{"operation":"document","citation":"PHMSA Guidance, Lithium Battery Guide for Shippers","title":"Lithium Battery Guide for Shippers","source_type":"guidance","agency":"Pipeline and Hazardous Materials Safety Administration","status":"guidance","official":true,"published_on":"2024-11-21","effective_on":"2024-11-21","summary":"Lithium Battery Guide for Shippers Document Lithium-Battery-Guide-2024.pdf (12.27 MB) Updated October 2024! This compliance resource was prepared to assist shippers to safely package lithium cells and batteries for transport by all modes according to the latest (May 10, 2024; HM-215Q) regulatory requirements. This publication directs readers to scenario-based shipping guides that outline the requirements to ship pack","machine_formats":{"json":"https://regulus.evalyn.ai/document/phmsa-guidance-lithium-battery-guide-shippers-687f8079.json","markdown":"https://regulus.evalyn.ai/document/phmsa-guidance-lithium-battery-guide-shippers-687f8079.md"},"app_url":"https://regulus.evalyn.ai/document/phmsa-guidance-lithium-battery-guide-shippers-687f8079","source_url":"https://www.phmsa.dot.gov/regulatory-compliance/phmsa-guidance/lithium-battery-guide-shippers","body":"Lithium Battery Guide for Shippers\n\nDocument\n\n Lithium-Battery-Guide-2024.pdf (12.27 MB)\n\n        Updated October 2024! This compliance resource was prepared to assist shippers to safely package lithium cells and batteries for transport by all modes according to the latest (May 10, 2024; HM-215Q) regulatory requirements. This publication directs readers to scenario-based shipping guides that outline the requirements to ship packages of lithium cells and batteries in various configurations. Each distinct shipping guide in this document refers to the regulatory requirements for a specific lithium cell/battery type, configuration, or size.\n\n          Issued Date: Thursday, November 21, 2024\n\n<<<PAGE 1>>>\n\nLITHIUM BATTERY GUIDE FOR SHIPPERS\nA Compliance Tool for All Modes of Transportation\nRevised October 2024\nWWW.PHMSA.DOT.GOV\nPHMSA | PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION\n1\n\n<<<PAGE 2>>>\n\nThe contents of this guide do not have the force and effect of law and are not meant to bind the public in\nany way. This guide is intended only to provide information to the public regarding existing requirements\nunder the Hazardous Materials Regulations.\nINTRODUCTION\nThis compliance resource was prepared to assist a shipper to safely package lithium cells and batteries for transport by\nall modes of transportation according to the latest regulatory requirements. This guide provides scenario-based situations\nthat outline the applicable requirements that a shipper must follow to ship packages of lithium cells and batteries in various\nconfigurations. Each distinct shipping guide in this document refers to the regulatory requirements for a specific lithium cell/\nbattery type, configuration, and size. In this way, a shipper will easily find the applicable provisions that they must follow\ndepending on the scenario they encounter as a shipper.\nPlease note that these shipping guides are based on the Hazardous Materials Regulations (HMR; 49 CFR Parts 171-180) and\ncan be used as a compliance tool to help outline applicable scenario-based regulatory requirements; this document is not\na substitute for the HMR. While every effort has been made to provide a simplified compliance resource consistent with the\nHMR, if there is any instance in which this document is inconsistent with the HMR, then the HMR requirements supersede\nthis guide. The regulations themselves are the final authority for proper shipping procedures.\nThe HMR includes provisions for the classification, packaging, hazard communication (e.g., package marking, labeling,\nshipping papers), stowage, and handling of all hazardous materials. The purpose of these regulations is to protect the\nsafety of people, property, and the environment when hazardous materials such as lithium batteries and battery-powered\ndevices are shipped. If the applicable minimum regulatory requirements are not followed, lithium cell or battery shipments\nmay be more likely to contribute to fires, injuries, or other incidents during transport.\nWhether shipping a single battery, a palletized load of batteries, or a battery-powered device, the safety of the package,\nand those who handle it along its journey, depends on compliance with the HMR. Failure to comply with the applicable\nregulations may result in fines or even criminal prosecution.\nFor any questions about regulatory requirements, please contact our Hazardous Materials Information Center at 1-800-\n467-4922/202-366-4488 or infocntr@dot.gov. The Information Center can answer any regulatory questions and provide\nadditional compliance resources.\nEffective May 10, 2024, the latest rulemaking (HM-215Q, published April 11, 2024) extends the\nrequirement that lithium ion batteries must be marked with the Watt-hour rating on the outside\ncase to include batteries larger than 100 Wh, revises the test summary requirement, specifies\nquantity limits for cells and batteries packed with equipment, and removes exceptions for small\nlithium cells and batteries shipped by air (when not packed with or contained in equipment).