A: Maybe.

When discarded, most lithium-ion (secondary batteries) and lithium primary batteries in use today are likely to be hazardous waste due to ignitability and reactivity (D001 and D003, respectively). With the exception of households, the generator of a waste is responsible for determining whether the spent lithium batteries they generate are hazardous waste and, if they are,
how they are to be managed in compliance with Federal and State hazardous waste requirements.

One compliance option is to manage the hazardous waste lithium batteries as a universal waste.

A handler of universal waste may only manage broken or damaged lithium batteries as universal wastes if the breakage or damage does not constitute a breach in an individual cell casing. The definition of battery in 40 CFR 273.9 does not explicitly state that all batteries must be whole; however, the definition includes an intact, unbroken battery from which the electrolyte has been
removed (60 FR 25492, 25504; May 11, 1995).

Additionally, the requirements for handlers of universal waste allow certain management activities, such as sorting and mixing batteries, provided the batteries or cell casings are not breached and remain intact (sections 273.13(a)(2) and 273.33(a)(2)). The disassembly of a battery pack into individual modules or cells with no damage done to the cell casing does not make a battery damaged or defective.

In sum: A DDR lithium cell or battery may be managed as a universal waste as long as the damage does not constitute a breach in the cell casing.

Damaged, defective, or recalled (DDR) batteries may not be transported by air. In addition, they must comply with specific Department of Transportation (DOT) packaging requirements found at 49 CFR 173.185(f).

An email received March 21, 2022:

Good Afternoon Daniel

I am inquiring in regards to the labelling using UN3481. We have a product that requires the UN3481 but also instructed us to use the attached label “Cargo Aircraft Only”. It is my understanding that this label is only for UN3090 & UN3091.. This is a charger for phones, attached is the MSDS sheet. Can you possibly let me know if we are to use the Cargo Aircraft only? Our plan is to ship via USPS, FedEx and/or UPS.

Can you possibly provide some insight on this?

Again question is do we need to apply the Cargo Aircraft Only sticker, or can we just apply the UN3481

Note: The attached safety data sheet (SDS) indicated the Watt-hour rating is 11.55 Wh. A battery with this Wh rating is eligible for an exception from full regulation for “small” lithium batteries at 49 CFR 173.185(c).

My reply:

I can assist you. It is possible the CAO label is required depending on how the battery is classified and packed. Please confirm or correct the following:

• Is this for a UN3481, Lithium ion battery contained in equipment or UN3481, Lithium ion battery packed with equipment?
• What is the mode of transport: Highway, rail, vessel, or air?
• What is the Watt hour (Wh) rating for the battery?
• What is the net quantity of lithium battery in each package?
• How many lithium batteries will be in each package?

With the above information I will be better able to answer your question.

Note: Answers to some of the questions I asked may not be necessary. However, when classifying lithium cells or batteries for transportation I have found it better to have too much information than too little.

Read: Classification of Lithium Batteries for Transportation in Commerce

Questioner:

So this is a power bank. Method of transportation: USPS-priority/first class, or UPS/FedEx Ground.. I didn’t think we could ship air?

It can be from 1 to 4 power banks. Varies on the purchase.

Note: Their answer, “So this is a power bank.” led me to believe that the correct classification was not UN3481, Lithium ion battery contained in equipment or UN3481, Lithium ion battery packed with equipment. Instead, I now suspect the correct classification is UN3480, Lithium ion battery, which is a lithium ion battery packed alone. I needed to clarify this before I could proceed to answer their question.

Daniels Training Services:

Please clarify my understanding, which of the following classifications applies to this battery:

• UN3481, Lithium ion battery contained in equipment
• UN3481, Lithium ion battery packed with equipment

Or…

• UN3480, Lithium ion battery (lithium ion battery packed alone).

Questioner:

Yes it is packed alone.. i agree it should be un3480 but we are being told it is un3481 which is what we don’t understand.

Daniels Training Services:

With that clarification I was now able to provide them with the information they required.

Please see below for a summary of the regulatory requirements based on the available information. I am providing information solely for transport by ground within the U.S. subject to USDOT/PHMSA regulations for commercial carriers (FedEx, UPS). I am not considering transport by USPS. (I find their regulations confusing and many postal personnel do not know them properly resulting in confused shipping).

