The Changing Regulations Pertaining to the Transportation of Lithium Batteries

In August of 2014 the U.S. Department of Transportation (DOT) promulgated final rule HM-224F affecting the safe transport of lithium batteries[i].  DOT announced that the resultant effects from the revisions of HM-224F will “strengthen safety conditions for the shipment of lithium cells and batteries. These changes, some of which focus specifically on shipments by air, will better ensure that lithium cells and batteries are able to withstand normal transportation conditions and are packaged to reduce the possibility of damage that could lead to an unsafe situation[ii].”

The promulgation of this final rule further aligned the Hazardous Materials Regulations (HMR) with applicable provisions of the United Nations (UN) Model Regulations, the International Civil Aviation Organization’s Technical Instructions for the Safe Transport of Dangerous Goods by Air (ICAO Technical Instructions) and the International Maritime Dangerous Goods (IMDG) Code.

The ruling brought about a strengthening in hazard communication and packaging provisions. These provisions in particular have gone through a significant change and the result should equate to an overall positive affect on the safe transport of lithium batteries in the near future.  Enhancements to the HMR includes the added use of reliable packaging, inspection and acceptance checks before loading cargo aboard aircraft, pilot notification, and employee training. August 6, 2014 marked the effective date (this is the date the rule was first published in the Federal Register) with voluntary compliance starting immediately.  Mandatory compliance starts February 6th of 2015 unless otherwise noted in the ruling.[iii]

Highlights of the final rule include:

  • Enhancement of packaging and hazard communication requirements for lithium batteries transported by air;
  • Discontinued use of the terms “equivalent lithium content” and replacement with “Watt-hours” for lithium ion cells and batteries;
  • Adoption of separate shipping descriptions for lithium metal batteries and lithium ion batteries;
  • Updated provisions governing small and medium lithium cells and batteries including cells and batteries packed with, or contained in, equipment;
  • Revision to the requirements for the transport of lithium batteries for disposal or recycling;
  • Harmonization of the provisions related to the transport of low production and prototype lithium cells and batteries with the ICAO Technical Instructions and the International Maritime Dangerous Goods Code; and
  • Adoption of brand new provisions regarding the transport of damaged, defective, and recalled lithium batteries. Of particular note is the inclusion of a new marking requirement for shipped containers of damaged/defective/recalled lithium batteries.

A precursor to the final rule was the authorization by the HMR to allow shipping of lithium batteries transported to and from the U.S. to conform to either the ICAO Technical Instructions by air or the IMDG Code by vessel.  Whilst the HMR permitted the use of these shipping descriptions (see 74 Federal Register 2207 August 25, 2009), these shipping description entries had not appeared in the Hazardous Materials Table 49 CFR § 172.101.  The end result of this regulatory inconsistency equated to the potential for frustrated shipments and confusion among shippers in the regulated community. Likewise, comments taken during NPRM development stage reflected these sentiments and stated that “differences between U.S. and international requirements for lithium batteries detract from safety by creating confusion and excessively complicating the detailed set of regulations that already apply to lithium battery shipments.”

Prior to the final rule, the Hazardous Materials Table (HMT) in § 172.101 contained three (3) entries for lithium batteries. (1) Lithium battery (UN3090), (2) Lithium batteries, contained in equipment (UN3091), and (3) Lithium batteries packed with equipment (UN3091). Separate entries for these have existed in the IMDG code and ICAO since 2009 and PHMSA allowed their use domestically via ground before or after being transported by air.

The table shown below compares the current U.S. DOT lithium battery shipping descriptions to the international lithium battery shipping descriptons (ICAO and IMDG).[iv]

table1_Lithium Batteries

The final rule from PHMSA adopted the new HMT entries shown in the table.

PHMSA’s Newly Adopted HMT Shipping Descriptions for Lithium Batteries

table2_Lithium batteries

What’s ahead for 2015?

PHMSA proposed regulatory changes for the coming year (or sooner) and HM-215M offered the regulated community a formal landscape of what to expect regarding multimodal battery shipping.

In this Notice of Proposed Rulemaking (NPRM) PHMSA plans to amend the Hazardous Materials Regulations (HMR) to further align with international regulations.  This alignment keeps pace with regulatory changes occurring in the IMDG Code, the ICAO Technical Instructions, and the United Nations Recommendations on the Transport of Dangerous Goods-Model Regulations. The comment-period ended October 24, 2014.

Highlights of the NPRM revolve around changes to 49 CFR § 173.185 and includes the following summarized revisions[v]:

  • PHMSA proposed to add paragraph (b)(6) and revise paragraph(f)(3) to authorize and prescribe the use of a large packaging for a single large lithium battery or a battery contained in equipment. This authorization does not include transportation by aircraft.
  • PHMSA’s NPRM proposed to amend paragraph (c)(4)(v) to require a shipping paper for these packages containing no more than 2.5 kg of lithium metal cells or batteries or 10 kg of lithium ion cells or batteries per package.
  • Section II of Packing Instruction 968 in the ICAO TI was amended to require shipments of small lithium metal cells and batteries to display the “CARGO AIRCRAFT ONLY” label where previously only a lithium battery handling marking was required. Presently under the HMR, a package containing such lithium metal cells or batteries as provided in § 173.185(c)(1)(iii), is required to be marked “PRIMARY LITHIUM BATTERIES—FORBIDDEN FOR TRANSPORT ABOARD PASSENGER AIRCRAFT” or “LITHIUM METAL BATTERIES—FORBIDDEN FOR TRANSPORT ABOARD PASSENGER AIRCRAFT.” According to the agency, following the change to the ICAO TI, the present text marking will now be redundant. PHMSA proposed to provide an alternative to the existing marking requirement in § 173.185(c)(1)(iii) with the option to display a “CARGO AIRCRAFT ONLY” label. This allowance to either utilize the current marking or the “CARGO AIRCRAFT ONLY” label will provide shippers with the flexibility to utilize supplies of preprinted markings or packagings, while also allowing shippers to transition to the use of the “CARGO AIRCRAFT ONLY” if desired.

The demand for lithium batteries is on the rise.  Reliance on the convenience of stored energy from batteries is increasing globally.  The consumer electronics market has been a large driver in the increased demand for low-cost batteries with improved efficiency, power, and capacity.  The global battery market is estimated to be a $50 billion (US) industry with future sales predictions rising as a result of heightened buyer demand. We will continue see an increase in batteries being transported in commerce and thus a continued need for safety regulations that must constantly change and quickly harmonize globally in order keep pace with industry.  Those responsible for preparing lithium batteries and cells for transport will have to maintain flexibility as these rules evolve.

 

[i] http://www.gpo.gov/fdsys/pkg/FR-2014-08-06/pdf/2014-18146.pdf

[ii] http://www.dot.gov/briefing-room/us-department-transportation-issues-new-standards-improve-safety-lithium-battery

[iii] Source: 79 Federal Register 46012 August 06, 2014

[iv] Source:  74 Federal Register 2207 August 25, 2009

[v] http://www.gpo.gov/fdsys/pkg/FR-2014-08-25/pdf/2014-19161.pdf

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