Rule: Hazardous Materials Transportation: Lithium Batteries

Thursday,
August 9, 2007
Part III
Department of
Transportation
Pipeline and Hazardous Materials Safety
Administration
49 CFR Parts 171, 172, 173, and 175

Hazardous Materials; Transportation of
Lithium Batteries; Final Rule
rwilkins on PROD1PC63 with RULES
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44930 Federal Register / Vol. 72, No. 153 / Thursday, August 9, 2007 / Rules and Regulations
DEPARTMENT OF TRANSPORTATION SUPPLEMENTARY INFORMATION: batteries and battery-powered products,

List of Topics airlines, airline employee organizations,
Pipeline and Hazardous Materials testing laboratories, and the emergency
Safety Administration I. Background response and law enforcement
A. Overview of Lithium Battery Risks communities to share and disseminate
49 CFR Parts 171, 172, 173 and 175 B. LAX Incident and NTSB information about battery-related risks
Recommendations and developments and to promote
[Docket Nos. PHMSA–02–11989 (HM–224C) C. Additional Incidents
and PHMSA–04–19886 (HM–224E)] improvements in industry standards
D. Recalls
E. Regulatory Action To Address and best practices. We report on these
RIN 2137–AD48 and RIN 2137–AE05 non-regulatory activities through our
Transportation Risks Posed by Lithium
Batteries of all Types public Web site at http://
Hazardous Materials; Transportation of
II. Provision of This Final Rule safetravel.dot.gov.
Lithium Batteries A. Docket HM–224C
B. Docket HM–224E A. Overview of Lithium Battery Risks
AGENCY: Pipeline and Hazardous
III. Rulemaking Analyses and Notices Lithium batteries are considered a
Materials Safety Administration
A. Statutory/Legal Authority for This
(PHMSA), DOT. Rulemaking
hazardous material for purposes of
ACTION: Final rule. B. Executive Order 12866 and DOT transportation regulation because they
Regulatory Policies and Procedures can overheat and ignite in certain
SUMMARY: The Pipeline and Hazardous C. Executive Order 13132 (Federalism) conditions and, once ignited, can be
Materials Safety Administration is D. Executive Order 13175 especially difficult to extinguish. In
amending the Hazardous Materials E. Regulatory Flexibility Act general, the risks posed by lithium
Regulations (HMR) to tighten the safety F. Unfunded Mandates Reform Act of 1995 batteries are a function of battery size
standards for transportation of lithium G. Paperwork Reduction Act
H. Environmental Assessment
(the amount of lithium content and
batteries, including both primary (non- I. Regulation Identifier Number corresponding energy density) and the
rechargeable) and secondary J. Privacy Act likelihood of short-circuiting or rupture.
(rechargeable) lithium batteries. By comparison to standard alkaline
Specifically, we are adopting with This final rule is the culmination of
batteries, most lithium-ion batteries
minor changes the amendments to the two rulemaking proceedings initiated by
manufactured today contain a
HMR published in an interim final rule the Research and Special Programs
flammable electrolyte and have a very
on December 15, 2004, imposing a Administration (RSPA), the predecessor
high energy density. A lithium battery is
limited prohibition on the agency to the Pipeline and Hazardous
susceptible to thermal runaway, a chain
transportation of primary lithium Materials Safety Administration
reaction leading to self-heating and
batteries and cells as cargo aboard (PHMSA), in order to reduce the risks of
release of its stored energy.
battery-related fires in transportation
passenger-carrying aircraft. In addition, The increasing manifestation of these
and in response to incident reports and
we are adopting many of the proposed risks, inside and outside of
recommendations of the Federal
changes to the HMR published under transportation, drives the need for
Aviation Administration (FAA) and
the April 2, 2002 NPRM; (1) Eliminating stricter safety standards. Once used
National Transportation Safety Board
a hazard communication and packaging primarily in industrial and military
(NTSB). The final rule continues in
exception for medium-size lithium cells applications, lithium batteries are now
force a limited ban on the transportation
and batteries of all types transported by found in a variety of popular consumer
of certain lithium batteries as cargo
aircraft or vessel; (2) revising an items, including cameras, laptop
aboard passenger aircraft. It tightens
exception for small lithium batteries computers, and mobile telephones. The
other standards for the testing, handling,
and cells of all types to require testing numbers, types, and sizes of lithium
and packaging of lithium batteries, in
in accordance with the United Nations batteries moving in transportation have
each case to reduce the likelihood or
Manual of Tests and Criteria; and (3) grown steadily in recent years with the
consequence of a lithium battery-related
revising an exception for consumer increasing popularity of these and other
fire in transportation. Although we
electronic devices and spare lithium portable devices and the corresponding
developed these standards in separate
batteries of all types carried by airline proliferation of battery designs,
rulemaking proceedings, we have
passengers and crew. These manufacturers, and applications.
combined them for publication in this
amendments will enhance Like other products that contain
single final rule in the interests of
transportation safety by reducing fire hazardous materials, lithium batteries
clarity and consistency and to minimize
hazards associated with lithium can be transported safely, provided
regulatory burdens.
batteries and harmonizing U.S. and appropriate precautions are taken in
international standards. I. Background design, packaging, handling, and
DATES: Effective Date: The effective date The final rule adopted today is one of emergency response. The rule adopted
of these amendments is January 1, 2008. several actions PHMSA is taking, in in this proceeding strengthens the
Voluntary Compliance: Voluntary consultation with the FAA, to improve current regulatory framework by
compliance with all of these the safety of lithium batteries in imposing stricter and more effective
amendments, including those with a transportation. Beyond rulemaking and safeguards, including design testing,
delayed mandatory compliance date, is enforcement, PHMSA and FAA are packaging, and hazard communication
authorized as of October 1, 2007. promoting and advancing non- measures, for certain types and sizes of
FOR FURTHER INFORMATION CONTACT: John regulatory solutions through a broad lithium batteries in certain
Gale or Arthur Pollack, Office of group of public and private sector transportation contexts.
Hazardous Materials Standards, stakeholders that share our interest in These adjustments are risk-based and
PHMSA, Department of Transportation, battery and transportation safety. We are data-driven, reflecting incident reports,
400 Seventh Street, SW., Washington, working with representatives of the laboratory testing, and other information
DC 20590–0001, Telephone (202) 366– NTSB, the Consumer Product Safety that together promote better
8553. Commission, manufacturers of lithium understanding of risks and
Federal Register / Vol. 72, No. 153 / Thursday, August 9, 2007 / Rules and Regulations 44931
consequences in relationship to specific and the term ‘‘secondary lithium transportation, particularly passenger
risk variables: battery’’ to refer to a rechargeable service. Although most battery-related
Battery technology. In the rulemaking battery. In most cases, this distinction fires have caused only property damage
proposals that gave rise to the final rule, will differentiate between different or delays in ground transportation, even
we differentiated between ‘‘primary’’ (or battery technologies. Although we a small fire aboard an in-flight aircraft
non-rechargeable) and ‘‘secondary’’ (or understand that the distinction is being threatens catastrophic consequences.
rechargeable) lithium batteries. This called into question by technological
distinction, which is well established in Battery size. The degree of risk posed
and market developments, we believe by lithium batteries is largely a function
international standards, is related to the the regulatory definitions continue to
battery composition. ‘‘Primary’’ (non- of the amount of stored energy, which
have merit at this time, recognizing that is in turn a function of the number and
rechargeable) lithium batteries generally further regulatory refinement will be
contain lithium metal, while most relative lithium content of battery cells.
necessary to respond to further These size standards are the accepted
‘‘secondary’’ (rechargeable) lithium technological developments and our
batteries contain an ionic form of categorization of lithium batteries under
growing understanding of transportation the United Nations Recommendations
lithium (lithium-ion). The technology
risks. and international regulatory bodies such
used in lithium batteries has a
significant impact on the battery Transportation mode. The as the International Civil Aviation
application and, all other factors being consequence of a lithium battery-related Organization (ICAO). A cell is a single
equal, on corresponding transportation fire depends largely on the electro-chemical unit; a battery consists
risks. transportation context. In weighing the of one or more connected cells. The size
For purposes of this rulemaking, we costs and benefits of regulation, we of a cell or battery is determined by its
use the term ‘‘primary lithium battery’’ consider the mode of transportation and lithium content, as summarized in the
to refer to a non-rechargeable battery impose the strictest standards in air following chart:
TABLE 1.—BATTERY AND CELL CATEGORY DEFINITIONS

Small Medium Large
(no more than) (between) (more than)
Cells:
Primary ................................... 1 g Li. 1 g and 5 g Li. 5 g Li.
Secondary .............................. 1.5 g ELC.* 1.5 g and 5 g ELC. 5 g ELC.
Batteries:
Primary ................................... 2 g Li. 2 g and 25 g Li. 25 g Li.
Secondary .............................. 8 g ELC. 8 g and 25 g ELC. 25 g ELC.
* ELC (Equivalent Lithium Content).
Quantity. The number of lithium to the potential consequences of lithium this rulemaking, concluded that the
batteries in a shipment can also affect battery-related fires. Although we take presence of a shipment of primary
the severity of an incident. For example, fire hazards seriously in all modes, we lithium batteries can significantly
several thousand small lithium batteries must be particularly concerned about increase the severity of an in-flight cargo
consolidated together present a higher the possibility of an uncontrolled fire compartment fire.
potential risk than a shipment of a aboard an aircraft. In addition, the report concluded that
single lithium battery, because one To evaluate the hazards posed by primary lithium batteries pose a unique
burning primary lithium or secondary primary lithium batteries in air threat in the cargo compartment of an
lithium battery can produce enough aircraft because primary lithium battery
transportation, FAA’s Technical Center
heat and energy to propagate to other fires cannot be suppressed by means of
initiated a series of tests to assess their
lithium batteries in the same overpack, Halon, the only FAA-certified fire
flammability characteristics. FAA
freight container, or cargo hold. suppression system permitted for use in
Product Design, Package Integrity, published a technical report detailing
the results of the tests in June 2004 cargo compartments of a passenger-
and Transportation Handling. The risks
(DOT/FAAIARI–04/26). The battery carrying aircraft operating in the United
that a lithium battery will short-circuit
tests were designed to test the batteries States.
or rupture are a function of design,
packaging, and handling. As with many in an environment that is similar to FAA also conducted a series of test to
hazardous materials, the risk of a actual conditions possible in a determine the flammability of secondary
transportation incident involving suppressed cargo fire. The FAA tests lithium batteries and cells and issued a
lithium batteries can be reduced by showed that the packaging materials final report detailing the results in
strengthening packaging and reducing delayed the ignition of the batteries, but September 2006 (DOT/FAA/AR–06/38).
the likelihood and impact of rough eventually added to the fire loading and This report can be found in the docket
handling. The amendments adopted contributed to the battery ignition, even for this rulemaking. Flames produced by
here include tightened testing standards after the original (alcohol) fire had been the batteries are hot enough to cause
to ensure that batteries that pose the exhausted. In addition, the packaging adjacent cells to vent and ignite. The
greatest risk in transportation are material held the batteries together, report also concluded that Halon is
designed to withstand normal allowing the plastic outer coating to fuse effective in suppressing the electrolyte
conditions of transportation and the batteries together. This enhanced the fire and preventing any additional fire
packaged to minimize risks of probability of a burning battery igniting from subsequent cell venting. The
mishandling or damage in transit. adjacent batteries, increasing the lithium-ion cells will continue to vent
Emergency Response. In developing propagation rate. The technical report, due to high temperatures but will not
the final rule, we paid special attention which can be found in the docket for ignite in the presence of Halon.
B. LAX Incident and NTSB environment, notify the International Civil was to be trucked to Clear Lake,
Recommendations Aviation Organization’s Dangerous Goods Wisconsin.
The notices of proposed rulemaking
Panel (ICAO DGP) about the circumstances of • On or about June 29, 2005, the
the fire in the Northwest Airlines cargo contents of a ULD caught fire onboard
(NPRMs) in these proceedings both tied facility at Los Angeles International Airport
the need for tighter safety standards to on April 28, 1999. Also pending completion
a flight from Shanghai, China to the
an April 28, 1999 fire at Los Angeles of your evaluation of the fire hazards posed United States. Airline ground personnel
International Airport (LAX). The LAX by lithium batteries in an air transportation discovered evidence of the fire after the
incident involved a shipment of two environment, initiate action through the plane landed safely in Ontario,
pallets of primary lithium batteries that Dangerous Goods Panel to revise the California. A package containing a
Technical Instructions for the Safe secondary lithium battery pack was
caught fire and burned after being off- Transportation of Dangerous Goods by Air to
loaded from a Northwest Airlines flight identified as the source of the fire.
prohibit the transportation of lithium • On March 3, 2006, a U.S.-bound
originating in Osaka, Japan. The two batteries on passenger-carrying aircraft. package containing secondary lithium
pallets involved in the fire contained A–99–84: Initiate action through the
batteries ignited in an outbound air
120,000 small primary lithium batteries Dangerous Goods Panel to revise the
Technical Instructions for the Safe transport station in Shenzhen, China.
that were excepted from domestic and • On July 17, 2006, a package with no
international regulatory requirements Transportation of Dangerous Goods by Air to
require that packages containing lithium marking or labeling containing 122
applicable to hazard communication secondary lithium batteries of various
batteries be identified as hazardous materials
(i.e., marking, labeling, and shipping sizes caught fire while being held in
when transported on aircraft.
papers) and packaging. The packages on bond for customs clearance in Korea,
the pallets were damaged during C. Additional Incidents
after transportation by air from Vienna,
handling at LAX, and this damage is The April 1999 LAX incident was not Austria.
believed to have initiated the an isolated event; numerous incidents • On February 10, 2007, shortly after
subsequent fire. Northwest ground involving lithium batteries have been takeoff of a commercial flight, a fire
employees initially fought the fire with reported in the intervening years, most ignited in a passenger bag stowed in an
portable fire extinguishers and a fire in the period since we initiated these overhead bin. Although the fire is still
hose. Each time the fire appeared to be rulemaking proceedings. Fortunately, under investigation, preliminary reports
extinguished, it flared up again. none of the aviation-related incidents indicate both small lithium ion and
The LAX incident illustrated the has resulted in death or serious injury; small primary batteries were involved in
unique transportation safety problems most of the incidents occurred either the incident.
posed by lithium batteries, including before or after flight. Some of these • On March 1, 2007, a package sent
the risk of rough handling in transit, additional incidents are described by an eBay vendor via the United States
resulting short-circuiting, thermal below: Postal Service, containing 24 primary
runaway, ignition of adjacent batteries, • On November 3, 2000, in Portland, lithium batteries, caught fire at the
and the ineffectiveness of halon as an Oregon, a small primary lithium battery Sydney Australia Mail Gateway Facility.
extinguishing agent. short-circuited, causing a small fire and The package had been transported to
The NTSB conducted a full rupture of the battery. The primary Sydney from Los Angeles on a
investigation of the LAX incident. The lithium battery burned through its inner passenger aircraft.
NTSB’s final report, issued November packaging and charred an adjacent
16, 1999, included five safety package. The short-circuited battery had D. Recalls
recommendations addressed to RSPA: long flexible protruding positive and In August and October of 2006 and
A–99–80: Together with the Federal negative terminals. March of 2007, several leading
Aviation Administration, evaluate the fire • On April 12, 2002, small primary computer manufacturers recalled nearly
hazards posed by lithium batteries in an air lithium batteries packaged in a 10 million notebook computer
transportation environment and require that fiberboard box ignited during handling secondary lithium batteries based on
appropriate safety measures be taken to manufacturing defects. The batteries in
in Indianapolis, Indiana.
protect aircraft and occupants. The
evaluation should consider the testing
• On August 9, 2002, a small the 2006 recalls, manufactured by Sony
requirements for lithium batteries in the secondary lithium battery in an Energy Devices Corporation, were
United Nation’s Transport of Dangerous electronic handheld device short- voluntarily recalled in coordination
Goods Manual of Tests and Criteria, the circuited, causing surrounding packing with the U.S. Consumer Product Safety
involvement of packages containing large materials (bubble wrap) to catch fire. Commission (CPSC). According to CPSC
quantities of tightly packed batteries in a • On August 7, 2004, large prototype reports, these defective secondary
cargo compartment fire, and the possible secondary lithium batteries shipped lithium batteries can spontaneously
exposure of batteries to rough handling in an under a competent authority approval overheat and cause fires. The batteries
air transportation environment, including from California to Europe apparently
being or abraded open.
in the March 2007 voluntary recall were
A–99–81: Pending completion of your
started a fire in a unit load device (ULD) manufactured by Sanyo Electric
evaluation of the fire hazards posed by during loading for a transatlantic flight Company, Ltd. and designed to be
lithium batteries in an air transportation (Memphis-Paris). The ULD and many extended-life batteries for Lenovo
environment, prohibit the transportation of other packages in it were damaged or ThinkPad notebook computers.
lithium batteries on passenger-carrying destroyed by fire. According to CPSC, the Sanyo lithium-
aircraft. • On February 11, 2005, an ion batteries pose a fire hazard if the
A–99–82: Require that packages containing undeclared package containing 18 small battery is struck forcefully on the corner
lithium batteries be identified as hazardous primary lithium batteries caught fire
materials, including appropriate marking and
(e.g., a direct fall to the ground).
during unloading in White Bear Lake,
labeling of the packages and proper E. Regulatory Actions To Address
identification in shipping documents, when

