DHL Global Forwarding (RADIX International) — Hazardous Materials Safety Interpretation

Page 1U.S. Department of Transportation Pipeline and Hazardous Materials Safety Administration 1200 New Jersey Avenue, SE Washington, DC 20590 August 17, 2023 Dennis Raymund V. Franco Manager DG (HAZMAT) Compliance, International Affair & Compliance DHL Global Forwarding (RADIX International) 22879 Glenn Drive, Suite 100 Sterling, VA 20164 Reference No. 23-0040 Dear Mr. Franco: This letter is in response to your April 17, 2023, email requesting clarification of the Hazardous Materials Regulations (HMR; 49 CFR Parts 171-180) applicable to lithium cells and batteries. Specifically, you seek clarification on the required lithium battery test summaries as prescribed in § 173.185(a)(3). We have paraphrased and answered your questions as follows: Q1. You ask whether the lithium battery test summary expires or otherwise must be renewed at intervals such as annually. A1. The answer is no. Lithium cells and batteries manufactured according to a type meeting the requirements of part III, sub-section 38.3 of the UN Manual of Tests and Criteria, Revision 3, Amendment 1, or any subsequent revision and amendment applicable at the date of the type testing, may continue to be transported, unless otherwise provided in the HMR. The information in a lithium battery test summary linked to a specific cell/battery/device remains valid indefinitely unless otherwise specified. Q2. If there is no alteration to the lithium battery itself, you ask what date each UN 38.3 lithium battery test summary remains valid.#

Page 2A2. See answer A1. New or revised lithium battery test summary information would be required only if the cell/battery/device is of a different design that necessitated re-testing. In that instance, a new lithium battery test summary would need to be generated. I hope this information is helpful. Please contact us if we can be of further assistance. Sincerely, Dirk Der Kinderen Chief, Standards Development Branch Standards and Rulemaking Division#

Page 3Cardez 23-0040 From: Leary, Kevin (PHMSA) To: Cc: Subject: Date: Dodd, Alice (PHMSA); Hillman, Kenetha CTR (PHMSA) Pfund, Duane (PHMSA); Kelley, Shane (PHMSA) FW: UN 38.3 Test Summary Report Validity Monday, April 17, 2023 2:24:09 PM Attachments: image002.png Alice would you mind logging this request for an interp? I spoke on the phone with this individual and while he understand the requirements he is specifically requesting an interp letter for reference. I can provide additional information as necessary to assist the whomever is assigned this letter. Thank you, Kevin From: Dennis Raymund (DHL US) <dennis.franco@dhl.com> Sent: Monday, April 17, 2023 1:08 PM To: Leary, Kevin (PHMSA) <Kevin.Leary@dot.gov> Cc: Baker, Yul (PHMSA) <yul.baker@dot.gov>; Pfund, Duane (PHMSA) <Duane.Pfund@dot.gov> Subject: RE: UN 38.3 Test Summary Report Validity 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. Dear Kevin, I have this site, but it only talks about the availability of the UN 38.3 Test Summary Report when requested. My Question is: 1. Once the UN 38.3 is available, does the UN 38.3 Test Summary Report requires to be renew on annual basis? When it will expired? 2. Until when is the validate date of each UN 38.3 Test Summary Report, if there is no alternation from the battery itself? Thanks & best Regards, Dennis Raymund V. Franco Manager DG (HAZMAT) Compliance, International Affair & Compliance DHL Global Forwarding (RADIX International) 22879 Glenn Drive, Suite 100 Sterling, VA, 20164, United States of America iPhone: +1 703-826-1229 Email: dennis.franco@dhl.com Warning: This record may contain sensitive security information (SSI) that is controlled under 49 CFR Parts 15 and 1520. No part of this record may be disclosed to persons without a “need to know,” as defined in 49 CFR Parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. Government Agencies, Public disclosure is governed by#

