National Electrical Manufacturers Association — Hazardous Materials Safety Interpretation

Page 1u.s. Department of Transportation Pipeline and Hazardous Materials Safety Administration MAR 30 2010 1200 New Jersey Ave., SE Washington, DC 20590 Mr. Kyle Pits or Vice President, Government Relations National Electrical Manufacturers Association 1300 North 17th Street, Suite 1752 Rosslyn, V A 22209 Ref. No.: 09·0160 Dear Mr. Pitsor: This responds to your July 13, 2009 letter requesting clarification of the applicability ofthe Hazardous Materials Regulations (HMR; 49 CFR Parts 171·180) to the transport of used dry cell batteries and used lithium metal batteries. You reference a letter issued by this Office to Kinsbursky Brothers Inc. (09·0090) pertaining to the transport of used alkaline batteries transported for recycling or disposal. You provide additional test data illustrating different short circuit scenarios involving alkaline batteries, carbon zinc cylindrical and lantern batteries and lithium coin and lithium cylindrical cells. In letter Ref. No. 09·0090, we stated that based on the test data provided, spent 1.5 volt alkaline dry cell batteries are not subject to regulation under the HMR when transported by highway or rail because they are not likely to generate a dangerous quantity of heat nor are they likely to short circuit or create sparks when they are transported in a packaging with no other battery types or chemistries present. You request confirmation that used or spent nonlithium batteries utilizing dry chemistries (Le., alkaline and carbon zinc) that are combined in the same package without terminal protection do not pose an unreasonable risk in transportation and, thus are not subject to the HMR. Your understanding is correct. After further consideration and analysis of the battery chemistries and sizes in question, and based on information available to us, it is the opinion ofthis Office that used or spent dry, sealed batteries of both non·rechargeable and rechargeable designs, described as "Batteries, dry, sealed, n.o.s." in the Hazardous Materials Table in § 172.101 of the HMR and not specifically covered by another proper shipping name, with a marked rating of9-volt or less that are combined in the same package and transported by highway or rail for recycling, reconditioning, or disposal are not subject to the HMR. Note that batteries utilizing different chemistries (i.e., those battery chemistries specifically covered by another proper shipping name) as well as dry, sealed batteries with a marked rating greater than 9~volt may not be combined with used or spent batteries of the type "Batteries, dry, sealed, n.o.s." in the same package. Note also, that the clarification provided in this letter does not apply to batteries that have been reconditioned for reuse.#

Page 2You also provided test data on lithium metal coin cells and cylindrical lithium metal cells representing various states of discharge. Lithium metal cells were placed randomly in a rigid plastic container. Temperatures were measured in various locations inside the container. Even in a partially discharged state, the lithium cells were capable of producing higher temperatures than the comparable alkaline and carbon zinc batteries. Further, most lithium batteries are comprised of a sealed metal can and contain a flammable electrolyte not found in other dry battery chemistries. We have concerns that the observed elevated temperatures and many unprotected lithium cells in close proximity to each other in an enclosed space could lead to increased pressure inside individual lithium cells, leaking of the flammable electrolyte and possibly a thermal runaway situation characterized by rapidly increasing temperatures and exothermic side reactions. We have observed various transportation and non-transportation incidents involving lithium batteries not properly protected from short circuits. While these incidents likely resulted from a lack of compliance, they serve to illustrate the point that even while partially discharged, lithium batteries pose a risk of evolving a dangerous quantity of heat while in transportation. Therefore, spent or used lithium batteries must be offered for transportation in a manner that protects against short circuits, damage and the evolution of a dangerous quantity of heat in accordance with all applicable requirements of the HMR. I trust this satisfies your inquiry. If we can be of further assistance, please contact us. ief, Standards Development OffIce of Hazardous Materials Standards#