Minnesota. Cargo handlers reported
hearing a ‘‘pop’’ sound and then seeing Transportation Risks Posed by Lithium
transported on aircraft. Batteries of All Types
A–99–83: Pending completion of your the box ‘‘lifted’’ off the conveyor belt by
evaluation of the fire hazards posed by the force. The package had been flown As we explained above, the regulatory
lithium batteries in an air transportation from Los Angeles to Minneapolis and actions we are taking today are part of
a broader and ongoing effort to address include: (1) Test T.1 Altitude transport of lithium batteries consistent
the transportation risks posed by simulation, (2) Test T.2 Thermal test, (3) with the changes adopted in the UN
lithium batteries. Even as the measures Test T.3 Vibration, (4) Test T.4 Shock, Recommendations and ICAO Technical
adopted in this final rule progressed (5) Test T.5 External short circuit, (6) Instructions. These amendments were
through the rulemaking process, more Test T.6 Impact, (7) Test T.7 intended to improve the safety of
data surfaced concerning lithium battery Overcharge, and (8) Test T.8 Forced lithium batteries in transportation and
risks. These developments have lent discharge. In addition, lithium batteries harmonize U.S. and international
further support to the proposed and cells must be: (1) Equipped with an standards. Specifically, we proposed to:
approaches and spurred additional effective means of preventing short (1) Adopt the revised lithium battery
proposals for regulatory and non- circuits; (2) packaged in UN standard test scheme in the UN Test Manual; (2)
regulatory change. packagings meeting the Packing Group eliminate the exception for medium-size
Inevitably, further technological II performance level; and (3) identified lithium batteries; (3) require testing of
advances, new product development, on shipping papers and by package small lithium batteries; (4) impose
and market shifts will drive continued markings and hazard warning labels. hazard communication and packaging
change in risks and benefits. We are See § 173.185(e). requirements for small lithium batteries;
committed to addressing those changes Section 173.185 of the HMR contains and (5) provide exceptions for
in a manner that safeguards our exceptions from the packaging and passengers and crew to carry lithium
transportation systems and the traveling hazard communication requirements of battery-powered equipment aboard an
public, while promoting positive the HMR for small and medium-size aircraft.
technological advances and minimizing lithium batteries and cells. Small and 4. HM–224E Rulemaking. Based in
regulatory costs and burdens for medium-size lithium batteries and cells part on the June 2004 FAA technical
consumers and industry, including must be packaged in strong outer report concerning the flammability
small businesses. To that end, we will packagings, and in a manner to protect characteristics of primary lithium
continue to collect and analyze data against short circuits, but UN standard batteries, discussed earlier in this
concerning the risks posed by batteries packagings are not required, and the preamble, on December 15, 2004,
and battery-powered devices of all requirements in Part 172 of the HMR PHMSA published an interim final rule
types. We are committed to working applicable to shipping papers, marking, (IFR; Docket HM–224E; 69 FR 75208)
with all affected stakeholders to identify labeling, and emergency response prohibiting the shipment of primary
risks and develop solutions, especially information do not apply. Small lithium lithium batteries as cargo on passenger-
including non-regulatory solutions. In batteries and cells are also excepted
carrying aircraft. The IFR prohibits the
keeping with DOT regulatory policies from testing in accordance with the UN
offering for transportation and
and procedures, we will analyze the Test Manual.
2. Changes to International transportation in commerce of primary
effectiveness of our rules over time,
Regulations. Acting on a proposal by the lithium batteries and cells, and
with a commitment to updating or
United States, in December 2000, the equipment containing or packed with
eliminating any regulations that become
United Nations Sub-Committee of large primary lithium batteries (i.e.,
unnecessary or unduly costly with
Experts on the Transport of Dangerous batteries containing greater than 25
changes in technology or transportation
Goods revised the UN grams of lithium) as cargo aboard
operations.
Recognizing that the risk and benefit Recommendations to: (1) Revise the passenger-carrying aircraft. In addition,
profile is and has been dynamic, the lithium battery testing requirements in equipment packed with or containing
final rule adopted today is best the UN Test Manual to provide more small or medium-size primary lithium
understood against the backdrop of precise descriptions of the testing batteries (i.e., batteries containing 25
existing and ongoing regulatory actions, procedures and criteria and require grams or less of lithium) must be
including the separate rulemaking more extensive testing to measure transported in accordance with Special
proposals that gave rise to this temperature, altitude, vibration, shock, Provisions A101 or A102. Under these
consolidated proceeding. By way of impact, overcharge, forced discharge Special Provisions, a primary lithium
background, we begin with a discussion and intentional short; (2) eliminate an battery or cell packed with or contained
of regulatory requirements in place at exception that permitted medium-size in equipment may not exceed a net
the time of the LAX incident and NTSB lithium batteries to be transported as weight of 5 kg (11 pounds). Finally, the
recommendations. unregulated material; (3) require testing outside of each package that contains a
1. Regulatory Requirements Prior to of small lithium batteries to ensure they primary lithium battery or cell
Adoption of this Final Rule. Under the can withstand conditions encountered forbidden for transport aboard passenger
Hazardous Materials Regulations (HMR, during transportation; (4) impose hazard carrying aircraft must be marked
49 CFR Parts 171–180), most lithium communication and packaging ‘‘PRIMARY LITHIUM BATTERIES—
batteries and cells of all types and requirements for small lithium batteries; FORBIDDEN FOR TRANSPORT
equipment containing or packed with and (5) provide exceptions for ABOARD PASSENGER AIRCRAFT.’’
lithium batteries or cells of all types are passengers and crew to carry lithium 5. Additional Recent Amendments to
regulated as a Class 9 (Miscellaneous) battery-powered equipment aboard an International Regulations. At the
hazardous material. A Class 9 material aircraft. These revisions were international level, interest in the safe
is one that presents a hazard during subsequently included in the 2003–2004 transportation of lithium batteries
transportation, but that does not meet ICAO Technical Instructions. As a result continues to grow as the number of
the definition of any other hazard class. of these revisions to the international lithium battery incidents (including
The HMR require lithium batteries to be regulations, NTSB classified non-transportation-related fires and
tested in accordance with a series of recommendations A–99–83 and –84 as product recalls) increases. The
tests in Section 38.3 of the UN Test ‘‘Closed-Acceptable Alternate Action.’’ following activities and discussions of
Manual. The tests are designed to 3. HM–224C Rulemaking. On April 2, the ICAO Dangerous Goods Panel and
ensure that a battery design type is 2002, we issued an NPRM (HM–224C; the UN Sub-Committee of Experts on
capable of withstanding conditions 67 FR 15510) proposing changes to the Transport of Dangerous Goods signal
encountered in transportation. The tests current HMR requirements for the further safety enhancements to the
ICAO Technical Instructions and UN revisions (1) require individual to evaluate risks and develop potential
Recommendations: packaging of lithium cells or batteries, solutions, especially non-regulatory
At its 2006 meeting (October 25— (2) require protection against short solutions.
November 3, 2006), the ICAO Dangerous circuits, accidental activation, and outer
Goods Panel further considered II. Provisions of this Final Rule
packaging of lithium battery-powered
amendments to the ICAO Technical equipment; (3) eliminate the current The continuing incidents and recalls
Instructions concerning lithium battery exception from marking, and the results of the FAA testing
safety. Based on a recommendation by documentation, drop testing, and gross discussed above reinforce the actions
the Panel, the ICAO Air Navigation weight limit for packages containing
Commission agreed to issue an we are taking in this final rule and the
less than 24 lithium cells or 12 lithium need for ongoing analysis of the
addendum to the ICAO 2007–2008 batteries, and (4) standardize marking
Technical Instructions to prohibit the transportation risks presented by
requirements for lithium batteries. lithium batteries. As we explain in the
transport of lithium batteries that have Additionally, the UN Recommendations
the potential of producing a dangerous following sections, the provisions of this
were amended to include separate final rule will provide additional
evolution of heat, fire, or short circuit as dangerous goods list entries for metallic
a result of being damaged or defective protection against all lithium battery-
lithium and lithium ion batteries to related fires, regardless of their source,
(e.g., those being returned to the
assist shippers, transport personnel, and by enhancing hazard communication
manufacturer for safety reasons).
In December 2006, the United Nations carriers in complying with the and emergency response and limiting
Committee of Experts on the Transport applicable regulations. transportation options based on the
of Dangerous Goods, based in part on PHMSA will carefully review any availability of effective fire suppression
U.S. proposals, revised Special amendments to the international technology. This final rule addresses the
Provision 188 (SP 188) of the UN regulation and will consider further proposals advanced in 2002 under
Recommendations to address the risk rulemaking action based on a robust Docket HM–224C and the provisions of
that lithium cells and batteries currently notice and comment process. As the 2004 IFR published under Docket
excepted from regulation may short previously stated, we are committed to HM–224E. The following tables are
circuit in transportation. These working with all affected stakeholders provided for your convenience:
As a result of HM–224E IFR the following requirements are already in effect:

