UPS Airlines — Hazardous Materials Safety Interpretation

Page 1U.S. Department of Transportation Washington, D.C. 20590 1200 New Jersey Avenue, SE Materials Safety Pipeline and Hazardous Administration JUN 2 3 2016 Mr. Bob McClelland Air Dangerous Goods Manager UPS Airlines 55 Glenlake Parkway, NE Atlanta, GA 30328-3474 Ref. No.: 16-0018 Dear Mr. McClelland This responds to your email dated January 21, 2016, requesting clarification of the applicability of the Hazardous Materials Regulations (HMR; 49 CFR Parts 171-180) to power banks or supplemental power units containing lithium ion batteries. Specifically you ask whether for the purposes of the HMR such articles are considered "UN3480, Lithium ion batteries" or "UN3481, Lithium ion batteries contained in equipment." The HMR define Lithium ion cell or battery as a rechargeable electrochemical cell or battery in which the positive and negative electrodes are both lithium compounds constructed with no metallic lithium in either electrode (see § 171.8). The HMR further define equipment as for its operation (see § 173.185). the device or apparatus for which the lithium cells or batteries will provide electrical power Based on these criteria, power banks or supplemental power units containing lithium ion batteries are best described as "UN3480, Lithium ion batteries." The battery housed inside a power bank does not power the power bank in the same manner as a battery powers an electric wheelchair or a laptop computer. Rather, a battery in a power pack is used to supply electric power to separate equipment. Thus, for purposes of the HMR, a power bank is a battery and must be transported using a proper shipping name that most appropriately describes the battery type housed in the power bank. I hope this answers your inquiry. If you need additional assistance, please contact the Standards and Rulemaking Division at (202) 366-8553. Sincerely, thors OBi IfOR Duane A. Pfund International Standards Coordinator Standards and Rulemaking Division#

Page 2aru 3 71.60 Dodd, Alice (PHMSA) Definitions 16-00/8 From: Sent: Kelley, Shane (PHMSA) To: Thursday, January 21, 2016 6:09 PM Cc: Dodd, Alice (PHMSA); Goodall, Shante CTR (PHMSA) Subject: Leary, Kevin (PHMSA) Attachments: FW: Powerbanks 13-0153 Record.docx Please see the below from Kevin in relation to the interp request I forwarded earlier today. Thanks From: Leary, Kevin (PHMSA) Sent: Thursday, January 21, 2016 6:05:51 PM Subject: RE: Powerbanks To: Kelley, Shane (PHMSA); Pfund, Duane (PHMSA) This letter was previously assigned 13-0153. It was closed, handle by phone by Vince. At that time UPS did not seek a written response. All status information on that letter is located in the file for that letter. A screen shot is attached. If UPS is seeking a written response and they simply want to use their original letter, that is fine but I suggest simply assigning it a new number and flag the 13-0153 record for background information to be used by the regulatory specialist. From: Kelley, Shane (PHMSA) Sent: Thursday, January 21, 2016 3:16 PM To: Pfund, Duane (PHMSA); Leary, Kevin (PHMSA) Subject: RE: Powerbanks Update: I spoke with Bob and reiterated what we've said at UN and ICAO based on our HMR definition of equipment. They were content with that but also asked if they could get a written response to their previous letter. I response. Do we know if it is already logged in? told them I would check whether it had been logged into our interp system and if not submit it for formal routing and From: Kelley, Shane (PHMSA) Sent: Thursday, January 21, 2016 1:39 PM To: Pfund, Duane (PHMSA); Leary, Kevin (PHMSA) Subject: FW: Powerbanks I haven't responded or accepted a call yet. The IATA guidance states: "Power Bank (power pack, mobile battery, etc.). No formal definition exists and there continues to be discussion at the United Nations Subcommittee of the correct classification for transport. However, for the purposes of this guidance document and the IATA Dangerous Goods Regulations powers banks are to be classified as batteries and must be assigned to UN 3480, lithium ion batteries, or UN 3090, lithium metal batteries, as applicable. For carriage by individually protected from short-circuit." passengers, power banks are considered as spare batteries and must be in carry-on baggage only and must be#

