The regulations for the transportation in commerce of lithium cells and batteries requires each cell or battery to be of the type proved to meet the requirements of specific test procedures of the United Nations. Under current regulations it is the responsibility of the battery manufacturer to perform the tests, maintain a record of satisfactory completion, and make such records available to an authorized representative upon request.  As of January 1, 2020, this responsibility expands (in some regulations) to include subsequent distributors of lithium cells and batteries.

The purpose of this article is to identify the regulatory requirements for applicable persons to test lithium a lithium cell or battery, maintain records of the test summary, and to provide a copy of the test summary upon request.

Who are the regulatory agencies involved?

The transportation in commerce of lithium cells and batteries may involve one or all of the following agencies, each with different regulations.

• The Pipeline and Hazardous Materials Safety Administration within the U.S. Department of Transportation (USDOT/PHMSA) regulates the transport of any hazardous materials to, from, or through the U.S. by any mode.
• The International Air Transport Association (IATA) regulates the transportation of dangerous goods (aka: hazardous materials) by air anywhere in the world.  Its regulations are based on the Technical Instructions of the International Civil Aviation Administration (ICAO).
• The International Maritime Organization (IMO) regulates the transportation of dangerous goods by vessel in international waters.

What is the lithium battery test summary?

The criteria for the lithium battery test summary are found in part III, sub-section 38.3, paragraph 38.3.5 of the UN Manual of Tests and Criteria, Revision 1, Amendment 1.  The test summary is referenced in each of the applicable regulations as indicated below.

• USDOT/PHMSA Hazardous Materials Regulations as of March 2019:  49 CFR 173.185(a).
• IATA Dangerous Goods Regulations 60th Edition for 2019:  3.9.2.6.1(a)
• IMO Dangerous Goods Code 2018 Edition (applicable from January 1, 2019 through the end of 2021):  2.9.4.1

Cells and batteries manufactured according to a type meeting the requirements of subsection 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 regulations.

Cell and battery types meeting only the requirements of the UN Manual of Tests and Criteria, Revision 3, are no longer valid.  However, cells and batteries manufactured in conformity with such types before July 1, 2003 may continue to be transported if all other applicable requirements are met.

What information is required in the test summary?

• Name of cell, battery or product manufacturer, as applicable.
• Cell, battery, or product manufacturer’s contact information to include address, phone number ,email address and website for more information.
• Name of the test laboratory to include address, phone number, email address and website for more information.
• A unique test report identification number.
• Date of test report.
• Description of cell or battery to include at a minimum:
  • Indicate if a lithium ion or lithium metal cell or battery.
  • Mass
  • Watt-hour rating or lithium content.
  • Physical description of the cell/battery.
  • Model numbers.
• List of tests conducted and results (i.e., pass or fail).
• Reference to assembled battery testing requirements, if applicable (i.e., 38.3.3 (f) and 38.3.3(g)).
• Signature with name and title of signatory as an indication of the validity of information provided.

Who is responsible to perform the test, maintain records, and make them available?

The three regulatory agencies differ on who is responsible for making the test summary available. 

• USDOT/PHMSA:
  • Hazardous Materials Regulations require the manufacturer of the cell/battery to perform the required test(s), maintain records of successful completion for as long as the battery design is offered for transportation and one year thereafter, and make records available to an authorized representative of Federal, state, or local government upon request.
  • Current regulations do not require a subsequent distributor of the cell/battery to perform any such function.  However, since these regulations are applicable to shippers of HazMat (i.e., those who offer a hazardous material for transportation), it may be interpreted that a shipper should at a minimum ensure a record of the test summary exists.
• IATA:
  • The current edition of the IATA Dangerous Goods Regulations do not specify any person who must conduct the tests, maintain a record of successful completion, or make records available upon request.  However, this changes as of January 1, 2020.
  • As of January 1, 2020 a cell or battery manufacturer and subsequent distributors are required to make the test summary available upon request for cells or batteries manufactured after June 30, 2003 to any entity in the supply chain.  This means a person who acquires a lithium cell or battery from another distributor and then ships that cell/battery to their customer must make the test summary available to any person in the supply chain of the cell/battery (e.g, carrier, freight forwarder, receiving facility, regulatory agency).
  • More information about the design type testing provisions and the lithium battery test summary can be found in the 2019 Lithium Battery Guidance Document, Revision 1.
• IMO:
  • The 2018 Edition of the IMDG Code mandates that both manufacturers and subsequent distributors of lithium cells and batteries make available the lithium battery test summary.

So there you have it.  USDOT/PHMSA places the burden for compliance on the cell/battery manufacturer.  IATA is unclear at this time but as of January 1, 2020, it is up to both the cell/battery manufacturer and any subsequent distributor to make the test summary available.  The IMDG Code is ahead of both of them and mandates both the cell/battery manufacturer and any subsequent distributor make the information available upon request as of the effective date of the 2018 Edition on January 1, 2019.

The transportation of lithium cells and batteries is complex and burdensome now and will only become more-so in the future.  Make certain you are aware of how to classify a lithium cell/battery for transportation and then are aware of the applicable regulations.