\nIn addition, HM-215Q removes the telephone number requirement from the lithium battery\nmark, with a phaseout date of December 31, 2026. As such, this guide now includes footnotes\nspecifying the phaseout date in each instance of the lithium battery mark.\n2\n\n<<<PAGE 3>>>\n\nCELL VS. BATTERY\nWHY LITHIUM BATTERIES ARE REGULATED IN TRANSPORTATION\nLithium cells and batteries power countless items that support everyday\nlife, from portable computers, cordless tools, smartphones and watches, to\nwheelchairs and motor vehicles. Our society has come to depend on lithium\ncells and batteries for an increasingly mobile lifestyle. Today's lithium cells\nand batteries are more energy dense than ever, bringing a steadily growing\nnumber of high-powered devices to market. With the increased energy density\ncomes greater risk and the need to manage it. Shippers play an important role\nin reducing this risk and preventing incidents—including fires aboard aircraft or\nother transport vehicles.\nCELL: A cell is a single encased\nelectrochemical unit.\nBATTERY: A battery is made up\nof multiple electrically connected\ncomponent cells, such as in a laptop\ncomputer battery.\nNote: A battery can also be\ncomprised of only a single cell, such\nas the common AA, C, or a coin cell.\nA single cell battery is considered\na “cell” and must be offered for\ntransportation in accordance with the\nrequirements for cells.\nThe risks posed by lithium cells and batteries are generally a function of type,\nsize, and chemistry. Lithium cells and batteries can present both chemical\n(e.g., corrosive or flammable electrolytes) and electrical hazards. Unlike\nstandard alkaline batteries, most lithium batteries manufactured today contain\na flammable electrolyte and have an incredibly high energy density. They\ncan overheat and ignite under certain conditions, such as a short circuit,\novercharging, or mechanical damage. Once ignited, lithium cell and battery\nfires can be difficult to extinguish. Additional, although infrequent, events can\nresult in lithium cells and batteries experiencing thermal runaway, a chain\nreaction leading to a violent release of stored energy and flammable gas. This\nthermal runaway can propagate to other batteries or combustible materials nearby, potentially resulting in large fires with\nsevere consequences.\nThe Federal Aviation Administration (FAA) Technical Center issued a series of test reports in 2004, 2006, 2010, and 2014\nthat characterized the hazards posed by lithium cells and batteries transported as cargo on aircraft and the effectiveness of\ncertain aircraft fire suppression agents and packaging configurations in mitigating the associated risks. The FAA Technical\nCenter testing shows that oxygen starvation through depressurization in the case of cargo aircraft, common shipping\ncontainers (e.g., unit load devices), or aircraft fire suppression systems are not effective in containing or suppressing many\npotential lithium cell or battery fires.\nLithium cells and batteries can become dangerous and cause fires and electrical shocks if not safely packaged and handled\nwhen transported. Misused, mishandled, modified, improperly packaged, improperly stored, overcharged, damaged, or\ndefective lithium cells or batteries can short circuit, overheat, and sometimes cause fire. The heat from a single cell in\nthermal runaway can propagate from cell to cell and package to package until the entire shipment has been consumed.\nTemperatures of lithium cells or batteries in thermal runaway are sufficient to ignite typical fiberboard packaging and\nnearby materials.\nAlways remember that ALL lithium cells and batteries are hazardous materials when being transported, no matter the size\nor quantity. However, there may be exceptions from the regulations depending on whether the cells and batteries\nmeet specific:\n•\nSize limitations\n•\nPackaging requirements\n•\n•\nHazard communication requirements\nAdditional requirements for air transportation.\nPHMSA | PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION\n3\n\n<<<PAGE 4>>>\n\nTHE HMR, INTERNATIONAL, AND MODAL REQUIREMENTS\nThis document provides generalized guidance on the requirements for proper packaging and hazard communication of\nshipments of lithium cells and batteries and lithium battery-powered equipment by all modes of transportation. Shipments\nto, from, or within the United States are subject to the HMR. For international transport, PHMSA authorizes the use of the\nInternational Civil Aviation Organization's Technical Instructions for the Safe Transport of Dangerous Goods by Air (ICAO TI)\nand the International Maritime Dangerous Goods Code (IMDG Code) subject to the additional conditions and limitations of the\nHMR specified in subpart C of part 171 of the HMR (§§ 171.22-26).\nVESSEL TRANSPORTATION\nLithium batteries and battery-powered equipment may be transported within the United States by vessel and by motor\nvehicle or rail either before or after being transported by vessel in accordance with the IMDG Code. We recommend that\nshippers consult the most recent edition of the IMDG Code, issued by the International Maritime Organization (IMO) for\nadditional requirements. Publications and regulations issued by IMO can be found at: www.imo.org.