{"operation":"document","citation":"09-0160","title":"National Electrical Manufacturers Association — Hazardous Materials Safety Interpretation","source_type":"guidance","agency":"Pipeline and Hazardous Materials Safety Administration","status":"guidance","official":true,"published_on":"2010-03-30","effective_on":null,"summary":"09-0160 response to National Electrical Manufacturers Association concerning 172.101, 173.185, 173.21.","machine_formats":{"json":"https://regulus.evalyn.ai/document/phmsa-interpretation-09-0160.json","markdown":"https://regulus.evalyn.ai/document/phmsa-interpretation-09-0160.md"},"app_url":"https://regulus.evalyn.ai/document/phmsa-interpretation-09-0160","source_url":"https://www.phmsa.dot.gov/sites/phmsa.dot.gov/files/legacy/interpretations/Interpretations/2009/090160.pdf","body":"<<<PAGE 1>>>\n\nu.s. Department\nof Transportation\nPipeline and Hazardous Materials\nSafety Administration\nMAR 30 2010\n1200 New Jersey Ave., SE\nWashington, DC 20590\nMr. Kyle Pits or\nVice President, Government Relations\nNational Electrical Manufacturers Association\n1300 North 17th Street, Suite 1752\nRosslyn, V A 22209\nRef. No.: 09·0160\nDear Mr. Pitsor:\nThis responds to your July 13, 2009 letter requesting clarification of the applicability ofthe\nHazardous Materials Regulations (HMR; 49 CFR Parts 171·180) to the transport of used dry\ncell batteries and used lithium metal batteries. You reference a letter issued by this Office to\nKinsbursky Brothers Inc. (09·0090) pertaining to the transport of used alkaline batteries\ntransported for recycling or disposal. You provide additional test data illustrating different\nshort circuit scenarios involving alkaline batteries, carbon zinc cylindrical and lantern\nbatteries and lithium coin and lithium cylindrical cells.\nIn letter Ref. No. 09·0090, we stated that based on the test data provided, spent 1.5 volt\nalkaline dry cell batteries are not subject to regulation under the HMR when transported by\nhighway or rail because they are not likely to generate a dangerous quantity of heat nor are\nthey likely to short circuit or create sparks when they are transported in a packaging with no\nother battery types or chemistries present. You request confirmation that used or spent nonlithium\nbatteries utilizing dry chemistries (Le., alkaline and carbon zinc) that are combined in\nthe same package without terminal protection do not pose an unreasonable risk in\ntransportation and, thus are not subject to the HMR.\nYour understanding is correct. After further consideration and analysis of the battery\nchemistries and sizes in question, and based on information available to us, it is the opinion\nofthis Office that used or spent dry, sealed batteries of both non·rechargeable and\nrechargeable designs, described as \"Batteries, dry, sealed, n.o.s.\" in the Hazardous Materials\nTable in § 172.101 of the HMR and not specifically covered by another proper shipping\nname, with a marked rating of9-volt or less that are combined in the same package and\ntransported by highway or rail for recycling, reconditioning, or disposal are not subject to the\nHMR. Note that batteries utilizing different chemistries (i.e., those battery chemistries\nspecifically covered by another proper shipping name) as well as dry, sealed batteries with a\nmarked rating greater than 9~volt may not be combined with used or spent batteries of the\ntype \"Batteries, dry, sealed, n.o.s.\" in the same package. Note also, that the clarification\nprovided in this letter does not apply to batteries that have been reconditioned for reuse.\n\n<<<PAGE 2>>>\n\nYou also provided test data on lithium metal coin cells and cylindrical lithium metal cells\nrepresenting various states of discharge. Lithium metal cells were placed randomly in a rigid\nplastic container. Temperatures were measured in various locations inside the container.