous materials regulatory system has for decades proven its effectiveness in mitigating hazardous materials transportation risk. Shippers and operators understand this system and have included steps in their processes to ensure compliance. However, lithium batteries have largely operated outside of this structure through the use of exceptions. This current exception-based system has created a set of regulations that is not easily understood or enforced. This, coupled with the lack of required training, adds to the difficulty of ensuring compliance. PHMSA and FAA believe the system created specifically for the transportation of hazardous materials is sound and can be used to effectively mitigate the risk posed by lithium batteries in air transportation. B. Overview of Current Regulations Currently, the HMR address lithium battery transportation safety through design type testing, short circuit protection, limits on battery size, and limits on net and gross weight. The HMR provide exceptions for small cells and batteries often found in consumer electronic devices. Lithium batteries are regulated as a Class 9 material. Class 9 materials present a hazard during transportation but do not meet the definition of any other hazard class. The HMR prohibit the transport of primary lithium batteries as cargo on passenger aircraft unless packed with or contained in equipment. Packaging and design type testing requirements and exceptions for lithium batteries are found in Sec. 173.185. For transportation by all modes, lithium batteries of all types and sizes must pass applicable tests in the UN Manual of Tests and Criteria. These tests are designed to ensure that the battery can withstand conditions normally encountered in transportation. In addition, the battery must be designed in a manner that precludes a violent rupture and must be equipped with an effective means of preventing external short circuits and a means to prevent reverse current flow if it contains cells that are connected in parallel. Batteries transported as a Class 9 material must be packaged in combination packagings that conform to the performance standards specified in Part 178 of the HMR at the Packing Group II performance level. In addition, the batteries must be packaged so as to prevent short circuits, including movement that could lead to short circuits. A package containing lithium batteries must be labeled with a Class 9 label and must be accompanied by a shipping paper that describes the lithium batteries being transported and emergency response information. The location and quantity of shipments must also be provided to the pilot in command. The HMR provide exceptions for lithium batteries based on the battery size and packing method. Generally, shipments of small lithium batteries are excepted from the specification packaging and hazard communication requirements outlined above provided each package containing more than 24 lithium cells or 12 lithium batteries is: (1) Marked to indicate that it contains lithium batteries and that special procedures must be followed if the package is known to be damaged; (2) accompanied by a document indicating that the package contains lithium batteries and that special procedures must be followed if the package is known to be damaged; (3) no more than 30 kilograms gross weight; and (4) capable of withstanding a 1.2 meter drop test in any orientation without shifting of the contents that would allow short-circuiting and without release of package contents. Further, each such package that contains a primary lithium battery or cell forbidden for transport aboard passenger carrying aircraft must be marked ``PRIMARY LITHIUM BATTERIES--FORBIDDEN FOR TRANSPORT ABOARD PASSENGER AIRCRAFT'' or ``LITHIUM METAL BATTERIES--FORBIDDEN FOR TRANSPORT ABOARD PASSENGER AIRCRAFT.'' The marking, documentation and 1.2 meter drop test requirements described above do not apply when these small cells or batteries are contained in a piece of equipment. For medium-size lithium batteries and cells transported by motor carrier or rail, the HMR provide exceptions similar to those for small lithium batteries. Under these exceptions, a package containing medium size lithium batteries and cells of all types must: (1) Be marked to indicate it contains lithium batteries and special procedures must be followed if the package is known to be damaged; (2) be accompanied by a document indicating the package contains lithium batteries and special procedures must be followed if the package is known to be damaged; (3) weigh no more than 30 kilograms; and (4) be capable of withstanding a 1.2 meter drop test. For those packages that are not prepared for air shipment, (i.e., not offered and transported as a Class 9 material) the HMR require the package to be marked to indicate that they may not be transported by aircraft or vessel. The marking, documentation and 1.2 meter drop test requirements described above do not apply when these medium cells or batteries are contained in a piece of equipment. The exceptions for small and medium size lithium batteries described above are found in Sec. 172.102 Special Provisions 188 and 189 respectively. Additional