\nAIR TRANSPORTATION\nLithium batteries and battery-powered equipment may be transported within the United States by aircraft and by motor\nvehicle or rail either before or after being transported by aircraft in accordance with the ICAO TI. We recommend that\nshippers consult the most recent edition of the ICAO TI for additional requirements, along with any applicable origin/\ndestination State Variations. State Variations are additional conditions and limitations imposed by the country of origin and\ndestination. For example, US State Variations contain the additional HMR requirements that apply when shipping to, from, or\nwithin the US by air under the ICAO TI. Publications and regulations issued by ICAO can be found at: www.icao.int.\nFor both international and domestic shipments, we also recommend checking with the air carrier for any additional\nrequirements. Many air carriers have supplemental policies and/or limitations with respect to lithium battery shipments. These\nrequirements can often be found by consulting directly with the air carrier or International Air Transport Association (IATA)\npublications. Air carriers, working closely with the FAA, use their Safety Management Systems (SMS) to evaluate their ability\nto safely carry lithium batteries and determine safety mitigation strategies. General FAA hazmat resources can be found at\nwww.faa.gov/hazmat, with specific lithium battery resources at https://www.faa.gov/hazmat/resources/lithium_batteries.\nIn summary, when shipping batteries for air transportation, shippers should always consult their air carrier or ICAO/IATA\npublications for both country-specific and carrier-specific policies/limitations.\n4\n\n<<<PAGE 5>>>\n\nLITHIUM BATTERY TYPES\nThere are many different chemistries of lithium cells and batteries, but for transportation purposes, all lithium cells and\nbatteries fall into one of two basic types: lithium ion and lithium metal. Both battery types are characterized by a higher energy\ndensity and a longer operating life than alkaline, nickel cadmium, and nickel metal hydride chemistries.\n•\nLithium ion, including lithium polymer:\n•\n•\nare generally rechargeable (secondary) batteries\nare found in a wide range of electronic devices such as laptop and tablet computers, cellular telephones, hybrid\nvehicles, etc.\n•\nLithium metal:\n•\n•\n•\nare generally non-rechargeable (primary, one-time use)\nhave a longer life than standard alkaline batteries\nare commonly used in hearing aids, wristwatches, smoke detectors, cameras, key fobs, children’s toys, etc.\nLITHIUM CELLS AND BATTERY TESTING REQUIREMENTS\nShippers are responsible for ensuring that lithium cells and batteries offered for transportation have passed the design\ntests found in the United Nations (UN) Manual of Tests and Criteria, Section 38.3. The UN 38.3 testing accounts for\ntransportation impacts such as:\n•\n•\nAltitude\nExternal short circuit\n•\n•\nForced discharge\nImpact/crush\n•\n•\nOvercharge\nShock\n•\n•\nThermal test\nVibration\nEffective January 1, 2022, lithium cell and battery manufacturers and subsequent distributors of lithium cells or batteries,\nexcept for button cells installed in equipment (including circuit boards), manufactured on or after January 1, 2008 must\nmake a lithium battery test summary available to others in the supply chain. The test summary includes a standardized\nset of elements that provide traceability and accountability to ensure that lithium cell and battery designs offered\nfor transport meet UN 38.3 test requirements. We recommend the shipper check with the battery manufacturer or\ndistributor to determine if a battery design has passed these tests, or obtain, if possible, the test summary. For additional\ninformation on test summaries, refer to PHMSA’s \"Lithium Battery Test Summaries (TS)” outreach publication.\nAny change or modification to a lithium battery that would lead to a failure of any of the UN 38.3 tests must be\nconsidered a new type and subjected to the required tests. See the UN Manual for the types of changes that may be\nconsidered sufficiently different from a tested type and that may lead to a failure of a lithium battery test result.\nSee § 173.185(a) for all testing and test summary requirements. Refer to §§ 173.185(d)(1) and (e), respectively, for exceptions\nfrom the testing requirements for lithium cells or batteries shipped for disposal or recycling and for low production runs\nand prototype lithium cells or batteries.\nPHMSA | PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION\n5\n\n<<<PAGE 6>>>\n\nHOW ARE LITHIUM BATTERIES REGULATED?