Page 45 U.S.C. 552 and 49 CFR Parts 15 and 1520. From: Leary, Kevin (PHMSA) <Kevin.Leary@dot.gov> Sent: Monday, April 17, 2023 12:57 PM To: Dennis Raymund (DHL US) <dennis.franco@dhl.com> Cc: Baker, Yul (PHMSA) <yul.baker@dot.gov>; Pfund, Duane (PHMSA) <Duane.Pfund@dot.gov> Subject: RE: UN 38.3 Test Summary Report Validity Mr. Franco, please see responses to your questions below. Also please consult our publication on Lithium Battery Test summaries designed for additional information to assist in understanding and implementing the lithium battery test summary requirement effective January 1, 2022. https://www.phmsa.dot.gov/sites/phmsa.dot.gov/files/2022- 01/Test%20Summary%20Brochure%20web.pdf Thank you and please reach out if we can be of further assistance. Kevin Leary Transportation Specialist, International Program US Department of Transportation Pipeline and Hazardous Materials Safety Administration 1200 New Jersey Ave SE, Washington, DC, 20590 Office: +1 202.366.2944 ◊ Mobile: +1 202.603.1647 PHMSA Home | LinkedIn | Twitter | HAZMAT | OPS From: Dennis Raymund (DHL US) <dennis.franco@dhl.com> Sent: Friday, April 14, 2023 7:55 AM To: Pfund, Duane (PHMSA) <Duane.Pfund@dot.gov>; Baker, Yul (PHMSA) <yul.baker@dot.gov>; Dodd, Alice (PHMSA) <Alice.Dodd@dot.gov> Subject: UN 38.3 Test Summary Report Validity 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. Good morning All, Need you help in locating in the 49 CFR the Validity date of the UN 38.3 Test Summary Report. Is there an expiry date after it was tested? Cells and batteries manufactured according to a type meeting the requirements of sub-section#

Page 538.3 of the UN Manual of Tests and Criteria, Revision 3, Amendment 1 or any subsequent revision and amendment applicable at the date of the type testing may continue to be transported, unless otherwise provided in this subchapter. (see 49 CFR 173.185(a)(1)(i)) How long will it stay valid? The information in the test summary linked to a specific cell/battery/device remains valid indefinitely unless otherwise specified. Does this certificates have to be renewed every year to be valid for the next year? No. New or revised test summary information would only be required if the cell or battery is of a different design that necessitated re-testing. In that case new test summary information should be generated. The Title 49 § 173.185 Lithium cells and batteries states that must be of the type proven to meet the criteria in part III, sub-section 38.3 of the UN Manual of Tests and Criteria. Please see attached sample that was tested at 15 October 2019 and documentation was generated on 01 December 2022. Please advice Thanks and Best Regards Dennis Raymund V. Franco Manager DG (HAZMAT) Compliance, International Affair & Compliance DHL Global Forwarding (RADIX International) 22879 Glenn Drive, Suite 100 Sterling, VA, 20164, United States of America iPhone: +1 703-826-1229 Email: dennis.franco@dhl.com Warning: This record may contain sensitive security information (SSI) that is controlled under 49 CFR Parts 15 and 1520. No part of this record may be disclosed to persons without a “need to know,” as defined in 49 CFR Parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. Government Agencies, Public disclosure is governed by 5 U.S.C. 552 and 49 CFR Parts 15 and 1520. From: Baker, Yul (PHMSA) <yul.baker@dot.gov> Sent: Tuesday, August 30, 2022 2:40 PM To: Dennis Raymund (DHL US) <dennis.franco@dhl.com> Subject: RE: LITHIUM BATTERY IN COMPLIANCE IN SECTION II Dennis, If a freight forwarder is consolidating lithium cells and batteries with non-hazardous materials this would be acceptable provided: 1. The lithium cells and batteries are not prohibited from being transported aboard a passenger aircraft.#

