[Federal Register Volume 64, Number 129 (Wednesday, July 7, 1999)]
[Notices]
[Pages 36743-36745]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-17123]


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DEPARTMENT OF TRANSPORTATION

Research and Special Programs Administration
[Docket No. RSPA-99-5143; Notice No. 99-8]


Advisory Guidance; Transportation of Batteries and Devices That 
Contain Batteries

AGENCY: Research and Special Programs Administration (RSPA), DOT.

ACTION: Advisory guidance.

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SUMMARY: RSPA has become aware of several incidents that recently 
occurred where heat generated by batteries or devices that contain 
batteries have caused smoke and/or the initiation of a fire while the 
device or article was being transported in commerce. This suggests that 
some persons engaged in the offering of batteries and such devices for 
transportation may not be fully aware of the requirements and 
prohibitions of the Hazardous Materials Regulations (HMR) applicable to 
such devices. This advisory guidance is to remind anyone offering for 
transportation or transporting such devices that electrical storage 
devices or articles that contain batteries are forbidden from 
transportation unless properly packaged as to be protected from such an 
occurrence.

FOR FURTHER INFORMATION CONTACT: Eric Nelson, Office of Hazardous 
Materials Standards, RSPA, Department of Transportation, 400 Seventh 
Street, SW., Washington, DC 20590-0001, Telephone (202) 366-8553.

SUPPLEMENTARY INFORMATION: RSPA has been made aware of several 
incidents in which batteries or other devices that contain batteries 
have short-circuited or otherwise functioned in such a manner so as to 
generate heat, smoke, or initiate a fire while being transported in 
commerce. This advisory guidance is intended to remind persons offering 
for transportation, or personally transporting any battery or 
electrical device of their responsibility under the Hazardous Materials 
Regulations (49 CFR parts 171-180) that any battery or electrical 
device that could create sparks or generate heat may only be offered 
for transportation or transported when adequately protected from such 
an occurrence.

I. Background

    In May, 1994, while being delivered to a handling agent by road, a 
shipment of small lithium batteries destined for Gatwick airport in 
London, England, was found emitting smoke from a Unit Loading Device. 
The shipment consisted of batteries, approximately the size of a dime 
and about 5mm high, which had been tossed loosely in a box. The 
batteries apparently short-circuited when exposed battery terminal tabs 
came into contact with other batteries, and subsequently started a fire 
that significantly damaged the shipment. The UK Civil Aviation 
Authorities investigated the incident. The shipper was fined 
1200 with 300 additional costs being paid.
    In February, 1996, 106 packaged lawnmowers with an electrical 
battery installed were offered to an air carrier for transportation. 
While in an air cargo facility, and after being transported on two 
separate flights, smoke was discovered coming from one of the boxes. 
Air cargo personnel determined that an installed battery was dislodged 
and short-circuited, causing the wiring, plastic housing, and battery 
to burn and melt. The air carrier immediately took action to locate the 
other packages, which were in the process of being transported to other 
destinations throughout the United States. The air carrier returned 
three airborne flights and two taxiing aircraft to the airport, and 
held 11 flights preparing to depart until all 106 packages were 
accounted for. Approximately 50 of the 106 lawnmower batteries short-
circuited, and several burned sufficiently to char

[[Page 36744]]

