{"operation":"document","citation":"21-0058","title":"KBI — Hazardous Materials Safety Interpretation","source_type":"guidance","agency":"Pipeline and Hazardous Materials Safety Administration","status":"guidance","official":true,"published_on":"2021-08-19","effective_on":null,"summary":"21-0058 response to KBI concerning 173.185.","machine_formats":{"json":"https://regulus.evalyn.ai/document/phmsa-interpretation-21-0058.json","markdown":"https://regulus.evalyn.ai/document/phmsa-interpretation-21-0058.md"},"app_url":"https://regulus.evalyn.ai/document/phmsa-interpretation-21-0058","source_url":"https://www.phmsa.dot.gov/sites/phmsa.dot.gov/files/docs/standards-rulemaking/hazmat/interpretations/75741/210058.pdf","body":"<<>>\n\nU.S. Department\nof Transportation\nPipeline and Hazardous\nMaterials Safety\nAdministration\n1200 New Jersey Avenue, SE\nWashington, DC 20590\nAugust 19, 2021\nMr. Paul D. Johnson\nExecutive Director of Environmental Affairs\nKBI\n125 E Commercial St. A\nAnaheim, CA 92801\nReference No. 21-0058\nDear Mr. Johnson:\nThis letter is in response to your May 24, 2021, email requesting clarification of the Hazardous\nMaterials Regulations (HMR; 49 CFR Parts 171-180) applicable to packing lithium batteries in\noil. Specifically, you request that we remove Letter of Interpretation (LOI) 15-0100 from the\nPHMSA website because you believe the guidance provided in that letter may encourage\nshippers to offer packages into transportation that do not conform to the HMR’s lithium battery\npackaging requirements.\nAs stated in LOI 15-0100, placing lithium cells or batteries into a container filled with oil is\nnot—on its own—sufficient to meet the lithium battery packaging requirements in § 173.185\nwhen shipping for either purposes of disposal or recycling, or when shipping damaged, defective,\nor recalled batteries. In accordance with § 173.185(b)(3)(i) and (f)(1), each lithium cell and\nbattery must be placed in a non-metallic inner packaging. Placing a cell or battery into a\ncontainer filled with oil without first placing it into a non-metallic inner packaging is not\nsufficient to meet the packaging requirements of the HMR.\nIt is the responsibility of the shipper to ensure lithium cells and batteries are packaged in such a\nway to prevent damage from shifting during transportation. Packaging those lithium cells and\nbatteries in oil may assist in preventing damage from shifting; however, consideration must be\nmade on the potential for short circuiting as well as compliance with additional packaging\nrequirements. Placement of lithium batteries in oil is not prohibited by the HMR. We emphasize\nthat as stated in LOI 15-0100, in accordance with § 173.185(b)(3)(i) and (f)(1), lithium batteries\nmust be placed in a non-metallic inner packaging that completely encloses the cells or batteries.\n\n<<>>\n\nPlacing a lithium cell or battery into a container filled with oil unprotected by an inner packaging\ndoes not meet this requirement.\nI hope this information is helpful. Please contact us if we can be of further assistance.\nSincerely,\nDirk Der Kinderen\nChief, Standards Development Branch\nStandards and Rulemaking Division\n\n<<>>\n\n21-0058\nFrom: INFOCNTR (PHMSA)\nTo: Dodd, Alice (PHMSA)\nCc: Hazmat Interps\nSubject: FW: Request for clarification on lithium battery packaging in oil\nDate: Tuesday, May 25, 2021 2:24:33 PM\nAttachments: PHMSA Request for clarification on Li batteries in Oil 5 21 21.pdf\nDOT Lol 173.185 Li batts in oil in word.docx\nimage001.png\nPatrick\nHi Alice,\nPlease see the attached LOI request.\nLet us know if you need anything else.\nRegards,\n-Breanna\nFrom: Paul Johnson [mailto:pjohnson@kbirecycling.com]\nSent: Monday, May 24, 2021 4:05 PM\nTo: INFOCNTR (PHMSA) \nSubject: Request for clarification on lithium battery packaging in oil\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.\nDear Sir/Madam,\nPleases find attached the request for clarification on PHMSA Interpretation letter reference No. 15-\n0100.