• Primary lithium batteries are forbidden for transport aboard passenger aircraft.
• Primary lithium batteries transported by any means other than passenger aircraft must be marked ‘‘PRIMARY LITHIUM BATTERIES—
FORBIDDEN FOR TRANSPORT ABOARD PASSENGER AIRCRAFT’’.
The following provision pertaining to lithium batteries is unchanged by this combined final rule:
• Requirements for large lithium batteries (> 25 grams).
The following provisions have been modified as a result of this combined final rule:
• Section 175.10(a)(17) in that the equipment containing batteries and spares must be in carry-on luggage.
The following new requirements will take effect as a result of this combined final rule:
• The exception for medium batteries is eliminated by aircraft and vessel.
• Small battery exception from UN testing is eliminated.
• A new marking paperwork requirement is added for medium batteries shipped as excepted via highway and rail transportation.
• A new marking paperwork requirement is added for small batteries that are shipped excepted.
A. Docket HM–224C of all types; and (5) provide exceptions (FRFA), which can be found in the
for passengers and crew to carry lithium public docket for this rulemaking.
1. Background: Proposed Requirements
battery-powered equipment aboard an
2. Discussion of Comments to HM–224C
As mentioned above, our April 2, aircraft.
2002, NPRM (67 FR 15510) proposed to: On June 15, 2005, we published an PHMSA received 22 written
(1) Adopt the revised lithium battery Initial Regulatory Flexibility Analysis comments on the NPRM and the IRFA
test scheme in the UN Test Manual; (2) (IRFA) (70 FR 34729) and requested in this proceeding. The following
eliminate the current exceptions for comments on the potential small companies, organizations, and
medium-size lithium batteries of all business impacts of the proposals in our individuals submitted comments, which
types; (3) require testing of small April 2, 2002 NPRM. The issues raised are discussed in detail in this section:
lithium batteries of all types; (4) impose by commenters to the IRFA are
Electronic Industries Alliance (EIA;
hazard communication and packaging addressed in this document and the
RSPA–2002–11989–3 and 16)
requirements for small lithium batteries final regulatory flexibility analysis
David Linden (Linden; RSPA–2002– Rechargeable Battery Association particularly small businesses, if we were
11989–4) (PRBA) states that retention of the to remove the exception in its entirety.
Intel Corporation (Intel; RSPA–2002– exception for medium-size lithium Therefore, in this final rule we are
11989–5) batteries of all types will have the eliminating the exception for medium-
National Electrical Manufacturers largest positive effect on reducing the size lithium batteries and cells of all
Association (NEMA; RSPA–2002– cost impacts on small businesses and types transported by aircraft or vessel,
11989–6) recommends PHMSA retain the but retaining a limited exception for
FEDCO Electronics, Inc. (FEDCO; exception for lithium-ion batteries ground transportation (i.e., motor
RSPA–2002–11989–7, 12, 18, 24) containing no more than 16 grams of vehicle and rail car). This action
Argonne National Laboratory (ANL; equivalent lithium content shipped at a improves overall safety by reducing the
RSPA–2002–11989–8) state of charge of no more than 50%. risk of lithium battery-related incidents
National Transportation Safety Board PRBA states testing data clearly show in the transport modes that are
(NTSB; RSPA–2002–11989–9) that the degree to which a lithium-ion inherently most vulnerable to high
Portable Rechargeable Battery cell reacts to abuse is significantly consequence accidents, while
Association (PRBA; RSPA–2002– affected by state of charge. PRBA also minimizing the costs for businesses that
11989–10, 19, 25) suggests we should consider retaining ship lithium batteries by motor carrier
Air Line Pilots Association the exception for medium-size lithium or rail.
International, Inc. (ALPA; RSPA– batteries when the batteries are For medium-size lithium batteries and
2002–11989–11) contained in or packed with equipment cells transported by motor carrier or rail,
Air Transport Association of America and shipped by ground only. PRBA we are imposing more limited, less
(ATA; RSPA–2002–11989–13) states this exception would costly hazard communication
Air Line Pilots Association, substantially reduce costs associated requirements. Rather than requiring
International (ALPA; RSPA–2002– with shipping products as Class 9 compliance with the hazard
11989–14) materials and cover a significant communication and packaging
Mark S. Ditmore (Ditmore; RSPA–2002– number of products shipped by small requirements applicable to Class 9
11989–15) businesses. materials, in this final rule, we are
Valance Technology, Inc. (Valance; In response to the proposal to adopting, with some revisions, a hazard
RSPA–2002–11989–20) eliminate the exception of medium communication and packaging program
SION Power (SION; RSPA–2002–11989– sized batteries, Valence Technology, developed by industry. Under this
22) Inc. states PHMSA did not provide program, a package containing medium-
Cramer Law Group on behalf of SkyBitz sufficient justification for eliminating size lithium batteries and cells of all
Inc., (SkyBitz; RSPA–2002–11989–23) the exception. SION Power asserts types must: (1) Be marked to indicate it
ACR Electronic Inc (ACR; RSPA–2002– eliminating the exception for medium- contains lithium batteries and special
11989–26) size lithium batteries will adversely procedures must be followed in the
David Hadfield (RSPA–2002–11989–27) affect its commercial development and event that the package is damaged; (2)
suggests that, in the case of primary be accompanied by a document
a. Elimination of the Exception for lithium batteries, eliminating the indicating the package contains lithium
Medium-size Lithium Cells and exception will limit the size of batteries batteries and special procedures must be
Batteries. In the NPRM, we proposed to using smaller cells. SkyBitz favors followed in the event that the package
eliminate the exception from most HMR scaling back the exception for medium- is damaged; (3) weigh no more than 30
requirements for medium-size lithium size lithium batteries by limiting the kilograms; and (4) be capable of
cells (including when packed or number of cells or batteries per package, withstanding a 1.2 meter drop test. For
contained in equipment) containing 5 rather than eliminating the exception. those packages that are not prepared for
grams or less of lithium or lithium alloy ACR Electronics, Inc. states PHMSA air shipment, (i.e., not offered and
and batteries (including when packed or should retain the exception for medium- transported as a Class 9 material) we are
contained in equipment) containing not size lithium batteries provided they are requiring that the package be marked to
more than 25 grams of lithium or contained in strong, waterproof safety indicate that they may not be
lithium alloy per battery if they pass equipment. transported by aircraft or vessel. In this
tests specified in Section 38.3 of the UN We continue to believe that final rule, the provisions applicable to
Test Manual. With the elimination of significant safety benefits can be the transportation of medium-size
this exception, medium-size lithium achieved by requiring medium-size lithium batteries of all types are
batteries and cells of all types would lithium batteries and cells of all types to relocated from § 173.185 to Special
have to be transported as Class 9 be shipped with appropriate hazard Provision 189.
hazardous materials and conform to all communication information. As recent b. Revisions to the Exceptions for
associated hazard communication and incidents demonstrate, the hazards Small Batteries. Section 173.185(b) of
packaging requirements. This exception associated with these shipments should the HMR provides significant
has already been removed from the be communicated to transport workers exceptions from packaging and hazard
IMDG Code and the ICAO Technical and emergency response personnel to communication requirements for small
Instructions, effectively requiring these ensure safe handling in transportation lithium cells and batteries. In addition,
lithium batteries to be transported as and appropriate incident response small lithium cells and batteries are not
Class 9 materials when transported actions. We are not convinced that subject to the UN testing requirements.
internationally by aircraft or vessel and requiring medium-size batteries to be In the 2002 NPRM, we proposed to
in regulations applicable in other transported with appropriate hazard require testing of small lithium batteries
countries and regions throughout the communication information will and cells of all types in accordance with
world (e.g. European Road and Rail impede the development or marketing the UN Test Manual. We also proposed
Agreements (ADR/RID). of these batteries. to require each package containing more
Several commenters urge PHMSA to However, the comments raise than 24 lithium cells or 12 lithium
retain this exception for domestic legitimate concerns about the costs that batteries to be: (1) Marked to indicate
surface transportation. The Portable may be incurred by companies, that it contains lithium batteries and
that special procedures must be containing from 2 to 12 cylindrical cells. the capability of the cells or batteries to
followed in the event that the package FEDCO estimates the cost of having an maintain their construction integrity
is damaged; (2) accompanied by a independent testing facility, such as against shorts in normal transport
document indicating that the package Underwriters Laboratories, perform the environments. Parameters considered
contains lithium batteries and that proposed tests would be about $20,000 include: Temperature, altitude,
special procedures must be followed in per battery design. In addition, FEDCO vibration, shock, impact, overcharge,
the event that the package is damaged; states the testing of its existing 450 forced discharge, and intentional short.
(3) no more than 30 kilograms gross primary lithium and secondary lithium The test criteria were developed to
weight; and (4) capable of withstanding battery designs will cost an additional minimize the risk of lithium cells or
a 1.2 meter drop test in any orientation $9 million. FEDCO proposes an batteries becoming an ignition (fire)
without shifting of the contents that exception from the proposed tests for source during transport. Once ignited, a
would allow short-circuiting and batteries and battery packs consisting of fire may spread to other lithium
without release of package contents. cells that have passed the UN tests; the batteries in the package. To ensure that
The NTSB supports the proposal to exception would permit the batteries small lithium batteries and cells will be
require all lithium batteries, including and battery packs to be transported transported in commerce only if they
small lithium batteries and cells without further testing. are able to withstand normal transport
currently excepted from the HMR, to be FEDCO also makes the following conditions, in this final rule, we are
tested in accordance with the revised recommendations to ease the financial revising the HMR to subject small
UN Test Manual, and to require impact on small business: lithium batteries and cells to the test
packages containing more than 12 small (1) Except single-cell and two-cell methods in the UN Test Manual.
lithium batteries or 24 cells to be primary lithium batteries from the UN Information from an independent
capable of passing a drop test. The Test Manual provided that the cells in testing laboratory, which is currently
NTSB suggests the proposed rule could the batteries have already passed those performing these tests, suggests the cost
be improved by requiring a package UN tests; for performing the tests is $6,000 per
containing 12 small lithium batteries or (2) Provide manufacturers with a four- lithium battery design, and not $20,000
24 lithium cells to be classed as a Class year ‘‘grandfather’’ period in which to or more as stated by some commenters.
9 material, and subject to the labeling comply with the new testing (Subsequent to the completion of our
and shipping paper requirements of the requirements for existing battery analysis, some testing laboratories have
HMR. The Airline Pilots Association designs; and indicated to us that costs of performing
International (ALPA) states it agrees (3) Extend the exception in the UN the UN Tests have decreased to about
new testing requirements are needed. Recommendations for small production $4,000 to $3,000). Further, not all
The Air Transport Association of runs of cells or batteries from 100 to lithium batteries and cells must be
America (ATA) supports the proposals 1,000 batteries. tested. In accordance with the UN Test
in the April 2002 NPRM, but notes a SION Power recommends the Manual, section 38.3.2.1, only lithium
number of its members are particularly following exceptions for small lithium batteries and cells that differ from a
concerned about the retention of the batteries and cells: (1) Except single cell tested type by a change of more than 0.1
exception for small lithium batteries as batteries from testing if the cells have gram or more than 20% by mass,
proposed in the NPRM. ATA states such already passed the UN tests; and (2) whichever is greater, to the cathode, to
provisions will be confusing to transport except prototype or small production the anode, or to the electrolyte, must be
workers involved in accepting, sorting runs of cells or batteries, defined as no tested.
and loading packages in air more than 200 cells or 50 batteries, from The UN Test Manual states that a
transportation. According to ATA, air the UN tests. As a precondition to these single cell lithium battery should be
carriers are concerned that an indication exceptions, SION Power suggests considered a cell and not a battery,
on a package that it contains ‘‘lithium requiring that the base cell and battery regardless of whether the unit is termed
batteries’’ may cause packages to be pack pass a 55 °C short circuit test. a ‘‘battery’’ or a ‘‘single cell battery.’’
removed from the system for SION Power further recommends Thus, a single cell lithium battery
clarification or possible rejection. The shipment of prototype or small consisting of a cell that has passed the
removal of a package from the system production runs as Class 9 materials. appropriate UN tests is a cell and need
could occur more than once during the PRBA requests the following changes not be re-tested even if the components
transportation cycle. to the NPRM: of the battery, other than the cell
ATA recommends PHMSA either (1) Provide a four-year grandfather contained therein, are a new design
regulate or deregulate such materials clause for testing small cells and type. Lithium batteries consisting of
(with no exceptions) and not ‘‘band-aid’’ batteries; more than one cell are subject to the
a situation that will present problems in (2) Adopt a 1,000-unit small tests in the UN Test Manual.
transportation. ATA also states the production run exception from UN We agree with those commenters who
safety risks associated with the testing for certain small primary lithium ask us to adopt a small-production-run
transportation of small lithium batteries and lithium-ion cells and batteries; and exception for motor vehicle, rail and
and cells are addressed if packages are (3) Clarify that single-cell batteries do vessel transportation similar to the one
‘‘capable of withstanding a 1.2 meter not require UN testing. in Special Provision 310 of the UN
drop test in any orientation without PRBA, FEDCO, SION, Valence Recommendations for small lithium
damage to cells or batteries contained in Technology, ACR, SkyBitz Inc, EIA, and batteries and cells. Thus, we are
the package, without shifting of the Intel Corporation all suggest an adopting the following small-
contents that would allow short exception, consistent with the production-run exception for small
circuiting and without release of international regulations, from marking, lithium batteries and cells transported
package contents.’’ packaging, and shipping paper by motor vehicle, rail and vessel:
FEDCO states that, including new requirements for equipment containing (1) The cells and batteries must be
batteries in active design, it has about small lithium batteries and cells. transported in an outer packaging that is
twenty 1- and 2-cell primary lithium The UN Test Manual’s lithium battery a metal, plastic, or plywood drum; or
batteries and 13 new lithium-ion packs test methods are designed to measure metal, plastic, or wooden box meeting
the criteria for Packing Group I or generate a dangerous quantity of heat d. Editorial Changes. In the 2002
packagings; and are forbidden for transportation unless NPRM, we proposed to make several
(2) Each cell and battery must be packaged in a manner to preclude such editorial changes to § 173.185 to help
individually packed in an inner an occurrence. In this final rule, we are users better understand their
packaging inside the outer packaging adding language to clarify that the obligations. First, we proposed to move
and surrounded by non-combustible, restrictions in § 173.21 of the HMR the definition of ‘‘equivalent lithium
non-conductive cushioning material. apply to lithium batteries of all types. content’’ and ‘‘lithium content’’ from
Consistent with the international We note that adoption of hazard former § 173.185(a) to § 171.8 and
standards, the exception will apply to communication requirements for eliminate as unnecessary the first
production runs of up to 100 lithium shipments of lithium batteries does not sentence of former § 173.185(a). Also, as
batteries or cells of all types. This ‘‘classify’’ or ‘‘declassify’’ these proposed, we have removed the
exception addresses the need to increase materials as hazardous materials. grandfather provision that was
safety standards for these lithium Lithium batteries, regardless of their previously provided under § 173.185(d).
batteries, while not imposing undue size (i.e., small, medium and large), are PRBA requested revisions to the
costs on the regulated community. hazardous materials and are subject to definition of ‘‘equivalent lithium
We agree with commenters who applicable requirements in the HMR. content’’ to provide that a lithium
request an appropriate transition period c. Exceptions for Aircraft Passengers polymer battery based on lithium-ion
for lithium battery manufacturers to test and Crew. Consistent with amendments chemistry or technology is regulated as
lithium battery designs that are to the ICAO Technical Instructions, in a lithium-ion battery for purposes of
currently on the market. Therefore, in the April 2002 NPRM we proposed to determining equivalent lithium content.
this final rule, we are adopting a two- allow airline passengers and crew to PRBA notes that the UN Test Manual
year compliance date for the testing of carry consumer electronic devices definition for a lithium-ion cell or
small lithium batteries and cells. containing lithium batteries. In battery states ‘‘a lithium polymer cell or
PHMSA agrees with the commenters addition, we proposed to allow battery that uses the lithium-ion
who requested an exception from the passengers and crew to carry spare chemistries, as described herein, is
marking, packaging and shipping paper lithium batteries for such devices regulated as a lithium-ion cell or
requirements for equipment containing subject to limits as to lithium content, battery.’’
small lithium batteries and cells. We are the number of batteries, and the type of Based on the comment from PRBA on
adopting the exception in this final rule. lithium batteries. In the IFR adopted the definition of ‘‘equivalent lithium
We continue to believe that the December 15, 2004 (Docket HM–224E), content,’’ in this final rule, we are
hazards associated with small lithium had we not amended § 175.10, airline adding a definition for ‘‘aggregate
batteries should be communicated to passengers and crew would have been lithium content.’’ Except for some minor
transport workers so that they can forbidden to carry consumer electronic differences, the other editorial
handle packages appropriately. devices powered by primary lithium amendments are adopted as proposed.
Therefore, in this final rule we are batteries. As amended in the IFR, In addition, we have made editorial
adopting the communication and lithium batteries contained in amendments to §§ 171.11, 171.12, and
packaging program developed by the equipment and spares of all types 171.12a to address changes in regulatory
industry, and described above, for small (primary and secondary) are authorized citations.
lithium batteries. in carry-on or checked baggage. In this We have also moved the provisions
In summary, in this final rule, final rule, we are adopting the applicable to small lithium batteries
PHMSA is amending the HMR to amendments proposed in the April 2002 from § 173.185 to Special Provision 188
require that small lithium batteries be NPRM to permit carriage by passengers for consistency with international
tested in accordance with the UN Test and crew of lithium battery-powered regulations. We have also made some
Manual. In addition, we have adopted consumer electronic devices and editorial changes to the exception
the proposed size standards for small associated spare lithium batteries. We related to the prohibition of primary
lithium batteries thus eliminating the are also clarifying in this final rule that lithium batteries aboard passenger
distinction between liquid and solid the proposed battery size limitation for aircraft in order to clarify the
cathode lithium batteries. Unless spare batteries also applies to the requirements. We also clarified the
contained in equipment, each package batteries installed in the device. These packaging requirements for lithium
containing more than 24 lithium cells or amendments also state that spare batteries packed with equipment. We
12 lithium batteries must also be: lithium batteries may only be carried in inadvertently proposed to remove the
(1) Marked to indicate it contains carry-on luggage and that they must be requirement that lithium batteries or
lithium batteries and special procedures individually protected against short cells that are packed with the
must be followed in the event that the circuits. Unprotected batteries are equipment are required to be packaged
package is damaged; susceptible to short circuits when in specification packaging.
(2) Accompanied by a document exposed to items typically carried by e. Shipping Lithium Batteries for
indicating the package contains lithium passengers and crew members, such as Recycling. PRBA filed a petition for
batteries and special procedures must be car keys and coins. We recommend that rulemaking on February 8, 2002 (P–
followed in the event that the package passengers protect spare batteries by 1423), asking for an amendment to the
is damaged; placing them in protective cases or HMR requirements for shipping spent
(3) No more than 30 kilograms gross individual zip-top bags or placing non- lithium batteries for recycling.
weight; and conductive tape across exposed Currently, under the exception in
(4) Capable of withstanding a 1.2 terminals. We note that ICAO is § 173.185(h), lithium cells and batteries
meter drop test in any orientation considering eliminating the passenger ‘‘for disposal’’ may be offered for
without shifting of the contents that aircraft exception for medium-size (8–25 transportation or transported to a
would allow short circuiting, and grams aggregate equivalent lithium permitted storage facility and disposal
without release of package contents. content) batteries. If adopted by ICAO, site by motor vehicle when they are
In accordance with § 173.21(c), we will consider adopting this in a equipped with an effective means of
electrical devices likely to create sparks future rule. preventing external short circuits and
packed in a strong outer packaging Under the IFR, for air shipments of Siemens AG (RSPA–2004–19886–9)
conforming to the requirements of non-excepted Class 9 primary lithium Rockwell Automation (RSPA–2004–
§§ 173.24 and 173.24a. Lithium batteries batteries and for shipments of 19886–20)
transported under this provision are equipment that contains or is packed Intel Corporation (RSPA–2004–19886–
excepted from the performance with Class 9 primary lithium batteries, 21)
packaging requirements of Part 178 of the words ‘‘Cargo Aircraft Only’’ must Honeywell Corporate (RSPA–2004–
the HMR. be entered after the basic description on 19886–17, 22)
Section 173.185(h) does not shipping papers. The package must bear FedEx Express (RSPA–2004–19886–25)
specifically address the transportation a CLASS 9 and a CARGO AIRCRAFT URS Corporation (RSPA–2004–19886–
of lithium cells and batteries for ONLY label, and the package must be 26)
recycling. In its comments to the NPRM, otherwise marked as required by the United States Marine Safety Association
PRBA states that failure to include the HMR. The IFR applies to both foreign (RSPA–2004–19886–27)
change in the final rule will have and domestic passenger-carrying aircraft Federation Industries Electriques
significant implications for the entering, leaving, or operating in the (RSPA–2004–19886–28)
Rechargeable Battery Recycling United States and to persons offering ZVEI (RSPA–2004–19886–29, 31)
Corporation’s used battery collection primary lithium batteries and cells for SAFT America Inc. (RSPA–2004–
and recycling program. We agree with transportation as cargo on any 19886–30, 32)
the comments of PRBA and others on passenger-carrying aircraft. Air Transport Association of America,
expanding the exception for shipping The IFR resulted from an assessment Inc. (RSPA–2004–19886–33)
lithium batteries for disposal to include by PHMSA and the FAA of recent Air Line Pilots Association,
lithium batteries shipped for recycling, lithium battery fires in air International (ALPA; RSPA–2004–
and in this final rule have modified transportation, and the FAA technical 19886–34)
§ 173.185(d) accordingly. report, discussed earlier in this Automated Media Systems (RSPA–
preamble, evaluating the flammability of 2004–19886–35)
B. Docket HM–224E primary lithium batteries and the effect Switlik Parachute Co. Inc. (RSPA–2004–
of air carrier fire suppression systems on 19886–36)
1. Background: IFR Requirements
primary lithium battery fires. Fisher Scientific Company, L.L.C.
As explained above, on December 15, 2. Discussion of Comments in HM–224E (RSPA–2004–19886–37)
2004, PHMSA published an IFR (Docket The International Brotherhood of
HM–224E; 69 FR 75208), prohibiting the On January 27, 2005, PHMSA Teamsters Airline Division
shipment of primary lithium batteries as conducted a public meeting to provide (Teamsters; RSPA–2004–19886–43)
cargo on passenger-carrying aircraft. The an informal forum for interested persons All comments submitted to the
IFR prohibits the offering for to offer comments on the IFR. Six Dockets Management System, under
transportation and transportation in persons made oral presentations at the Docket Number PHMSA–04–19886
commerce of primary lithium batteries public meeting. In addition, we received (HM–224E) and comments received at
and cells, and equipment containing or 38 written comments from private the public meeting have been
packed with large primary lithium citizens and the following companies considered in developing this final rule.
batteries (i.e., batteries containing and organizations: The comments are addressed in detail
greater than 25 grams of lithium) as Karin Rindal (RSPA–2004–19886–4) below. Several commenters submitted
cargo aboard passenger-carrying aircraft. Delaine Arnold (RSPA–2004–19886–5) comments that were outside the scope
In addition, equipment packed with or McDowell Research, Ltd. (RSPA–2004– of this rulemaking. They are not
containing small or medium primary 19886–6) discussed in this preamble.
lithium batteries (i.e., batteries Rollie Herman (RSPA–2004–19886–7) a. Prohibition of Primary Lithium
Homer C. Lambert (RSPA–2004–19886–
containing 25 grams or less of lithium) Batteries and Cells Aboard Passenger
10)
must be transported in accordance with Aircraft. The IFR imposed a limited
Portable Rechargeable Battery
Special Provisions A101 and A102. prohibition on offering for
Association (PRBA; RSPA–2004–
Under the IFR, Special Provision A101 transportation and transportation of
19886–39, 44)
specified that a primary lithium battery Information Technology Industry
primary lithium batteries and cells as
or cell packed with equipment may not Council (ITI; RSPA–2004–19886–41)
cargo aboard passenger-carrying aircraft
exceed 5 kg (11 pounds) gross weight. Solectron Corporation (RSPA–2004– and equipment containing or packed
On September 28, 2006, we issued a 19886–42) with large primary lithium batteries.
correction to Docket HM–224E, 71 FR CTIA—The Wireless Association Under the IFR, only small or medium-
56894, revising Special Provision A101. (RSPA–2004–19886–40) size primary lithium batteries packed
The correction clarified that we National Electrical Manufacturers with or contained in the equipment for
intended the 5 kilogram limit to be net Association (NEMA; RSPA–2004– which they are intended to provide
weight. In addition, in accordance with 19886–23, 24, 38) power are permitted to be transported as
Special Provision A102, primary FEDCO Electronics, Inc. (RSPA–2004– cargo aboard passenger-carrying aircraft.
batteries or cells contained in 19886–12, 13) Several commenters oppose the
equipment may not exceed 5 kg (11 Dangerous Goods Advisory Council prohibition adopted in the IFR. For
pounds) net weight. Further, the IFR (RSPA–2004–19886–11) example, NEMA suggests the record
requires the outside of each such Liferaft and Marine Safety (RSPA–2004– does not support the ban of cargo
package that contains a primary lithium 19886–14) shipments of primary lithium batteries
battery or cell forbidden for transport Anthony Affisio (RSPA–2004–19886– and lithium batteries packed with or
aboard passenger carrying aircraft to be 15) contained in equipment aboard

