[Federal Register: April 2, 2002 (Volume 67, Number 63)]
[Proposed Rules]
[Page 15510-15516]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr02ap02-29]
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DEPARTMENT OF TRANSPORTATION
Research and Special Programs Administration
49 CFR Parts 171, 172, 173, and 175
[Docket No. RSPA-02-11989 (HM-224C)]
RIN 2137-AD48
Hazardous Materials; Transportation of Lithium Batteries
AGENCY: Research and Special Programs Administration (RSPA), DOT.
ACTION: Notice of proposed rulemaking.
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SUMMARY: RSPA (we) proposes to amend the Hazardous Materials
Regulations (HMR) regarding the transportation of lithium batteries.
These proposals are consistent with changes recently made to the United
Nations Recommendations on the Transport of Dangerous Goods (UN
Recommendations). They would increase the level of safety associated
with the transportation of lithium batteries and facilitate the
transport of these materials in international commerce.
DATES: Comments must be received by June 14, 2002.
ADDRESSES: Submit written comments to the Docket Management System,
U.S. Department of Transportation, Room PL 401, 400 Seventh St., SW.,
Washington, DC 20590-0001. Identify the docket number, RSPA-02-11989
(HM-224C) at the beginning of your comments and submit two copies. If
you wish to receive confirmation of receipt of your comments, include a
self-addressed stamped postcard. You may also submit comments by e-mail
by accessing the Docket Management System website at http://dms.dot.gov.
Click on ``Help'' to obtain instructions for filing the
document electronically.
The Docket Management System is located on the Plaza Level of the
Nassif Building at the U.S. DOT at the above address. You can view
public dockets between the hours of 9:00 a.m. and 5:00 p.m., Monday
through Friday, except federal holidays. You can also view comments on-
line at http://dms.dot.gov.
[[Page 15511]]
FOR FURTHER INFORMATION CONTACT: John Gale, Office of Hazardous
Materials Standards, RSPA, Department of Transportation, 400 Seventh
Street, SW., Washington, DC 20590-0001, Telephone (202) 366-8553.
SUPPLEMENTARY INFORMATION:
I. Background
Under the HMR, 49 CFR parts 171-180, most lithium batteries and
equipment containing or packed with lithium batteries are regulated as
Class 9 materials. Lithium batteries have to be tested in accordance
with the UN Manual of Tests and Criteria, and, among other things, must
be equipped with an effective means of preventing short circuits,
packaged in Packing Group II performance level packagings, and
identified on shipping papers and package markings and labels. 49 CFR
173.185(e). However, Sec. 173.185 contains two significant exceptions
for lithium batteries. The first exception, in 173.185(b), excepts from
the requirements of the HMR:
(1) Liquid cathode cells containing no more than 0.5 grams of
lithium or lithium alloy per cell;
(2) Liquid cathode batteries containing an aggregate quantity of no
more than 1 gram of lithium or lithium alloy;
(3) Solid cathode cells containing no more than 1 gram of lithium
or lithium alloy per cell;
(4) Solid cathode batteries containing an aggregate quantity of no
more than 2 grams of lithium or lithium alloy;
(5) Lithium ion cells containing no more than 1.5 grams of
equivalent lithium content; and
(6) Lithium ion batteries containing no more than 8.0 grams of
equivalent lithium content.
Though these batteries and cells need to meet some additional
requirements, such as being protected against short circuits and
packaged in strong outer packagings, the batteries are not required to
be tested in accordance with UN Manual of Tests and Criteria and there
are no requirements for markings or labels on packages or shipping
documents to communicate to a carrier, emergency response personnel or
the public the presence of lithium batteries. The second exception, in
Sec. 173.185(c), excepts from the HMR those lithium batteries and cells
where the anode of each cell, when fully charged, does not contain more
than 5 grams of lithium content and the aggregate lithium content of
the anodes of each battery, when fully charged, is not more than 25
grams. These batteries and cells must be tested in accordance with UN
Manual of Tests and Criteria and be designed or packed in such a way as
to prevent short circuits under conditions normally incident to
transportation. A package containing these batteries and cells is also
not required to be marked or labeled and a shipping document is not
required to accompany a shipment to communicate the presence of lithium
batteries.