\nThanks and regards,\nwww.kbirecycling.com\n125 E Commercial St. A\nAnaheim, CA 92801\nPaul Johnson\nExecutive Director, Environmental Affairs\nPhone: 714-738-8516\nMobile: 714-588-2704\nEmail: pjohnson@kbirecycling.com\nAffiliates\nretrievtech.com\nbiggreenbox.com\nDisclaimer: This message contains confidential information and is intended only for the individual named; if you are not the named\naddressee you should not disseminate, distribute or copy this email. Email transmission cannot be guaranteed to be secure or error-free\nas information could be intercepted, corrupted, lost, or destroyed; the sender therefore does not accept liability for any errors or\nomissions in the contents of this message. No employee or agent of this corporation is authorized to conclude any binding agreement by\nemail; agreements are only binding with the express written confirmation of a corporate officer.\n\n<<>>\n\nMay 24, 2021\nOffice of Hazardous Materials\nPipeline and Hazardous Materials Safety Administration\nU.S. Department of Transportation\n1200 New Jersey Avenue, SE\nWashington, DC 20590\nAttention: Regulatory Guidance\nRe: 49CFR 173.185 Interpretation Reference No. 15-0100 Dated Oct 21, 2015\nDear Madam/Sir,\nThis is a request for clarification on the interpretation letter issued October 21, 2015 regarding the use\nof oil as a packaging medium for damaged and defective batteries or batteries otherwise being shipped\nfor disposal or recycling. (See DOT Letter Reference No. 15-0100.)\nIn your response the May 26, 2015 request you stated.\n“The method described in your letter is partially compliant with the requirements for\noffering lithium cells or batteries for disposal or recycling as described in § 173.185(d).\nThe use of mineral oil effectively prevents movement of the cells or batteries in the\npackage and prevents short circuiting between batteries in the package. [ E m p h a s i s\na d d e d . ] Lithium cells and batteries shipped for disposal or recycling are excepted from\nthe design testing and record keeping requirements of § 173.185(a) and the UN\nspecification packaging requirements of § 173.l 85(b)(3)(ii). However, in accordance with §\n173.l 85(b)(3)(i), the cells and batteries must be placed in non-metallic inner packages that\ncompletely enclose the cells or batteries and separate the cells or batteries from contact\nwith equipment, other devices, or conductive material in the packaging. Based on the\ninformation provided in your letter it does not appear that the packing method described\nin your letter addresses the requirement to place the cells in non-metallic inner packages\nthat completely surround the cells or batteries.\n”\nBackground\nKBI is a RCRA Permitted Part B recycling facility specializing in battery and precious metals recycling.\nLithium battery packaging and the safe and compliant transportation of these batteries is an important\npart of our business. We are routinely questioned about battery packaging and on occasion have been\npresented with batteries that have been packaged in oil. We want to ensure that we are training our\nemployees and providing our clients with current and accurate information on this topic.\nRecently, a national environmental services company began advising generators to package discarded\nlithium battery “in oil”. This may be for two reasons. First, Lithium metal in batteries is thought to be a\nclass 4 flammable metal, dangerous when wet rather than class 9. Second, this is done to avoid the cost\nand time required to individually insulate and package each battery as described in the HMR.\nI N T E G R A T E D R E C Y C L I N G S O L U T I O N S\n125 E. Commercial St. A · Anaheim CA 92801 · P 800.548.8797 · F 714.773.4830 · kbirecycling.com\n\n<<>>\n\nDuring my research on the effectiveness of the environmental services company’s recommendations, I\ncame across the PHMSA interpretation listed above. The interpretation appears to endorse the concept\nof packaging lithium batteries in oil, although, not exactly as described by the original request.\nObservation\nIt is our observation that the practice of packaging lithium batteries in oil is not compliant with 49 CFR\n173.185 or 173.21 for the reasons listed below. We are, therefore, requesting you remove the above-\nreferenced interpretation letter from PHMSA’s public website or modify it based on the reasons\noutlined below.\n1. Oil does not effectively insulate a battery terminal from creating a circuit that can ultimately\ngenerate heat or thermal runaway.\n2. 3. Oil does not prevent movement within the package.\nOil provides additional fuel in a thermal event.\nThe photos below demonstrate oil is an ineffective packaging material for lithium batteries.