{"operation":"document","citation":"21-0057","title":"Hogan Lovells US LLP — Hazardous Materials Safety Interpretation","source_type":"guidance","agency":"Pipeline and Hazardous Materials Safety Administration","status":"guidance","official":true,"published_on":"2021-10-08","effective_on":null,"summary":"21-0057 response to Hogan Lovells US LLP concerning 173.22.","machine_formats":{"json":"https://regulus.evalyn.ai/document/phmsa-interpretation-21-0057.json","markdown":"https://regulus.evalyn.ai/document/phmsa-interpretation-21-0057.md"},"app_url":"https://regulus.evalyn.ai/document/phmsa-interpretation-21-0057","source_url":"https://www.phmsa.dot.gov/sites/phmsa.dot.gov/files/docs/standards-rulemaking/hazmat/interpretations/75996/210057.pdf","body":"<<<PAGE 1>>>\n\nU.S. Department\nof Transportation\nPipeline and Hazardous\nMaterials Safety\nAdministration\n1200 New Jersey Avenue, SE\nWashington, DC 20590\nOctober 8, 2021\nMr. Latane R. Montague\nHogan Lovells US LLP\nColumbia Square\n555 Thirteenth Street, NW\nWashington, DC 20004\nReference No. 21-0057\nDear Mr. Montague:\nThis letter is in response to your May 20, 2021, letter requesting clarification of the Hazardous\nMaterials Regulations (HMR; 49 CFR Parts 171-180) applicable to the classification of thermal\nbatteries containing lithium or lithium compounds in the anode which are not classed as a Class 1\n(Explosive) or Division 4.1 (Flammable Solid) hazardous material. In your letter, you state that\nthe battery components (the lithium anode, the metal salt cathode and the solid inorganic\nelectrolyte that is non-conductive in its transport state) are separate and these batteries remain in\nan inert, solid state until they are activated by an electro-explosive device. You further state that\nthe batteries are transported with a shorting device installed across the activation circuit to\nprevent inadvertent activation. You also reference a guidance document titled “Guidance and\nCriteria for Classification of Thermal Batteries,” issued on August 8, 1995, by the Pipeline and\nHazardous Materials Safety Administration’s (PHMSA) predecessor—the Research and Special\nPrograms Administration—to support the opinion that thermal batteries not classed as a Class 1\nor Division 4.1 hazardous material by an EX approval are “not regulated” in transportation, and\ntherefore are not subject to the HMR provided the batteries meet the criteria in the guidance\ndocument.\nYou request that PHMSA either: (1) provide concurrence with the determination that thermal\nbatteries not otherwise classed as Class 1 or Division 4.1 by EX approval—but containing\nlithium or lithium compounds in the anode—are “not regulated” in transportation and therefore\nnot subject to HMR requirements; or (2) provide specific guidance for classifying thermal\nbatteries containing lithium or lithium compounds in the anode as lithium metal batteries\n(UN3090) and whether an approval from the Associate Administrator for Hazardous Materials\nSafety is required to offer thermal batteries for transport when testing such batteries in\naccordance with sub-section 38.3 of the UN Manual of Tests and Criteria is not possible.\n\n<<<PAGE 2>>>\n\nAs specified in § 173.22 of the HMR, it is the shipper’s responsibility to properly class and\ndescribe a hazardous material in accordance with parts 172 and 173 of the HMR. This Office\ngenerally does not perform that function. However, it is the opinion of this Office that the\nbatteries you describe (utilizing lithium metal or lithium alloy component anode, metal salt\ncathode and solid non-conductive inorganic electrolyte) do not meet the description of lithium\nmetal batteries (UN3090). While the 1995 guidance document was issued at a time when\ndifferent chemistries may have been used in thermal battery manufacturing, the batteries\ndescribed appear to meet the conditions identified in that guidance document. Further, when\nPHMSA issued the EX approval referenced in your letter, PHMSA determined that the batteries\nare thermal batteries. It would be the shipper’s responsibility to determine whether your material\nmeets the definition of any other hazard class in accordance with the HMR.\nI hope this information is helpful. Please contact us if we can be of further assistance.\nSincerely,\nDuane A. Pfund\nActing Director\nStandards and Rulemaking Division\nOffice of Hazardous Materials Safety\n\n<<<PAGE 3>>>\n\nLarson\n21-0057\nFrom: INFOCNTR (PHMSA)\nTo: Subject: Date: Attachments: Dodd, Alice (PHMSA); Hazmat Interps\nFW: Hogan Lovells Interpretation Request - Thermal Battery Classification for Transport\nTuesday, May 25, 2021 10:49:26 AM\nLetter to PHMSA re Interpretation Request - Thermal Battery Classification for Transport (May 20 2021)\n[Final].pdf\nDOT RSPA Guidance and Criteria for Classification of Thermal Batteries (1995).pdf\nGood morning Alice,\nPlease see the attached request for a letter of interpretation. Please contact our office with any\nquestions.\nThank you,\nSarah Whitlock (HMIC)\nFrom: Clark, Matthew J. [mailto:matt.clark@hoganlovells.com]\nSent: Tuesday, May 25, 2021 9:54 AM\nTo: INFOCNTR (PHMSA) <INFOCNTR.INFOCNTR@dot.gov>\nCc: Clark, Matthew J. <matt.clark@hoganlovells.com>\nSubject: Hogan Lovells Interpretation Request - Thermal Battery Classification for Transport\nCAUTION: This email originated from outside of the Department of Transportation (DOT). Do not click on links or\nopen attachments unless you recognize the sender and know the content is safe.\nTo Whom it May Concern:\nPlease see attached interpretation request regarding thermal battery classification for transport.\nThis interpretation request was also submitted via USPS.\nThank you,\nMatt\nMatt Clark\nSenior Associate\nHogan Lovells US LLP\nColumbia Square\n555 Thirteenth Street, NW\nWashington, DC 20004\nTel:\n+1 202 637 5430\nMobil:\n+1 518 257 0722\nFax: +1 202 637 5910\nEmail: matt.clark@hoganlovells.com\nwww.hoganlovells.com\n\n<<<PAGE 4>>>\n\nIf you would like to know more about how we are managing the impact of the COVID-19 pandemic on our firm then take a\nlook at our brief Q&A. If you would like to know more about how to handle the COVID-19 issues facing your business then\ntake a look at our information hub.\nAbout Hogan Lovells\nHogan Lovells is an international legal practice that includes Hogan Lovells US LLP and Hogan Lovells International LLP.\nFor more information, see www.hoganlovells.com.\nCONFIDENTIALITY. This email and any attachments are confidential, except where the email states it can be disclosed; it\nmay also be privileged. If received in error, please do not disclose the contents to anyone, but notify the sender by return\nemail and delete this email (and any attachments) from your system.","truncated":false,"body_characters":5908}