exceptions for special cases such as small production runs of batteries and specific aircraft quantity limitations are found in Sec. 172.102, Special Provisions 29, A54, A55, A100, A101, A103, and A104. The current requirements in the HMR pertaining to the transport of lithium batteries reflect a number of actions taken by PHMSA and FAA in response [[Page 1306]] to the past incidents and NTSB recommendations, aimed at reducing the risks posed by batteries and battery powered devices in transportation. These include-- Safety advisories issued by PHMSA to the public (64 FR 36743 [July 7, 1999]; 72 FR 14167 [Mar. 26, 2007]) and by the FAA to the airline industry on July 2, 1999, May 23, 2002 and August 3, 2007 to remind persons that batteries and electrical devices that contain batteries are prohibited for transport unless properly packaged to prevent the likelihood of creating sparks or generating dangerous heat. Changes to UN Recommendations in 2000 and the 2003-04 ICAO Technical Instructions based on proposals by the United States which (1) revised battery testing requirements and required testing of small lithium batteries, (2) adopted hazard communication and packaging requirements for small batteries, (3) eliminated an exception for medium-sized batteries, and (4) adopted limited exceptions for passengers and crew to carry lithium batteries and battery-powered equipment aboard an aircraft. A series of tests performed by FAA in 2004 concluded that the presence of a shipment of primary lithium batteries can significantly increase the severity of an in-flight cargo compartment fire and the fire suppression systems currently in use aboard passenger aircraft are ineffective. PHMSA's December 15, 2004 interim final rule (69 FR 75208, correction, 71 FR 56894 [Sept. 28, 2006]), based on the results of the FAA tests, adopted a limited prohibition on the transportation on passenger-carrying aircraft of primary lithium batteries. Further testing by FAA in 2006 concluded that flames produced by secondary lithium batteries and cells are hot enough to cause adjacent cells to vent and ignite, but currently approved fire suppression systems are effective on the electrolyte fire and prevent any additional fire from subsequent cell venting. PHMSA's August 9, 2007 final rule (72 FR 44930) finalized the December 15, 2004 interim final rule and (1) adopted design type testing of all lithium batteries in accordance with international standards, and (2) revised the exception for consumer electronic devices and spare lithium batteries carried by passengers and crew. The preamble to this final rule also discussed in more detail some of the prior incidents during transportation of lithium batteries, the FAA testing programs, the recalls of notebook computer batteries, and the rulemaking changes up to that time. PHMSA's January 14, 2009 final rule (74 FR 2199) addressed NTSB safety recommendations A-07-106 and A-07-107 by requiring an air carrier, in the event of a serious incident, to make immediately available to an authorized official of a federal, state, or local government agency (including an emergency responder), the shipping papers and notice to pilot in command or the information contained in those documents. This requirement represents a proactive approach to information dissemination similar to that in the ICAO Technical Instructions. This final rule also added a requirement to report all incidents that result in a fire, violent rupture, explosion or dangerous evolution of heat (i.e., an amount of heat sufficient to be dangerous to packaging or personal safety to include charring of packaging, melting of packaging, scorching of packaging, or other evidence) that occurs as a direct result of a battery or battery- powered device. Additionally, the final rule amended regulatory requirements to clarify acceptable methods for packaging batteries to protect against short circuits and overheating and required the reporting of certain incidents involving batteries or battery powered devices. PHMSA set forth examples of methods to prevent short circuit and damage (such as individually packaging each battery, securely covering terminals with non-conductive caps or tape, or designing batteries with terminals that are recessed or otherwise protected) appropriate for all batteries. PHMSA and FAA have also conducted a campaign to educate the public about ways to reduce lithium battery transportation risks. On February 22, 2007; April 26, 2007; May 24-25 2007; and April 11, 2008, PHMSA hosted meetings with public and private sector stakeholders who share our concern for the safe transportation of batteries and battery powered devices. The meetings provided an opportunity for representatives of the NTSB, CPSC, manufacturers of batteries and battery powered devices, airlines, airline employee organizations (e.g., pilots and flight attendants), testing laboratories, and the emergency response and law enforcement communities to share and disseminate information concerning battery related risks and developments. The amendments to the HMR adopted since 2004 have produced positive results, but they addressed only very specific