\nEven in a partially discharged state, the lithium cells were capable of producing higher\ntemperatures than the comparable alkaline and carbon zinc batteries. Further, most lithium\nbatteries are comprised of a sealed metal can and contain a flammable electrolyte not found\nin other dry battery chemistries. We have concerns that the observed elevated temperatures\nand many unprotected lithium cells in close proximity to each other in an enclosed space\ncould lead to increased pressure inside individual lithium cells, leaking of the flammable\nelectrolyte and possibly a thermal runaway situation characterized by rapidly increasing\ntemperatures and exothermic side reactions. We have observed various transportation and\nnon-transportation incidents involving lithium batteries not properly protected from short\ncircuits. While these incidents likely resulted from a lack of compliance, they serve to\nillustrate the point that even while partially discharged, lithium batteries pose a risk of\nevolving a dangerous quantity of heat while in transportation. Therefore, spent or used\nlithium batteries must be offered for transportation in a manner that protects against short\ncircuits, damage and the evolution of a dangerous quantity of heat in accordance with all\napplicable requirements of the HMR.\nI trust this satisfies your inquiry. If we can be of further assistance, please contact us.\nief, Standards Development\nOffIce of Hazardous Materials Standards\n\n<<<PAGE 3>>>\n\nLeQY-~\n~ 11Z. (O'Z ~p /30\nSettmg Standards for Excellence t§ 113·2,/ .\nKYLE PITSOR ~ 173· I~S\nVice President. Government Relatlvll\"\nJuly 13, 2009 Mr. Charles Betts\nOffice ofHazardous Materials Standards\nPipeline and Hazardous Materials Safety Administration\nU.S. Department ofTransportation\nEast Building\n1200 New Jersey Ave. SE\nWashington, DC 20590-0001\noq .. C(toO\nRE: 49 CFR §172.102, Special Provision 130, and §173.21\nDear Mr. Betts,\nI am writing on behalf ofthe Dry Battery Section of the National Electrical Manufacturers\nAssociation (NEMA) to request the Department's interpretation of the applicability of 49 CFR\n§172.1 02 Special Provision 130 and §173.21 on primary (non-rechargeable) spent or scrap dry\ncell batteries being shipped for recycling or disposal. The information provided below and in the\nattachment supplements the April 16, 2009 letter from Kinsbursky Brothers (KBI), Inc and\nToxco Inc. regarding the applicability of49 CFR §172.102 Special Provision 130 and, §173 .21\non spent alkaline dry cell batteries being shipped for recycling or disposal. Data generation and\nthis letter were all drafted and completed prior to the 23 June 2009 response from DOTIPHMSA\nto KBI, but we include all our data below for reference.\nThe difference in this letter from the KBI letter is the inclusion of scrap batteries (varying states\nof charge) and all non-rechargeable dry cell batteries (alkaline and carbon zinc, as opposed to\njust alkaline). While they are also technically primary dry cell batteries, lithium metal batteries\nare covered separately below.\nAs mentioned in the KBI letter, it appears the Hazardous Materials Regulations (HMR) do not\naccount for the low risk associated with the transport of non-lithium primary dry cell batteries.\nThe requirement in Special Provision 130 to insulate the terminals of each and every dry cell\nbattery in transportation presents numerous technical and financial problems for spent and scrap\ntypes and is unnecessary for these chemistries of batteries, as outlined in the KBI letter.\nTo further support our joint request, the NEMA Dry Battery Section has completed short circuit\ntesting of a number of different scenarios representing reasonable and worst case conditions for\nspent or scrap batteries in transportation. Testing was conducted for alkaline and carbon zinc\ncylindrical and lantern batteries as well as lithium coin cells and lithium cylindrical cells.\n~Herie£\nNational Electrical\nManufacturers Association\n1300 North 17th Street. Suite! -:-52\nRosslyn. VA 22209\n(703) 841·3274\nFAX (703) 84]·3374\nkyl~pltsor@nemd .or9\n\n<<<PAGE 4>>>\n\nUnlabeled and undischarged samples were used in many ofthe test scenarios to represent an\nabsolute worst case condition. Unlabeled and undischarged samples maximize the short circuit\nand heat generation potential. However, this condition would be rarely found in the field since in\nmost, if not all collection scenarios the batteries collected would be discharged and labeled.