These batteries may be transported by air anywhere in the world subject to the regulations of the International Air Transport Association (IATA). I am familiar with the IATA Dangerous Goods Regulations but they are not considered here. Learn more about ICAO & IATA.

• Classification per USDOT/PHMSA: UN3480, Lithium ion battery, 9
• Shipper must comply with the general packing requirements at 49 CFR 173.185(a) and (b).
• Based on the Wh rating (11.55 Wh) it is eligible for the packaging exception at 49 CFR 173.185(c).
• The package must display the lithium battery mark. The mark must display the ID # “UN3480” in characters at least 12 mm high and an information phone number.
• The package must also display some form of hazard communication indicating it is forbidden as cargo on passenger aircraft. Options for this hazard communication are limited to one of the following:
  • “LITHIUM ION BATTERIES – FORBIDDEN FOR TRANSPORT ABOARD PASSENGER AIRCRAFT”

Or…

• • Display the “CARGO AIRCRAFT ONLY” label.
• It seems strange, but even when transportation is entirely by ground, one of the above hazard communication methods must be displayed on the package if it is a lithium cell or battery (packed alone) and is transported subject to the “small” lithium battery exception at §173.185(c).
• It seems stranger, but if this lithium cell or battery was not transported subject to the “small” lithium battery exception at §173.185(c) and instead was transported as a fully-regulated lithium cell or battery, then hazard communication indicating it is forbidden for transport as cargo on passenger aircraft is only required if transport is by aircraft.
• Package must not exceed gross weight of 30 kg (66 lb).
• There are additional packing requirements at §173.185(c)(2).

I hope this helps.

I can provide further assistance under my consulting services or I can provide HazMat Employee training.

Please contact me with any other questions.

They had one more question:

One more question, so if it is determined that it is a UN3480 Powerbank based on the watts/hr it would it require the CAO label going ground fedex or UPS?

My reply:

Not exactly.

A lithium cell or battery, packed alone classified as UN3480, Lithium ion battery, 9, and eligible for the “small” lithium battery exception at §173.185(c) must display some form of hazard communication indicating it is forbidden as cargo on a passenger aircraft. Hazard communication options are limited to one of the following:

• “LITHIUM ION BATTERIES – FORBIDDEN FOR TRANSPORT ABOARD PASSENGER AIRCRAFT”

Or…

• Display the “CARGO AIRCRAFT ONLY” label.

That did it!

The regulations for the transportation of lithium cells or batteries are complex and seem to become more stringent every year. Of special concern to the regulatory agencies is ensuring lithium cells or batteries of any size packed alone are kept from the cargo hold of passenger aircraft. This is the reason why the requirements for hazard communication that indicate a lithium cell or battery is forbidden for transport aboard passenger aircraft are so strict. Sometimes – as in this case – the requirement to indicate a consignment is forbidden as cargo on passenger aircraft applies even when transportation is by ground.

Introduction:

The 63rd Edition of the IATA Dangerous Goods Regulations (effective January 1 through December 31, 2022) includes significant changes to the packing instructions for lithium cells and batteries when packed alone (UN3480 for lithium ion or UN3090 for lithium metal). The purpose of this article is to explain the removal of Section II from packing instructions 965 and 968 from the 2022 IATA Dangerous Goods Regulations for lithium cells and batteries.

Background:

IATA is the International Air Transport Association. It is a trade association of the world’s airlines. It supports aviation with global standards for airline safety, security, efficiency and sustainability. The IATA Dangerous Goods Regulations is a “field manual” version of the ICAO Technical Instructions. Written and edited by airline dangerous goods experts, the Dangerous Goods Regulations present the requirements for shipping dangerous goods by air in a user friendly, easy to interpret format.

1.1.4 of the IATA Dangerous Goods Regulations, states that the IATA Dangerous Goods Regulations contain all of the requirements of the ICAO Technical Instructions and include additional requirements and industry standards that are more restrictive.

