US Hazardous Materials Regulations
For purposes of transportation, lithium and lithium ion cells and batteries are regulated in the US pursuant to Part 49 of the Code of Federal Regulations, Section 173.185 (49 CFR Section 173.185) of the US hazardous materials regulations (HMR). The Office of Hazardous Materials Safety, which is within the US Department of Transportation's Research and Special Programs Administration (RSPA), is responsible for coordinating the transportation of hazardous materials (also known as dangerous goods) by air, rail, highway and water and drafting the regulations that govern such materials.

Prior to June 21, 2001, the HMR and RSPA's letters of interpretation were ambiguous with respect to how lithium ion cells and batteries were regulated in the United States. In addition, the HMR were inconsistent with the international transportation regulations (e.g., UN Recommendations on the Transport of Dangerous Goods Model Regulations, International Civil Aviation Organization (ICAO) Technical Instructions, and International Maritime Dangerous Good (IMDG) Code), which were revised in 1998/1999 to address lithium ion batteries that do not utilize lithium metal or lithium alloy. The problem was that the HMR did not have a provision for determining the amount of lithium metal or lithium alloy that would be contained in lithium ion cells and batteries. Thus, lithium ion batteries were widely understood to be considered dry batteries and excepted from regulation under the HMR.

On June 21, 2001 RSPA issued a final rule to harmonize the HMR with the 1998 UN Model Regulations, ICAO Technical Instruction, and IMDG Code thereby regulating lithium ion batteries as lithium batteries subject to a lithium equivalency calculation. Equivalent lithium content is calculated in grams on a per cell basis to be 0.3 times the rated capacity in ampere hours. Thus, the equivalent lithium content for a battery/battery pack is the rated capacity in ampere hours for a single cell multiplied by 0.3 and then multiplied by the number of cells in the battery/battery pack.

Also included in RSPA's June 21 rule was a new exception that allowed lithium ion cells containing less than 1.5 grams of equivalent lithium content and lithium ion batteries containing less than 8 grams of equivalent lithium content to be shipped without undergoing certain UN Tests and other requirements required of larger lithium and lithium ion cells and batteries.

Lithium Battery Incident at Los Angeles International Airport
While RSPA was preparing its June 21, 2001 rule, an incident occurred at the Los Angeles International Airport involving a shipment of two pallets of small, consumer-size primary lithium batteries that raised serious concerns at RSPA and the National Transportation Safety Board regarding the exception then applicable to lithium and lithium ion batteries. The pallets, containing 120,000 primary lithium batteries, caught fire and burned after being mishandled and damaged by cargo handling personnel. At the time, these batteries were excepted from regulation under the HMR and ICAO Technical Instructions.

As a result of this incident, RSPA staff undertook an exhaustive analysis on lithium and lithium ion cells and batteries to better understand both battery chemistries and their respective risks. This analysis included nail and drill penetration and fire submersion experiments. RSPA officials also suggested to the battery industry that it was considering removing the regulatory exception for small lithium and lithium ion cells and batteries and requiring a Class 9 hazardous material designation for all shipments.

While RSPA conducted its analysis and experiments, the Portable Rechargeable Battery Association (PRBA) and several other battery trade associations implemented a voluntary air transportation communications program (VATCP). Under this program, members of the trade associations upgraded their packaging and began using new markings and shipping documentation for their shipments of lithium and lithium ion cells and batteries that were transported by air. Once RSPA completed its analysis, a new regulatory scheme for shipping and testing lithium and lithium ion batteries was developed for inclusion in the UN Recommendations on the Transport of Dangerous Goods Model Regulations and UN Manual of Tests and Criteria.

New Testing and Transportation Requirements
The new UN regulatory scheme includes many of the same provisions first developed in the VATCP. It also requires that all lithium and lithium ion cells and batteries manufactured after January 1, 2003 pass the following UN Tests prior to being transported:

Test 1: Altitude Simulation - This test simulates air transport under low-pressure conditions.

Test 2: Thermal Test - This test assesses cell and battery seal integrity and internal electrical connections. The test is conducted using rapid and extreme temperature changes.