The requirements in the HMR relative to the transportation of
lithium batteries are generally consistent with those in the UN
Recommendations, the International Civil Aviation Organization's
Technical Instructions for the Safe Transport of Dangerous Goods by Air
(ICAO Technical Instructions) and the International Maritime Dangerous
Goods Code (IMDG Code). Recently, in order to maintain consistency with
the international regulations and in particular the 11th Edition of the
UN Recommendations, RSPA revised Sec. 173.185 (Docket HM-215D; June 21,
2001, 66 FR 33316) to include a definition for equivalent lithium
content for lithium ion cells and batteries and to provide the
applicable aggregate lithium quantities relevant to excepting lithium
ion cells and batteries from the requirements of the HMR. In December
2000, the 12th Edition of the UN Recommendations relative to the
transportation lithium batteries was again revised. It is anticipated
that the ICAO Technical Instructions and IMDG Code will also be revised
in the near future to reflect these changes. Therefore, the amendments
being proposed today would, in addition to increasing the level of
safety associated with the transport of lithium batteries, maintain the
consistency of the HMR with the United Nations Recommendations on the
Transport of Dangerous Goods (UN Recommendations) and, thus, facilitate
the transport of these materials in international commerce.
The changes adopted into UN Recommendations were a result of an
incident involving lithium batteries that occurred on April 28, 1999,
at Los Angeles International Airport (LAX). In that incident a shipment
of two pallets of lithium batteries that were excepted from the HMR
caught fire and burned after being off-loaded from a Northwest Airlines
flight from Osaka, Japan. While the pallets were being handled by cargo
handling personnel, the packages were damaged. This is believed to have
initiated the subsequent fire. The fire was initially fought by
Northwest employees with portable fire extinguishers and a fire hose.
Each time the fire appeared to be extinguished, it flared up again. The
two pallets involved in the fire contained 120,000 non-rechargeable
lithium batteries. Because of the exceptions in Sec. 173.185(b), these
batteries were not required to be tested in accordance with UN Manual
of Tests and Criteria and the packages were excepted from hazard
communication requirements (i.e., marking, labeling and shipping
papers). On November 7, 2000, another incident occurred involving
lithium batteries. In this incident, which involved a declared shipment
of lithium sulfur dioxide batteries, a battery short circuited causing
a small fire and rupture of the battery. The battery burned through its
inner packaging and charred an adjoining package.
On November 16, 1999, also in response to the LAX incident, the
National Transportation Safety Board (NTSB) issued five recommendations
to RSPA on the transportation of lithium batteries. A copy of those
recommendations and a copy of our response to the NTSB can be found in
the public docket.
On September 7, 2000, we published a Safety Advisory in the Federal
Register (65 FR 54366) to:
(1) Inform persons of the LAX incident and the potential hazards
that shipments of lithium batteries may present while in
transportation;
(2) Recommend actions to offerors and transporters to ensure the
safety of such shipments;
(3) Provide information concerning the current requirements for the
transportation of lithium batteries;
(4) Inform persons of recommendations we received from the NTSB on
the transportation of lithium batteries and our response to those
recommendations;
(5) Inform persons of the actions we have taken to date and plan to
take in the future to address the hazards of these batteries; and
(6) Provide information concerning initiatives being taken by
members of the battery manufacturing and distribution industry to
address concerns relating to transportation of these batteries.
As noted in the Safety Advisory, we are currently reevaluating the
hazards posed by lithium batteries in transportation. Information is
being collected from lithium battery manufacturers, shippers, and
Federal agencies with extensive experience in testing and the use of
lithium batteries. DOT is also conducting other evaluations to obtain
additional information. We stated in the Safety Advisory that upon
completion of our evaluation of lithium batteries, we would initiate
any additional actions
[[Page 15512]]
necessary to address the hazards posed by the transportation of lithium
batteries. Though we have not completed our reevaluation of the hazards
posed by lithium batteries in transportation, we believe that it is in
the best interest of safety and international commerce to amend the HMR
at this time based on the amendments to the UN Recommendations.