\nIn NEMA's testing, in no case was there a dangerous evolution of heat generated, even during\nthe worst case scenarios. More realistic scenarios showed maximum temperatures in the 25 35°C\nrange.\nThe scenarios tested and the results are shown in the attached annex in two sections:\n1. Alkaline and carbon zinc batteries\n2. Lithium batteries\nBased on the additional data presented in the attached annex, NEMA makes the following\nrequests.\nNon-lithium primary dry cell batteries\nNEMA is requests the Department's agreement that based on the additional testing provided:\n1. Non-lithium dry cell batteries (Batteries, Dry Sealed n.o.s.) are incapable ofproducing a\ndangerous evolution of heat during transportation.\n2. Non-lithium dry cell batteries (Batteries, Dry Sealed n.o.s.), based on their chemistry and\ndesign, meet the requirements of SP 130 without the need to insulate the terminals of\nthese batteries when scrap or discharged. While technically, even new batteries, as\ntested, would not evolve dangerous levels of heat, the battery industry has no intention of\nshipping new batteries, intended for retail or other customers, in a manner that does not\nprotect from short circuit.\nLithium primary dry cell batteries\nNEMA is requesting the Department's agreement that based on the additional testing of spent\nlithium primary batteries:\n1. Spent (and only spent) lithium primary batteries, when mixed with consumer spent other\nbattery types, are incapable ofproducing a dangerous evolution of heat during\ntransportation.\n2. Spent (and only spent) lithium primary batteries, when mixed with consumer spent other\nbattery types, meet the requirements of SP 130 without the need to insulate the terminals\nofthese batteries.\n\n<<<PAGE 5>>>\n\nThank you for your consideration of the attached data and ofthe above requests. I look forward\nto your reply. Please contact Craig Updyke or my staff at 703 841 3294 or\ncra_updyke@nema.org with any questions, concerns or comments.\nRespectfully,\n*()?~\nKyle Pitsor\nVice President, Government Relations\nAttachment: Technical annex\n\n<<<PAGE 6>>>\n\nREF: INTERPRETATION LETTER TO MR. KYLE PITSOR AT NATIOI\\IAL ELECTRICAL I\\(IANUFACTURERS\nASSOCIATION (1-7-2010)\nThis reviewer (Steve Hwang) has some concerns about the wording in the letter drafted for response for\nthe following reasons:\n1. Non-lithium dry cell batteries\nThe summary for the test data under the heading of \"Alkaline and carbon zinc batteries\" shows that\n\"lantern cells\" were \"Not tested\" in the \"Discharged\" states. Hence, I would be cautious about the\nwording in the last sentence ofthe first paragraph ofthe response letter. I would recommend changing\n\" and lantern batteries\" to \"except for lantern batteries.\" Also the summary table indicates \"Not yet\ntested\" in the \"Discharges states\" for the alkaline and carbon zinc batteries although the draft response\nletter seems to indicate that the test data are inclusive of these conditions. No profile of battery energy\ncontent or the range of voltages used in the experiments was not provided. It would be appropriate to\nraise a question regarding how NEMA made conclusion that \"Non-lithium dry cell batteries are\nincapable of producing a dangerous evolution of heat\" despite the I\\IEMA data that \"Undischarged,\"\n\"Unlabeled\" alkaline and carbon zinc batteries showed a significant rise in the maximum temperature\n(over 100°C versus about 30°C) compared to \"Undischarged,\" \"Labeled\" batteries and regarding what\nthe definitions for \"Undischarged,\" \"Discharged,\" \"Labeled,\" and \"Unlabeled\" are.\n2. Lithium batteries\nMeasured temperatures are shown at various locations of the experimental set-up before and after\nstirring. Six temperature measurements are reported on the table in terms of \"Maximum temperature.