Consolidated Nuclear Security — Hazardous Materials Safety Interpretation

Page 11200 New Jersey Avenue, SE Washington, DC 20590 U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration October 20, 2022 Chris Carthel Consolidated Nuclear Security Pantex Plant P.O. Box 30020 Amarillo, TX 79120-0020 Reference No. 22-0007 Dear Mr. Carthel: This letter is in response to your January 27, 2022, email requesting clarification of the Hazardous Materials Regulations (HMR; 49 CFR Parts 171-180) applicable to lithium cells and batteries. In your email, you ask about the testing requirements specified in § 173.185(a) and the shipper’s responsibility for verifying—prior to shipment—that lithium cells and batteries offered for transportation meet the criteria in part III, subsection 38.3 of the United Nations (UN) Manual of Tests and Criteria. Specifically, you ask whether a general statement in a safety data sheet, website, email, or other document provided by the manufacturer that the lithium batteries meet the test criteria would satisfy the requirements of § 173.185(a)(2) or must a shipper obtain and review the test summary document itself. In accordance with § 173.185(a)(1), each lithium cell or battery must be of a type proven to meet the criteria in part III, subsection 38.3 of the UN Manual of Tests and Criteria. Each manufacturer and subsequent distributor of lithium cells or batteries manufactured on or after January 1, 2008, must make available a test summary. See § 173.185(a)(3). The test summary includes a standardized set of elements that provide traceability and accountability, thereby ensuring that lithium cell and battery designs offered for transport contain specific information on the required UN tests. Additionally, it is the responsibility of the shipper to ensure the cell or battery is of a tested type.#

Page 2A shipper could rely on information provided by the battery or product manufacturer as evidence that the cell or battery meets the required tests, but this would not meet the requirement for a manufacturer or distributor to make available a test summary as required in § 173.185(a)(2). I hope this information is helpful. Please contact us if we can be of further assistance. Sincerely, T. Glenn Foster Chief, Regulatory Review and Reinvention Branch Standards and Rulemaking Division#

Page 3Andrews From: INFOCNTR (PHMSA) To: Dodd, Alice (PHMSA) Cc: Hazmat Interps Subject: FW: [External] RE: Request for Interpretation - Lithium Battery Test Summaries Date: Thursday, February 3, 2022 3:42:50 PM Attachments: image001.png 22-0007 Hi Alice, Please see the below interpretation request. Should you have any questions, please do not hesitate to reach out. Regards, -Breanna From: Carthel, Chris <Chris.Carthel@pxy12.doe.gov> Sent: Wednesday, February 2, 2022 9:32 AM To: INFOCNTR (PHMSA) <INFOCNTR.INFOCNTR@dot.gov> Subject: RE: [External] RE: Request for Interpretation - Lithium Battery Test Summaries CAUTION: This email originated from outside of the Department of Transportation (DOT). Do not click on links or open attachments unless you recognize the sender and know the content is safe. Hello Breanna: Below is the information you requested: Mailing Address: Pantex Plant Attn: Chris Carthel P.O. Box 30020 Amarillo, TX 79120-0020 Physical Address: Pantex Plant Attn: Chris Carthel US Highway 60 & FM2373 Panhandle, TX 79068 Chris Carthel#

Page 4Transportation Advisor Contractor to the Department of Energy Chris.Carthel@pxy12.doe.gov (806) 573-5703 Office From: INFOCNTR (PHMSA) <INFOCNTR.INFOCNTR@dot.gov> Sent: Tuesday, February 1, 2022 10:58 AM To: Carthel, Chris <Chris.Carthel@pxy12.doe.gov> Subject: [External] RE: Request for Interpretation - Lithium Battery Test Summaries Dear Chris, We have received your request for a written letter of interpretation regarding the hazardous materials regulations (49 CFR Parts 171-180). The hazardous materials regulations are available at the following URL: https://www.ecfr.gov/cgi-bin/text-idx? SID=1d49a3b137cb1b6fc45251074e634b44&tpl=/ecfrbrowse/Title49/49tab_02.tpl However, before we can submit your request for processing, please respond to this email with: Physical Mailing Address Sincerely, Breanna, Hazardous Materials Specialist An e-mail response from this office is considered informal guidance. Formal guidance may be requested in accordance with 49 CFR 105.20. https://www.phmsa.dot.gov/standards- rulemaking/hazmat/hazardous-materials-information-center From: Carthel, Chris <Chris.Carthel@pxy12.doe.gov> Sent: Thursday, January 27, 2022 10:36 AM To: INFOCNTR (PHMSA) <INFOCNTR.INFOCNTR@dot.gov> Subject: Request for Interpretation - Lithium Battery Test Summaries CAUTION: This email originated from outside of the Department of Transportation (DOT). Do not click on links or open attachments unless you recognize the sender and know the content is safe. Hello: Based on PHMSA Docket HM-215O [codified at 49 CFR 173.185(a)] and DOT’s Lithium Battery Guide for Shippers, it appears DOT holds shippers responsible for verifying—prior to shipment—that#

Page 5lithium cells and batteries offered for transportation have passed the design tests found in the UN Manual of Tests and Criteria, Section 38.3, as reflected in the manufacturer’s lithium battery test summary. When a lithium battery manufacturer provides a general statement in a safety data sheet, website, email, or other document which certifies their batteries have passed the relevant tests in UN 38.3, is this sufficient evidence upon which a shipper may rely to proceed with shipping , or must the shipper obtain and review the test summary itself? Please advise. Thank you. Respectfully, Chris Carthel Transportation Advisor Contractor to the Department of Energy Chris.Carthel@pxy12.doe.gov (806) 573-5703 Office#