marked ‘‘PRIMARY LITHIUM DBC Marine Safety Systems Ltd (RSPA– passenger aircraft. NEMA requested that
BATTERIES—FORBIDDEN FOR 2004–19886–16) the exception for 5 kg (11 pounds) net
TRANSPORT ABOARD PASSENGER Lucent Technologies (RSPA–2004– weight of batteries packed in equipment
AIRCRAFT.’’ 19886–18) be extended to shipments of primary
lithium batteries shipped without where foreign importers have shipped risks and strengthening the case for final
equipment. NEMA also recommends regulated and hazardous primary regulatory action. We take these risks
PHMSA allow, consistent with lithium batteries by air with inadequate seriously, recognizing the potential for
international requirements, shipments packaging and virtually no insulation catastrophic harm in any passenger
of up to 12 batteries and 24 cells of that would prevent the batteries from airline accident and the relative
batteries to be transported in accordance short circuiting. FEDCO suggests availability of transportation
with the exception in § 173.185(b) of the PHMSA needs to develop methods of alternatives. When it comes to
HMR. NEMA states it is unclear how policing the practices of foreign safeguarding airline travel, we intend to
PHMSA could determine shipments of importers of primary lithium batteries be proactive, identifying and addressing
such products packed with or contained before a serious incident occurs. the most serious safety risks before they
in equipment could pose a serious risk Fisher Scientific Company, L.L.C. result in costly accidents. Although we
in air transportation when there has states it has found individual primary insist that regulatory actions be data-
been no testing of primary lithium lithium batteries, whether shipped driven, we will not wait for accidents to
batteries in equipment. installed or with equipment, do not address known risks. In the case of
Several commenters recommend represent a hazard during primary lithium batteries, although the
PHMSA retract the IFR and issue a final transportation. Fisher Scientific states it evidence of transportation-related risks
rulemaking to harmonize the HMR with has shipped well over 10,000 shipments is mounting, no incident has resulted in
standards for transporting lithium of primary lithium batteries over a serious injury or loss of life. Far from
batteries in the UN Recommendations or period of 20 years, with no demonstrating that the prohibition is
ICAO Technical Instructions. These transportation incidents attributable to unnecessary, this safety record could
commenters suggest harmonization the batteries, and it requests an well reflect the fact that the IFR has
would alleviate the confusion caused by exception from the HMR for single been in place for over two years.
the different lithium battery weight batteries classified as dry (e.g. consumer We disagree with those commenters
limits, exemptions, and testing alkaline), or lithium or lithium ion who contend that imposing more robust
requirements in the HMR and the batteries. Fisher Scientific suggests an packaging requirements would address
international transportation regulations. exception for small primary lithium the safety risks posed by shipment of
Two commenters address the April batteries would provide an adequate primary lithium batteries as cargo
28, 1999 LAX incident mentioned in the level of safety with a minimum of aboard passenger planes. These
IFR. These commenters suggest the operational disruption and no negative comments do not address the central
incident occurred under atypical economic impacts. fact that the fire suppression system in
handling procedures and was the direct We do not agree with those an aircraft cargo compartment is
result of inadequate packaging. SAFT commenters who urge withdrawal of the ineffective in suppressing a fire
America states improved packaging IFR. Although we are hopeful that involving lithium batteries. The aircraft
requirements, mandatory testing of all intervening technological advances will cargo compartment fire scenario of
primary lithium batteries and cells in make lifting the prohibition feasible in concern to PHMSA and FAA is not
accordance with the UN the future, until we can be satisfied that limited to a fire initiated by the primary
Recommendations, and procedures to primary lithium batteries will not ignite lithium batteries, but includes a fire
quarantine damaged shipments would in flight and/or that any such fire could started by an outside source. Increasing
successfully address the root cause of be suppressed by standard fire packaging integrity and improved
the incident. This commenter further suppression systems in passenger compliance do not address this
states all other incidents involving aircraft cargo compartments, we cannot significant concern. As we indicated in
primary lithium batteries and cells sanction the shipment of primary the preamble to the IFR, a primary
involved improper packaging or lithium batteries as cargo in passenger lithium battery involved in a fire in a
batteries contained in checked or carry- aircraft. Incident reports and test data passenger aircraft cargo compartment
on baggage; the commenter notes that indicate primary lithium batteries could overcome the safety features of
neither of these situations is addressed present unique and serious risks if the cargo compartment. Further,
in the IFR. FedEx suggests packaging for transported as cargo on passenger- primary lithium batteries are capable,
all battery types must be reviewed and carrying flights. The FAA report on their own, of initiating a fire that
better packaging requirements must be concludes that primary lithium batteries could have catastrophic consequences.
developed to prevent fires and self-propagate once the lithium in a The FAA report on the flammability
recommends further studies to identify single battery begins to burn. Because of characteristics of primary lithium
an effective extinguishing agent for this, lithium batteries that are not batteries raises significant concerns
lithium batteries. involved in the initial fire may still justifying our conclusion that they
Several commenters express concern ignite and propagate. In addition, the should be prohibited aboard passenger
the IFR will result in unacceptable only FAA-certified fire suppression carrying aircraft.
economic burdens on the industry and system authorized for use in a PHMSA generally agrees with the
will adversely affect the efficiency with passenger-carrying aircraft cannot commenters that the continually
which primary lithium batteries and extinguish or suppress a primary increasing amount of hazardous
cells are transported. FEDCO states the lithium battery fire. materials transported in international
majority of its sales are to distributors For those reasons, PHMSA and FAA commerce warrants the harmonization
and dealers of computer products and to continue to believe the prohibition on of domestic and international
battery retail stores, with major the transportation of primary lithium requirements to the greatest extent
competition from foreign importers of batteries on passenger aircraft is possible. Harmonization facilitates
primary lithium batteries. FEDCO appropriate and well-founded. Although international transportation, while
expresses concern that most foreign some commenters questioned the promoting the safety of people, property
importers of primary lithium batteries original justification for the IFR, and the environment. Our goal is to
are ‘‘under the radar’’ in so far as intervening developments have harmonize without diminishing the
PHMSA is concerned. FEDCO asserts its buttressed the record, calling further level of safety currently provided by the
personnel have seen numerous cases attention to primary lithium battery HMR and without imposing undue
burdens on the regulated public. containers. In the FAA tests, one brand can result from ignition of a small
However, we are obligated to impose of primary lithium batteries required quantity of lithium batteries in the 10m3
additional requirements when the only three burning batteries to raise the facility and raises legitimate concerns
international standards do not pressure pulse above 1 psi, while the about the rise possible with a full
adequately protect the American public. two other brands required only four shipment of primary lithium batteries in
Over time, we expect increased primary lithium batteries to reach the a larger cargo compartment.
harmonization of domestic and same psi. The pressure tests were added In its comments, PRBA refers to the
international standards as both regimes to the test protocol on the basis of initial NPRM published on May 6, 2004 by
continue to address the transportation test results; the FAA was surprised to PHMSA under Docket HM–224B (69 FR
risks posed by the growing use of see pressure changes in the tested 25469), which proposed a requirement
lithium battery technology. compartment in the single-battery tests. for oxygen cylinders to be overpacked in
b. Battery Testing. The Portable Cargo containers are designed to only a packaging that would allow the
Rechargeable Battery Association support 1 psi because they need to be cylinder to withstand a temperature of
(PRBA) expresses concern about the suitable for depressurization. A more 400° F for 3 hours. (On January 31, 2007
manner in which the FAA tests on robust cargo compartment would be PHMSA published the HM–224B Final
primary lithium batteries were incompatible with the need for a Rule (72 FR 4442).) PRBA questioned
conducted, the conclusions reached, depressurized environment. why the lithium batteries were
and the regulatory steps taken. Temperatures in a suppressed cargo subjected to higher temperature tests
Specifically, PRBA contends: compartment fire can be above the auto- than the 400° F proposed for oxygen
(1) PHMSA has not shown that the cylinders. Other commenters also
ignition temperature for primary lithium
FAA fire testing of primary lithium question the validity of the tests cited in
batteries. Thus, the lithium batteries do
batteries and cells represents realistic the IFR and our use of the test results
not have to be in close proximity to the
conditions that could be encountered in as a basis for prohibiting the air
fire source in order to experience
air transportation and pose an transportation of primary lithium
dangerous elevated temperatures during
unreasonable risk to the traveling batteries and cells. For example, NEMA
a cargo compartment fire. The current
public. questions whether PHMSA has
(2) The FAA test results do not fire suppression system installed on
improperly relied on the FAA test
provide a rational basis for the IFR, board an aircraft needs a fire to be
report, which addresses a worst-case
particularly when compared with other activated by a pilot. We note that the
scenario for bulk shipments of lithium
FAA cargo compartment fire tests. Halon system suppresses, but does not batteries, in limiting the transportation
(3) It is unlikely that the pressure rise extinguish, a fire, thus allowing for the of single batteries or products packed
caused by burning primary lithium continuous generation of heat by a deep- with or contained in equipment. NEMA
batteries would lead to an overpressure seated fire. In addition, the temperature states that unlike ‘‘bulk shipments’’ of
of an air craft cargo compartment. and heat flux data collected in the 64 primary lithium batteries, batteries
(4) The fire tests are arbitrary and cubic foot test facility cannot be packed with or contained in equipment
more severe than the other tests used to compared to those collected in a full are not close in proximity to each other
evaluate the hazards of other chemicals scale fire test like those described in the during transportation.
and articles. report ‘‘Minimum Performance FedEx states that there appears to
(5) The effects of packaging material Standards (MPS) for Aircraft Cargo have been more problems with non-bulk
for shipments of primary lithium Compartment Halon Replacement Fire shipments of primary lithium batteries
batteries were largely ignored in the Suppression Systems’’ (DOT/FAA/AR– as opposed to bulk shipments and that
FAA tests. TN03/6; a copy of which is in the public the FAA flammability test was
(6) Primary lithium batteries were docket). For example, the ratio of conducted only on bulk shipments of
subjected to extreme temperature testing flammable materials to compartment primary lithium batteries. FedEx
when in a separate proposed rulemaking volume is much lower in the battery recommends that the FAA examine non-
(Docket HM–224B) PHMSA proposed to tests. To get comparable measurements, bulk shipments of primary lithium
subject packaged oxygen cylinders the battery tests would require a much batteries and conduct appropriate tests
carried in passenger cargo larger quantity of primary lithium on these types of primary lithium
compartments to a temperature of only batteries, placed in a full scale cargo battery shipments.
400° F. compartment along with other Though the focus of the FAA Test
For the following reasons, we do not combustibles. Peak ceiling temperatures Report was the shipment of primary
agree with the PRBA comments. The and temperature-time areas could then lithium batteries in bulk, the tests
FAA tests demonstrated that the lithium be compared meaningfully. Aircraft performed by the FAA Tech Center
output from a single burning primary cargo compartments are as air tight as provide more then sufficient
lithium battery is sufficient to penetrate possible, which is necessary to contain justification to prohibit smaller
single-layer cargo linings. Once the Halon fire suppression gas in the shipments of primary lithium batteries.
penetration occurs, the ability of Halon event of a cargo fire and to pressurize Several of the tests performed by the
to suppress a fire is reduced, and the the cabin with available engine bleed FAA Tech Center involved as few as
fire can spread throughout the cargo air. In addition, cargo liners are four primary lithium batteries. In terms
compartment. Similarly, most cargo designed to separate when exposed to a of the effectiveness of the halon
containers used in commercial pressure of only 1 psi, in order to suppressions system, the report states
shipments (roughly 90%) have only a rapidly relieve pressure during a rapid ‘‘the halon immediately extinguished
single lining. Small numbers of burning cabin depressurization, and prevent the the 1-propanol fire and reduced the
primary lithium batteries can also raise collapse of the cabin floor and possible overall temperature profile in the
the pressure pulse in a cargo container loss of the aircraft. The pressure rise due chamber but did nothing to impede the
to the level at which the walls of the to battery ignition is directly related to progress of the primary lithium battery
containers separate (1 psi). Separation of the size of the compartment. However, fire once a single primary lithium
the cargo container raises the same the data obtained during the FAA tests battery had ignited.’’ In terms of the
concerns as perforation of the indicate that a significant pressure rise pressure pulse, the report states:
One test was conducted with three lithium batteries do not depend on the batteries packed with equipment, UN
Panasonic PL 123A batteries. The conditions mode of transportation or (in 3091’’ do not indicate whether the
were similar to the Sanyo CR2 and Duracell transportation by air) on the type of lithium battery is large or small. FedEx
PL 123A battery tests. The pressure rise in
aircraft or transportation service. The expresses concern that a carrier has no
the vessel was 1.2 psi (see Figure 17). These
results are significant. The cargo Teamsters suggest that, until these reasonable way of knowing if the
compartment is only constructed to hazards and the risk they pose can be lithium battery is large or small. FedEx
withstand a 1-psi pressure differential in mitigated by improved packaging is also concerned with the proliferation
order to rapidly equalize pressure in the standards, specific labeling/marking of markings or other minimal
event of a depressurization. Anything over 1 requirements, strict quantity limitations, requirements when dangerous goods
psi would activate the blowout panels, and appropriate hazard communications shipments are otherwise not regulated
compromising the cargo compartment’s standards (including pilot notification), and are excepted from the regulation.
integrity.
primary lithium batteries should not be FedEx states marking a package
As these results indicate, the transported aboard either passenger or ‘‘PRIMARY LITHIUM BATTERIES—
shipment of even a small number of cargo-only aircraft. FORBIDDEN FOR TRANSPORT
primary lithium batteries presents a As stated in the IFR, PHMSA and ABOARD PASSENGER AIRCRAFT’’
significant risk to a passenger aircraft. FAA agree the greatest risk to public will only cause confusion, delay
Therefore, it is appropriate to rely on safety is in passenger carrying shipments and impede commerce.
the results from the FAA report to operations. For that reason, we did not FedEx recommends the use of Cargo
prohibit small shipments of primary extend the prohibition in the IFR to Aircraft Only labels for the shipment of
lithium batteries. cargo-only aircraft. Therefore extending lithium batteries subject to the final
ALPA expresses concern that primary the prohibition to cargo operations is rule.
lithium batteries may still be shipped by beyond the scope of this rulemaking. URS Corporation suggests PHMSA
cargo only aircraft, including bulk c. Marking and Labeling remove the marking requirement
primary lithium battery shipments that Requirements. The IFR amended ‘‘PRIMARY LITHIUM BATTERIES—
would continue to be excepted from § 173.185 of the HMR to require cargo FORBIDDEN FOR TRANSPORT
many of the requirements of the HMR, shipments of small and medium ABOARD PASSENGER AIRCRAFT’’ for
including stringent packaging standards, primary lithium batteries and cells, packages transported by highway, rail,
quantity limits, and pilot notification. which are excepted from classification and vessel with no air transportation
ALPA contends that the current HMR as Class 9 hazardous materials, to be involved. URS Corporation states the
requirements for the shipment of marked ‘‘PRIMARY LITHIUM required markings are not sufficiently
primary lithium batteries by cargo BATTERIES—FORBIDDEN FOR visible for transporters to divert
aircraft are inappropriate for a TRANSPORT ABOARD PASSENGER packages of primary lithium batteries
commodity posing a great enough risk to AIRCRAFT.’’ This requirement applies and cells to cargo aircraft only and that
warrant PHMSA’s taking emergency to shipments of small and medium certain transporters that do not accept
action to prohibit the batteries aboard lithium batteries in all modes of hazardous materials shipments may
passenger aircraft. ALPA recommends transport. refuse to accept packages of equipment
the bulk shipment of primary lithium McDowell Research, Ltd (McDowell) containing lithium batteries that are
batteries should be governed by asks whether the IFR (and the proposed marked ‘‘PRIMARY LITHIUM
regulations consistent with those in final rule) permit placement of the BATTERIES—FORBIDDEN FOR
place for commodities that pose a ‘‘Cargo Aircraft Only’’ label on packages TRANSPORT ABOARD PASSENGER
similar risk. of primary lithium batteries and cells AIRCRAFT.’’ Another commenter states
ALPA also suggests the risk associated that display the ‘‘PRIMARY LITHIUM that without any identification
with primary lithium batteries and cells BATTERIES—FORBIDDEN FOR requirements on the documents, it is
is unique within the dangerous goods TRANSPORT ABOARD PASSENGER quite possible that cargo may be
transportation system because an AIRCRAFT’’ markings. McDowell states transferred from an intended cargo flight
improperly packaged or damaged there should be a similar, if not to a passenger flight once the cargo is
shipment of batteries can catch fire. identical, statement on the shipping loaded into a unit load device (ULD).
ALPA states once a shipment of lithium papers, or more specifically, the air The commenter states that, because
batteries has been damaged, there is a waybill, for all air shipments of primary much, if not all, cargo within ULDs is
significant likelihood that the batteries lithium batteries in this category to no longer visible, the only means to
will self-initiate, ignite, and catch fire, prevent such shipments from being identify prohibited primary lithium
overcoming the on-board fire inadvertently loaded aboard a passenger batteries is not available.
suppression capabilities and likely aircraft. Under the HMR, an offeror of a
causing the loss of the aircraft and all FedEx states that if the requirements hazardous material must provide the
passengers and crew aboard. ALPA in the IFR are adopted, PHMSA must aircraft operator with a signed shipping
suggests bulk shipments of primary require shippers to indicate whether the paper containing the quantity and a
lithium batteries and cells should only primary lithium battery shipment is basic shipping description of the
be transported aboard cargo aircraft if nonrechargeable or rechargeable. FedEx material being offered for transportation
they are subject to all of the applicable states the proper shipping name for (i.e., proper shipping name, hazard
hazard communication requirements of ‘‘Lithium batteries UN 3090’’ does not class, UN or NA identification number,