On July 9, 2001, we received a petition (P-1417) from the Portable
Rechargeable Battery Association (PRBA) requesting that this NPRM allow
aircraft passengers and crew to carry in checked or carry-on baggage
certain lithium ion and lithium polymer rechargeable batteries and to
provide an exception from the testing requirements in the UN Manual of
Tests and Criteria for certain lithium and lithium ion cells and
batteries manufactured prior to January 1, 2003. Our response to P-1417
is discussed below.
II. Proposed Amendments
The changes being proposed in this notice can be summarized into
the following categories: (1) Changes to test methods for lithium
batteries; (2) revisions to exceptions for small batteries (e.g., those
of 1 gram or less of lithium content); (3) elimination of an exception
for larger batteries (e.g., cells up to 5 grams of lithium content and
batteries up to 25 grams of lithium content); (4) exceptions for
aircraft passengers and crew; and (5) editorial changes. The following
paragraphs discuss these changes in detail.
A. Changes to the Test Methods for Lithium Batteries
The test methods for lithium batteries and cells in the UN Manual
of Tests and Criteria were revised to provide more precise descriptions
of the procedures and criteria. The revised test method consists of
eight tests compared to six in the previous test method series. The
tests are designed to measure the ability of the cells or batteries to
maintain their construction integrities against internal or external
shorts in normal transport environments. Parameters considered for the
transport environments include temperature, altitude, vibration, shock,
impact, overcharge, forced discharge and intentional short. The test
criteria were developed to minimize the probability that lithium cells
or batteries will become an ignition (fire) source during transport by
all modes.
B. Revisions to the Exceptions for Small Batteries
We believe that in order for small batteries to be excepted from
most of the requirements of the HMR, they should be shown to
demonstrate that they are significantly robust and can withstand
conditions of transport. Therefore, in order for these batteries and
cells to continue to be excepted from the HMR, we are proposing that
they be tested in accordance with the UN Manual of Tests and Criteria.
The LAX incident highlighted the need for some kind of hazard
communication to appear on the outside of the packages and on shipping
documents and to increase the integrity of packages containing lithium
batteries and cells. Therefore, we are proposing that each package
containing more than 24 cells or 12 batteries: (1) Be marked to
indicate that it contains lithium batteries, and that special
procedures be followed in the event that the package is damaged; (2) be
accompanied by a document indicating that the package contains lithium
batteries and that special procedures be followed in the event that the
package is damaged; (3) weigh no more than 30 kilograms (gross weight);
and (4) be capable of withstanding a 1.2 meter drop test in any
orientation without shifting of the contents that would allow short
circuiting, and without release of package contents. We are not
proposing to impose these requirements on packages that contain either
12 or fewer lithium batteries or 24 or fewer cells, so as to minimize
potential cost impacts on aircraft passengers, small retail outlets,
and similar small volume shippers. We are also proposing to adopt one
quantity limit for these cells and batteries in place of the limits
that currently depend on cathode type (i.e., liquid or solid). These
proposed changes are consistent with the recent amendments to the UN
Recommendations and the ICAO TI. The hazard communication and packaging
provisions are also consistent with the industry-adopted voluntary
program that was discussed in the Advisory Notice.
PRBA requested that we include in the proposed rule a provision
that will clarify when all lithium and lithium ion cells and batteries
will be subject to the new UN testing requirements. PRBA requested that
testing not be required on those lithium cells and batteries that are
manufactured prior to January 1, 2003 and that:
(1) For lithium metal or lithium alloy cells, contain no more than
1 gram of lithium;
(2) For lithium ion cells, contain no more than 1.5 grams of
equivalent lithium content;
(3) For lithium metal or lithium alloy batteries, contain no more
than an aggregate lithium content of 2 grams; and
(4) For lithium ion batteries, contain no more than 8 grams of
equivalent lithium content. PRBA stated that these exceptions are
necessary to allow sufficient time to exhaust current inventories and
for implementation of testing procedures.
RSPA agrees that a period of time should be provided to
manufacturers of lithium batteries to test those battery designs that
are currently on the market. RSPA believes that it would be
unreasonable to require these manufacturers to test these designs
immediately or in just a few months after the effective date of a final
rule. However, RSPA does not agree that these batteries should be
allowed to be transported for an indefinite period of time without
being subject to the tests in the UN Manual of Tests and Criteria.