\nThe materials used include a clear glass jar, food grade mineral oil with a flash point of >350 °F and a\nvoltmeter. Commercially available 9 volt and standard CR2032 coin cells were chosen from an\ninventory of discarded batteries shipped for recycling. These batteries were in a full state of charge\nas demonstrated by voltage readings taken prior to the demonstration.\nThe coin cell consistently measured >3. volts. The 9-volt battery consistently read 9.25 volts.\n\n<<>>\n\nThe cell was submerged in oil for approximately 1 minute. Once submerged, the voltage was\nmeasured by placing the negative probe of the voltmeter on the back of the cell and placing the\npositive probe on the edge or positive side of the cell. The cell constantly provided >3 Volts. The\nmeasurement was repeated several times and yielded a similar result, regardless, of the orientation\nof the battery.\nThe 9-volt battery was placed into the oil and again, after approximately 1 minute, the voltage\nmeasured was identical to the dry reading. This was repeated several times with identical results\ndemonstrating that the oil does not provide insulation from the current. Even though the oil itself is\nnot conductive, it does not insulate the battery terminals.\n\n<<>>\n\nFour batteries were placed into a jar partially filled with oil to demonstrate that the oil cannot prevent\nmovement within a package incidental to transportation. When the jar is tilted, even slightly, the\nbatteries easily slide to one side of the container. We can assume that inner packages will react\nsimilarly if submerged in oil within a container.\nIn the last demonstration, we placed a randomly selected group of batteries into a jar. The batteries\nmay still become oriented such that the terminals could make contact. Insulated batteries were\nchosen as a safety precaution for the demonstration. However, our experience is that most\ngenerators assume (based on previous guidance) that the oil provides insulation and are placing the\nbatteries directly into a container. We also found that the oil prevents most adhesives from adhering\nto the batteries, thus further exposing the terminals to contact within the container.\n\n<<>>\n\nThe high energy density within lithium batteries represents a potential hazard during transportation\nwhen not packaged in a manner that prevents short circuit, movement, or activation of equipment\ncontaining lithium batteries. If a short occurs because of uninsulated batteries it could result in thermal\nrunaway1. The heat generated from a battery during internal decomposition can propagate to other\ncells within a package. Research on lithium battery fires and the resulting debris generated form a\nthermal event demonstrates that temperatures reach the melting point of copper foil within the\nbattery2. This indicates that local internal temperature in a lithium battery fire can exceed 1800 °F,\n(copper melts at 1985 °F.). Since mineral oil has a flash point below 500°F, even high temp oils may\nachieve auto ignition. Therefore, the oil provides additional fuel that may spread the fire to adjacent\nareas if released during a fire.\nFor these reasons, we hope that you will concur with our concern that packaging lithium batteries in oil\nis not compliant with the HMR and may potentially exacerbate a thermal event.\nWe look forward to hearing from you on this matter. If you have any questions concerning the\ninformation within, please contact my office at (714) 738-8516.\nRespectfully submitted,\nPaul D. Johnson\nExecutive Director of Environmental Affairs\nKBI\ncc; George Kerchner, Wiley Rein LLP\n1 This is when the electrodes decompose, liberating gas vapors, and the internal structures of the cell collapses.\nOften resulting in the rapid deconstruction of the battery\n2Temperature effect and thermal impact in lithium-ion batteries: A review A123 Systems Research Center, 200\nWest Street, Waltham, MA 02451, USA\n\n<<>>\n\nU.S. Department\nof Transportation\nPipeline and Hazardous\nMaterials Safety\nAdministration\n1200 New Jersey Avenue, SE\nWashington, D.C. 20590\nOCT 2 1 201\nMr. Richard Weinberger\nLab Department Engineer\nRayovac Corporation\nPortage, WI 53901\nReference No. 15-0100\nDear Mr; Weinberger:\nThis is in response to your May 26, 2015 email and subsequent telephone conversation with\na member of my staff requesting clarification of the requirements for shipping dented or\ndamaged lithium metal batteries in accordance with the Hazardous Materials Regulations\n(HMR; 49 CFR Parts 171-180). In your email you state that damaged or dented lithium\nmetal batteries are collected in a 30-gallon drum and filled with mineral oil. After reviewing\nthe regulations in § 173.185 for damaged, defective, or recalled batteries you ask if the\nregulations for damaged and defective batteries are in addition to the regulations for lithium\nbatteries shipped for disposal and whether the method described in your letter is compliant\nwith the HMR.