the HMR and packaged to prevent indicate whether the lithium batteries and packing group); and certain
damage, short circuiting, and in such a shipments are rechargeable or non- emergency response information (See
way that the batteries withstand the heat rechargeable. In addition, FedEx Part 172, Subparts C and G). Additional
from an unsuppressed cargo fire. requests PHMSA require shippers to information may be required depending
The Teamsters state PHMSA failed to indicate whether the primary lithium on the specific hazardous material being
address the safety concerns of cargo- battery is large or small. FedEx states shipped (see § 172.203). Further, when
only aircraft transporting primary that currently, the proper shipping a package containing a hazardous
lithium batteries and cells. They state names for ‘‘Lithium batteries contained material is offered for transportation by
the hazardous properties of primary in equipment, UN 3091’’ or ‘‘Lithium air and the HMR prohibit its
transportation aboard passenger- material. The marking requirement printed on or affixed to the surface of
carrying aircraft, the words ‘‘Cargo adopted in the IFR informs properly the package; displayed on contrasting
aircraft only’’ must be entered after the trained carrier personnel of package background; unobscured by labels or
basic description (see § 172.203(f)). A transport restrictions for passenger attachments; and located away from any
copy of this shipping paper must aircraft, even if loaded in a ULD. We other marking that could substantially
accompany the shipment it covers continue to believe it is necessary to reduce their effectiveness. Consistent
during transportation aboard the aircraft require the marking for all modes of with other marking requirements in the
(see § 175.35). transport, not just aviation, because the HMR, and in order to address the
In addition to the shipping paper required marking is likely to be the only problems associated with marking
accompanying each hazardous materials visible indication that the package is smaller packages, we have revised the
shipment, an aircraft operator must forbidden for transportation by HMR to allow for a more appropriate
provide the pilot-in-command of the passenger aircraft. The multimodal font for smaller packages. In addition, to
aircraft written information about requirement is necessary because many provide an alternative mark that is
hazardous materials on board the plane goods travel in different modes, and consistent with the adoption of the new
(§ 175.33). For each hazardous materials package restrictions must be identifiable shipping description in the
shipment, this information must in case a package is routed to aircraft international requirements, we are
include: (1) Proper shipping name, transportation. allowing packages to be marked
hazard class, and identification number; In its comments, FedEx suggests ‘‘LITHIUM METAL BATTERIES—
(2) technical and chemical group name, excepted packages of primary lithium FORBIDDEN FOR TRANSPORT
if applicable; (3) any additional batteries should also bear the ‘‘Cargo ABOARD PASSENGER AIRCRAFT.’’
shipping description requirements Aircraft Only’’ label so that these d. Weight Restrictions for Primary
applicable to specific types or packages are more readily identifiable Lithium Batteries. In accordance with
shipments of hazardous materials or to by air carrier employees. Although the the IFR, primary lithium batteries or
materials shipped under ICAO HMR provides relief from the labeling cells packed with or contained in
requirements; (4) total number of requirements of Part 172, Subpart E, equipment may be transported aboard
packages; (5) net quantity or gross nothing precludes a shipper from passenger carrying aircraft under
weight, as appropriate, for each package; voluntarily applying the ‘‘Cargo Aircraft Special provisions A101 and A102.
(6) the location of each package on the Only’’ label, because it is not Special provision A101 and Special
aircraft; (7) for Class 7 (radioactive) inconsistent with the nature of the Provision A102 state the net weight of
materials, the number of packages, shipment. However, the display of the the package for a primary (non-
overpacks or freight containers, their ‘‘Cargo Aircraft Only’’ label by itself rechargeable) lithium battery or cell
transport index, and their location on (without accompanying hazard class contained in equipment may not exceed
the plane; and (8) an indication, if labels or a hazardous materials shipping 5 kg (11 pounds).
applicable, that a hazardous material is paper) could cause confusion to NEMA recommends PHMSA either
being transported under terms of an accepting carriers of all transportation eliminate this restriction on products
exemption. This information must be modes. Those who wish to voluntarily shipped with or contained with primary
readily available to the pilot-in- apply the ‘‘Cargo Aircraft Only’’ label on lithium batteries and cells or clarify the
command during flight. In essence, the excepted packages of primary lithium weight restrictions for primary lithium
notification of pilot-in-command batteries are encouraged to coordinate batteries and cells. NEMA also states
(NOPC) provides the same information with all parties in their transportation PHMSA should expand the provision
to emergency response personnel as a chain. relating to products to cover lithium
shipping paper for transportation by rail NEMA states the labeling batteries shipped with accessories or
or public highway. requirements for primary lithium other non-hazardous materials.
The HMR provides exceptions from batteries and cells impose unreasonable Intel Corporation (Intel) recommends
the packaging and hazard requirements for certain types of lithium PHMSA either rescind or significantly
communication requirements in the battery shipments. For example, NEMA modify the IFR to make it inapplicable
HMR for small and medium-size lithium suggests marking of small packages to shipments of small primary lithium
batteries and cells (when transported by containing one or a few batteries would batteries and cells contained in
highway or rail). When the lithium be impossible with the mandated font equipment. Based on its longstanding
content of the battery or cell does not size. In addition, marking of packages experience shipping products
exceed certain limits, the batteries and with multiple languages may lead to containing small primary lithium
cells must be packaged in strong outer difficulty in meeting the mandated font batteries, Intel contends no further
packagings and in a manner to protect size. restrictions on shipments of primary
against short circuit; however, such The marking provisions adopted in lithium batteries is warranted. In the
shipments are excepted from all other the IFR and this final rule require the alternative, Intel states any further
requirements in the HMR, including outside of each package containing a restrictions on shipments of primary
hazard communication requirements. primary lithium battery or cell to be lithium batteries on passenger aircraft
Without hazardous communication marked ‘‘PRIMARY LITHIUM should include rational thresholds
markings on excepted packages, carriers BATTERIES—FORBIDDEN FOR based on the weight of the batteries, not
will be unaware of the presence of TRANSPORT ABOARD PASSENGER the weight of packages.
primary lithium batteries and cells and AIRCRAFT’’ on a background of The IFR imposed a limited
may inadvertently transport primary contrasting color, in letters: (i) At least prohibition on offering for
lithium batteries and cells aboard 12 mm (0.5 inch) in height on packages transportation and transportation of
passenger-carrying aircraft. having a gross weight of more than 30 primary lithium batteries and cells as
Applying the current hazard kg (66 pounds); or (ii) At least 6 mm cargo aboard passenger-carrying aircraft
communication standards for an (0.25 inch) on packages having a gross and equipment containing or packed
excepted shipment of lithium batteries weight of 30 kg (66 pounds) or less. In with large primary lithium batteries. We
would have the additional effect of addition, § 172.304 requires markings to do not believe that any additional
regulating these batteries as a Class 9 be durable; printed only in English; exceptions should be provided. We do
concur with those commenters who contained in equipment is forbidden for commerce by prescribing regulations
recommend the exception for primary transport aboard a passenger carrying and minimum standards for practices,
lithium batteries contained in aircraft unless: (1) The battery or cell methods, and procedures the
equipment and batteries packed with conforms with the requirements and Administrator finds necessary for safety
equipment should be the same. On limitations of § 173.185(b)(1), (b)(2), in air commerce and national security.
September 28, 2006, we issued a (b)(3), (b)(4) and (b)(6) or § 173.185(c)(1), Under 49 U.S.C. 40113, the Secretary of
correction to Docket HM–224E, 71 FR (c)(2), (c)(3) and (c)(5); (2) the package Transportation has the same authority to
56894. In the correction, we revised contains no more than the number of regulate the transportation of hazardous
Special Provision A101 by changing the lithium batteries or cells necessary to materials by air, in carrying out § 44701,
gross weight limitation to a net weight power the intended piece of equipment; that he has under 49 U.S.C. 5103.
limitation. Because the requirements in (3) the equipment and the battery or cell B. Executive Order 12866 and DOT
A101 and A102 are now essentially the are packed in a strong packaging; and Regulatory Policies and Procedures
same, we are removing A102 and (4) the net weight of the batteries in the
replacing references to A102 with A101. package does not exceed 5 kg (11 This final rule is a significant
We are also clarifying that the net pounds). Packages conforming to the regulatory action under section 3(f) of
weight limitations in 188, A101, and requirements of this Special Provision Executive Order 12866 and, therefore,
A104 apply to the total net weight of the are excepted from all other requirements was formally reviewed by the Office of
lithium batteries in the package. of the HMR. Management and Budget. This final rule
e. Secondary Lithium Batteries. In the DBC Marine Safety System Ltd. also is a significant rule under the
IFR, the existing package quantity Requests clarification of the exception Regulatory Policies and Procedures of
limitation in § 173.185 of the HMR as it applies to life-saving equipment. the Department of Transportation (44 FR
applicable to secondary lithium Several commenters state the net effect 11034). The following sections address
batteries or cells packed with or of the IFR is to prohibit the carriage of the costs and benefits of the measures
contained in equipment was relocated life saving appliances on passenger adopted in this final rule, but separately
without change from column 9 of the aircraft; these commenters recommend a proposed in Dockets HM–224C and
Hazardous Materials Table (HMT) to change to § 173.185 to include an HM–224E.
Special Provisions A103 and A104. In exception for this type of device on Docket HM–224C
accordance with Special Provision passenger aircraft. Commenters state
A103, an inner package of secondary In conducting the regulatory analysis
they know of no incidents or safety for Docket HM–224C, we focused on the
lithium batteries or cells, packed with issues involving primary lithium
equipment is authorized aboard risks posed by the transport of lithium
batteries in life-saving appliances that batteries by aircraft. Because most
passenger carrying aircraft so long as the warrant limitations on their
inner package does not exceed a gross shipments are transported by air, and
transportation. Commenters state that many by passenger aircraft, the
weight of 5 kg (11 pounds). In addition, life-saving equipment is carefully
Special Provision A104 authorizes the consequences of a fire caused by, or
stowed, that the batteries are enclosed involving, a lithium batteries shipment
transportation of a secondary lithium within the equipment, and, accordingly,
battery or cell contained in equipment could be severe. We determined a
that the risk of a mishap is very low. market failure exists (that is, the safety
aboard passenger carrying aircraft in It was our intent to provide life saving
packages not exceeding a net weight of risks will not be controlled through
appliances the same exceptions that are
5 kg (11 pounds) of primary lithium economic decision-making) for two
provided in Special Provision A101 for
batteries. reasons: (1) Damages resulting from
equipment packed with or containing
PRBA and other commenters suggest accidents involving the transportation of
lithium batteries. Therefore, in order to
PHMSA separate the provisions in the lithium batteries by air may be imposed
clarify the applicability of the HMR for
HMR governing the transportation of on individuals, such as air crews and
lifesaving appliances, in this final rule
primary lithium cells and batteries from passengers, who are not parties to the
we have revised § 173.219 to allow life
those governing secondary lithium cells transactions (externality); and (2) air
saving appliances containing lithium
and batteries. To alleviate any carriers may have inadequate
batteries to be transported in accordance
confusion, PRBA suggests PHMSA information to determine the risks and
with § 173.185 of the HMR, and Special
incorporate into the HMR a new section costs associated with accidents
Provisions 188, 189, and A101 as
specific to secondary lithium cells and involving lithium batteries (inadequate
applicable.
batteries. or asymmetric information).
As noted earlier, the UN III. Rulemaking Analysis and Notices The costs associated with performing
Recommendations have been recently the required testing for small lithium
revised by adding new shipping names A. Statutory/Legal Authority for This batteries and the costs of complying
for lithium metal and lithium-ion Rulemaking with hazard communication and
batteries. PHMSA will take these This final rule is published under packaging rules for small and medium-
commenters’ suggestions under authority of Federal Hazardous size lithium batteries over the five-year
consideration when it considers adding Materials Transportation Law (Federal analysis period (in current dollars) for
these new names into the HMR. We Hazmat Law; 49 U.S.C. 5101 et seq.) and all businesses impacted by the final rule
believe that it would be premature to 49 U.S.C. 44701. 49 U.S.C. 5103(b) is approximately $26,000,000, or just
adopt new requirements at this time. authorizes the Secretary of over $5 million discounted annually.
f. Life-Saving Appliances. Section Transportation to prescribe regulations The benefits of the final rule are less
173.219(a)(3), as amended by HM–215G for the safe transportation, including readily quantified. At a minimum, the
(69 FR 76044), requires life-saving security, of hazardous material in benefits include enhanced
appliances containing lithium batteries intrastate, interstate, and foreign transportation safety, consistency
to be transported in accordance with commerce. Title Section 44701 between U.S. and international
§ 173.185 of the HMR. In accordance authorizes the Administrator of the regulations, increased compliance,
with Special Provision A101, a primary Federal Aviation Administration to timely movement of goods, and
lithium battery or cell packed with or promote safe flight of civil aircraft in air consistent emergency response to
hazardous materials incidents. As part local, and Indian tribe requirements, considered. The following sections
of a comprehensive program for including requirements on the following address the small business impacts of
promoting the safe movement of subjects: the measures adopted in this final rule,
hazardous materials, we believe that (1) The designation, description, and but separately proposed in Dockets HM–
these benefits exceed the marginal costs classification of hazardous materials; 224C and HM–224E.
of the final rule. Moreover, when we (2) The packing, repacking, handling,
labeling, marking, and placarding of Docket HM–224C
consider the avoided cost of even a
single lithium battery fire aboard an in- hazardous materials; The Regulatory Flexibility Act of 1980
flight aircraft, the benefits of the final (3) The preparation, execution, and requires agencies to evaluate the
rule vastly exceed its costs. A copy of use of shipping documents related to potential effects of their proposed and
the complete regulatory evaluation is hazardous materials and requirements final rules on small businesses, small
available for review in the public related to the number, contents, and organizations and small governmental
docket. placement of those documents; jurisdictions. Section 603 of the Act
(4) The written notification, requires agencies to prepare and make
Docket HM–224E recording, and reporting of the available for public comment a final
The regulatory evaluation for Docket unintentional release in transportation regulatory flexibility analysis (FRFA)
HM–224E reflects the same market of hazardous materials; or describing the impact of final rules on
failure analysis and considered costs (5) The design, manufacture, small entities. Section 603 (b) of the Act
and benefits over a ten-year analysis fabrication, marking maintenance, specifies the content of a FRFA. Each
period. The findings of the benefit-cost recondition, repair, or testing of a FRFA must contain:
analysis are shown in Table 5 of the packaging or container represented, 1. A succinct statement of the need
regulatory evaluation. The cost elements marked, certified, or sold as qualified for, and objectives of, the rule.
identified include all those related to for use in transporting hazardous 2. A summary of the significant issues
labeling (materials and labor), material. raised by the public comments in
alternative transportation costs (delay This final rule addresses subject items response to the IRFA, a summary of the
costs and additional costs associated (1), (2) and (3) described above and, assessment of the agency issues, and a
with shipping batteries and equipment accordingly, State, local, and Indian statement of any changes made in the
only on cargo aircraft), training costs, tribe requirements on these subjects that proposed rule as a result of such
and handling costs. These costs will be do not meet the ‘‘substantively the comments.
incurred by both primary lithium same’’ standard will be preempted. 3. A description and an estimate of
battery and equipment manufacturers Federal hazardous materials the number of small entities to which
and distributors. The final rule is transportation law provides at the rule will apply or an explanation of
expected to impose present-value costs § 5125(b)(2) that, if DOT issues a why no such estimate is available.
on lithium battery manufacturers and regulation concerning any of the 4. A description of the projected
manufacturers of equipment containing covered subjects, DOT must determine reporting, recordkeeping, and other
lithium batteries of $12.5 million over and publish in the Federal Register the compliance requirements of the rule,
10 years. effective date of Federal preemption. including an estimate of the classes of
The principal anticipated benefits The effective date may not be earlier small entities that will be subject to the
associated with the lithium battery IFR than the 90th day following the date of requirement and the types of
are a reduction in incidents on issuance of the final rule and not later professional skills necessary for
passenger aircraft resulting from lithium than two years after the date of issuance. preparation of the report or record.
battery fires. PHMSA estimated the This effective date of preemption is 90 5. A description of the steps the
number of potential passenger aircraft days after the publication of this final agency has taken to minimize the
fires involving primary lithium batteries rule in the Federal Register. significant adverse economic impact on
based on an analysis of incident small entities consistent with the stated
D. Executive Order 13175 objectives of applicable statutes,
occurrence in the DOT’s Hazardous
Materials Incident Reporting System. This final rule has been analyzed in including a statement of the factual,
We anticipate present-value benefits accordance with the principles and policy, and legal reasons for selecting
over 10 years to total $41 million, for a criteria contained in Executive Order the alternative adopted in the final rule
benefit-cost ratio of 3.3:1. 13175 (‘‘Consultation and Coordination and why each of the other significant
with Indian Tribal Governments’’). alternatives to the rule considered by
C. Executive Order 13132 Because this rule does not have tribal the agency was rejected.
The final rules have been analyzed in implications and does not impose AN FRFA describing the impact of
accordance with the principles and substantial direct compliance costs, the this final rule on small entities is
criteria prescribed in Executive Order funding and consultation requirements available for review in the public
13132 (‘‘Federalism’’). This final rule of Executive Order 13175 do not apply. docket. The FRFA projects the total cost
preempts State, local and Indian tribe over the five-year analysis period (in