\nLithium cells and batteries are Class 9 (miscellaneous) hazardous materials. There are eight possible descriptions for\nlithium cells and batteries, depending on the battery chemistry. These descriptions, or proper shipping names, are found\nin the Hazardous Materials Table (HMT) in § 172.101 of the HMR. They are as follows:\n•\n•\n•\n•\n•\nStand-alone—Package contains only the cells/batteries—no equipment:\n•\nUN3090, Lithium metal batteries including lithium alloy batteries\n•\nUN3480, Lithium ion batteries including lithium ion polymer batteries\nPacked with—Package contains not only the equipment, but also cells/\nbatteries that are not installed in the equipment:\n•\nUN3091, Lithium metal batteries packed with equipment including\nlithium alloy batteries\n•\nUN3481, Lithium ion batteries packed with equipment including lithium\nion polymer batteries\nContained in—Package contains equipment with cells/batteries installed:\n•\nUN3091, Lithium metal batteries contained in equipment including\nlithium alloy batteries\n•\nUN3481, Lithium ion batteries contained in equipment including lithium\nion polymer batteries\nVehicles—Package or shipment contains a vehicle powered by\nlithium batteries:\n•\nUN3171, Battery-powered vehicle\nCargo Transport Unit—Lithium batteries installed in a cargo transport unit and designed only to provide power external to\nthe cargo transport unit.\n•\nUN3536, Lithium batteries installed in cargo transport unit lithium ion batteries or lithium metal batteries\nBATTERY SIZE – SMALLER BATTERY THRESHOLDS\nWhat are considered “Vehicles” or\n“Equipment” in the HMR?\nVehicles are self-propelled apparatuses\ndesigned to carry one or more persons\nor goods. Examples of such vehicles are\nelectrically-powered cars, motorcycles,\nscooters, three- and four-wheeled vehicles\nor motorcycles, trucks, locomotives, bicycles\n(pedal cycles with an electric motor) and\nother vehicles of this type (e.g. self-balancing\nvehicles or vehicles not equipped with at least\none seating position), lawn tractors, self-\npropelled farming and construction equipment,\nboats, aircraft, wheelchairs and other\nmobility aids.\nEquipment means the device or apparatus for\nwhich the lithium cells or batteries will provide\nelectrical power for its operation.\nIt is important to remember that the size of the cell or battery has important implications for shipping requirements. Size refers\nnot only to physical dimensions and weight, but also the energy capacity of the battery. For lithium ion cells and batteries, size\nis measured by Watt-hour (Wh) ratings. For lithium metal cells and batteries, size is measured by lithium content in grams (g).\nThe Wh rating is often marked on the outside case of the lithium ion cell or battery. Beginning May 10, 2024, the Wh rating\nmust be marked on the outside case of all lithium ion batteries regardless of size (see § 173.185(a)(5)).\nThe size of a lithium cell or battery is an important aspect of classification because “smaller” cells and batteries qualify for\ncertain exceptions from regulatory requirements when packed in certain quantities. For the purposes of DOT regulations, a\n“smaller” cell or battery is as follows:\n•\nLithium Ion: Cells equal to or less than 20Wh; and batteries equal to or less than 100Wh\n•\n•\nFor highway and rail ONLY: Cells not exceeding 60Wh; and batteries not exceeding 300Wh\nLithium Metal: Cells equal to or less than 1g; and batteries equal to or less than 2g\n•\nFor highway and rail ONLY: Cells not exceeding 5g; and batteries not exceeding 25g\nNote: For a single cell battery, such as a typical coin cell or standard AA or AAA replacement battery, refer to the size for cells.\nCells and batteries that exceed these “smaller” cell or battery size thresholds must be shipped as fully regulated Class\n9 hazardous material. The shipping requirements for these fully regulated cells and batteries are more stringent. The\nshipping guides outlined on page 7 and the flowcharts on pages 8 and 9 make the distinction between size thresholds,\nwhen applicable, for shipping purposes.\n6\n\n<<<PAGE 7>>>\n\nDISPOSAL OR RECYCLING LITHIUM BATTERY PROVISIONS\nFOR MOTOR VEHICLE ONLY\nLithium cells and batteries, including those contained in or packed with\nequipment, being shipped for disposal or recycling may qualify for certain\nexceptions in § 173.185(d) of the HMR. The following exceptions only apply when\ntransported by motor vehicle to a permitted storage facility, disposal site, or for\nthe purposes of recycling:\n•\nUN 38.3 cell and battery testing\n•\nUN specification packaging requirements (when packed in a strong\nouter packaging)\nIn addition, when these shipments meet the applicable size, packaging, and\nhazard communication conditions for “smaller” cells and batteries in § 173.185(c) of\nthe HMR, they are also eligible for the “smaller” cells and batteries exceptions.\nPlease note that all other requirements of the HMR apply, including, but not\nlimited to, protecting the lithium cells and batteries from short circuiting and from\ndamage caused by shifting within the outer package. For more details on the\nrequirements for a specific shipment, use the appropriate shipping guide in\nthis document.\nMany packages\ndesigned to ship lithium\nbatteries for recycling\nare subject to the\nterms of a DOT Special\nPermit (DOT-SP). When\nutilizing packaging\nsubject to the terms\nof a DOT-SP, the exact\ninstructions of the DOT-\nSP provided by the\nmanufacturer must\nbe followed.