Maxxsonics — Hazardous Materials Safety Interpretation

Page 1U.S. Department of Transportation Pipeline and Hazardous Materials Washington, DC 20590 1200 New Jersey Avenue, SE Safety Administration MAR 1 1 2015 Mr. Ken Eldridge Warehouse Manager Maxxsonics 1290 Ensell Road Lake Zurich, IL 60047 Reference No. 14-0218 Dear Mr. Eldridge: This is in response to your November 12, 2014 e-mail requesting clarification of the Hazardous Materials Regulations (HMR; 49 CFR Parts 171-180) applicable to the shipment of small lithium ion batteries contained in equipment, UN 3481. You present that you will be shipping a new product containing a 2 cell, 7.4 volt lithium ion battery with a 1,100 mAh rating. You note that batteries meet the criteria in Part III, sub-section 38.3 of the UN Manual of Tests and Criteria. Finally, you indicate that each piece of equipment containing the battery is individually packaged in a blister pack with a rigid outer fiberboard packaging. You ask for confirmation of what specific HMR provisions are waived for these lithium ion batteries as packaged. In a final rule published on August 6, 2014 (79 FR 46011; HM-224F), § 173.185 relating to lithium cells and batteries was revised. In the final rule special provision 188 was eliminated and incorporated into § 173.185. In addition, the term Watt-hour (Wh) was adopted in place of "equivalent lithium content" for lithium ion batteries. As described, the lithium ion battery contained in the equipment equates to 8.14 Wh for the battery and 4.07 Wh for each cell. Based on the information you have provided, the lithium ion cells and battery meets the size limitation (less than 20 Wh for a cell and less than 100 Wh for a battery) to be eligible for the exceptions for smaller cells and batteries provided by § 173.185 (c), therefore, provided the battery, equipment, and package meets all other applicable requirements of § 173.185 the batteries as packaged are not subject to the following provisions of the HMR: Subpart C of Part 172, Shipping Papers; Subpart D of Part 172, Marking; Subpart E of Part 172, Labeling; Subpart F of part 172, Placarding; Subpart G of part 172, Emergency Response Information;#

Page 2Subpart H of part 172, Training; and The UN performance packaging requirements of §§ 173.185(b)(3)(ii) and 173.185(b) (4). The provisions of subpart I of part 172, Safety and Security Plans, do not apply to lithium batteries. In addition, since each package contains less than four lithium cells and two lithium batteries installed in equipment the requirements for additional hazard communication (§ 173.185(c)(3)) and the lithium battery handling mark (§ 173.185(c)(4)(i))) also do not apply. I trust this information is helpful. If you have further questions, please do not hesitate to contact this office. Sincerely, Sher. ly Shane C. Kelley Acting International Standards Coordinator Standards and Rulemaking Division#

Page 3Babich 8/73.185 Batteries Dodd, Alice (PHMSA) 14-0218 From: Sent: Ciccarone, Michael CTR (PHMSA) To: Wednesday, November 12, 2014 3:39 PM Hazmat Interps Subject: FW: Small Lithium Ion Battery Attachments: UN38 3 of QUBFour battery.pdf Shante/Alice. Please submit this for a formal letter of interpretation. I spoke with Mr. Eldridge. Thanks; Mike From: Ken Eldridge [mailto:kene@maxxsonics.com] To: INFOCNTR (PHMSA) Sent: Wednesday, November 12, 2014 12:39 PM Cc: Marc Sullivan Subject: Small Lithium Ion Battery To Whom It May Concern: determine these are classified as small Li lon batteries contained in equipment, aka UN3481. I have questions regarding a new product we will be shipping which contains Li lon batteries. Based on what we can would represent 0.66 grams of lithium for our largest battery contained in equipment with a total battery weight of 39.5 The largest battery contained in equipment is a 2 cell 7.4 volt with 1100 mAh capability. Based on the ELC formula this Each unit is individually packaged with the battery enclosed in a non conductive rigid plastic product which is inside a with an ELC of 0.66 grams. Our batteries have passed the UN38.3 testing - see attached blister pack with outer rigid fiberboard packaging. For shipping purposes the package unit would be 2 cells, one battery, In accordance with the SP 188 of 49 CFR 172 and/or 49 CFR 173.185 packed with, or contained in, equipment, that meets the conditions of this paragraph, is excepted from the requirements in ((c) Exceptions for smaller cells or batteries. A package containing lithium cells or batteries, or lithium cells or batteries subparts C through H of part 172 of this subchapter and the UN performance packaging requirements in paragraphs (b) (3)(ii) and (b)(4) of this section under the following conditions and limitations.) My questions: Are we exempted from the following? 172.300 172.200 Shipper declaration for dangerous goods. 172.400 Marking of package with proper shipping name Li lon labeling on shipments (see below for example) 1#

Page 4CAUTION! IF DAMAGED LITHIUM ION BATTERY DO NOT LOAD OR TRANSPORT PACKAGE IF DAMAGED FOR MORE INFORMATION CALL CUSTOM PHONE MUNGER 172.600 172.500 Placarding 172.800 172.700 Emergency Response Information Dangerous good training. Safety and Security Plans Thanks, Ken Warehouse Marage Ken Eldridge Споту: 1847) 540-77 00 1292 Ensel ( MAXX-ONICA MEANT HIRO NISSE SHUNCH AUTOTER' CONFIDENTIALITY NOTICE: This Material is intended for the named recipient and, unless otherwise expressly indicated, is confidential and privileged information. Any dissemination, distribution or copying of this material is prohibited. If you received this message in error, please notify the sender by replying to this message and then delete it from your system. Your cooperation is appreciated. 2#