requirements but does not propose any E. Regulatory Flexibility Act, Executive current dollars) for all small businesses
regulation that has substantial direct Order 13272, and DOT Procedures and impacted by this rule is $26,463,004. On
effects on the States, the relationship Policies an annual basis, this is $5,292,601,
between the national government and This final rule has been developed in equating to an average annual cost per
the States, or the distribution of power accordance with Executive Order 13272 lithium battery manufacturer or
and responsibilities among the various (‘‘Proper Consideration of Small Entities distributor of $71,285 and an average
levels of government. Therefore, the in Agency Rulemaking’’) and DOT’s annual cost to small electronics
consultation and funding requirements procedures and policies to promote companies of $2,121. Costs are
of Executive Order 13132 do not apply. compliance with the Regulatory associated with new testing
Federal Hazardous Materials Flexibility Act (Pub. L. 96–354) and to requirements for certain currently
Transportation Law, 49 U.S.C. 5125 ensure potential impacts of draft rules excepted batteries and new hazard
expressly preempts inconsistent State, on small entities are properly communication and packaging
requirements. Considering the danger of testing cost per design ranges from by roughly $1.3 million in real dollars
a fire aboard an aircraft, the benefits of $20,000 to $134,000 and the testing for annually during the five-year analysis
this rule could likely be in the hundreds a complete line of batteries would cost timeframe. We elected to retain the
of millions of dollars. At a minimum, between $500,000 and $750,000 for exception for the transportation of
the benefits of this rulemaking include primary lithium batteries and medium-size lithium batteries
enhanced transportation safety, substantially more for rechargeable transported by ground. The retention of
consistency between U.S. and batteries. Our analysis indicates the this exception for ground transport
international regulations, increased costs of the new lithium battery tests are reduces the cumulative cost of the final
compliance, timely movement of goods, much lower. To obtain information on rule for small businesses by $68,882 per
and consistent emergency response to testing costs, we contacted an year.
hazardous materials incidents. independent laboratory currently FEDCO and ACR indicate the number
Summarized below is a brief discussion performing tests on lithium batteries in of small businesses identified by the
on each element of the FRFA prepared accordance with the revisions to the UN IRFA (60 small businesses) should be
for this final rule. Test Manual being adopted in this final much higher. In the FRFA we identify
Need for the final rule. Since 1999, rule. The laboratory indicated, for a 2,239 small businesses potentially
there have been several incidents company with multiple battery designs affected by this rule. We used a number
involving lithium batteries in air to be tested, the total testing cost per of resources, including industry
transportation. At least four of those design would be $6,000. It is our association rosters, online databases,
incidents involved lithium battery fires; understanding the $6,000 cost per and targeted searches to identify these
one incident required medical treatment design covers all of the separate test small businesses. Further searches in
for two workers. All of these incidents components in the revisions to the UN Dun & Bradstreet data were used, where
resulted in fires that were discovered Test Manual, including temperature, appropriate, to confirm the
either just before or just after altitude, vibration, shock, impact, categorization of each entity according
transportation aboard aircraft. To overcharge, forced discharge, and to Small Business Administration (SBA)
address this problem, the United intentional short. size standards. The FRFA includes the
Nations Committee of Experts revised PRBA, FEDCO, SION, Valence original 60 small businesses as lithium
the UN Recommendations on the Technology, ACR, SkyBitz Inc., EIA, battery and cell manufacturers and
Transport of Dangerous Goods (UN and Intel Corporation request several 2,179 businesses that either
Recommendations) to require new exceptions to the testing requirements manufacture or distribute electronic
packaging and hazard communication for small lithium batteries. They ask us equipment requiring lithium batteries.
measures for shipments of lithium to include an exception for single cell Eighty percent of small electronics
batteries and cells. The International lithium batteries, an exception for small businesses (1,743) are not subject to the
Civil Aviation Organization’s Technical production runs, and a delay in the training costs because they already have
Instructions for the Safe Transport of effective date of the rule. Based on these employees with required HMR or ICAO
Dangerous Goods by Air (ICAO comments, we estimate an exception for training or can ship their products by
Technical Instructions) and single-cell lithium batteries would ground. The remaining 20% of small
International Maritime Dangerous reduce the testing costs imposed on electronics businesses (436) will be
Goods Code (IMDG Code) were revised small lithium battery businesses under affected by the training costs applicable
to reflect these changes. this rule by an average of $10,321.61 to Class 9 shipping requirements for
Requiring lithium battery designs to annually over the 5-year analysis time medium-size batteries.
be tested in accordance with the UN horizon. An exception tied to small PRBA, ACR, SkyBitz, FEDCO, and
Test Manual is the internationally production runs would reduce the SION Power indicate the incremental
accepted method to ensure that lithium estimated costs to small businesses by costs associated with hazardous
cells and batteries are sufficiently robust an average of $17,029 annually over the material shipping requirements would
to withstand normal conditions of 5-year analysis time horizon. The IRFA average $0.05 per small cell or battery,
transport. However, the HMR currently envisioned a two-year implementation while the incremental costs tied to
provide an exception for testing small period. Allowing industry an additional medium-size and large batteries and
lithium batteries. In addition, the HMR two years to implement the rule would cells would equal $0.31 per battery and
provide significant exceptions from not reduce the nominal costs incurred $0.26 per cell. According to the
packaging and hazard communication by industry, but, due to the discounting commenters, these costs include all
requirements for small- and medium- of the cost stream, would reduce the packaging and shipping costs tied to the
size batteries. (A battery’s size is present value costs to the average small proposed rule, with packaging costs,
determined by its lithium content.) The business by an average of $1,576 hazardous material surcharges, and
incidents referenced above suggest the annually. In response to the comments, other costs spread over the number of
HMR exceptions for small- and in this final rule, we are adopting units shipped. In addition, commenters
medium-size lithium batteries do not exceptions for small lithium batteries indicate the IRFA references a FedEx
adequately protect against fire risks and for small production runs of lithium Express hazmat surcharge of $30 in the
resulting from short circuits or damage batteries. We are also adopting a two- testing costs, but it appears PHMSA did
to the batteries. Due to these exceptions, year implementation period. not factor that cost into the routine
the current requirements do not provide PRBA, ACR, SkyBitz, and SION shipping costs. In the FRFA shipping
for accurate communication of the Power ask PHMSA to retain the current cost estimates are determined on a per-
hazards associated with lithium HMR exception for medium-size cell or per-battery basis and include all
batteries. batteries. We determined that retaining components, including hazmat
Summary of comments to the IRFA. the exception would result in the surcharges. The FRFA includes all costs
FEDCO Electronics, Inc., and PRBA elimination of 80% of shipping costs listed above.
express concern over the IRFA estimate relating to the Class 9 hazardous PRBA and FEDCO indicate the
of potential costs to test currently material shipping requirements and training costs used in the IRFA
excepted lithium batteries. SkyBitz, would reduce shipping costs to small underestimate the true cost of training.
FEDCO, and SION Power contend the businesses affected by the proposed rule In addition, commenters assert we failed
to include all companies subject to to warrant consideration. We considered for handling and customer service
training, such as those companies who the following possible alternatives: costs). Thus, the total per package cost
incorporate lithium batteries into their 1. Except lithium batteries and cells to a small business to comply with this
products, and those who distribute transported by motor vehicle for the final rule is estimated to be $2.50.
these products. The training cost purposes of recycling from Class 9 We believe that overall cost of the rule
analysis considers various scenarios hazmat requirements. for small businesses is substantially less
provided by small businesses, including 2. Provide manufacturers with four than $2.50 per shipment. It is our
secondary manufacturers and years, rather than two, to comply with understanding many of the small
distributors, impacted by the proposed the new testing requirements for businesses included in the study used
rule. One scenario considered the case existing small lithium battery designs. cargo aircraft operators, not passenger
when an external trainer was brought 3. Adopt a small production run aircraft cargo service, prior to
on-site and delivered the training course exception. implementation of the prohibition. To
for a fee to employees. Another scenario 4. Retain the current exemption from the extent that these small businesses
considered the case where an employee the shipping requirements for medium- were not shipping via passenger cargo
traveled to take a ‘‘train-the-trainer’’ size lithium-ion batteries. service, the estimated $2.50 per package
course, and returned to deliver the 5. Increase the lower threshold for cost impact would only be imposed on
training to on-site employees. A third medium-size lithium-ion batteries and a fraction of shipments offered for
scenario considered in this study is cells. transportation by the small businesses
based on training cost data provided by 6. Except small, single-cell lithium affected by the final rule.
a single employer that did not share the batteries from testing requirements if the Based on the above analysis, the
specifics of its training program. Each cells have already passed the UN T1–T8 PHMSA Administrator certifies that the
cost scenario was impacted by the tests. amendments adopted under Docket
number of employees requiring training. 7. Require that small lithium batteries HM–224E will not have a significant
Companies training a large number of be shipped as Class 9 hazmat but not economic impact on a substantial
employees typically incurred smaller require testing unless they are being number of small entities.
training costs per employee due to their shipped internationally by air.
ability to spread the fixed costs of the 8. Retain the current exception for F. Unfunded Mandates Reform Act of
‘‘train-the-trainer’’ course or the external medium-size lithium batteries and cells 1995
trainer visit across a larger number of shipped in or with equipment from the This final rule does not impose any
employees. Based on input from small Class 9 shipping requirements for all mandate on a State, local, or Native
businesses impacted by the proposed modes. American tribal government and,
rule, these assumptions appear Out of the eight alternatives listed accordingly, does not impose unfunded
reasonable, generating a training cost above, we rejected all but numbers 1, 3, mandates under the Unfunded
estimate of $828,138 over the 5-year 4, and 6. Our reasons for rejecting four Mandates Reform Act of 1995. The final
time horizon. of the eight alternatives hinge on safety rule does not result in costs of $120.7
Number of small entities to which the concerns and the benefits of million or more, in the aggregate, to any
rule will apply. The FRFA projects the harmonization. The adoption of of the following: State, local, or Native
changes being adopted by this final rule alternatives 1, 3, 4, and 6 will have little American tribal governments, or the
will affect 60 lithium battery and cell to no impact on safety and will provide private sector.
businesses (manufacturers and a cumulative cost savings to the affected
distributors) and 2,179 small electronics small businesses of only $100,000 per G. Paperwork Reduction Act
businesses. The number of small year. PHMSA currently has an approved
businesses affected was based on the information collection under OMB
Docket HM–224E
size standards developed by the Small Control Number 2137–0034,
Business Administration and codified in The small business impact analysis (‘‘Hazardous Materials Shipping Papers
13 CFR 121.201. conducted for Docket HM–224E was and Emergency Response Information’’
Reporting, recordkeeping, and other included in the regulatory evaluation with an expiration date of May 31, 2008.
compliance requirements of the rule. prepared for the Final Rule and is This final rule resulted in a minimal
The compliance costs to small summarized below. A complete copy of increase in annual burden and costs
businesses subject to this final rule are the report is in the public docket for this based on a new information collection
primarily related to testing battery and rulemaking. requirement regarding the shipment of
cell designs, shipping of both prototypes Businesses likely to be affected by the lithium batteries.
and final products, and the training final rule in Docket HM–224E are Section 1320.8(d), Title 5, Code of
required for employees newly classified primary lithium battery manufacturers Federal Regulations requires that
as hazmat employees. Each of these is and distributors. For purposes of the PHMSA provide interested members of
discussed separately in the FRFA. small business impact analysis, the the public and affected agencies an
Additionally, the FRFA discusses costs definition of ‘‘small business’’ has the opportunity to comment on information
for lithium battery and cell businesses same meaning as under the Small collection and recordkeeping requests.
and electronics businesses separately. It Business Act. This notice identifies a new information
also discusses the extent to which these Based on the analysis in the collection request that OMB approved
additional compliance costs can be regulatory evaluation, we estimate that based on the requirements in the rule.
passed through the small businesses to the 60 small businesses will incur the PHMSA developed burden estimates to
their customers. following per package costs to comply reflect changes in this rule. PHMSA
Steps to minimize the economic with the this final rule: (1) $.20 for estimates the new total information
impact on small entities. The final rule labels (including label and associated collection and recordkeeping burden
is designed to increase safety for labor costs); (2) $.80 for alternative resulting from the rule are as follows:
transportation of lithium batteries and transportation costs ($.32/pound × .25 × Hazardous Materials Shipping Papers
cells. Any alternatives to the final rule 10 pounds); (3) $.60 for costs associated & Emergency Response Information:
should result in similar safety benefits with transportation delays; and (4) $.90 OMB Control No. 2137–0034:
Total Annual Number of Reporting and recordkeeping For a lithium-ion cell see the definition
Respondents: 250,000. requirements. for ‘‘equivalent lithium content’’.
Total Annual Responses: 260,000,000. * * * * *
Total Annual Burden Hours: 49 CFR Part 172
■ 3. In § 171.12, paragraph (a)(6) is
6,500,834. Education, Hazardous materials
Total Annual Burden Cost: transportation, Hazardous waste, added to read as follows:
$6,510,000. Labeling, Markings, Packaging and § 171.12 North American Shipments.
Requests for a copy of this containers, Reporting and recordkeeping (a) * * *
information collection should be requirements. (6) Primary lithium batteries and
directed to Deborah Boothe or T. Glenn
49 CFR Part 173 cells. Packages containing primary
Foster, Office of Hazardous Materials
lithium batteries and cells that meet the
Standards (PHH–11), Pipeline and Hazardous materials transportation,
exception in § 172.102, Special
Hazardous Materials Safety Packaging and containers, Radioactive
Provision 188 or 189 of this subchapter
Administration, Room 8430, 400 materials, Reporting and Recordkeeping
must be marked ‘‘PRIMARY LITHIUM
Seventh Street, SW., Washington, DC requirements, Uranium.
BATTERIES—FORBIDDEN FOR
20590–0001, Telephone (202) 366–8553.
In addition, you may submit 49 CFR Part 175 TRANSPORT ABOARD PASSENGER
comments specifically related to the Air carriers, Hazardous materials AIRCRAFT’’ or ‘‘LITHIUM METAL
information collection burden to the transportation, Radioactive materials, BATTERIES—FORBIDDEN FOR
PHMSA Desk Officer, OMB, at fax Reporting and recordkeeping TRANSPORT ABOARD PASSENGER
number 202–395–6974. Under the requirements. AIRCRAFT.’’ The provisions of this
Paperwork Reduction Act of 1995, no ■ Accordingly, the interim final rule
paragraph do not apply to packages that
person is required to respond to an amending 49 CFR parts 171, 172, 173, contain 5 kg (11 pounds) net weight or
information collection unless it displays and 175 that was published at 69 FR less of primary lithium batteries cells
a valid OMB control number. 75207 on December 15, 2004, is adopted that are contained in or packed with
as a final rule with the following equipment.
H. Environmental Assessment * * * * *
changes and in consideration of the
The National Environmental Policy foregoing, 49 CFR Chapter I is amended ■ 4. In § 171.24, paragraph (d)(1)(ii) is
Act of 1969 (NEPA), as amended (42 as follows: revised to read as follows:
U.S.C. 4321–4347) requires Federal
agencies to consider the consequences PART 171—GENERAL INFORMATION, § 171.24 Additional requirements for the
of major federal actions and prepare a REGULATIONS, AND DEFINITIONS use of the ICAO Technical Instructions.
detailed statement on any action * * * * *
■ 1. The authority citation for part 171 (d) * * *
significantly affecting the quality of the
continues to read as follows: (1) * * *
human environment. There are no
significant environmental impacts Authority: 49 U.S.C. 5101–5128, 44701; 49 (ii) Primary lithium batteries and
associated with this final rule. 1.45 and CFR 1.53; Pub L. 101–410 section cells. Primary lithium batteries and cells
4 (28 U.S.C. 2461); Pub. L. 104–134, section are forbidden for transportation aboard
I. Regulation Identifier Number 31001. passenger-carrying aircraft. Equipment
A regulation identifier number (RIN) ■ 2. In § 171.8, definitions for containing or packed with primary
is assigned to each regulatory action ‘‘Aggregate lithium content’’, lithium batteries or cells are forbidden
listed in the Unified Agenda of Federal ‘‘Equivalent lithium content’’, and for transport aboard passenger-carrying
Regulations. The Regulatory Information ‘‘Lithium content’’ are added in aircraft except as provided in § 172.102,
Service Center publishes the Unified appropriate alphabetical order to read as Special Provision A101 of this
Agenda in April and October of each follows: subchapter. When transported aboard
year. The RIN number contained in the cargo-only aircraft, packages containing
heading of this document may be used § 171.8 Definitions and abbreviations. primary lithium batteries and cells
to cross-reference this action with the * * * * * transported in accordance with Special
Unified Agenda. Aggregate lithium content means the Provision A45 of the ICAO Technical
sum of the grams of lithium content or Instructions must be marked ‘‘PRIMARY
J. Privacy Act equivalent lithium content contained by LITHIUM BATTERIES—FORBIDDEN
Anyone is able to search the the cells comprising a battery. FOR TRANSPORT ABOARD
electronic form of all comments * * * * * PASSENGER AIRCRAFT’’ or ‘‘LITHIUM
received into any of our dockets by the Equivalent lithium content means, for METAL BATTERIES—FORBIDDEN
name of the individual submitting the a lithium-ion cell, the product of the FOR TRANSPORT ABOARD
comment (or signing the comment, if rated capacity, in ampere-hours, of a PASSENGER AIRCRAFT.’’ This marking
submitted on behalf of an association, lithium-ion cell times 0.3, with the is not required on packages that contain
business, labor union, etc.). You may result expressed in grams. The 5 kg (11 pounds) net weight or less of
review DOT’s complete Privacy Act equivalent lithium content of a battery primary lithium batteries or cells that
Statement in the Federal Register equals the sum of the grams of are contained in or packed with
published on April 11, 2000 (Volume equivalent lithium content contained in equipment.
65, Number 70, pages 19477–78), or at the component cells of the battery. * * * * *
http://dms.dot.gov. * * * * * ■ 5. In § 171.25, paragraph (b)(3) is
List of Subjects Lithium content means the mass of added to read as follows:
lithium in the anode of a lithium metal