Page 62. The lithium cells and batteries, when packed together in an overpack, would not cause a dangerous evolution of heat, or flammable or poisonous gases or vapors, or to produce corrosive materials aboard the aircraft (see § 173.21(e)). I hope this answers your questions and if you need anything else, please let me know. Thank you, Mr. Yul Brenner Baker Jr. Transportation Regulations Specialist, Standards Development USDOT, PHMSA Pipeline and Hazardous Materials Safety Administration 1200 New Jersey Ave, SE, Washington, DC, 20590 Office number: 202-493-0867 From: Dennis Raymund (DHL US) <dennis.franco@dhl.com> Sent: Tuesday, August 30, 2022 12:51 PM To: Baker, Yul (PHMSA) <yul.baker@dot.gov> Subject: RE: LITHIUM BATTERY IN COMPLIANCE IN SECTION II 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. Hi Yul, The 2nd Question is about Lithium Cells/Batteries under Section II Requirement (No DGD) in Consolidation with General cargo (non-Dangerous Good). This consolidation shipment will be moving on a passenger aircraft Also, there will be a consolidation of with Gen. CGO (non-DG) with Regulated Cells/batteries. These cells/batteries is Transported with a shipper Declaration for Dangerous Goods (DGD). 1. 2. Are freight Forwarder allow to do this Consolidation? Can you please provide where in the Regulations stating that we can perform this functions of consolidating shipment of cells/batteries with a general cargo (non-DG) Thanks for your guidance and support. Best Regards, Dennis Raymund V. Franco Manager DG Compliance DHL Global Forwarding 22879 Glenn Drive, Suite 100 Sterling, VA, 20164, United States of America#

Page 7iPhone: +1 703-826-1229 Email: dennis.franco@dhl.com Warning: This record may contain sensitive security information (SSI) that is controlled under 49 CFR Parts 15 and 1520. No part of this record may be disclosed to persons without a “need to know,” as defined in 49 CFR Parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. Government Agencies, Public disclosure is governed by 5 U.S.C. 552 and 49 CFR Parts 15 and 1520. From: Baker, Yul (PHMSA) <yul.baker@dot.gov> Sent: Tuesday, August 30, 2022 12:30 PM To: Dennis Raymund (DHL US) <dennis.franco@dhl.com> Subject: RE: LITHIUM BATTERY IN COMPLIANCE IN SECTION II Good Afternoon Dennis, I apologize for the delay in responding, To answer your first question, lithium cells and batteries are not permitted to be loaded in unit load devices per the regulations (see § 173.185(c)(4)(v)). As it pertains to your second question, can you please clarify “general cargo.” Are you asking if lithium cells and batteries can be transported by cargo only aircraft? Thank you, Mr. Yul Brenner Baker Jr. Transportation Regulations Specialist, Standards Development USDOT, PHMSA Pipeline and Hazardous Materials Safety Administration 1200 New Jersey Ave, SE, Washington, DC, 20590 Office number: 202-493-0867 From: Dennis Raymund (DHL US) <dennis.franco@dhl.com> Sent: Thursday, August 25, 2022 5:08 PM To: Dodd, Alice (PHMSA) <Alice.Dodd@dot.gov> Cc: Baker, Yul (PHMSA) <yul.baker@dot.gov>; DerKinderen, Dirk (PHMSA) <Dirk.DerKinderen@dot.gov>; INFOCNTR (PHMSA) <INFOCNTR.INFOCNTR@dot.gov> Subject: LITHIUM BATTERY IN COMPLIANCE IN SECTION II 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. Dear Alice,#

Page 8Need your help in locating the specific provision in USDOT 49 CFR 173.185 on Lithium Battery and cell on the following issue: 1. Are Freight Forwarder allow to load a lithium battery/cell in an airline borrowed Unit Load Device (ULD). 2. Can a Freight Forwarder consolidate battery with general cargo? There was a previous video that produced by PHMSA on the Awareness of the transport of lithium battery. (Lithium Battery Guidance for Cargo and Ramp personnel.) that restrict us in loading such item in a ULD and as well Consolidation with general cargo. Regards, Dennis Raymund V. Franco Manager DG Compliance DHL Global Forwarding 22879 Glenn Drive, Suite 100 Sterling, VA, 20164, United States of America iPhone: +1 703-826-1229 Email: dennis.franco@dhl.com Warning: This record may contain sensitive security information (SSI) that is controlled under 49 CFR Parts 15 and 1520. No part of this record may be disclosed to persons without a “need to know,” as defined in 49 CFR Parts 15 and 1520, except with the written permission of the Administrator of the Transportation Security Administration or the Secretary of Transportation. Unauthorized release may result in civil penalty or other action. For U.S. Government Agencies, Public disclosure is governed by 5 U.S.C. 552 and 49 CFR Parts 15 and 1520.#