Page 5CNAS CNAS L0748 NO.1114090023 # KI IR 4 Test Report BRATE EDC01040401/CEL153048 7.1V 8. 14Wh Name of Sample: Lithium-ion polymer battery EDC01040401/CEL153048 7.41 8. 14Wh ***7*2A Consignor: Shanghai Research Institute of Chemical Industry Testing Centre#

Page 6SRICI Testing Centre Test Report NO. 1114090023 1/11 17Z* Chinese 471 EDC01040401/EI.153048.7.4V 8. 14Wh Name of Sample English Lithium-ion polymer battery EDC01040401/CEL153048 7. 4V 8. 14W Sample No. 1114090023 Consignor Manufacturer $7$1 DONGGUAN GOLDEN CEL BATTERY CO., LTD Test method ST/SG/AC. 10/11/Rev. 5/Amend. 18/Amend. 2 38. 3 UNITED NATIONS "Recommendations TRANSPORT OF DANGEROUS GOODS" Manual of Tests and Criteria ST/SG/AC. 10/11/Rev. 5/Amend. 1&Amend. 2 38.3 Criterion ST/SG/AC. 10/11/Rev. 5/Amend. 1&Amend. 2 38. 3 UNITED NATIONS "Recommendations on che TRANSPORT OF DANGEROUS GOODS" Manual of Tests and Criteria ST/SG/AC. 10/11/Rov, 5/Amond, 14Amond. 2 38,3 Appearance Blue Plastic film shell in 1020/100509-58 Accepted Date 2014-09-02 Test Date 2014-09-09~ 2014-09-30 2:220; 3500:20: 3088: 6: 0300: 2000x3 Test Items Altitude simulation, Thermal test, Vibration, Shock, External circuit, Crush, Overcharge, Forced discharge short ST/SG/AC. 10/11/Rev. 5/Amend. 1&Amend. 2 38. 3FrrE k. The sample has passed the test items of UNITED NATIONS "Recommendations on the Conclusion ST/SG/AC. 10/11/Rev. 5/Amend. 1&Amend. 2 38. 3. TRANSPORT OF DANGEROUS GOODS" Manual of Tests and Critetie #T Rechargeable Lithium Battery. W). 2014-09-30 Comment •Address Consignor Post Code 315500 Approver: Checker: 77335 Compiler: Title: AL TElE (Vice chief engineer)#

Page 7: Ki Ki tR # SRICI Testing Centre Test Report NO. 1114090023 No. Name of Test *#**x***** 2/11 Items Standard requirement or The *w#* Clause Number of Standard Test Result #5#2 Conclusion Remark simulation Altitude -F JID ST/SG/AC: 10/11/Rev. 5/Amend. 1 38,3 tl UN Manual of Tests and Criteria Section * T.I ST/SG/AC. 10/11/Rev. 5/Amend. | 38.3 Test T.1 See Appendix 1 Passed Al* 2 Thermal test 39. T. 2 F WID ST/SG/AC. 10/11/Nev. 5/Amend. 1 38.3 M 1080* 2 ST/SG/AC. 10/11/Rev. 5/Amenc. 1 38.3 Test T.2 UN Manual of Tests and Criteria Section See Appendix 2 3 Vibration Hez)) Passed * T.3 FIS ST/SG/AC. 10/11/Rev. 5/imend. 1 38.3 bt UN Menual of Tests and Criterin Section See Appendix 3 AB* 3 ST/SG/AC. 10/11/Rev. 5/Awend. 1 38.3 Test T.3 Passed Shock 4 T.4 T:MB ST/S6/AC. 10/11/Rev. 5/Amend. I 38.3 B SLMHK 4 ST/SG/AC. 10/11/Rev. 5/Anend. 1 38.3 Test T.4 UN Manual of Tests and Criteria Section See Appendix 1 Passed External short 9J92 ST/SG/AC. 10/11/Rev. 5/Asend. 1 38.3 IA circuit of Tests and Criteria Section See Appendix 5 AUk 5 ST/SG/AC. 10/11/Rev. 5/Amend. 1 38.3 Test T.5 Passed Crush #FES TD ST/SG/AC. 10/11/Rev. 5/Amend. 1&Amend. 2 DN Manual of Tests and Criteria Section ST/SG/AC. 10/11/Rev. 5/Amend. I&Amenc, 2 38. 3 See Appendix 6 Passed : 7 Overcharge T9) ST/SG/AC. 10/11/Rev. 5/Amend. 1 38.3 if ST/SG/AC. 10/11/Rev. 5/Agiend. 1 38.3 Test T.7 UN Manuel of Tests and Criteria Soction See Appendix 7 Passed Ate 8 Forced discharge TVES ST/SG/AC. 10/11/Rev. 5/Amend.1 38.3 it UN Mannai of Tests and Criteria Section See Appendix 8 *ST*1 IST/SC/AC. 10/11/Rev. 5/Amend. 1 38.3 Test T.8| Passed i Test Environment #shi:23°C; #5040B:/% Condition Ambient temperature:23°C, Ambient humidity:/% setEr Test Item Subcontracted Test Condition 70 #$ Subcontracted / Laboratory Name taps tin he tat Post Code / Address / $ iz Tel /#