\nThe regulations for shipping damaged, defective, or recalled batteries are separate from the\nregulations for lithium batteries shipped for disposal or recycling. The regulations in\n§ 178.185(d) and (f) are intended to address specific cases as identified in the introductory\ntext to those paragraphs.\nThe method described in your letter is partially compliant with the requirements for offering\nlithium cells or batteries for disposal or recycling as described in § 173.185(d). The use of\nmineral oil effectively prevents movement of the cells or batteries in the package and\nprevents short circuiting between batteries in the package. Lithium cells and batteries\nshipped for disposal or recycling are excepted from the design testing and record keeping\nrequirements of § 173.185(a) and the UN specification packaging requirements of\n§ 173.l 85(b)(3)(ii). However, in accordance with § 173.l 85(b)(3)(i), the cells and batteries\nmust be placed in non-metallic inner packages that completely enclose the cells or batteries\nand separate the cells or batteries from contact with equipment, other devices, or conductive\nmaterial in the packaging. Based on the information provided in your letter it does not\nappear that the packing method described in your letter addresses the requirement to place\nthe cells in non-metallic inner packages that completely surround the cells or batteries.\nThe method described in your letter is not compliant with the requirements for offering\ndamaged lithium cells and batteries as described in § 173.185(:(). The regulations for the\nshipment of damaged lithium cells and batteries found in § 173.l 85(f) apply to cells and\nbatteries that have been damaged, or identified by the manufacturer as being defective for\n\n<<>>\n\nsafety reasons, that have the potential for producing a dangerous evolution of heat, fire or\nshort circuit. Such cells and batteries must be placed in individual, non-metallic inner\npackaging that completely encloses the cell or battery. The inner packaging must be\nsurrounded by cushioning material that is non-combustible, non-conductive, and absorbent.\nFinally, each inner package must be individually placed into one of the specific outer\npackagings identified in § 173.185(±).\nYou may apply to PHMSA for permission to use an alternate means to package damaged\nlithium cells and batteries under the terms of a special permit. To apply, you must submit an\napplication to the Associate Administrator for Hazardous Materials Safety that conforms to\nthe requirements prescribed in 49 CFR Part 107, Subpart B. In your application, you must\nprovide justification that the method you are considering achieves a level of safety that is\nequal to or greater than that required under the HMR. You may obtain information on the\nspecial permit and approvals applications process from our website at\nhttp://www.phmsa.dot.gov/hazmat/regs/sp-a, or by calling PHMSA's Approvals and Permits\nDivision at (202) 366-4511.\nI trust this information is helpful. Ifyou have further questions, please do not hesitate to\ncontact this office.\nen Supko\nSenior Regulations Officer\nStandards and Rulemaking Division\n\n<<>>\n\nGoodall, Shante CTR (PHMSA)\n15-0 \\ 00\nFrom:\nSent:\nTo:\nSubject:\nKelley, Shane (PHMSA)\nTuesday, May 26, 2015 4:55 PM\nGoodall, Shante CTR (PHMSA); Dodd, Alice (PHMSA)\nFW: Lithium Metal Cell Shipping Regulations\nHi Shante and Alice,\nCan we log in this request for an interp from Mr. Weinberger please? We'd like it assigned to PHH-13. Thank you\nFrom: Leary, Kevin (PHMSA)\nSent: Tuesday, May 26, 2015 1 :55 PM\nTo: Kelley, Shane (PHMSA)\nCc: Pfund, Duane (PHMSA)\nSubject: FW: Lithium Metal Cell Shipping Regulations\nAnother question on \"damaged\" batteries. There is a growing need to clarify our position on how the\ndamaged/defective batteries provisions should be implemented. The presence of requirements for damaged batteries\ncontinues to lead people in the direction that any damage is damage that have the potential to produce dangerous heat,\nfire or short circuit. The attached letter in question and answer 3) touches on the idea that \"damage\" requiring\ntreatment under the provisions of § 1 73.185(f) is linked to the likelihood that the damage will produce dangerous heat\nfire or short circuit in transit.