\nSHIPPING DAMAGED, DEFECTIVE, OR RECALLED (DDR)\nLITHIUM BATTERIES\nLithium cells or batteries that have been damaged or identified by the manufacturer as being defective for safety reasons,\nthat have the potential of producing a dangerous evolution of heat, fire, or short circuit (e.g., those being returned to the\nmanufacturer for safety reasons) may only be transported by highway, rail, or vessel. These cells or batteries are strictly\nforbidden for transportation by aircraft. Furthermore, they must be packaged according to the provisions of § 173.185(f),\nwhich include:\n•\nPlacing the cell or battery in individual, non-metallic inner packaging that completely encloses the cell or battery\n•\nSurrounding the inner packaging with cushioning material that is non-combustible, electrically non-conductive, and\nabsorbent\n•\nPackaging the inner packaging in Packing Group I performance level packaging. Note that only one inner\npackaging may be placed in an outer packaging (i.e., only one cell or battery per package)\n•\nMarking the outer packaging with an indication that the package contains a damaged/defective battery, in addition\nto any other required marks and labels on the package.\nNote that there are no exceptions from any HMR requirements (e.g., training, shipping papers, marking, labeling) for\nDDR lithium cells or batteries.\nMany packages designed to ship damaged, defective, or recalled batteries are\nsubject to the terms of a DOT Special Permit (DOT-SP). When utilizing packaging\nsubject to the terms of a DOT-SP, the exact instructions of the DOT-SP provided by\nthe manufacturer must be followed.\nPHMSA | PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION\n7\n\n<<<PAGE 8>>>\n\nX979271\nNFG01-2013\nN: 6l6\nPRETA: GB/T 18287-2000\nL J: A69TA005H\n4: (02)6712-6700\nTHI: 3.8V ==-1560mAh\n0798) 40\nZU12011 - 13427A\nTri\n(Changsu) Inc. x27:87\n*ag/s SimploTechnology\n84: 8Vdc, 1560mAh\nS.:g: PP11L1115\nYAU\nssembled in China\nф APN: 615-0719\n4: 7097\n910-1t2\nLESYFHF\nD8S:487\n101\n03whr-\n741-0119\nMFG11/20131\nLi-ion Polyme\n3.BV=5.45VI\nAPN: 616-0613\nVPN: LIS1491APPCS\nWARNING\nAuthorized Service\nSn\n4176%: GB/T 18287-2000\nLA 14030.\nProvider Only\nPotential for fire or\n1440mAh\ndisassemble, puncture,\nburning. Do not\ncrush, heat, or burn.\nAuth\nLi-ion Polymer Battery\n01909901\nPotential fo\nProvi\n3.8V =т: 5.92Whr\nAPN: 616-0718\n16-0805\nd in China\n37:87\nDesay\n310mAh\n/39/96\n10th se tR\n2013\ncrush, heat, orb\ndisassemble, punr\nburning. Do\nVPN: A69TA006H\nLi-ion Polymer B\nVPN: A69TA\nAPN: 616-0\n3.8V = 5.92'\nApple South Asle\nTIS 2217-2548\n(Thailand) Limited\n(Thailand)\nR4S065\n\n<<<PAGE 9>>>\n\nSHIPPING GUIDES\nFor the purposes of this document, the ways to describe and configure packages of lithium cells and batteries, including\nsmaller cells and batteries, are divided between ten distinct, standalone shipping guides. The shipping guides are\nnumbered Guide 01 - Guide 10.\nThe flowcharts on pages 10 and 11 provide a process to navigate possible descriptions/packaging configurations. Use the\nflowcharts to determine the appropriate shipping guide in this document. Each shipping guide contains information on the\nrequired hazard communication, quantity limits, and packaging. Each shipping guide also contains additional requirements\nor restrictions depending on the mode of transport (i.e., highway, rail, aircraft, and vessel).\nIf viewing this document electronically (i.e., on a computer or device), the guide number icons below are hyperlinked to the\ncorresponding shipping guide for quicker navigation through the document.\nTHE SHIPPING GUIDE NUMBERS ARE AS FOLLOWS:\nGUIDE\n01\nUN3480 LITHIUM ION BATTERIES (FULLY REGULATED CELLS AND BATTERIES)\nP. 12\nGUIDE\n02\nUN3480 LITHIUM ION BATTERIES (SMALLER CELLS AND BATTERIES)\nP. 14\nGUIDE\n03\nUN3481 LITHIUM ION BATTERIES PACKED WITH OR CONTAINED IN EQUIPMENT (FULLY REGULATED CELLS AND BATTERIES).\nP. 17\nGUIDE\n04\nUN3481 LITHIUM ION BATTERIES PACKED WITH OR CONTAINED IN EQUIPMENT (SMALLER CELLS AND BATTERIES)\nP. 20\nGUIDE\n05\nUN3090 LITHIUM METAL BATTERIES (FULLY REGULATED CELLS AND BATTERIES)\nP. 23\nGUIDE\n06\nUN3090 LITHIUM METAL BATTERIES (SMALLER CELLS AND BATTERIES)\nP. 25\nGUIDE\n07\nUN3091 LITHIUM METAL BATTERIES PACKED WITH OR CONTAINED IN EQUIPMENT (FULLY REGULATED CELLS AND BATTERIES)\nP. 28\nGUIDE\n08\nUN3091 LITHIUM METAL BATTERIES PACKED WITH OR CONTAINED IN EQUIPMENT (SMALLER CELLS AND BATTERIES)\nP. 30\nGUIDE\n09\nUN3171 BATTERY-POWERED VEHICLE P. 34\nGUIDE\n10\nUN3536 CARGO TRANSPORT UNITS P. 36\nPHMSA | PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION\n9\n\n<<<PAGE 10>>>\n\nINSTRUCTIONS\nUse this flowchart to direct to the appropriate guide number in this publication for information on hazard\ncommunication, quantity limits, and packaging requirements for lithium ion cells and batteries. If viewing\nthis document electronically (i.e., on a computer or device), the guide number icons below are hyperlinked to\nthe corresponding shipping guide for quicker navigation through the document.\nLithium Ion Cells and Batteries\nSTART HERE\nAll cells and batteries must be tested in accordance with the UN Manual of\nTests and Criteria Part III, Subsection 38.3 - see § 173.185(a).\nPassed UN\nTesting? NO\nPrototype/Low\nProduction Run?