\"\nOut of these six, three data points were shown to be \"Not yet tested.\" Rather than indicating\nincompleteness of the tests results, the draft letter states that \"Even in a partially discharged state, ...\nhigher temperatures than the comparable alkaline and carbon zinc batteries.\" There is no \"partially\ndischarged state\" included in the summary. Also this statement regarding the temperature rise is not\nconsistent with the NEMA's data. It would be inappropriate to compare the temperature rises between\nthe lithium batteries and dry cell batteries because of different chemistry, electrolytes, and the designs\nused. We would just note that we can not make any conclusions based on the \"Not yet tested\" data\nbase and the temperature rise exceeding 100°C. In addition to the past histories of incidents and the\nflammability of electrolyte we indicate hazards associated with lithium batteries especially with the\nprimary lithium batteries because of possibility of external and internal short-circuiting unless terminals\nare protected. I would indicate that the NEMA's data are insufficient to make any conclusions regarding\nthe issues that NEMA is addressing because of the \"l\\Iot yet tested\" data base and the consequences\nassociated with the rise in maximum temperature up to 104°C in an experiment ..\n\n<<<PAGE 7>>>\n\nTechnical Annex to NEMA Letter\nAlkaline and carbon zinc batteries\nBattery Type\nState of Charge\nLa beled / Unlabeled\nMaximum\nTemperature (O C)\nUndischarged\nLabeled\n28.5\nUndischarged\nUnlabeled\n1 04\nAJkaline\nAA/AAA\nDischarged\nLabeled\nNot yet tested\nDischal'ged\nUnlabeled\nNot yet tested\nDischarged\nMixed\n32\nUndischarged\nLabeled\n26.2\nCarbon zinc\nAA/AAA\nU nd ischarged\nUnlabeled\n105\nDischarged\nLabeled\nNot yet tested\nDischarged\nUn labeled\nNot yet tested\nCarbon zinc\nLantern\nUnd ischarged\n--\n137.8\nDischarged\nLess severe; Not tested\nAlkali ne\nLantern\nUnd ischargcd\n--\n151\n.2\nl JDischarged\nLess severe; Not tested\nExcept ror the lantern batteri s, AA and AAA ce lls were used to maxim ize the potential for short\ncircuit and heat generation. It is important to note that the maximum temperature listeo above\nwas the highest observed temperature found at a si ngle point and not the temperature r the\ncontainer or every single battery in the container as is shown in the infrared images. Thi\nmaximum temp rature is the highe, t recorded va lue from either the thennocoup!es or the\ninfrared image. lnfrared was used to show the proti Ie of temperatures seen inside the contai ners.\nEach set of tests below was cond ucted in a lexan box with no air circulation as pictured below.\n\n<<<PAGE 8>>>\n\nAlkaline - Unlabeled, Undischarged AA and AA\nTop or Container\nApproximately 100 AA and J00 AAA Batt ries\nMaxim um remp = 104°\nProfi le of temperature of cells with thermocouples\nla,\nMMax Temp - 70\"\n100 AMMa. Temp - 103'\n95 -\n-+-Sld~or 8IQttI~\n90\n~6ottQm of80ttt.e\n......... AAA1\n85\nall\n75\n70\n~ - MA7\n!\ni\nE\nI MA9\n~\n-AA~l\n_ t.AAl\n_ AAA\"\n-\n. -\"''''''5\n-AAA6\n-....-AAA8\n- MAIO\n..... 1\n___\n'5\n'0\n35\n,0\n25\n20\n\"AZ\nAAl\n-AM\n-us\nAAO\n..... 7\nAA8\nAA9\nM1Q\n2,000 00 '.000 ao 6,000 o.a H,ooo.OO 10,000 DO 12.000 00\n\n<<<PAGE 9>>>\n\nAlkaline - Labeled, Undischarged AA and AAA\nNo infrared image available\nSide of Container\nApproximately 100 AA and 100 AAA Batteries\naximum Te mp ~ r a t ure = 28.5°C\nProfi Ie of temperature of cells with thermocouples\n- ~5\n- u!\nU · ­ H---------------------------------------------------------n\n-: L-\n___________________________________________________________\n~ :: : - l;~\n:: --\n\n<<<PAGE 10>>>\n\nAlkaline - Mix of Labeled and Unlabeled, Discharged AA and AAA\nTop of Container\nApproxi mately 100 AA and 100 AAA\nBatt ries\nMaxi mum Temperature = 32°C\nProfi l of temperature of cells with the rmocouples\nSpent Cell Testing of AlkalineCelis\nCell Surface Temperature M onitoring\n-+-tkmom of Bottle\n- A4R\"\"'Z\n- AARaw-3\n........ 44110 ....\n~AAR0w5\n-AAA l.b.~l\n19.0\nu\n• - AM lobekdl\n·--+-AU LabeledJ\nZ 8 .0\n•~\nQ.