Page 3LeQY-~ ~ 11Z. (O'Z ~p /30 Settmg Standards for Excellence t§ 113·2,/ . KYLE PITSOR ~ 173· I~S Vice President. Government Relatlvll" July 13, 2009 Mr. Charles Betts Office ofHazardous Materials Standards Pipeline and Hazardous Materials Safety Administration U.S. Department ofTransportation East Building 1200 New Jersey Ave. SE Washington, DC 20590-0001 oq .. C(toO RE: 49 CFR §172.102, Special Provision 130, and §173.21 Dear Mr. Betts, I am writing on behalf ofthe Dry Battery Section of the National Electrical Manufacturers Association (NEMA) to request the Department's interpretation of the applicability of 49 CFR §172.1 02 Special Provision 130 and §173.21 on primary (non-rechargeable) spent or scrap dry cell batteries being shipped for recycling or disposal. The information provided below and in the attachment supplements the April 16, 2009 letter from Kinsbursky Brothers (KBI), Inc and Toxco Inc. regarding the applicability of49 CFR §172.102 Special Provision 130 and, §173 .21 on spent alkaline dry cell batteries being shipped for recycling or disposal. Data generation and this letter were all drafted and completed prior to the 23 June 2009 response from DOTIPHMSA to KBI, but we include all our data below for reference. The difference in this letter from the KBI letter is the inclusion of scrap batteries (varying states of charge) and all non-rechargeable dry cell batteries (alkaline and carbon zinc, as opposed to just alkaline). While they are also technically primary dry cell batteries, lithium metal batteries are covered separately below. As mentioned in the KBI letter, it appears the Hazardous Materials Regulations (HMR) do not account for the low risk associated with the transport of non-lithium primary dry cell batteries. The requirement in Special Provision 130 to insulate the terminals of each and every dry cell battery in transportation presents numerous technical and financial problems for spent and scrap types and is unnecessary for these chemistries of batteries, as outlined in the KBI letter. To further support our joint request, the NEMA Dry Battery Section has completed short circuit testing of a number of different scenarios representing reasonable and worst case conditions for spent or scrap batteries in transportation. Testing was conducted for alkaline and carbon zinc cylindrical and lantern batteries as well as lithium coin cells and lithium cylindrical cells. ~Herie£ National Electrical Manufacturers Association 1300 North 17th Street. Suite! -:-52 Rosslyn. VA 22209 (703) 841·3274 FAX (703) 84]·3374 kyl~pltsor@nemd .or9#

Page 4Unlabeled and undischarged samples were used in many ofthe test scenarios to represent an absolute worst case condition. Unlabeled and undischarged samples maximize the short circuit and heat generation potential. However, this condition would be rarely found in the field since in most, if not all collection scenarios the batteries collected would be discharged and labeled. In NEMA's testing, in no case was there a dangerous evolution of heat generated, even during the worst case scenarios. More realistic scenarios showed maximum temperatures in the 25 35°C range. The scenarios tested and the results are shown in the attached annex in two sections: 1. Alkaline and carbon zinc batteries 2. Lithium batteries Based on the additional data presented in the attached annex, NEMA makes the following requests. Non-lithium primary dry cell batteries NEMA is requests the Department's agreement that based on the additional testing provided: 1. Non-lithium dry cell batteries (Batteries, Dry Sealed n.o.s.) are incapable ofproducing a dangerous evolution of heat during transportation. 2. Non-lithium dry cell batteries (Batteries, Dry Sealed n.o.s.), based on their chemistry and design, meet the requirements of SP 130 without the need to insulate the terminals of these batteries when scrap or discharged. While technically, even new batteries, as tested, would not evolve dangerous levels of heat, the battery industry has no intention of shipping new batteries, intended for retail or other customers, in a manner that does not protect from short circuit. Lithium primary dry cell batteries NEMA is requesting the Department's agreement that based on the additional testing of spent lithium primary batteries: 1. Spent (and only spent) lithium primary batteries, when mixed with consumer spent other battery types, are incapable ofproducing a dangerous evolution of heat during transportation. 2. Spent (and only spent) lithium primary batteries, when mixed with consumer spent other battery types, meet the requirements of SP 130 without the need to insulate the terminals ofthese batteries.#

Page 5Thank you for your consideration of the attached data and ofthe above requests. I look forward to your reply. Please contact Craig Updyke or my staff at 703 841 3294 or cra_updyke@nema.org with any questions, concerns or comments. Respectfully, *()?~ Kyle Pitsor Vice President, Government Relations Attachment: Technical annex#