\nNO Redesign/Test\nYES\nYES\nRefer to\nprovisions in\n§ 173.185(e)\nLithium Ion Batteries\nLithium Ion Batteries\nContained in\nEquipment\nLithium Ion Batteries\nPacked with\nEquipment\nLithium Battery\nPowered Vehicles or\nEquipment\nInstalled in a Cargo\nTransport Unit\nCells\ngreater\nthan\n20Wh;\nand\nBatteries\ngreater\nthan\n100Wh\nCells equal\nto or less\nthan 20Wh;\nand Batteries\nequal to or\nless than\n100Wh\nAND\nFor highway\nand rail\nONLY - Cells\nnot\nexceeding\n60Wh; and\nBatteries not\nexceeding\n300Wh\nCells\ngreater\nthan\n20Wh;\nand\nBatteries\ngreater\nthan\n100Wh\nCells equal\nto or less\nthan 20Wh;\nand Batteries\nequal to or\nless than\n100Wh\nAND\nFor highway\nand rail\nONLY - Cells\nnot\nexceeding\n60Wh; and\nBatteries not\nexceeding\n300Wh\nCells\ngreater\nthan\n20Wh;\nand\nBatteries\ngreater\nthan\n100Wh\nCells equal\nto or less\nthan 20Wh;\nand Batteries\nequal to or\nless than\n100Wh\nAND\nFor highway\nand rail\nONLY - Cells\nnot\nexceeding\n60Wh; and\nBatteries not\nexceeding\n300Wh\nAll cell and\nbattery sizes\nAll cell and\nbattery sizes\nGUIDE\n09GUIDE\n10\nP.32 P.34\nGUIDE\n01GUIDE\n02GUIDE\n03GUIDE\n03GUIDE\n04GUIDE\n04\nP.10 P.15 P.15\nP.12 P.18 P.18\n10\n\n<<<PAGE 11>>>\n\nINSTRUCTIONS\nUse this flowchart to direct to the appropriate guide number in this publication for information on hazard\ncommunication, quantity limits, and packaging requirements for lithium metal cells and batteries. If viewing\nthis document electronically (i.e., on a computer or device), the guide number icons below are hyperlinked to\nthe corresponding shipping guide for quicker navigation through the document.\nLithium Metal Cells and Batteries\nSTART HERE\nAll cells and batteries must be tested in accordance with the UN Manual of\nTests and Criteria Part III, Subsection 38.3 - see § 173.185(a).\nPassed UN\nTesting? NO\nPrototype/Low\nProduction Run?\nNO Redesign/Test\nYES\nYES\nRefer to\nprovisions in\n§ 173.185(e)\nLithium Metal Batteries\nLithium Metal Batteries\nContained in\nEquipment\nLithium Metal Batteries\nPacked with Equipment\nLithium Battery\nPowered Vehicles or\nEquipment\nInstalled in a Cargo\nTransport Unit\nCells\ngreater\nthan 1 g;\nand\nBatteries\ngreater\nthan 2 g\nCells equal\nto or less\nthan 1 g; and\nBatteries\nequal to or\nless than 2 g\nAND\nFor highway\nand rail\nONLY - Cells\nnot\nexceeding\n5 g; and\nBatteries not\nexceeding\n25 g\nCells\ngreater\nthan 1 g;\nand\nBatteries\ngreater\nthan 2 g\nCells equal\nto or less\nthan 1 g; and\nBatteries\nequal to or\nless than 2 g\nAND\nFor highway\nand rail\nONLY - Cells\nnot\nexceeding\n5 g; and\nBatteries not\nexceeding\n25 g\nCells\ngreater\nthan 1 g;\nand\nBatteries\ngreater\nthan 2 g\nCells equal\nto or less\nthan 1 g; and\nBatteries\nequal to or\nless than 2 g\nAND\nFor highway\nand rail\nONLY - Cells\nnot\nexceeding\n5 g; and\nBatteries not\nexceeding\n25 g\nAll cell and\nbattery sizes\nAll cell and\nbattery sizes\nGUIDE\n09GUIDE\n10\nP.32 P.34\nGUIDE\n05GUIDE\n06GUIDE\n07GUIDE\n07GUIDE\n08GUIDE\n08\nP.21 P.26 P.26\nP.23 P.29 P.29\nPHMSA | PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION\n11\n\n<<<PAGE 12>>>\n\nGUIDE\n01 UN3480 LITHIUM ION BATTERIES\n(FULLY REGULATED CELLS AND BATTERIES)\nThis guide outlines the requirements for lithium ion batteries being shipped as fully regulated Class 9 lithium batteries.\nBeginning May 10, 2024, all lithium ion batteries must be marked with the Wh rating on the outside case. Always check the\napplicable special provisions in § 172.102 for any additional requirements or restrictions that may not be included in this guide.\nUN ID Number: UN3480\nProper Shipping Name: Lithium Ion Batteries\nHazard Class Label: Class 9 Lithium Battery\nPackaging Requirements - § 173.185(b) (see Guide 01 diagram for additional details):\n•\nCells and batteries must be:\n*\n*\n*\nProtected against short circuiting. This means that terminals must be protected!\nPlaced in non-metallic inner packagings that completely enclose the cell or battery and separate them from contact with\nelectrically conductive materials (e.g., metal) in the packaging.\nPacked to prevent shifting that could cause damage to the cells or batteries within the outer packaging.\n•\nThe outer packaging must be a UN specification packaging meeting Packing Group II performance requirements. Remember,\nall packaging instructions provided by the packaging manufacturer must be followed!\n*\nAlternatively, instead of a UN specification package, lithium batteries with a mass of 12 kg (26.5 pounds) or more with a\nstrong, impact-resistant outer casing, may be packed in strong outer packaging (such as crates) or banded to pallets or\nother handling devices. Batteries packaged in this way require Associate Administrator approval for air transport.\nRequired Hazard Communication – Subparts C-E of Part 172 (see Guide 01 diagram for additional details):\n•\nClass 9 Lithium Battery label\n•\nCargo Aircraft Only label (if being shipped for air transport – § 172.101(j)(4))\n•\nUN ID number – UN3480\n•\nProper Shipping Name mark – “Lithium ion batteries”\n•\nConsignor (shipper) or Consignee (recipient) name and address\n•\nWhen overpacked (e.g., authorized outer packagings are further packaged or consolidated by any means), the Class 9 Lithium\nBattery label, Cargo Aircraft Only label (as applicable), UN ID number, and Proper Shipping Name must be visible or replicated\non the overpack (§ 173.25).\nAdditional Details:\n•\nDOT Hazmat Employee Training – All employees involved in the shipment, including preparation for shipment are subject to the\nhazmat employee training requirements of § 172.704.