\n~AAA laheled4\nj I>.AA Label. d 5\nH O\n- AM liowl\nAAA {:law2\n16.0\nAAA Row,\n- AIIARa\"\"\n- AAA ......:;\nZ5 .0\nAAlabc:h:dl\nAA lobeled2\nZ40\nAA l obekdl\n~\n230\n..... l.obe l .d~\nAA label1od3\n5.00000 to.ooo 00 \\ 5.000 00 10.00000 15.000 00\nn me (S ...)\n\n<<<PAGE 11>>>\n\nCarbon Zinc - Labeled, Undischarged AA\nI nfrared Pi ture 0 rSides\nMa = 26.2°C\nProfile of temperature of cell with thermocouples\n'<.!.! -'. - !'...: ~\n1 \"\n==' I\n\n<<<PAGE 12>>>\n\nCarbon Zinc - Un labeled, Undischarged AA\nTest Setup Infrared Picture of Sides\n100 AA Batteries Maximum Tern erature = 105°\nPro file of temperature of cells with thermocouples\n\n<<<PAGE 13>>>\n\nCarbon Zinc Lantern Batteries - Undischarged\nTest Setup Infrared Picture of Sides Infrared Picture of Tops\nMax im um Temperature = Maxim um Tempcratur =\n67.8°( 13 7.8°(\nProfile of temReratur of cells with thermocouRles\ni Batty! Batty 1 11AIly', Batty 7\n110\nMill! r\"l11p =108· C\ntOO\n9()\nso\n2: 70\n~\ni!\nl\nE 60\n~\n50\n40\n30\n20\n-\n0\n5000 10000 1;000 20000 \n 25000\nTI ~ [~( o n d:. )\n\n<<<PAGE 14>>>\n\nAlkaline Lantern Batteries - Undischarged\nMaximum Temperature = 110. 10 Infrar d Picture of Tops\nMaximwll Temperature =\n12 1.6°C\nProfile of temperature of cells with thermocouples\n160\nISO\n1010\n130\n120\n110\n:g 100\n!\ne 9IJ\n!\nE\nt!. 10\nGO\nso\n'000 0000 10000 12000 l.woo IbOOO 18000 10000\n\n<<<PAGE 15>>>\n\nLithium batteries\nIn addition to the carbon zinc and alkal ine dry cell batteries, several sets or lithium batteries were\nalso tested. The types tested were :\nBattery Type State of Charge La beled / Unlabeled Maximum\nTemperature (OC)\nLithium Coi n Undischarged Discharged Coin cells ar never\nlabeled\nNot yet tested\n34.1\nUndisc harged Labeled Not yet tested\nLithium 1.5V AA/AAA U nd ischarged Un labeled 104\nDischarged Labe led No t ye t tested\nDi scharged Unlabel ed 27.6\nUnlabeled. Discharged Lithiu m Coin Cells (All Coin Cells aloe Unlabeled)\nInfrared Pi cture from op\nMaximum T re =: 34. 1 QC\nThe ce lls lested represented varying states of discharge. A profi le of the open circuit oltages of\nthese batteries is sho 11 below. Undischarged lithium coin cells are nom inally about 3.0 vo lts\nbut the ir typical new open circuit vo ltage is 3.2 - 3.3 volts.\n\n<<<PAGE 16>>>\n\nlithium Coin Spent Cells - OCV\n3 .5\n...... • •\n3.0\n• • •• • •• -\n.\n2.5 •• • •\n• ..\n•\n2.0\n• •\n~ 1.5 •\n0 •\n•\n1.0\n• • •\n#\n•\n0 .5\n~-\n•\n• +. .#.:••\n-\n..... --0.0\n• •• • • .. .. • • •••\n• •\n•\n·0.5\nProfile of temperature of cells with thermocouples\nSpent Uthium Coin Cells - Before and After Stirring\nBatteries Stirred\n3S\n3U\ng\n!!\n::l\nBE\nf!\ni! :15\n~o\n- 5 :., 0/ Ik, \" - !lmm- olb, ..;;\", -E\"' ,' ~ ';' -\nlo\n_\nt:riJ .;-~ _ ::if C' .,Z.;l3;J\n- Ya . .i - !\" ;\"~ -=: =r\n3 ~ -= r=\\'\" s ' ~:r\n\");_\n1 : C: ;:'::!1 ..R!.o:.!S :~~!o\n~ .ooo.oo 6,000.00 8,000.00\n8.GIr.lOO\nTune (second~1\n\n<<<PAGE 17>>>\n\nUnlabeled, Undischarged Lithiu m (l.SV) AA and AAA\nSide of Container\nAppr ximately 100 AA and 100 AAA\nBatteries\nMaximum Temperatur = 104Q C\nProfile of temperature of cel ls wi th therm ocoup les\ng;\n~\ne\n!\nE\n{!.\nlOS\nIOD\n95\n90\nAil\n7,\n7D\n6S\n60\n::'5\n';()\nos\n40\nJO\n2>\nAAMax temp = 104\"1\"(\nAAA MaJC femp = 101\n· C\n-\"'-&ttomol\nStd# ot Sottit\n___\n85 - AMI\n-+-AAAI\n-.-AMJ\n-+-AAA-4\n-\n-\n.\n.......,\n-\n.....1\\7\n.\n35 AA6\nUAta\n- AAI\n-\n...,\"\n4Al\n-AA'\nAA;\nM7\n.....\n..... 9\n10 MIa\n000 sooooo 1000000 ISOOOOO 2000000 25000 00\n\n<<<PAGE 18>>>\n\nUnlabeled, Discharged Lithium (1.5V) AA and AAA\nide of Container\nApproximate ly 125 AA and 60 AAA\nBatteries\nInfrared Picture o f id\nMaximum emperature = 27.6°C\nProf! Ie of temperatur of cells wi th the rmocouples\nH ~---------------------------------------------------\n:! *----------------------------------------------------~\n- ~ -\n....... 5\n....;,E\n, . +---~--------~--~----~--_r----._--~--~----~--~\nJ ':: : B.:! : _ Z... :: :\nT \"\"\"I~cl\n\n<<<PAGE 19>>>\n\nEND OF TECHNICAL ANNEX","truncated":false,"body_characters":18947}