49 CFR Part 171 or lithium alloy cell. The lithium § 171.25 Additional requirements for the
Exports, Hazardous materials content of a battery equals the sum of use of the IMDG Code.
transportation, Hazardous waste, the grams of lithium content contained * * * * *
Imports, Incorporation by reference, in the component cells of the battery. (b) * * *
(3) Packages containing primary a. For a lithium metal cell or battery, the should be followed in the event that the
lithium batteries and cells that are lithium content is not more than 1.0 g per package is damaged;
transported in accordance with Special cell and the aggregate lithium content is not (2) Accompanied by a document indicating
more than 2.0 g per battery, and, for a that the package contains lithium batteries
Provision 188 of the IMDG Code must lithium-ion cell or battery, the equivalent and special procedures should be followed in
be marked ‘‘PRIMARY LITHIUM lithium content is not more than 1.5 g per the event that the package is damaged;
BATTERIES—FORBIDDEN FOR cell and the aggregate equivalent lithium (3) Capable of withstanding a 1.2 meter
TRANSPORT ABOARD PASSENGER content is not more than 8 g per battery; drop test in any orientation without damage
AIRCRAFT’’ or ‘‘LITHIUM METAL b. The cells and batteries are transported in to cells or batteries contained in the package,
BATTERIES—FORBIDDEN FOR an outer packaging that is a metal, plastic or without shifting of the contents that would
TRANSPORT ABOARD PASSENGER plywood drum or metal, plastic or wooden allow short circuiting and without release of
AIRCRAFT.’’ This marking is not box that meets the criteria for Packing Group package contents; and
I packagings; and (4) Gross weight of the package may not
required on packages that contain 5 kg c. Each cell and battery is individually exceed 30 kg (66 pounds). This requirement
(11 pounds) net weight or less of packed in an inner packaging inside an outer does not apply to lithium cells or batteries
primary lithium batteries and cells that packaging and is surrounded by cushioning packed with equipment;
are contained in or packed with material that is non-combustible, and non- g. Electrical devices must conform to
equipment. conductive. § 173.21 of this subchapter; and
* * * * * * * * * * h. Lithium batteries or cells are not
188 Small lithium cells and batteries. authorized aboard an aircraft in checked or
PART 172—HAZARDOUS MATERIALS Lithium cells or batteries, including cells or carry-on luggage except as provided in
TABLE, SPECIAL PROVISIONS, batteries packed with or contained in § 175.10.
HAZARDOUS MATERIALS equipment, are not subject to any other 189 Medium lithium cells and batteries.
COMMUNICATIONS, EMERGENCY requirements of this subchapter if they meet Effective October 1, 2008, when transported
all of the following: by motor vehicle or rail car, lithium cells or
RESPONSE INFORMATION, AND a. Primary lithium batteries and cells. (1) batteries, including cells or batteries packed
TRAINING REQUIREMENTS Primary lithium batteries and cells are with or contained in equipment, are not
forbidden for transport aboard passenger- subject to any other requirements of this
■ 6. The authority citation for part 172 carrying aircraft. The outside of each package subchapter if they meet all of the following:
is revised to read as follows: that contains primary (nonrechargeable) a. The lithium content anode of each cell,
Authority: 49 U.S.C. 5101–5128, 44701; 49 lithium batteries or cells must be marked when fully charged, is not more than 5
CFR 1.53. ‘‘PRIMARY LITHIUM BATTERIES— grams.
FORBIDDEN FOR TRANSPORT ABOARD b. The aggregate lithium content of the
§ 172.101 [Amended] PASSENGER AIRCRAFT’’ or ‘‘LITHIUM anode of each battery, when fully charged, is
METAL BATTERIES—FORBIDDEN FOR not more than 25 grams.
■ 7. In § 172.101, in the Hazardous
TRANSPORT ABOARD PASSENGER c. The cells or batteries are of a type proven
Materials Table, the following changes AIRCRAFT’’ on a background of contrasting to meet the requirements of each test in the
are made: color. The letters in the marking must be: UN Manual of Tests and Criteria (IBR; see
■ a. For the entry ‘‘Lithium batteries, (i) At least 12 mm (0.5 inch) in height on § 171.7 of this subchapter). A cell or battery
contained in equipment’’, Column (7), packages having a gross weight of more than and equipment containing a cell or battery
Special Provisions, is revised to read 30 kg (66 pounds); or that was first transported prior to January 1,
‘‘29, 188, 189, 190, A54, A55, A101, (ii) At least 6 mm (0.25 inch) on packages 2006 and is of a type proven to meet the
A104’’ and Column (9A) is revised to having a gross weight of 30 kg (66 pounds) criteria of Class 9 by testing in accordance
read ‘‘See A101, A104.’’ or less, except that smaller font may be used with the tests in the UN Manual of Tests and
■ b. For the entry ‘‘Lithium batteries
as necessary to fit package dimensions; and Criteria, Third Revised Edition, 1999, need
(2) The provisions of paragraph (a)(1) do
packed with equipment’’, Column (7), not be retested.
not apply to packages that contain 5 kg (11
Special Provisions, is revised to read d. Cells or batteries are separated so as to
pounds) net weight or less of primary lithium
‘‘29, 188, 189, 190, A54, A55, A101, prevent short circuits and are packed in a
batteries or cells that are contained in or
A103’’ and Column (9A) is revised to strong outer packaging or are contained in
packed with equipment and the package
contains no more than the number of lithium equipment.
read ‘‘See A101, A103.’’ e. The outside of each package must be
■ c. For the entry ‘‘Lithium battery’’, batteries or cells necessary to power the piece
of equipment; marked ‘‘LITHIUM BATTERIES—
Column 7, Special Provisions, is revised FORBIDDEN FOR TRANSPORT ABOARD
to read ‘‘29, 188, 189, 190, A54, A55, b. For a lithium metal or lithium alloy cell,
the lithium content is not more than 1.0 g. AIRCRAFT AND VESSEL’’ on a background
A100.’’ For a lithium-ion cell, the equivalent lithium of contrasting color, in letters:
■ 8. In § 172.102, in paragraph (c)(1), in content is not more than 1.5 g; (1) At least 12 mm (0.5 inch) in height on
Special Provisions 134 and 157, the c. For a lithium metal or lithium alloy packages having a gross weight of more than
phrase ‘‘A102’’ is amended to read battery, the aggregate lithium content is not 30 kg (66 pounds); or
more than 2.0 g. For a lithium-ion battery, the (2) At least 6 mm (0.25 inch) on packages
‘‘A101’’, Special Provision 29 is revised,
aggregate equivalent lithium content is not having a gross weight of 30 kg (66 pounds)
Special Provisions 188, 189, 190 are or less, except that smaller font may be used
more than 8 g;
added, in paragraph (c)(2) Special d. Effective October 1, 2009, the cell or as necessary to fit package dimensions.
Provision A102 is removed and Special battery must be of a type proven to meet the f. Except when contained in equipment,
Provisions A101, A103, and A104 are requirements of each test in the UN Manual each package containing more than 24
revised to read as follows: of Tests and Criteria (IBR; see § 171.7 of this lithium cells or 12 lithium batteries must be:
subchapter); (1) Marked to indicate that it contains
§ 172.102 Special provisions. e. Cells or batteries are separated so as to lithium batteries, and that special procedures
* * * * * prevent short circuits and are packed in a should be followed in the event that the
(c) * * * strong outer packaging or are contained in package is damaged;
(1) * * * equipment; (2) Accompanied by a document indicating
29 For transportation by motor vehicle, f. Effective October 1, 2008, except when that the package contains lithium batteries
rail car or vessel, production runs contained in equipment, each package and that special procedures should be
(exceptions for prototypes can be found in containing more than 24 lithium cells or 12 followed in the event that the package is
§ 173.185(e)) of not more than 100 lithium lithium batteries must be: damaged;
cells or batteries are excepted from the (1) Marked to indicate that it contains (3) Capable of withstanding a 1.2 meter
testing requirements of § 173.185(a)(1) if— lithium batteries, and special procedures drop test in any orientation without damage
to cells or batteries contained in the package, carrying aircraft unless the equipment and prevent short circuits, including
without shifting of the contents that would the battery conform to the following movement which could lead to short
allow short circuiting and without release of provisions and the package contains no more circuits. The inner packaging must be
package contents; and than the number of lithium batteries or cells packed within one of the following
(4) Gross weight of the package may not necessary to power the intended piece of
exceed 30 kg (66 pounds). This requirement equipment:
outer packagings: metal boxes (4A or
does not apply to lithium cells or batteries (1) The lithium content of each cell, when 4B); wooden boxes (4C1, 4C2, 4D, or
packed with equipment. fully charged, is not more than 5 grams. 4F); fiberboard boxes (4G); solid plastic
g. Electrical devices must conform to (2) The aggregate lithium content of the boxes (4H2); fiber drums (1G); metal
§ 173.21 of this subchapter. anode of each battery, when fully charged, is drums (1A2 or 1B2); plywood drums
190 Until the effective date of the not more than 25 grams. (1D); plastic jerricans (3H2); or metal
standards set forth in Special Provision 189, (3) The net weight of lithium batteries does jerricans (3A2 or 3B2).
medium lithium cells or batteries, including not exceed 5 kg (11 pounds). (5) Be equipped with an effective
cells or batteries packed with or contained in A103 Equipment is authorized aboard means of preventing external short
equipment, are not subject to any other passenger carrying aircraft if the gross weight circuits.
requirements of this subchapter if they meet of the inner package of secondary lithium
all of the following:
(6) Except as provided in paragraph
batteries or cells packed with the equipment
a. Primary lithium batteries and cells. (1) (d) of this section, cells and batteries
does not exceed 5 kg (11 pounds).
Primary lithium batteries and cells are A104 The net weight of secondary
with a liquid cathode containing sulfur
forbidden for transport aboard passenger- lithium batteries or cells contained in dioxide, sulfuryl chloride or thionyl
carrying aircraft. The outside of each package equipment may not exceed 5 kg (11 pounds) chloride may not be offered for
that contains primary (nonrechargeable) in packages that are authorized aboard transportation or transported if any cell
lithium batteries or cells must be marked passenger carrying aircraft. has been discharged to the extent that
‘‘PRIMARY LITHIUM BATTERIES— the open circuit voltage is less than two
FORBIDDEN FOR TRANSPORT ABOARD * * * * *
volts or is less than 2/3 of the voltage
PASSENGER AIRCRAFT’’ or ‘‘LITHIUM
METAL BATTERIES—FORBIDDEN FOR PART 173—SHIPPERS—GENERAL of the fully charged cell, whichever is
TRANSPORT ABOARD PASSENGER REQUIREMENTS FOR SHIPMENTS less.
AIRCRAFT’’ on a background of contrasting AND PACKAGINGS (b) Lithium cells or batteries packed
color. The letters in the marking must be: with equipment. Lithium cells or
(i) At least 12 mm (0.5 inch) in height on ■ 9. The authority citation for part 173 batteries packed with equipment may be
packages having a gross weight of more than continues to read as follows: transported as Class 9 materials if the
30 kg (66 pounds); or Authority: 49 U.S.C. 5101–5128, 44701; 49 batteries and cells meet all the
(ii) At least 6 mm (0.25 inch) on packages CFR 1.45, 1.53. requirements of paragraph (a) of this
having a gross weight of 30 kg (66 pounds) section. The equipment and the
or less, except that smaller font may be used ■ 10. Section 173.185 is revised to read
as follows: packages of cells or batteries must be
as necessary to fit package dimensions; and
(2) The provisions of paragraph (a)(1) do further packed in a strong outer
not apply to packages that contain 5 kg (11 § 173.185 Lithium cells and batteries. packaging. The cells or batteries must be
pounds) net weight or less of primary lithium (a) Cells and batteries. A lithium cell packed in such a manner as to prevent
batteries or cells that are contained in or or battery, including a lithium polymer short circuits, including movement that
packed with equipment and the package cell or battery and a lithium-ion cell or could lead to short circuits.
contains no more than the number of lithium battery, must conform to all of the (c) Lithium cells or batteries
batteries or cells necessary to power the piece following requirements: contained in equipment. Lithium cells
of equipment. (1) Be of a type proven to meet the or batteries contained in equipment may
b. The lithium content of each cell, when be transported as Class 9 materials if the
fully charged, is not more than 5 grams.
requirements of each test in the UN
c. The aggregate lithium content of each Manual of Tests and Criteria (IBR; see cells and batteries meet all the
battery, when fully charged, is not more than § 171.7 of this subchapter). A cell or requirements of paragraph (a) of this
25 grams. battery and equipment containing a cell section, except paragraph (a)(4) of this
d. The cells or batteries are of a type or battery that was first transported section, and the equipment is packed in
proven to meet the requirements of each test prior to January 1, 2006 and is of a type a strong outer packaging that is
in the UN Manual of Tests and Criteria (IBR; proven to meet the criteria of Class 9 by waterproof or is made waterproof
see § 171.7 of this subchapter). A cell or testing in accordance with the tests in through the use of a liner unless the
battery and equipment containing a cell or equipment is made waterproof by nature
battery that was first transported prior to
the UN Manual of Tests and Criteria,
Third Revised Edition, 1999, need not of its construction. The equipment and
January 1, 2006 and is of a type proven to
meet the criteria of Class 9 by testing in be retested. cells or batteries must be secured within
accordance with the tests in the UN Manual (2) Incorporate a safety venting device the outer packaging and be packed so as
of Tests and Criteria, Third Revised Edition, or otherwise be designed in a manner to prevent movement, short circuits, and
1999, need not be retested. that will preclude a violent rupture accidental operation during transport.
e. Cells or batteries are separated so as to under conditions normally incident to (d) Cells and batteries, for disposal or
prevent short circuits and are packed in a transportation. recycling. A lithium cell or battery
strong outer packaging or are contained in (3) Be equipped with an effective offered for transportation or transported
equipment. by motor vehicle to a permitted storage
means to prevent dangerous reverse
f. Electrical devices must conform to
§ 173.21 of this subchapter. current flow (e.g., diodes, fuses, etc.) if facility, disposal site or for purposes of
a battery contains cells or series of cells recycling is excepted from the
* * * * * that are connected in parallel. specification packaging requirements of
Code/Special Provisions (4) Be packaged in combination paragraph (a)(4) of this section and the
* * * * * packagings conforming to the requirements of paragraphs (a)(1) and
(2) * * * requirements of part 178, subparts L and (a)(6) of this section when protected
* * * * * M, of this subchapter at the Packing against short circuits and packed in a
A101 A primary lithium battery or cell Group II performance level. The lithium strong outer packaging conforming to
packed with or contained in equipment is battery or cell must be packed in inner the requirements of §§ 173.24 and
forbidden for transport aboard a passenger packagings in such a manner as to 173.24a.
(e) Shipments for testing (prototypes). ■ 11. In § 173.219, paragraph (b)(3) is phones, lap-top and notebook
A lithium cell or battery is excepted revised to read as follows: computers, camcorders, etc.) containing
from the requirements of (a)(1) of this lithium cells or batteries and spare
§ 173.219 Life-saving appliances.
section when transported by motor lithium batteries and cells for these
vehicle for purposes of testing. The cell * * * * * devices, when carried by passengers or
or battery must be individually packed (b) * * * crew members for personal use. Each
(3) Electric storage batteries and spare battery must be individually
in an inner packaging, surrounded by
lithium batteries (Life saving appliances protected so as to prevent short circuits
cushioning material that is non-
containing lithium batteries must be (by placement in original retail
combustible and nonconductive. The
transported in accordance with packaging or by otherwise insulating
cell or battery must be transported as a
§ 173.185, and Special Provisions 188, terminals, e.g., by taping over exposed
Class 9 material. 189, A101, A103 and A104 as
(f) A lithium cell or battery that does terminals or placing each battery in a
applicable.);
not comply with the provisions of this separate plastic bag or protective pouch)
* * * * * and carried in carry-on baggage only. In
subchapter may be transported only
under conditions approved by the § 173.220 [Amended] addition, each installed or spare battery
must not exceed the following:
Associate Administrator. ■ 12. In § 173.220, in paragraph (d), the
(i) For a lithium metal battery, a
(g) Batteries employing a strong, phrase ‘‘Special Provision A102’’ is
lithium content of not more than 2
impact-resistant outer casing and amended to read ‘‘Special Provision
grams per battery; or
exceeding a gross weight of 12 kg (26.5 A101’’.
(ii) For a lithium-ion battery, an
lbs.), and assemblies of such batteries, aggregate equivalent lithium content of
PART 175—CARRIAGE BY AIRCRAFT
may be packed in strong outer not more than 8 grams per battery,
packagings, in protective enclosures (for ■ 13. The authority citation for part 175 except that up to two batteries with an
example, in fully enclosed wooden continues to read as follows: aggregate equivalent lithium content of
slatted crates) or on pallets. Batteries Authority: 49 U.S.C. 5101–5128; 44701; 49 more than 8 grams but not more than 25
must be secured to prevent inadvertent CFR 1.53. grams may be carried.
movement, and the terminals may not
■ 14. In § 175.10, paragraph (a)(17) is * * * * *
support the weight of other
revised to read as follows: Issued in Washington, DC, on July 31,
superimposed elements. Batteries
packaged in this manner are not § 175.10 Exceptions. 2007, under authority delegated in 49 CFR
permitted for transportation by Part 1.
(a) * * *
passenger aircraft, and may be (17) Except as provided in § 173.21 of Thomas J. Barrett,
transported by cargo aircraft only if this subchapter, consumer electronic Administrator.
approved by the Associate and medical devices (watches, [FR Doc. E7–15213 Filed 8–8–07; 8:45 am]
Administrator prior to transportation. calculating machines, cameras, cellular BILLING CODE 4910–60–P