Therefore, consistent with changes recently adopted into the ICAO
Technical Instructions, we are proposing that those lithium battery
designs manufactured before January 1, 2003, not be required to be
tested until January 1, 2005.
C. Elimination of the Exception for Larger Batteries
Currently in the HMR, cells that contain 5 grams or less of lithium
or lithium alloy and not more than 25 grams of lithium or lithium alloy
per battery are excepted from the HMR if they pass tests specified in
the UN Manual of Tests and Criteria. Cells and batteries that do not
meet the test requirements and cells and batteries that contain lithium
and lithium alloys above these limits are subject to the HMR as a Class
9 material and must be packed in UN performance-oriented packagings,
and marked, labeled, and described on shipping papers in accordance
with the HMR. We no longer believe that these cells or batteries
containing relatively large quantities of lithium should be excepted
from the hazard communication and packaging requirements of the HMR
and, therefore, are proposing to eliminate the exception found in
Sec. 173.185(c).
D. Exceptions for Aircraft Passengers and Crew
Consistent with the amendments recently adopted into the ICAO
Technical Instructions, RSPA is also proposing to except from the HMR
the carriage aboard an aircraft of consumer electronic devices by
passengers and crew. In addition, RSPA would allow passengers and crew
to carry spare batteries for such devices subject to limits as to
lithium content and number for larger batteries. These proposed
amendments are also consistent with a
[[Page 15513]]
PRBA petition for rulemaking requesting that we allow aircraft
passengers and crew to carry up to three lithium ion or lithium polymer
rechargeable batteries that contain between 8 and 25 grams of
equivalent lithium content, provided they pass the tests in the UN
Manual of Tests and Criteria. PRBA states that under the current HMR,
passengers using these batteries in electronic devices can transport
these items unregulated but that under the changes adopted by UN
Recommendations, and consequently proposed in this NPRM, they would
have to be transported as Class 9 materials. Though RSPA agrees that we
should continue to allow aircraft passengers and crew to transport
consumer electronic devices containing such lithium or lithium ion
cells or batteries and their spares as unregulated, RSPA does not agree
that the exception provided for lithium ion batteries should also be
provided for lithium polymer batteries. First, for lithium polymer
batteries, the exception in Sec. 173.185(c) only allows those lithium
polymer batteries that contain between 5 and 25 grams of lithium, not
equivalent lithium content. Second, lithium polymer batteries are the
same as lithium metal or lithium alloy batteries for purposes of
compliance with the requirements of Sec. 173.185; there are no
provisions for determining equivalent lithium content for these
batteries.
E. Editorial Changes
We are proposing to make several editorial changes to Sec. 173.185
to help users better understand their responsibilities. First, we are
proposing to move the definition of ``lithium content'' from
Sec. 173.185(a) to Sec. 171.8 and eliminate the first sentence of
Sec. 173.185(a) because it is unnecessary. We would move the provisions
of paragraph (e) to paragraph (a) and move all the exceptions into
paragraph (d). The exceptions would also be revised for clarity. We
would also remove Special Provision 29 because it is unnecessary.
We are also proposing to add provisions to Sec. 173.220, consistent
with recent changes adopted in the ICAO Technical Instruction, for the
shipment of vehicles and engines that contain lithium batteries. These
provisions would require that such lithium batteries be of the same
type that has passed the UN Tests, be securely packed in a battery
holder and be protected against short circuits.
III. Rulemaking Analysis and Notices
A. Executive Order 12866 and DOT Regulatory Policies and Procedures
This proposed rule, if adopted, would not be considered a
significant regulatory action under section 3(f) of Executive Order
12866 and, therefore, was not subject to formal review by the Office of
Management and Budget. This proposed rule is not considered significant
under the Regulatory Policies and Procedures of the Department of
Transportation (44 FR 11034). The hazard communication and packaging
provisions proposed in this NPRM are consistent with a voluntary
program implemented by the lithium battery industry following the LAX
incident and, therefore, would impose no appreciable new cost on the
industry. The testing of currently manufactured batteries or cells
would not be required until January 1, 2005, thus, providing two years
to test current designs of batteries or cells. In addition, (1) these
tests have been adopted in the ICAO Technical Instruction; (2) the vast
majority of the these cells and batteries are manufactured outside the
U.S. and subsequently transported by aircraft into the U.S. under the
ICAO Technical Instructions; and (3) the small number of cells and
batteries manufactured in the U.S. are subsequently transported by
aircraft in the U.S. under the ICAO Technical Instructions. For these
reasons, the costs associated with these proposals are negligible.