Page 3Looking for a logic-check on this - I believe for the examples we have seen that the guidance is consistent with the HMR (as well as our views as expressed at UN and ICAO) in that if the battery pack does not provide power to the equipment in which it is contained or packed with is it would be considered a battery and not equipment. i don't mind reaching out to Bob and if the questions go beyond the clear text of the HMR could suggest they pose their issue. questions formally. I can also let them know about the square bracketed text we adopted at UN that would clarify this From: rfmcclelland@ups.com [mailto: rfmcclelland@ups.com] Sent: Thursday, January 21, 2016 1:23 PM To: Kelley, Shane (PHMSA) Subject: Powerbanks Shane - fun for an airline)! I assume you are preparing for the incoming blizzard? We are expecting 4 to 8" tomorrow morning and afternoon (not I have a question about the proper classification of Powerbanks. Would you have a moment to talk to Sam Elkind and me about the issue? IATA has added new language to its guidance document defining Powerbanks as UN3480, Li lon Batteries (versus UN3481). Would just like to get your thoughts from a US perspective. Let me know if you have a few minutes to discuss with Sam and me this afternoon. Thanks, Bob McClelland Air Dangerous Goods Manager UPS Airlines (502) 359-2950 Office (502) 741-5763 Cell rfmcclelland@ups.com#

Page 4lola Some are considering these as and shipping them as. lithium batteries contained in equipment and some are shipping them as. Other Data Cited 08/13/2013: CLOSE OUT. Handled by phone. Spoke with Samuel Elkind. He said.he was.not expecting a letter of interpretation. That is why he directed his original letter to DP... The issue is the definition of equipment as. it pertains to ithium. batteries contained in equipment.There are devices such as power packs. cellphone cases.that provide auxiliary/backup_power.tothe.phone.etc._These devices house a lithium battery_May have wiring and electronic components. Samuel Elkind wanted to bring the issue.to our attention. and.to let us.know that.the issue does affect UPS. and would like to see a definition so that they are all shipped the same. While he does.not really care. what the outcome is..he Data Dump SEARCH OPTIONS All Open 11) /12 /13 AGING REPORTS Last 30 Days 31-60 Days 61:90 Days > 90 Days 91.120 Days 121.180 Days Find 7125/2013 13-0153 NEW PHH.12 Report PHH.13 Report PHH:20 Report PH Report CLOSED REPORTS Last 30 Days URt Link 6 lithium. batteries._The classification.results in differences in shipping allowances. under ICAO and the way they are tested. The issue was presented at April 2013 ICAO without resolution. BRANCH REPORTS All Open PHH-11 Report vould. like to have. a resolution and. he believes they are batteries. Offers.his support and. assistance.to any efforts that.we_make to. resolve this issue.in.the international.fora. New Record Delete Record Date Received: Tracking Number: Originating Office: URU Link 5 Window Help Preview Days Open Avg. to Sign 91 7123/2013 8/15/2013 B/15/2013 Show All First Draft Date: 8/15/2013 121 First Draft Due: Days to Sign Status Date Sianor URL Link 3 URL Link 4 but.they do. not.function themselves. They must be attached to a piece of equipment that it provides power to.. Becords Scripts INTERPRETATION LETTER TRACKING DATABASE Date of Letter PHH Format 16 / 5426 Found (Unsorted) View As: URL Link 2 See UN.Manual.of Tests. and Criteria. 38.3.2.2 Note on power packs. See ICAO PL 966 for equipment" and Glossary of Terms... Lithium Battery... of FileMaker Pro - [Interp Letters (PHMHQNWAS017VG)] Samuel S. Elkind View Insert 55 Glenlake Parkway, NE. 15 Records (404) 828-6064 Atlanta, GA 30328-3474 Babich. 171.8 Definitions CLOSED 08/15/2013 UPS SURL Link 1 07/29/2013: Letter received. - VAB Nork is continuing on this issue - VAB Browse › Eile Edit Layout: Data Entry Date Assigned 7/25/2013 Requester Company E-mail Phone Address Re-Assigned Staff Section Subject Concurrence Status Close Date Long File Previous Cited 100 = 4 B#