issues and specific transport contexts. The proposals outlined in this NPRM are intended to comprehensively address the hazards posed by lithium batteries in all modes of transportation and further reduce the likelihood and the consequences of a battery related fire in transportation. In this NPRM, PHMSA plans to address safety recommendations A-07-104, A-07-105, A-07- 108 and A-07-109. In addition to the safety measures identified in this NPRM, PHMSA and FAA are considering additional safety standards. Many of these additional measures affect multiple transport modes, including aviation. As we develop these concepts we will continue to work with the appropriate international transportation standards-setting bodies, such as the United Nations Subcommittee of Experts on the Transport of Dangerous Goods (UNSCOE TDG) and the International Civil Aviation Organization (ICAO) Dangerous Goods Panel, to encourage their world- wide acceptance. These additional measures may include: Establishing a new system for the classification of articles, such as lithium batteries that have the potential to produce heat and fire. Determining the feasibility of developing performance standards for fire resistant containers that can be used for the transport of lithium cells and batteries of all types and all other flammable materials on board aircraft. Examining the role of packaging in preventing damage and short circuits to lithium cells and batteries. C. Ongoing Efforts To Evaluate Lithium Battery Risk As previously mentioned, PHMSA and FAA have identified 44 air transport related incidents and numerous additional non-transport incidents involving lithium batteries and lithium battery powered devices. The January 14, 2009 final rule required air carriers to report all incidents that result in a fire, violent rupture, explosion or dangerous evolution of heat that occur as a result of a battery or a battery powered device. In addition to requiring an incident report NTSB, A-07-107 recommends PHMSA require air carriers retain the failed items for evaluation purposes. We have concerns with requiring a person involved in an incident reported under Sec. Sec. 171.15 or 171.16 to maintain in a secure manner items or packages especially if the item is an airline passenger's property. Such a requirement would impose additional responsibility on the air carrier to maintain possession of the item or package in a secure manner. Currently, when an incident occurs, DOT works with the person in physical possession of the item such as a battery or device [[Page 1307]] to ensure the incident is thoroughly documented and when the air carrier has accepted the property (68 FR 9735) it is maintained and in some instances transported for evaluation. Depending on the nature and severity of the incident we work with carriers on a case-by-case basis to collect and analyze evidence as appropriate and we continue to seek ways to improve the quality and consistency of data we receive. As part of this NPRM, PHMSA seeks comments on how this data collection could be improved. The proposals in this NPRM are intended to address the root causes of lithium battery incidents. The available incident data suggest the most likely causes of lithium battery incidents are: 1. External short circuiting--occurs when an exposed battery terminal contacts a metal object. When this happens, the battery can heat up and may cause ignition of the battery and/or the surrounding combustible materials. 2. In-use situation--generally relating to improper ``charging'' and/or ``discharging'' conditions associated with the use of equipment (e.g., computer or cell phone). This also includes inadvertent activation and subsequent overheating (such was the case when a power drill activated and burned in a passenger's checked baggage). 3. Non-compliance--includes faulty design of the battery (cells or battery packs), false certification of compliance with regulatory testing/classification requirements, and improper packing and handling including some counterfeit batteries. 4. Internal short circuit--can be caused by foreign matter introduced into a cell or battery during the manufacturing process. An internal short circuit can also occur when a battery is physically damaged (e.g. dropped or punctured). As noted in the previous section, FAA's Technical Center initiated a series of tests to evaluate the risk posed by lithium batteries involved in an unrelated fire. FAA completed a study in 2004 to assess the flammability characteristics of bulk packed primary lithium batteries and a second study in 2006 examining the flammability characteristics of bulk packed secondary lithium batteries. In both studies the tests were designed to simulate the behavior of the batteries in an environment that is similar to actual conditions possible in an aircraft cargo compartment fire. Both the 2004 and 2006 test reports are available at the following url: http://www.fire.tc.faa.gov/reports/reports.asp . In the case of primary lithium batteries, the FAA tests showed that the packaging materials delayed the ignition of the batteries, but eventually added to the fire and contributed to battery