Benefits resulting from this proposal include enhanced transportation
safety by decreasing the likelihood and severity of a transportation
incident involving lithium cells and batteries and consistency of
domestic and international standards. Interested persons are invited to
provide comments on RSPA's preliminary regulatory evaluation which is
available for review in the public docket. We are particularly
interested in receiving well-documented comments that substantiate or
refute our understanding that the costs associated with this proposal
are negligible.
B. Executive Order 13132
This proposed rule has been analyzed in accordance with the
principles and criteria contained in Executive Order 13132
(``Federalism''). This proposed rule would preempt State, local, and
Indian tribe requirements but does not propose any regulation that has
substantial direct effects on the States, the relationship between the
national government and the States, or the distribution of power and
responsibilities among the various levels of government. Therefore, the
consultation and funding requirements of Executive Order 13132 do not
apply.
The Federal hazardous materials transportation law, 49 U.S.C. 5101-
5127, contains an express preemption provision (49 U.S.C. 5125(b)) that
preempts State, local, and Indian tribe requirements on certain covered
subjects. Covered subjects are:
(1) The designation, description, and classification of hazardous
materials;
(2) The packing, repacking, handling, labeling, marking, and
placarding of hazardous materials;
(3) The preparation, execution, and use of shipping documents
related to hazardous materials and requirements related to the number,
contents, and placement of those documents;
(4) The written notification, recording, and reporting of the
unintentional release in transportation of hazardous material; or
(5) The design, manufacture, fabrication, marking, maintenance,
recondition, repair, or testing of a packaging or container
represented, marked, certified, or sold as qualified for use in
transporting hazardous material.
This proposed rule addresses covered subject items (1), (2), and
(3) above and would preempt State, local, and Indian tribe requirements
not meeting the ``substantively the same'' standard. This proposed rule
is necessary to incorporate changes recently adopted in international
standards and increase the level of safety associated with the
transportation of lithium batteries.
Federal hazardous materials transportation law provides at
Sec. 5125(b)(2) that, if DOT issues a regulation concerning any of the
covered subjects, DOT must determine and publish in the Federal
Register the effective date of Federal preemption. The effective date
may not be earlier than the 90th day following the date of issuance of
the final rule and not later than two years after the date of issuance.
RSPA proposes that the effective date of Federal preemption will be 90
days from publication of a final rule in this matter in the Federal
Register.
C. Executive Order 13175
This proposed rule has been analyzed in accordance with the
principles and criteria contained in Executive Order 13175
(``Consultation and Coordination with Indian Tribal Governments'').
Because this proposed rule does not have tribal implications and does
not impose direct compliance costs, the funding and consultation
requirements of Executive Order 13175 do not apply.
[[Page 15514]]
D. Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601-611) requires each
agency to analyze proposed regulations and assess their impact on small
businesses and other small entities to determine whether the proposed
rule is expected to have a significant impact on a substantial number
of small entities. The provisions of this proposal would apply to
lithium battery manufacturers and other persons who offer lithium
batteries for transportation in commerce, some whom are small entities.
However, it is anticipated that the costs associated with the more
stringent requirements of this proposal, such as the testing of lithium
batteries, would be incurred by lithium battery manufacturers, which
are not small businesses. In addition, an exception from the new hazard
communication system has been provided for small shipments of lithium
batteries. It is our belief that most small businesses that offer
lithium batteries for transportation would be able to utilize that
exception. Therefore, RSPA certifies that this proposed rule would not
have a significant economic impact on a substantial number of small
entities.
E. Unfunded Mandates Reform Act of 1995
This proposed rule would not impose unfunded mandates under the
Unfunded Mandates Reform Act of 1995. It would not, if adopted, result
in costs of $100 million or more, in the aggregate, to any of the
following: State, local, or Native American tribal governments, or the
private sector.