Page 5Atlanta, GA 30328-3474 55 Glenlake Parkway, NE UpS July 23, 2013 Mr. Duane Pfund International Standards Coordinator Pipeline and Hazardous Materials Safety Administration U.S. Department of Transportation - PHH-13 1200 New Jersey Avenue, SE East Building, Second Floor Washington, DC 20590 Re: Definition of Power Bank or Supplemental Power Units containing Lithium Batteries Dear Mr. Pfund: UPS writes to you in your capacity representing the U.S. at the UN Subcommittee of Experts on the Transport of Dangerous Goods. In its handling of various lithium battery shipments, UPS has encountered several shipments of supplemental power sources for personal electronic devices such as smart phones, shipped under Section II of ICAO Packing Instruction 967. Among the forms of such devices are outer covers for smart phones that are supplied with supplemental power sources, or free-standing units that connect by wire to an electronic device. UPS is aware that classification of such articles was considered in the April 2013 Working Group meeting of the Dangerous Goods Panel, but without a firm conclusion (Enclosure 1), and industry worldwide. seeks your involvement through the UN SCOE to promote a clear decision that can be used by In reviewing the applicable regulations, UPS believes that while some shippers classify these items as UN3481, Lithium ion batteries contained in equipment, a more appropriate classification may be UN3480, Lithium ion batteries. Because shipment compliance, carrier reporting obligations and perhaps even shipment safety may hinge on the manner in which shippers offer these devices, UPS believes this classification question needs clear resolution. The ICAO DGP Working Group believed the multimodal nature of the classification question 3.5.6.3). meant this matter properly ought to be addressed by the UN SCOE (Enclosure 1, paragraph Within industry, there are proponents of each classification, dividing along lines similar to those illustrated in the April 2013 DGP Working Group discussion. As the purpose of these devices is to supplement or recharge the battery power of a personal electronic device, some hold#

Page 6ENCLOSURE 1 Extract from Report of the ICAO Dangerous Goods Panel Working Group, April 2013: 3.5.6.1 The working group was asked to clarify what constitutes "equipment" when referring to UN 3091, Lithium metal batteries contained in equipment and UN 3481, Lithium ion batteries contained in equipment. It was suggested that certain articles containing lithium batteries whose sole purpose was to provide external power source to another piece of electronic equipment should be treated as lithium batteries on their own and classified as UN 3090, Lithium metal batteries or UN 3480, Lithium ion batteries. New text to clarify this was proposed for inclusion in the packing instructions for lithium batteries contained in equipment and in the passenger provisions to differentiate between spare batteries checked baggage. which must be in carry-on luggage and lithium batteries contained in equipment which could be in 3.5.6.2 A representative of the battery industry disagreed with the proposal. He suggested these articles should be considered equipment containing lithium batteries. To be classified as lithium batteries, the articles would be subject to UN testing but that this was not done. Instead the cell or battery inside the device was submitted for testing and then incorporated into the article. Not everyone agreed with this point of view. The working group was reminded of the paper presented at a previous working group meeting reporting on an incident involving e-bicycle batteries classified as lithium batteries contained in in equipment because it was not attached to the bicycle. equipment. The presenter of that paper was told the batteries should not have been considered contained 3.5.6.3 There was support for the intent of the proposal but it was felt the issue, at least in relation to the packing instructions, was a multi-modal one that should be addressed at the UN. Clearly defining what constituted contained in equipment was complicated and would need to be developed carefully.#