ICAO is the International Civil Aviation Organization. It is a specialized agency of the United Nations. The ICAO Technical Instructions are a list of requirements for the transportation of hazardous goods by air. The technical instructions are based on the recommended procedures for the transport of dangerous goods created by the UN Sub Committee of Experts on the transport of dangerous goods (TDG Sub-Committee).

The Pipeline and Hazardous Materials Safety Administration within the United States Department of Transportation (USDOT/PHMSA) is responsible for developing and enforcing regulations for the safe, reliable, and environmentally sound transportation of nearly 1 million daily shipments of hazardous materials by land, sea, and air.

At 49 CFR 171.22(a) of the Hazardous Materials Regulations, USDOT/PHMSA authorizes the transport of hazardous materials (aka: dangerous goods) within the U.S. in accordance with the ICAO Technical Instructions with certain restrictions and limitations.

Scope and Applicability:

This article is applicable solely to the 63rd Edition of the IATA Dangerous Goods Regulations. These regulations are in effect from January 1, 2022 to December 31, 2022.

Compliance with this revision is mandatory after March 31, 2022. Until that date the Section II provisions of PI 965 and PI 968 may be used as they are found in the 62nd Edition (2021) of the IATA Dangerous Goods Regulations.

This revision applies solely to the following packing instructions:

• PI 965 for lithium ion cells and batteries packed alone (UN3480) on cargo aircraft only (CAO).
• PI 968 for lithium metal cells and batteries packed alone (UN3090) on cargo aircraft only (CAO).

Both PI 965 and PI 968 have a multitude of State and Operations variations that may effect the transport of a lithium cell or battery. The effect of these State and Operator variations are not considered in this article.

What is the Significant Change?

From page xxiii of the 63rd Edition: SIGNIFICANT CHANGES AND AMENDMENTS TO THE 63RD EDITION (2022)

PI 965 and PI 968 – Have been revised to remove Section II from these two packing instructions. To provide shippers with time to adapt their logistics processes to ship lithium cells and batteries in accordance with Section IB of Packing Instruction 965 and Packing Instruction 968, as applicable, there is a 3-month transition period until 31 March 2022, during which time shippers may continue to use Section II.

Consequential amendments have been made to 1.6.1, Special Provision A334, 7.1.5.5.1, Table 9.1.A and Table 9.5.A to reflect the deletion of Section II of Packing Instruction 965 and Packing Instruction 968.

Prior to the revision the Packing Instructions for lithium ion (PI 965) or lithium metal (PI 968) cells or batteries packed alone contained three sections:

• Section IA applied to:
  • Lithium cells or batteries with a lithium content above the threshold amount. (see Lithium Content table below)

Or…

• • Lithium cells or batteries packed in a quantity that exceeded that allowed in Section IB, Table 965-IB or Section IB, Table 968-IB, respectively.

Lithium Content

Section IB, Table 965-IB

Section IB, Table 968-IB

• Section IB applied to:
  • Lithium cells or batteries with a lithium content at or below the threshold amount packed in a quantity that exceeded that allowed in Section II, Table 965-II or Section II, Table 968-II, respectively.

Section II, Table 965-II

Section II, Table 968-II

• Section II applied to:
  • Lithium cells or batteries with a lithium content at or below the threshold amount and packed in a quantity that did not exceed that allowed in Section II, Table 965-II or Section II, Table 968-II, respectively.

After the revision the Packing Instructions for lithium ion (PI 965) or lithium metal (PI 968) cells or batteries packed alone contain only two sections:

• Section IA remains unchanged.
• Section IB now applies solely to lithium cells or batteries with a lithium content at or below the threshold amount and in a quantity that does not exceed that allowed in Section IB, Table 965-IB or Section IB, Table 968-IB, respectively.
• Section II has been removed.

What’s it mean?

After the effective date (March 31, 2022), the packing instructions for a lithium ion or lithium metal cell or battery packed alone (PI 965 or PI 968, respectively) will no longer include the packaging exception from full regulation in Section II. Under the packing instructions of Section IB, a lithium ion or lithium metal cell or battery packed alone is subject to all of the applicable provisions of the IATA Dangerous Goods Regulations (including the General Requirements) except for the requirement to use a specification (UN Standard) packaging.