\n•\nHazardous Materials Shipping Paper – Shippers must prepare and offer a hazardous materials shipping paper prepared in\naccordance with subpart C of part 172 of the HMR (§§ 172.200-205).\n•\nEmergency Response Information and Emergency Response Telephone Number – Shippers must provide the appropriate\nemergency response information and emergency response telephone number per subpart G of part 172 of the\nHMR (§§ 172.600-606).\n12\n\n<<<PAGE 13>>>\n\nGUIDE\n01\nUN3480 LITHIUM ION BATTERIES\n(FULLY REGULATED CELLS AND BATTERIES)\nAdditional Air Restrictions or Requirements:\n•\nDamaged, defective, or recalled lithium batteries are forbidden from air transport. See page 7 for information on DDR batteries.\n•\nThese shipments are forbidden to be transported as cargo on passenger aircraft (column 9 of the HMT - § 172.101).\n•\nWhen shipped by cargo aircraft, the lithium ion cells and batteries must be offered at a state of charge not exceeding 30 percent\nof their rated capacity (special provision A100 – § 172.102).\n•\nPackages may not exceed a 35 kg net quantity of lithium ion cells and batteries, unless approved by the Associate Administrator\n(column 9 of the HMT - § 172.101). “Net quantity” refers to the weight of the cells and batteries, without packaging materials.\n•\nUp to two replacement lithium ion cells or batteries specifically used for medical devices may be transported as cargo on\npassenger aircraft and exceeding 30 percent state of charge, when approved by the Associate Administrator, and meeting the\nrequirements of § 173.185(g).\n•\nLithium ion cells and batteries must not be packed in the same outer packaging with substances and articles of Class 1\n(explosives) other than Division 1.4S, Division 2.1 (flammable gases), Class 3 (flammable liquids), Division 4.1 (flammable solids), or\nDivision 5.1 (oxidizers) (§ 173.185 (b)(7)).\nPACKAGING AND HAZARD COMMUNICATION DIAGRAM\nThe inner packaging must completely enclose the cells or batteries in the package. The\ninner packaging may also be used to meet protection against short circuiting/terminal\nprotection requirements. See § 173.185(b)(3)(i).\nProtection against short circuiting/terminal protection is an important aspect of packaging.\nAny method is acceptable, provided this important performance requirement is met.\nCargo Aircraft Only Label § 172.448\n(if being shipped for air transport)\nClass 9 Lithium Battery Label\n§ 172.447\nConsignor (shipper) or\nConsignee (recipient)\nName and Address -\n§ 172.301\nUN ID Number and\nProper Shipping\nName -\n§ 172.301\nUN3480, Lithium Ion Batteries\nu\nn\n4G/Y50/S/19/\nUSA/0000\nu\nn\n4G/Y50/S/19/\nUSA/0000\nSample UN Specification Package Marking\nFor UN Specification packaging, always\nfollow the packaging manufacturer’s\npackaging and closure instructions\nAuthorized Specification Outer Packaging Types *:\nBoxes: Metal (4A, 4B, 4N), wooden (4C1, 4C2, 4D, 4F), fiberboard (4G), or solid plastic (4H1, 4H2)\nDrums: Metal (1A2, 1B2, 1N2), plywood (1D), fiber (1G), or plastic (1H2)\nJerricans: Metal (3A2, 3B2) or plastic (3H2)\nSee § 173.185(b)(3)(ii).\n* Must meet the Packing Group II Performance requirements\nPHMSA | PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION\n13\n\n<<<PAGE 14>>>\n\nGUIDE\n02\nUN3480 LITHIUM ION BATTERIES\n(SMALLER CELLS AND BATTERIES)\nThis guide outlines the requirements for lithium ion batteries meeting exceptions for smaller lithium cells and batteries\nin § 173.185(c). Beginning May 10, 2024, all lithium ion batteries must be marked with the Wh rating on the outside case. Always\ncheck the applicable special provisions in § 172.102 for any additional requirements or restrictions that may not be included in\nthis guide.\nUN ID Number: UN3480\nProper Shipping Name: Lithium ion batteries\nHazard Class Label: N/A\nPackaging Requirements - § 173.185(b) (see Guide 02 diagram for additional details):\n•\nCells and batteries must be:\n*\n*\n*\nProtected against short circuiting. This means that terminals must be protected!\nPlaced in non-metallic inner packagings that completely enclose the cell or battery and separate them from contact with\nelectrically conductive materials (e.g., metal) in the packaging.\nPacked to prevent shifting that could cause damage to the cells or batteries within the outer packaging.\n•\nEach outer package must be a strong outer packaging and capable of withstanding a 1.2 meter drop test, in any orientation,\nwithout damage to the cells or batteries, without shifting that would allow battery-to-battery contact, and without release of the\ncontents. They are not required to be packaged in UN specification packaging.\n•\nCompleted package must not exceed 30 kg (66 pounds) gross weight. See Additional Air Restrictions or Requirements for the\npackage quantity limits for air transportation.