F. Paperwork Reduction Act
RSPA believes that this proposed rule may result in a modest
increase in annual burden and costs based on a new information
collection requirement. The proposals regarding the shipment of lithium
batteries that result in a new information collection requirement have
been submitted to OMB for review and approval.
Section 1320.8(d), Title 5, Code of Federal Regulations requires
that RSPA provide interested members of the public and affected
agencies an opportunity to comment on information collection and
recordkeeping requests. This notice identifies a new information
collection request (i.e., the requirement to indicate on shipping
documents that packages contain lithium batteries) that RSPA has
submitted to OMB for approval based on the requirements in this
proposed rule. RSPA has developed burden estimates to reflect changes
in this proposed rule. RSPA estimates that the total information
collection and recordkeeping burden proposed in this rule would be as
follows:
OMB No. 2137-xxxx:
Total Annual Number of Respondents: 1,000.
Total Annual Responses: 100,000.
Total Annual Burden Hours: 834.
Total Annual Burden Cost: $10,000.
RSPA specifically requests comments on the information collection
and recordkeeping burdens associated with developing, implementing, and
maintaining these requirements for approval under this proposed rule.
Requests for a copy of the information collection should be
directed to Deborah Boothe, Office of Hazardous Materials Standards
(DHM-10), Research and Special Programs Administration, Room 8102, 400
Seventh Street, SW, Washington, DC 20590-0001, Telephone (202) 366-
8553.
Written comments should be addressed to the Docket Management
System as identified in the ADDRESSES section of this rulemaking.
Comments should be received prior to the close of the comment period
identified in the DATES section of this rulemaking. Under the Paperwork
Reduction Act of 1995, no person is required to respond to or comply
with an information collection requirement unless it displays a valid
OMB control number. If these proposed requirements are adopted in a
final rule, RSPA will submit the information collection and
recordkeeping requirements to the Office of Management and Budget for
approval.
G. Regulation Identifier Number (RIN)
A regulation identifier number (RIN) is assigned to each regulatory
action listed in the Unified Agenda of Federal Regulations. The
Regulatory Information Service Center publishes the Unified Agenda in
April and October of each year. The RIN number contained in the heading
of this document may be used to cross-reference this action with the
Unified Agenda.
List of Subjects
49 CFR Part 171
Exports, Hazardous materials transportation, Hazardous waste,
Imports, Incorporation by reference, Reporting and recordkeeping
requirements.
49 CFR Part 172
Education, Hazardous materials transportation, Hazardous waste,
Labeling, Markings, Packaging and containers, Reporting and
recordkeeping requirements.
49 CFR Part 173
Hazardous materials transportation, Packaging and containers,
Radioactive materials, Reporting and Recordkeeping Requirements,
Uranium.
49 CFR Part 175
Air carriers, Hazardous materials transportation, Radioactive
materials, Reporting and recordkeeping requirements.
In consideration of the foregoing, 49 CFR Chapter I would be
amended as follows:
PART 171--GENERAL INFORMATION, REGULATIONS, AND DEFINITIONS
1. The authority citation for part 171 would continue to read as
follows:
Authority: 49 U.S.C. 5101-5127; 49 CFR 1.53.
2. In Sec. 171.7, in the paragraph (a)(3) table, under the entry
``United Nations'', the second entry would be revised to read as
follows:
Sec. 171.7 Reference material.
(a) * * *
(3) * * *
----------------------------------------------------------------------------------------------------------------
Source and name of material 49 CFR reference
----------------------------------------------------------------------------------------------------------------
* * * * * * *
United Nations
* * * * * * *
UN Recommendations on the Transport of 172.102; 173.21; 173.56; 173.57; 173.124; 173.128; 173.166;
Dangerous Goods, Manual of Tests and 173.185
Criteria, Third Revised Edition (1999)
including the revisions contained in the
Report of the Committee of Experts on its
Twenty-First Session ``Amendments to Third
Revised Edition of the UN Manual of Tests
and Criteria, ST/SG/AC.10/27 Add.2''
----------------------------------------------------------------------------------------------------------------
[[Page 15515]]
* * * * *
3. In Sec. 171.8, a definition for ``Equivalent lithium content''
and ``Lithium content'' would be added in appropriate alphabetical
order to read as follows:
Sec. 171.8 Definitions and abbreviations.