ignition, even after the original (alcohol) fire had been exhausted. In addition, the packaging material held the batteries together, allowing the plastic outer coating to fuse the batteries together. This enhanced the probability of a burning battery igniting adjacent batteries, increasing the propagation rate. The technical report concluded that the presence of a shipment of primary lithium batteries can significantly increase the severity of an in-flight cargo compartment fire. In addition, the report concluded that primary lithium batteries pose a unique threat in the cargo compartment of an aircraft because primary lithium battery fires cannot be suppressed by means of Halon, the only FAA-certified fire suppression system permitted for use in cargo compartments of a passenger-carrying aircraft operating in the United States. The second study completed in 2006 used a similar methodology to determine the flammability of secondary lithium batteries and cells. The testing demonstrated that flames produced by the batteries are hot enough to cause adjacent cells to vent and ignite. The testing also demonstrated that Halon is effective in suppressing the electrolyte fire and preventing any additional fire from subsequent cell venting. The lithium ion cells will continue to vent due to high temperatures but will not ignite in the presence of Halon. We are aware of additional testing conducted in 2004 and 2005 independent of the FAA or PHMSA to assess the effect of a battery's state of charge on its overall risk. The 2004 preliminary report titled ``Effect of Cell State of Charge on Outcome of Internal Cell Faults'' concluded the severity of the result of an internal short circuit is strongly affected by the state of charge. The Draft 2005 report titled ``US FAA Style Flammability Assessment of Lithium Ion Cells and Battery Packs in Aircraft Cargo Holds'' concluded: (1) Direct flame impingement on small unpackaged quantities of lithium ion cells and battery packs can lead to thermal runaway; (2) Halon 1301 is effective at controlling burning lithium ion cells; (3) the fires had a minimal effect on bulk packaged lithium ion cells with less than 50% state of charge; and (4) the aircraft liner typically used on commercial aircraft is capable of withstanding burning gases discharged from venting lithium ion cells and batteries. A copy of this analysis is available for review in the docket of this rulemaking. The FAA results with lithium ion batteries at 100% state of charge exposed to a fire showed similar, but more forceful results (i.e. more sparks, and more forceful cell venting). FAA and other test data on lithium ion cells and batteries suggest that state of charge affects their behavior under abuse conditions. PHMSA recognizes this fact and commonly requires transport at a reduced state of charge as a condition of competent authority approvals issued for the transport of extremely large lithium ion batteries found in vehicles and military and aerospace equipment. To date, we are not aware of any data that can be used to suggest a reduced state of charge affects the behavior of primary lithium batteries under abuse conditions. The United Kingdom Civil Aviation Authority completed a report in 2003 titled: ``Dealing with In-Flight Lithium Battery Fires in Portable Electronic Devices.'' The test results verified the effectiveness of existing fire extinguishing agents in responding to an in-flight fire involving a lithium battery powered portable electronic device. The report also concluded that the safety systems inherent to lithium batteries and battery powered devices decrease the likelihood of a fire, but since there is a potential for a fire, these devices must be considered a potential risk in flight and during ground based operations. If a fire does occur in the aircraft cabin, the force of the explosion is not sufficient to cause structural damage to the aircraft, but there is a risk the fire could spread to adjacent flammable material such as clothing and seats and flames and fumes from burning batteries pose a hazard to passengers in the immediate vicinity. The UK CAA testing, combined with additional research from the FAA has formed the basis for improved response procedures and cabin crew fire fighting training. Since 2007, the International Federation of Airline Pilots Associations has issued several safety bulletins with updated recommendations for flight crew actions. In March of 2009, the FAA released a training video recreating in-flight scenarios which includes actual lithium battery fires and appropriate response measures. All of these test reports are available for review in the public docket for this rulemaking. II. Discussion of Proposed Regulatory Changes A. Summary of Proposals in This NPRM In this NPRM, we propose a number of provisions to enhance the safe transportation of lithium batteries. The proposals are intended to reform the current regulatory framework specific to lithium batteries and strengthen the regulations by eliminating certain exceptions. These revisions will [[Page 1308]] enhance safety by ensuring that all lithium ba
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