\nRequired Hazard Communication - § 173.185(c) (see Guide 02 diagram for additional details):\n•\nLithium Battery Mark\n*\nUN ID Number – 3480 (Replaces “*” on Lithium Battery Mark)\n*\n*\n*\nTelephone number for additional information (Replaces “**” on Lithium Battery Mark) †\nThe mark must be in the form of a rectangle or a square with hatched edging. The mark must be not less than 100 mm\n(3.9 inches) wide by 100 mm (3.9 inches) high and the minimum width of the hatching must be 5 mm (0.2 inches), except\nmarks of 100 mm (3.9 inches) wide by 70 mm (2.8 inches) high may be used on a package containing lithium batteries\nwhen the package is too small for the larger mark\nWhen placed in an overpack, the mark must be visible or reproduced on the overpack and the overpack must be marked\nwith the word “OVERPACK” in lettering at least 12 mm (0.47 inches) high\n•\n•\nText marking that shipment is forbidden for transport aboard passenger aircraft (see § 173.185(c)(1)(iii) for text marking options)\nor Cargo Aircraft Only (CAO) label (For shipments made in accordance with international standards and regulations, the CAO\nlabel may be required)\nFor highway and rail transportation only: Cells that exceed 20 Wh, but do not exceed 60 Wh, and batteries that exceed 100\nWh, but do not exceed 300 Wh, the text marking “LITHIUM BATTERIES—FORBIDDEN FOR TRANSPORT ABOARD AIRCRAFT\nAND VESSEL” is required. (See § 173.185(c)(1)(iv)). This text marking should be used in place of the transport aboard passenger\naircraft text marking or CAO label.\n† Telephone number removed from lithium battery mark with a phaseout date of December 31, 2026 (HM-215Q, effective May 10, 2024)\n14\n\n<<<PAGE 15>>>\n\nGUIDE\n02\nUN3480 LITHIUM ION BATTERIES\n(SMALLER CELLS AND BATTERIES)\nAdditional Details - § 173.185(c):\n•\nHazmat employees are not subject to the training requirements of § 172.704. However, for air shipments, each person who\nprepares a package for shipment, must receive instruction on these requirements, corresponding to their functions.\n•\nNo Hazardous Materials Shipping Paper required\n•\nNo Emergency Response Information and Emergency Response Telephone Number required.\nAdditional Air Restrictions or Requirements - § 173.185(c)(5):\n•\nA package prepared in accordance with the size limits for small batteries is subject to all requirements applicable to fully regulated\nlithium ion batteries. However, if the package contains no more than 10 kg of lithium ion cells or batteries, UN performance\npackaging is not required when the package displays both the Lithium Battery Mark and the Class 9 Lithium Battery label. See\n173.185(c)(5)(i) for details.\n•\nDamaged, defective, or recalled lithium batteries are forbidden from air transport. See page 7 for information on DDR batteries.\n•\nThese shipments are forbidden to be transported as cargo on passenger aircraft (column 9 of the HMT - § 172.101).\n•\nWhen shipped by cargo aircraft, lithium ion cells and batteries must be offered at a state of charge not exceeding 30 percent of\ntheir rated capacity (special provision A100 – § 172.102).\n•\nFor transportation by aircraft, lithium cells and batteries must not be packed in the same outer packaging with substances and\narticles of Class 1 (explosives) other than Division 1.4S, Division 2.1 (flammable gases), Class 3 (flammable liquids), Division 4.1\n(flammable solids), or Division 5.1 (oxidizers).\n•\nEach package must be capable of withstanding, without damage to the cells or batteries contained therein and without any\nreduction of effectiveness, a force applied to the top surface equivalent to the total weight of identical packages stacked to a\nheight of 3 meters (including the test sample) for a duration of 24 hours.\nPHMSA | PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION\n15\n\n<<<PAGE 16>>>\n\nGUIDE\n02\nUN3480 LITHIUM ION BATTERIES\n(SMALLER CELLS AND BATTERIES)\nPACKAGING AND HAZARD COMMUNICATION DIAGRAM (OTHER THAN BY AIR)\nProtection against short circuiting/terminal protection is an important aspect\nof packaging. Any method is acceptable, provided this important performance\nrequirement is met.\nUN Specification packaging is not required. Packaging must meet performance\nrequirements listed in the \"Packaging Requirements\" section of this shipping guide.\nUN3480\nFor more information call...................\nCargo aircraft only label\n§ 172.448\nAlternatively, a text marking\nlisted in § 173.185(c)(1)(iii)\nmay be used, as applicable.\nHowever, the CAO label\nmay be required for ship-\nments made in accordance\nwith international stan-\ndards and regulations.\nUN3480\nFor more information call...................\nLithium Battery Mark\n§ 173.185(c)(3)\n•\n•\n•\nUN ID Number(s)\nTelephone number for ad-\nditional information about\nthe shipment †\nA minimum of 100 mm\nwide x 100 mm high, or\nwhen the package is too\nsmall 100 mm wide x 70\nmm high\nText markings, when used, must use let-\nters at least 6 mm (0.25 inch) in height on\npackages having a gross weight of 30 kg\n(66 pounds) or less, except that smaller font\nmay be used as necessary when package\ndimensions so require.\nLetters must be at least 12 mm (0.5 inch) in\nheight on packages having a gross weight\nof more than 30 kg (66 pounds).\nIf cells exceed 20 Wh, but do not exceed 60 Wh, or\nbatteries exceed 100 Wh, but do not exceed 300 Wh...\nThe text marking \"LITHIUM BATTERIES—FORBIDDEN FOR\nTRANSPORT ABOARD AIRCRAFT AND VESSEL\" is required.\nSee § 173.185(c)(1)(iv). This text marking should be used in\nplace of the transport aboard passenger ","truncated":true,"body_characters":94138}