* * * * *
Equivalent lithium content means, for a lithium ion cell, the
product of the rated capacity, in ampere-hours, of a lithium ion cell
times 0.3. The equivalent lithium content of a battery equals the sum
of the grams of equivalent lithium content contained in the component
cells of the battery.
* * * * *
Lithium content means the mass of lithium in the anode of a lithium
metal or lithium alloy cell. For a lithium ion cell see the definition
for ``equivalent lithium content''.
* * * * *
PART 172--HAZARDOUS MATERIALS TABLE, SPECIAL PROVISIONS, HAZARDOUS
MATERIALS COMMUNICATIONS, EMERGENCY RESPONSE INFORMATION, AND
TRAINING REQUIREMENTS
4. The authority citation for part 172 would continue to read as
follows:
Authority: 49 U.S.C. 5101-5127; 49 CFR 1.53.
Sec. 172.102 [Amended]
5. In Sec. 172.102(c)(1), special provision ``29'' would be
removed.
PART 173--SHIPPERS--GENERAL REQUIREMENTS FOR SHIPMENTS AND
PACKAGINGS
6. The authority citation for part 173 would continue to read as
follows:
Authority: 49 U.S.C. 5101-5127, 44701; 49 CFR 1.45, 1.53.
7. Section 173.185 would be revised to read as follows:
Sec. 173.185 Lithium cells and batteries.
(a) Cells and batteries. A lithium cell or battery, including a
lithium polymer cell or battery and a lithium ion cell or battery, must
meet the following requirements:
(1) Be of a type proven to meet the requirements of each test in
the UN Manual of Tests and Criteria, Third Revised Edition (1999), Part
III, subsection 38.3. A cell or battery and equipment containing a cell
or battery which was first transported prior to [effective date of the
final rule] and is of a type proven to meet the criteria of Class 9 by
testing in accordance with the tests in the UN Manual of Tests and
Criteria, Second Edition, 1990 is not required to be retested in
accordance with the UN Manual of Tests and Criteria, Third Revised
Edition (1999), Part III, subsection 38.3;
(2) Incorporate a safety venting device or otherwise be designed in
a manner that will preclude a violent rupture under conditions normally
incident to transportation;
(3) For a battery containing cells or series of cells that are
connected in parallel, be equipped with an effective means to prevent
dangerous current flow (e.g., diodes, fuses, etc.);
(4) Be packed in inner packagings in such a manner as to prevent
short circuits, including movement which could lead to short circuits;
(5) Be packaged in combination packagings conforming to the
requirements of part 178 of this subchapter at the Packing Group II
performance level. Inner packagings must be packed within metal boxes
(4A or 4B), wooden boxes (4C1, 4C2, 4D,or 4F), fiberboard boxes (4G),
solid plastic boxes (4H2), fiber drums (1G), metal drums (1A2 or 1B2),
plywood drums (1D), plastic jerricans (3H2), or metal jerricans (3A2 or
3B2);
(6) Be equipped with an effective means of preventing external
short circuits; and
(7) Not be offered for transportation or transported if any cell
has been discharged to the extent that the open circuit voltage is less
than two volts or is less than \2/3\ of the voltage of the fully
charged cell, whichever is less.
(b) Cells or batteries packed with equipment. Cells or batteries
packed with equipment may be transported as items of Class 9 if the
batteries and cells meet all the requirements of paragraph (a) of this
section, except paragraph (a)(5) of this section. The cells or
batteries must be packed in an inner packaging that is further packed
with the equipment in a strong outer packaging.
(c) Equipment containing cells and batteries. Cells and batteries
contained in equipment may be transported as items of Class 9 if the
batteries and cells meet all the requirements of paragraph (a) of this
section, except paragraphs (a)(4) and (a)(5) of this section, and the
equipment is packed in a strong outer packaging that is waterproof or
is made waterproof through the use of a liner unless the equipment is
made waterproof by nature of its construction. The equipment and cells
or batteries must be secured within the outer packaging and be packed
as to effectively prevent movement, short circuits, and accidental
operation during transport.