Test 3: Vibration - This test simulates vibration during transport.

Test 4: Shock - This test simulates possible impacts during transport.

Test 5: External Short Circuit - This test simulates an external short circuit.

Test 6: Impact - This test simulates an impact.

Test 7: Overcharge - This test evaluates the ability of a rechargeable battery to withstand an overcharge condition.

Test 8: Forced Discharge - This test evaluates the ability of a primary or a rechargeable cell to withstand a forced discharge condition.

A complete description of the UN Tests is available at www.unece.org/trans/main/dgdb/ dgcomm/ac10rep/ac1027a2e.pdf.

RSPA issued a notice of proposed rulemaking on April 2, 2002 to adopt the new UN testing requirements and remove the long-held exception from testing for small, consumer-size lithium and lithium ion cells and batteries. RSPA's proposed rule does provide a grandfather clause that allows batteries that were manufactured prior to January 1, 2003 to be shipped until December 31, 2004 without being tested. This provides the battery industry a two year period to exhaust its supply of cells and batteries "in the pipeline" (i.e., batteries in the chain of commerce). There also is a proposed exception for cells and batteries shipped for testing (when shipped by ground).

The other important regulatory change that goes into effect on January 1, 2003 pertains to the Class 9 designation required of larger lithium and lithium ion batteries. The following cells and batteries must pass the new UN Tests and be shipped as a Class 9 hazardous material:
• A lithium metal or lithium alloy cell with a lithium content of more than 1.0 gram;
• A lithium ion cell with an equivalent lithium content of more than 1.5 grams;
• A lithium metal or lithium alloy battery with an aggregate lithium content of more than 2.0 grams; and
• A lithium ion battery with an aggregate equivalent lithium content of more than 8 grams

RSPA's proposed rule also contains new packaging, marking and shipping documentation requirements for shipments of lithium and lithium ion cells and batteries. Effective January 1, 2003, packages containing more than 24 lithium or lithium ion cells or 12 lithium or lithium ion batteries must:
• Be marked to indicate that it contains lithium or lithium ion cells or batteries and that special procedures should be followed in the event that the package is damaged;
• Be accompanied by a document indicating that the package contains lithium batteries and that special procedures should be followed in the event that the package is damaged;
• Be capable of withstanding a 1.2 meter drop test in any orientation without damage to cells or batteries contained in the package, without shifting of the contents that would allow short circuiting and without release of package contents; and
• Not exceed 30 kg gross mass.

Note: There is a discrepancy between RSPA's proposed rule and the UN Model Regulations and ICAO Technical Instructions regarding the exception from testing requirements for cells and batteries shipped for testing, and how the new packaging and marking requirements apply to batteries packed with or contained in equipment. PRBA currently is working with RSPA to resolve that discrepancy.

Conclusion
The new regulatory scheme for transporting lithium and lithium ion cells and batteries developed by the US Department of Transportation and international regulatory organizations is a reasonable approach for insuring the safe transport of these products.

There are, however, several challenges now facing the battery industry. First and foremost, lithium and lithium ion battery manufacturers must identify competent battery testing facilities that are equipped to run the eight UN Tests in order to comply with the January 1, 2003 deadline. With a shortage of such testing facilities in North America, a last minute rush by the battery industry to comply with the new testing requirements may result in a backlog at these facilities. Second, it appears that lithium ion batteries exceeding 8 grams of equivalent lithium content will become more common to meet the power demand of new portable consumer electronic equipment. Thus, unless the regulations are changed (i.e., increasing the 8 gram exception to 12 grams, or granting a limited quantity exception for lithium ion batteries containing less than 20 grams of equivalent lithium content) a significant number of lithium ion batteries used in consumer applications may soon require a Class 9 hazardous material designation for purposes of transportation.

Mr. Kerchner is regulatory analyst with CapAnalysis Group, an affiliate of the law firm of Howrey Simon Arnold & White, LLP. He has extensive experience assisting the battery industry on a wide range of domestic and international regulatory and policy issues such as transportation, collection and recycling, product labeling and hazardous waste management.