\nI recommend assigning this letter for a written response so that we can properly coordinate.\nKevin\nFrom: Weinberger, Richard [mailto:richard.weinberger@spectrumbrands.com]\nSent: Tuesday, May 26, 2015 1 2:56 PM\nTo: Leary, Kevin (PHMSA)\nSubject: Lithium Metal Cell Shipping Regulations\nHello Kevin,\nMy name is Rick Weinberger and I handle the environmental system for Rayovac in Portage, WI. I was hoping to get\nclarification on the new Lithium DOT regulations. At our facility, any dented or damaged lithium metal batteries had\nbeen collected in a 30 gallon steel drum filled with oil. After looking at the new DOT regulations of damaged lithium\ncells, our disposal company raised concerns with this method.\nWould this still be a viable option for our facility or are we now required to individually package each lithium cell in a\nvacuum packed bag with something like Argon? Are the rules for \"lithium cells shipped for disposal\" in addition to the\nregulations for \"damaged, defective, or recalled batteries\"?\nThis would obviously be problematic for our facility as we produce hundreds of thousands of damaged or tested cells\neach year. If you could get back to me at your earliest convenience I would greatly appreciate it.\nThank you,\nRick Weinberger\nLab Department Engineer\n1\n\n<<>>\n\nP. ayovac Corporation\nPortage, WI 53901\n(608) 742-5373 Ext. 238\nRegulations in question:\n• (f) Damaged, defective, or recalled cells or batteries.\n• Lithium cells or batteries, that have been damaged or identified by the manufacturer as being defective for safety reasons, that have the\npotential of producing a dangerous evolution of heat, fire, or short circuit( e.g. those being returned to the manufacturer for safety reasons)\nmay be transported by highway, rail or vessel only, and must be packaged as follows:\n• Each cell or battery must be placed in individual, non-metallic inner packaging that completely encloses the cell or battery;\n• The inner packaging must be surrounded by cushioning material that is non-combustible, non-conductive, and absorbent; and\n• Each inner packaging must be individually placed in one of the following packagings meeting the requirements of part 1 78, subparts L and\nM, of this subchapter at the Packing Group I level:\no Metal (4A, 48, 4N), wooden (4Cl,4C2, 4D, 4F), or solid plastic (4H2) box;\no . Metal (1 A2, 1 82, 1 N2), plywood (lD), or plastic (1H2) drum; and\n• The outer package must be marked with an indication that the package contains a \"Damaged/defective lithium ion battery\" and/or\n\"Damaged/defective lithium metal battery\" as appropriate.\n• ( d) Lithium cells or batteries shipped for disposal or recycling.\n• A lithium cell or battery, including a lithium cell or battery contained in equipment, that is transported by motor vehicle to a permitted\nstorage facility or disposal site, or for purposes of recycling, is excepted from the testing and recordkeeping requirements of\nparagraph fi1 and the specification packaging requirements of paragraph of this section, when packed in a strong outer packaging\nconforming to the requirements of §§ 1 73.24 and 1 73.24a. A lithiLl'fTl cell or battery that meets the size, packaging, and hazard\ncommunication conditions in of this section is excepted from subparts C through H of part 1 72of this subchapter.\nThis e-mail and any of its attachments may contain Spectrum Brands proprietary information, which is\nprivileged and confidential. This e-mail is intended solely for the use of the individual or entity to which it is\naddressed. If you are not the intended recipient of this e-mail, you are hereby notified that any dissemination,\ndistribution, copying, or action taken in relation to the contents of and attachments to this e-mail is strictly\nprohibited. If you have received this e-mail in error, please notify the sender immediately and permanently\ndelete the original and any copy of this e-mail and any printout.\n2","truncated":false,"body_characters":21245}