(d) Exceptions. (1) Small cells and batteries. A lithium cell or
battery, including a cell or battery packed with or contained in
equipment, is not subject to any other requirements of this subchapter
if it meets the following requirements:
(i) For a lithium metal or lithium alloy cell, the lithium content
is not more than 1.0 g. For a lithium-ion cell, the equivalent lithium
content is not more than 1.5 g;
(ii) For a lithium metal or lithium alloy battery, the aggregate
lithium content is not more than 2.0 g. For a lithium-ion battery, the
aggregate equivalent lithium content is not more than 8 g;
(iii) The cell or battery is of the type that meets the lithium
battery testing requirements in the UN Manual of Tests and Criteria,
Part III, subsection 38.3. A cell or battery that was manufactured
before January 1, 2003 is not required to be tested until January 1,
2005;
(iv) Cells or batteries are separated so as to prevent short
circuits and are packed in a strong outer packaging or are contained in
equipment; and
(v) Each package containing more than 24 lithium cells or 12
lithium batteries must be:
(A) Marked to indicate that it contains lithium batteries, and that
special procedures should be followed in the event that the package is
damaged;
(B) Accompanied by a document indicating that the package contains
lithium batteries and that special procedures should be followed in the
event that the package is damaged;
(C) Capable of withstanding a 1.2 meter drop test in any
orientation without damage to cells or batteries contained in the
package, without shifting of the contents that would allow short
circuiting and without release of package contents; and
(D) Except in the case of lithium cells or batteries packed with or
contained in equipment, in packages not exceeding 30 kg gross mass.
(2) Cells and batteries, for disposal. A lithium cell or battery
offered for transportation or transported to a permitted storage
facility or disposal site by motor vehicle is excepted from the
specification packaging requirements of this subchapter and the
requirements of paragraphs (a)(1) and (a)(7) of this section when
protected against short circuits and packed in a strong outer packaging
conforming to the requirements of Secs. 173.24 and 173.24a.
(3) Shipments for testing. A lithium cell or battery is excepted
from the requirement of (a)(1) of this section when transported by
motor vehicle for
[[Page 15516]]
purposes of testing. The cell or battery must be individually packed in
an inner packaging, surrounded by cushioning material that is non-
combustible, and nonconductive.
(e) A lithium cell or battery that does not comply with the
provisions of this section may be transported only under conditions
approved by the Associate Administrator.
8. In Sec. 173.220, paragraph (b)(5) would be added to read as
follows:
Sec. 173.220 Internal combustion engines, self-propelled vehicles,
mechanical equipment containing internal combustion engines, and
battery powered vehicles and equipment.
* * * * *
(b) * * *
(5) Lithium batteries. Lithium batteries contained in vehicles or
engines must be of a type that has successfully passed each test in the
UN Manual of Tests and Criteria, Part III, subsection 38.3, be securely
fastened in the battery holder of the vehicle or engine, and be
protected in such a manner as to prevent damage and short circuits.
Equipment, other than vehicles or engines, containing lithium batteries
must be transported in accordance with Sec. 173.185.
* * * * *
PART 175--CARRIAGE BY AIRCRAFT
9. The authority citation for part 175 would continue to read as
follows:
Authority: 49 U.S.C. 5101-5127; 49 CFR 1.53.
10. In Sec. 175.10, paragraph (a)(27) would be added to read as
follows:
Sec. 175.10 Exceptions.
(a) * * *
(27) Consumer electronic devices (watches, calculating machines,
cameras, cellular phones, lap-top computers, camcorders, etc.)
containing lithium or lithium ion cells or batteries when carried by
passengers or crew member for personal use. Each spare battery must be
individually protected so as to prevent short circuits and carried in
carry-on baggage only. In addition, each spare battery must not exceed
the following:
(i) For a lithium metal or lithium alloy battery, a lithium content
of not more than 2 grams per battery; or
(ii) For a lithium ion battery, an aggregate equivalent lithium
content of not more than 8 grams per battery, except that up to two
batteries with an aggregate equivalent lithium content of more than 8
grams but not more than 25 grams may be carried.
* * * * *
Issued in Washington, DC, on March 28, 2002, under authority
delegated in 49 CFR part 106.
Robert A. McGuire,
Associate Administrator for Hazardous Materials Safety.
[FR Doc. 02-7959 Filed 4-1-02; 8:45 am]
BILLING CODE 4910-60-P
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