Rule: Hazardous Materials Transportation: Lithium Batteries

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Thursday,

49 CFR Parts 171, 172, 173, and 175

DEPARTMENT OF TRANSPORTATION SUPPLEMENTARY INFORMATION: batteries and battery-powered products,

TABLE 1.—BATTERY AND CELL CATEGORY DEFINITIONS

identification in shipping documents, when

As a result of HM–224E IFR the following requirements are already in effect:

aboard passenger carrying aircraft to be 15) contained in equipment aboard

lithium in the anode of a lithium metal

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Rule: Hazardous Materials Transportation: Lithium Batteries

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Document Informationclick to expand document informationRule: Hazardous materials transportation: Lithium batteries, 44930-44950 [E7-15213] Pipeline and Hazardous Materials Safety Administration

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Rule: Hazardous Materials Transportation: Lithium Batteries

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Rule: Hazardous Materials Transportation: Lithium Batteries

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Thursday,

49 CFR Parts 171, 172, 173, and 175

DEPARTMENT OF TRANSPORTATION SUPPLEMENTARY INFORMATION: batteries and battery-powered products,

TABLE 1.—BATTERY AND CELL CATEGORY DEFINITIONS

identification in shipping documents, when

As a result of HM–224E IFR the following requirements are already in effect:

aboard passenger carrying aircraft to be 15) contained in equipment aboard

lithium in the anode of a lithium metal

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