Page 6REF: INTERPRETATION LETTER TO MR. KYLE PITSOR AT NATIOI\IAL ELECTRICAL I\(IANUFACTURERS ASSOCIATION (1-7-2010) This reviewer (Steve Hwang) has some concerns about the wording in the letter drafted for response for the following reasons: 1. Non-lithium dry cell batteries The summary for the test data under the heading of "Alkaline and carbon zinc batteries" shows that "lantern cells" were "Not tested" in the "Discharged" states. Hence, I would be cautious about the wording in the last sentence ofthe first paragraph ofthe response letter. I would recommend changing " and lantern batteries" to "except for lantern batteries." Also the summary table indicates "Not yet tested" in the "Discharges states" for the alkaline and carbon zinc batteries although the draft response letter seems to indicate that the test data are inclusive of these conditions. No profile of battery energy content or the range of voltages used in the experiments was not provided. It would be appropriate to raise a question regarding how NEMA made conclusion that "Non-lithium dry cell batteries are incapable of producing a dangerous evolution of heat" despite the I\IEMA data that "Undischarged," "Unlabeled" alkaline and carbon zinc batteries showed a significant rise in the maximum temperature (over 100°C versus about 30°C) compared to "Undischarged," "Labeled" batteries and regarding what the definitions for "Undischarged," "Discharged," "Labeled," and "Unlabeled" are. 2. Lithium batteries Measured temperatures are shown at various locations of the experimental set-up before and after stirring. Six temperature measurements are reported on the table in terms of "Maximum temperature." Out of these six, three data points were shown to be "Not yet tested." Rather than indicating incompleteness of the tests results, the draft letter states that "Even in a partially discharged state, ... higher temperatures than the comparable alkaline and carbon zinc batteries." There is no "partially discharged state" included in the summary. Also this statement regarding the temperature rise is not consistent with the NEMA's data. It would be inappropriate to compare the temperature rises between the lithium batteries and dry cell batteries because of different chemistry, electrolytes, and the designs used. We would just note that we can not make any conclusions based on the "Not yet tested" data base and the temperature rise exceeding 100°C. In addition to the past histories of incidents and the flammability of electrolyte we indicate hazards associated with lithium batteries especially with the primary lithium batteries because of possibility of external and internal short-circuiting unless terminals are protected. I would indicate that the NEMA's data are insufficient to make any conclusions regarding the issues that NEMA is addressing because of the "l\Iot yet tested" data base and the consequences associated with the rise in maximum temperature up to 104°C in an experiment ..#

Page 7Technical Annex to NEMA Letter Alkaline and carbon zinc batteries Battery Type State of Charge La beled / Unlabeled Maximum Temperature (O C) Undischarged Labeled 28.5 Undischarged Unlabeled 1 04 AJkaline AA/AAA Discharged Labeled Not yet tested Dischal'ged Unlabeled Not yet tested Discharged Mixed 32 Undischarged Labeled 26.2 Carbon zinc AA/AAA U nd ischarged Unlabeled 105 Discharged Labeled Not yet tested Discharged Un labeled Not yet tested Carbon zinc Lantern Und ischarged -- 137.8 Discharged Less severe; Not tested Alkali ne Lantern Und ischargcd -- 151 .2 l JDischarged Less severe; Not tested Except ror the lantern batteri s, AA and AAA ce lls were used to maxim ize the potential for short circuit and heat generation. It is important to note that the maximum temperature listeo above was the highest observed temperature found at a si ngle point and not the temperature r the container or every single battery in the container as is shown in the infrared images. Thi maximum temp rature is the highe, t recorded va lue from either the thennocoup!es or the infrared image. lnfrared was used to show the proti Ie of temperatures seen inside the contai ners. Each set of tests below was cond ucted in a lexan box with no air circulation as pictured below.#

Page 8Alkaline - Unlabeled, Undischarged AA and AA Top or Container Approximately 100 AA and J00 AAA Batt ries Maxim um remp = 104° Profi le of temperature of cells with thermocouples la, MMax Temp - 70" 100 AMMa. Temp - 103' 95 - -+-Sld~or 8IQttI~ 90 ~6ottQm of80ttt.e ......... AAA1 85 all 75 70 ~ - MA7 ! i E I MA9 ~ -AA~l _ t.AAl _ AAA" - . -"''''''5 -AAA6 -....-AAA8 - MAIO ..... 1 ___ '5 '0 35 ,0 25 20 "AZ AAl -AM -us AAO ..... 7 AA8 AA9 M1Q 2,000 00 '.000 ao 6,000 o.a H,ooo.OO 10,000 DO 12.000 00#

Page 9Alkaline - Labeled, Undischarged AA and AAA No infrared image available Side of Container Approximately 100 AA and 100 AAA Batteries aximum Te mp ~ r a t ure = 28.5°C Profi Ie of temperature of cells with thermocouples - ~5 - u! U · ­ H---------------------------------------------------------n -: L- ___________________________________________________________ ~ :: : - l;~ :: --#

Page 10Alkaline - Mix of Labeled and Unlabeled, Discharged AA and AAA Top of Container Approxi mately 100 AA and 100 AAA Batt ries Maxi mum Temperature = 32°C Profi l of temperature of cells with the rmocouples Spent Cell Testing of AlkalineCelis Cell Surface Temperature M onitoring -+-tkmom of Bottle - A4R""'Z - AARaw-3 ........ 44110 .... ~AAR0w5 -AAA l.b.~l 19.0 u • - AM lobekdl ·--+-AU LabeledJ Z 8 .0 •~ Q. ~AAA laheled4 j I>.AA Label. d 5 H O - AM liowl AAA {:law2 16.0 AAA Row, - AIIARa"" - AAA ......:; Z5 .0 AAlabc:h:dl AA lobeled2 Z40 AA l obekdl ~ 230 ..... l.obe l .d~ AA label1od3 5.00000 to.ooo 00 \ 5.000 00 10.00000 15.000 00 n me (S ...)#