Consequential Amendments to Reflect the Deletion of Section II of PI 965 and PI 968:

• 1.6.1 Adequate Instruction for Shipping Section II Lithium Batteries removed the reference to PI 965 and PI 968 since these packing instructions no longer contain a Section II.
• Special Provision A334 was revised to remove the reference to Table 965-II and Table 968-II. However, the values from those tables were added to A334 resulting in no effective change to the special provision.
• 7.1.5.5.1 for the lithium battery mark was revised to remove the reference to Section II for both PI 965 and PI 968.
• Table 9.1.A Applicable Acceptance Procedures Summary (9.1.3.3) was revised to remove the reference to Section II for PI 965 and PI 968.
• Table 9.5.A Dangerous Goods Not Required to Appear on the Information to Pilot-in-Command (9.5.1.1.3.4) was revised to remove the reference to Section II for PI 965 and PI 968.

Conclusion:

Compliance with the IATA Dangerous Goods Regulations for the transportation of lithium cells or batteries just got harder. Or did it? While the Section II packing instructions offered some relief from full regulation, having three sections (IA, IB, & II) for both PI 965 and PI 968 made the classification of lithium cells or batteries packed alone very difficult. And while the Section IB packing instructions are more stringent than those of Section II (e.g., Section IB requires initial and biennial training whereas Section II does not), Section IB does not require specification packaging which means a shipper of these batteries can still save money on packaging and transportation costs.

Before we begin…

All of the following is based on the Hazardous Materials Regulations (HMR) of the Pipeline and Hazardous Materials Safety Administration within the U.S. Department of Transportation (USDOT/PHMSA).

Question (10.20.20):

You seem to have the most info and the most accurate info regarding highway transportation of hazmat. Recently I hauled this “modular power unit” from NM to NY. At the delivery point the job super asked why it wasn’t placarded, I told him I wasn’t tendered the load as hazmat, so I had no idea. He told me the unit was a battery backup for GE and contained 50,000 lbs of lithium ion batteries. Is that considered hazmat and was it supposed to be marked or placarded?

Answer (10.20.20):

Thank you for the compliment. Good question. The answer depends on many factors. See below.

• This table indicates the regulatory thresholds for lithium battery “size”. It is necessary for the classification and transport of lithium batteries.

• If the lithium batteries met the criteria for “smaller” in the HMR i.e., less than 100 Watt/hour (Wh) for lithium ion or less than 2 grams of lithium metal for lithium metal battery, then it is (mostly) not subject to USDOT regulations when in transport. It would not be a “HazMat” load but each package containing a lithium battery would need to display the lithium battery mark. No other regulations would apply. Read: Classification of Lithium Batteries for Transportation in Commerce

• If the batteries were larger than indicated above (as I suspect they are), then they would be subject to full regulation as a “HazMat” shipment. However, even then it is not necessary to display placards on the vehicle.

Q: “Why is it not necessary to display placards on a vehicle transporting this quantity of lithium batteries?”

A: “Lithium batteries of all types, all configurations, and all quantities are a Class 9 Miscellaneous. The display of the Class 9 Miscellaneous placard is not required within the U.S. – though it remains an option.

Read: Is the CLASS 9 Placard Required?

• Further, since the vehicle is not required to display a placard, the driver is not required to have the HazMat endorsement on their CDL.
• However, if this is a fully-regulated HazMat shipment as I suspect, you should have been provided with a shipping paper describing the consignment and been given emergency response information and an emergency telephone. Also, you must receive HazMat Employee training.
• If you are able to provide more information about the batteries I can provide more specific information.
• At a minimum you should have HazMat Employee Training.

Please contact me with any other questions.

That did it!

The transportation of lithium batteries is essential and complicated. Make sure you comply with the Hazardous Materials Regulations of USDOT/PHMSA for any transportation to, from, or through the U.S.

A question (09.30.20):

We are a company the produces products that contain a lithium metal cell battery as a back up battery for the time and date. The cell contains 0.015g of lithium, and the products have one of these built into them.

I have gone through the training program and am certified for shipping batteries, but as you are already well aware, the regulations are a VERY difficult read. I have spent 30+ hours pouring through them thus far, largely because we use lithium metal cells and we use lithium ion batteries as well (34g of lithium in each) , and the regulations are different between them.

