CapAnalysis — Hazardous Materials Safety Interpretation

Page 1of Transportation U.S. Department 400 Seventh St., S.W. Washington, D.C. 20590 Research and Special Programs Administration AUG - 2 2004 Mr. George A. Kerchner Ref No.: 04-0154 Manager CapAnalysis 1299 Pennsylvania Ave., N.W. Washington, DC 20004 Dear Mr. Kerchner: This is in response to your letter requesting clarification of provisions for lithium and lithium ion batteries shipped internationally in accordance with the International Air Transport Association's (IATA) standards, International Civil Aviation Organization's Technical Instructions for the Safe Transport of Dangerous Goods by Air (ICAO Technical Instructions) and the International Maritime Dangerous Goods (IMDG) Code. Specifically you ask whether all lithium and lithium ion batteries, including those containing not more than 2 grams of lithium metal and not more than 8 grams of equivalent lithium content are subject to the United Nations Manual of Tests and Criteria, Part III, Sub-section 38.3. The answer is yes. The IATA regulations do not have official standing under the U.S. Hazardous Materials Regulations (HMR; 49 CFR Parts 171.180). The regulation recognized by the HMR and authorized in § 171.11 as an alternative to compliance with HMR requirements is the International Civil Aviation Organization's Technical Instructions for the Safe Transport of Dangerous Goods by Air (ICAO Technical Instructions). In accordance with ICAO Technical Instructions special provision "A45(f)," lithium cells and batteries that were manufactured before January 1, 2003, that have not been tested in accordance with the testing requirements in Chapter 38.3 of the UN Manual of Tests and Criteria may be transported until December 31, 2004, if all of the other applicable requirements are met. However, the ICAO Technical Instructions require all lithium cells and batteries manufactured after January 1, 2003, to be tested in accordance with the UN Manual of Tests and Criteria. For transportation by vessel, special provision "310" of the International Maritime Dangerous Goods (IMDG) Code states that the testing requirements in chapter 38.3 of the UN Manual of Tests and Criteria do not apply to production runs consisting of not more than 100 lithium cells and batteries, or to pre-production prototypes of lithium cells and batteries when these prototypes are transported for testing, if; 040154 173.185#

Page 21. The cells and batteries are transported in an outer packaging that is a metal, plastics or plywood drum or a metal, plastics, or wooden box and that meets the criteria for Packing Group I packagings; and 2. Each cell and battery is individually packed in an inner packaging inside an outer packaging and is surrounded by cushioning material that is non-combustible and non-conductive. I hope this information is helpful. Please contact us if you require additional assistance Sincerely, Resi Chief, Standards Develoome Office of Hazardous Materials Standards#

Page 3JUN. 25. 2004 12:49PM HOWREY-SIMON NO. 516 P. 2 CAPANALYSIS Relerford $173.185 George A. Kerchner Manager Lithium Batteries DIRECT: 202-383-7163 kerchnerg@capanalysis.com 04-0154 June 25, 2004 Via Facsimile MI. Edward Mazzullo Director of Hazardous Materials Standards Research and Special Programs Administration 400 7" Street, SW U.S. Department of Transportation Washington, DC 20590 Re: Request for Interpretation on UN Testing of Lithium Batteries Dear Mr. Mazzullo: I am writing to request confirmation on whether UN testing is required for small lithium and lithium ion batteries under the ICAO Technical Instructions, JATA Dangerous Goods Regulations, and International Maritime Dangerous Goods (IMDG) Code. There appears to be a significant amount of confusion among U.S. battery assemblers with regard to this issue so your immediate response to my question is greatly appreciated. Question: Currently, must all lithium and lithium ion batteries, including those containing tested pursuant to the UN Manual of Tests and Criteria, Part III, Sub-section 38.3 if the batteries are not more than 2 grams of lithium metal and not more than 8 grams of equivalent lithium content, be shipped internationally pursuant to the ICAO Technical Instructions, IATA Dangerous Goods Regulations, and International Maritime Dangerous Goods (IMDG) Code? I am aware of course of the iwo-year "grandfather clause" in Special Provision A45(f) of the IATA Dangerous Goods Regulations and ICAO Technical Instructions for batteries manufactured rior to January 1, 2003, and that certain "prototype" batteries and batteries of "similar desien" ma lot require testing. However, my question goes more to the general UN testing requirements Thank you in advance for your immediate response to this matter. Sincerely, SantA Kerchie, George A. Kerchner AMSTERDAM BRUSSELS CHICAGO HOUSTON IRVINE LONDON LOS ANGELES MENLO PARK SAN FRANCISCO WASHINGTON, DC#