Page 11Carbon Zinc - Labeled, Undischarged AA I nfrared Pi ture 0 rSides Ma = 26.2°C Profile of temperature of cell with thermocouples '<.!.! -'. - !'...: ~ 1 " ==' I#

Page 12Carbon Zinc - Un labeled, Undischarged AA Test Setup Infrared Picture of Sides 100 AA Batteries Maximum Tern erature = 105° Pro file of temperature of cells with thermocouples#

Page 13Carbon Zinc Lantern Batteries - Undischarged Test Setup Infrared Picture of Sides Infrared Picture of Tops Max im um Temperature = Maxim um Tempcratur = 67.8°( 13 7.8°( Profile of temReratur of cells with thermocouRles i Batty! Batty 1 11AIly', Batty 7 110 Mill! r"l11p =108· C tOO 9() so 2: 70 ~ i! l E 60 ~ 50 40 30 20 - 0 5000 10000 1;000 20000 25000 TI ~ [~( o n d:. )#

Page 14Alkaline Lantern Batteries - Undischarged Maximum Temperature = 110. 10 Infrar d Picture of Tops Maximwll Temperature = 12 1.6°C Profile of temperature of cells with thermocouples 160 ISO 1010 130 120 110 :g 100 ! e 9IJ ! E t!. 10 GO so '000 0000 10000 12000 l.woo IbOOO 18000 10000#

Page 15Lithium batteries In addition to the carbon zinc and alkal ine dry cell batteries, several sets or lithium batteries were also tested. The types tested were : Battery Type State of Charge La beled / Unlabeled Maximum Temperature (OC) Lithium Coi n Undischarged Discharged Coin cells ar never labeled Not yet tested 34.1 Undisc harged Labeled Not yet tested Lithium 1.5V AA/AAA U nd ischarged Un labeled 104 Discharged Labe led No t ye t tested Di scharged Unlabel ed 27.6 Unlabeled. Discharged Lithiu m Coin Cells (All Coin Cells aloe Unlabeled) Infrared Pi cture from op Maximum T re =: 34. 1 QC The ce lls lested represented varying states of discharge. A profi le of the open circuit oltages of these batteries is sho 11 below. Undischarged lithium coin cells are nom inally about 3.0 vo lts but the ir typical new open circuit vo ltage is 3.2 - 3.3 volts.#

Page 16lithium Coin Spent Cells - OCV 3 .5 ...... • • 3.0 • • •• • •• - . 2.5 •• • • • .. • 2.0 • • ~ 1.5 • 0 • • 1.0 • • • # • 0 .5 ~- • • +. .#.:•• - ..... --0.0 • •• • • .. .. • • ••• • • • ·0.5 Profile of temperature of cells with thermocouples Spent Uthium Coin Cells - Before and After Stirring Batteries Stirred 3S 3U g !! ::l BE f! i! :15 ~o - 5 :., 0/ Ik, " - !lmm- olb, ..;;", -E"' ,' ~ ';' - lo _ t:riJ .;-~ _ ::if C' .,Z.;l3;J - Ya . .i - !" ;"~ -=: =r 3 ~ -= r=\'" s ' ~:r ");_ 1 : C: ;:'::!1 ..R!.o:.!S :~~!o ~ .ooo.oo 6,000.00 8,000.00 8.GIr.lOO Tune (second~1#

Page 17Unlabeled, Undischarged Lithiu m (l.SV) AA and AAA Side of Container Appr ximately 100 AA and 100 AAA Batteries Maximum Temperatur = 104Q C Profile of temperature of cel ls wi th therm ocoup les g; ~ e ! E {!. lOS IOD 95 90 Ail 7, 7D 6S 60 ::'5 ';() os 40 JO 2> AAMax temp = 104"1"( AAA MaJC femp = 101 · C -"'-&ttomol Std# ot Sottit ___ 85 - AMI -+-AAAI -.-AMJ -+-AAA-4 - - . ......., - .....1\7 . 35 AA6 UAta - AAI - ...," 4Al -AA' AA; M7 ..... ..... 9 10 MIa 000 sooooo 1000000 ISOOOOO 2000000 25000 00#

Page 18Unlabeled, Discharged Lithium (1.5V) AA and AAA ide of Container Approximate ly 125 AA and 60 AAA Batteries Infrared Picture o f id Maximum emperature = 27.6°C Prof! Ie of temperatur of cells wi th the rmocouples H ~--------------------------------------------------- :! *----------------------------------------------------~ - ~ - ....... 5 ....;,E , . +---~--------~--~----~--_r----._--~--~----~--~ J ':: : B.:! : _ Z... :: : T """I~cl#

Page 19END OF TECHNICAL ANNEX#