My question is this. In reading through 49 CFR 173.185, I am confused by the content in 173.185(c) Exceptions for smaller cells and batteries. If I am reading that correctly, as long as the singular lithium metal cell and in some models a singular lithium ion battery are built into our equipment and are mechanically secure and the product is in an OFF state, we are not required to apply the lithium warning labels on the products. Where we need apply the special markings is when we ship the cells or batteries out as a replacement part.

In your opinion, am I understanding this correctly?

Your confirmation/clarification on this would be greatly appreciated.

My reply that same day:

Thank you for contacting me.

You are not entirely correct. Please see below for clarification.

• Lithium ion and lithium metal batteries have the same packaging requirements under the USDOT/PHMSA Hazardous Materials Regulations (HMR). As you indicate, these are found at 49 CFR 173.185.
• You may be confused with the packaging requirements for transportation of lithium batteries by air according to the Dangerous Goods Regulations of the International Air Transport Association (IATA). Those have separate packing instructions for lithium ion batteries (PI 965, 966, 967) and lithium metal batteries (PI 968, 969, 970).
• Also you refer to lithium metal cells and lithium ion batteries as having “…34g of lithium in each”. While lithium metal cells and batteries are classified according the grams (g) of lithium they contain, a lithium ion cell or battery is classified by its Watt-hour (Wh) rating.
• Also, a lithium metal cell or battery with 34 grams of lithium metal is not a smaller lithium battery applicable for the packaging exception at 49 CFR 173.185(c). It instead is subject to full packaging requirements of 49 CFR 173.185(a-b). A lithium ion battery with a Wh rating of 34 is a smaller lithium ion battery eligible for the smaller lithium battery exception at 49 CFR 173.185(c). See below for a table summarizing the classification of lithium batteries based on lithium content.

Please forgive me if the above clarifications seem dismissive, but I wanted to clear up any misconceptions before proceeding. You are correct that the regulations for the transportation of lithium batteries are very complex.

Please see below for an answer to your question:

• All lithium cells and batteries, regardless of lithium content or whether lithium metal or lithium ion, if contained in equipment have the same basic packaging requirements under the HMR [49 CFR 173.185(b)(4)]:
  • Outer packaging, if used, must be constructed of suitable materials of adequate strength and design…
  • Outer packaging isn’t required if batteries are contained in equipment that provides equivalent protection.
  • Equipment must be secured against movement within the outer packaging (if used, see above).
  • Equipment must be packed to prevent accidental operation during transport. Note, this is more stringent than, “…product is in an OFF state”.
• Hazard communication per 49 CFR 173.185(c)(3):
  • A package solely of button cell batteries contained in equipment is not required to display the lithium battery mark regardless of the number of batteries or number of packages in the consignment. This may be your situation as you refer to a lithium metal cell battery as a backup battery for time and date.
  • A package solely of smaller lithium cells or batteries (not button cell) contained in equipment must display the lithium battery mark only under the following circumstances:
    • More than four (4) cells contained in equipment.

Or…

• • • More than two (2) batteries contained in equipment.

Or…

• • • More than two (2) packages of either per consignment.
    • So, unless your package or consignment is above one of those thresholds, the lithium battery mark is not required to be displayed on a package of a lithium cell or battery contained in equipment.

• • Also, pursuant to §173.185(c)(1)(iii) a package of smaller lithium cells or batteries contained in equipment must display the Cargo Aircraft Only label or a specified package mark indicating the package is not acceptable as cargo on a passenger aircraft if the net quantity of lithium battery in the package is more than 5 kg.
  • A smaller lithium cell or battery packed alone must always display the lithium battery mark. It must also display the Cargo Aircraft Only label or a specified package mark indicating the package is not acceptable as cargo on a passenger aircraft.

I suggest you contact me for further clarification.

He didn’t. So I guess that was it.

Conclusion:

The regulations for the transportation of lithium batteries (cells or batteries) are complex and they change frequently. Another factor is the differing regulations for different modes of transport: highway and rail (i.e., ground) v. vessel v. aircraft. Contact me with questions or if you require the training necessary to safely transport lithium batteries.