the packaging in which they were being shipped.
    A November, 1997 incident involved a fiberboard box packaging 
containing non-spillable, wet electric storage batteries offered to an 
air carrier for transportation. The shipment was picked up by a 
messenger service for delivery to the air carrier's cargo facility. The 
package was discovered burning prior to air transport, the probable 
cause of which was short-circuiting of the battery caused by storage of 
cables directly on top of the battery. The short-circuit generated 
enough heat to ignite nearby combustible materials.
    RSPA has become aware of several other occurrences of passenger 
baggage that have been discovered smoldering or burning as a result of 
battery short-circuits. These batteries include camcorder, camera, or 
other dry-cell general use batteries that have short-circuited because 
of coming into contact with keys or other metallic items packed in 
proximity to the batteries. When such a short-circuit occurs, the 
temperature of the device or battery can quickly rise to a point that 
causes leakage of the battery or ignites nearby combustibles such as 
packaging materials or suitcase linings.
    Based on these and other reports, RSPA is concerned that some 
persons offering for transportation or transporting batteries or 
devices that contain batteries may not be fully aware of the applicable 
provisions of the Hazardous Materials Regulations (HMR; 49 CFR parts 
171-180). During air transport, leakage from batteries, smoke and/or 
fire in cargo compartments can pose a grave risk to transportation 
safety.
    The serious potential risks posed to flight safety by batteries and 
devices that contain batteries, in particular where the battery is not 
otherwise subject to regulation, is specifically addressed by RSPA and 
the International Civil Aviation Organization (ICAO). On March 5, 1999, 
RSPA published in the Federal Register (64 FR 10742) a final rule in 
Docket No. RSPA-98-4185 (HM-215C) that amended the Hazardous Material 
Table to add, among other things, special provision 130 to the entry, 
Battery, dry, not subject to the requirements of this subchapter. This 
special provision, codified at Sec. 172.102, identifies conditions that 
must be met before dry batteries that are not otherwise subject to the 
HMR may be offered for transportation or transported in commerce. It 
reads as follows:

``130. Batteries, dry are not subject to the requirements of this 
subchapter only when they are offered for transportation in a manner 
that prevents the dangerous evolution of heat (for example, by the 
effective insulation of exposed terminals).''

In addition, Sec. 173.21 (c) specifies that electrical devices that are 
likely to create sparks or generate a dangerous quantity of heat, 
unless packaged in a manner that precludes such an occurrence, may not 
be offered for transportation in commerce.
    In the 1999/2000 edition of the ICAO Technical Instructions for the 
Safe Transportation of Dangerous Goods, the following prohibitive 
statement appears in relation to electric storage batteries not listed 
in the Dangerous Goods List (Table 2-14) or otherwise subject to the 
provisions of, the Technical Instructions:

``Any electrical battery or battery-powered device having the 
potential of dangerous evolution of heat that is not prepared so as 
to prevent a short circuit (e.g., in the case of batteries, by the 
effective insulation of exposed terminals; or, in the case of 
equipment, by disconnection of the battery and protection of exposed 
terminals) is forbidden from transport.'' (Special Provision A123, 
pg. 2-12-8)

II. Requirements for the Transportation of Electrical Devices

    Where the HMR permit batteries to be offered for transportation, 
either separately or installed in equipment, batteries must be 
protected against short circuits. The following discusses types of 
batteries which are regulated by the HMR. Wet batteries: Batteries, 
wet, filled with acid, UN 2794, and Batteries, wet, filled with alkali, 
UN 2795, are those that contain corrosive battery fluid, and are 
subject to the packing requirements of Sec. 173.159. Wet ``non-
spillable'' batteries: Batteries, wet, nonspillable, UN 2800, are wet 
batteries which are capable of withstanding leakage of battery fluid 
when subjected to vibration and pressure differential tests, as 
specified in Sec. 173.159(d)(3). These batteries are excepted from all 
other requirements of the HMR, provided they meet the requirements of 
Sec. 173.159 (d)(1), (d)(2), and (d)(3). Batteries containing sodium: 
Batteries, containing sodium, UN 3292, are batteries that contain a 
material that, by contact with water, are liable to become 
spontaneously flammable or give off flammable or toxic gas at a rate 
greater than 1 liter per kilogram of the material per hour. These 
batteries are subject to the packaging requirements of Sec. 173.189. 
Lithium batteries: Lithium batteries, UN 3090, and Lithium batteries, 
contained in equipment, UN 3091, are batteries which contain lithium 
substances that react dangerously with water. Regulated batteries 
contain, for liquid cathodes, more than 0.5 grams of lithium per cell, 
or containing an aggregate of over 1.0 gram of lithium or lithium 
alloy, and batteries which contain solid cathodes, 1.0 gram of lithium 
or lithium alloy per cell, or an aggregate of over 2.0 grams of lithium 
or lithium alloy. These batteries are subject to the packaging 
requirements of Sec. 173.185. Certain lithium batteries are not subject 
to the requirements of the HMR provided they meet the requirements of 
Sec. 173.185(c). Batteries containing potassium hydroxide solids: 
Batteries, dry, containing potassium hydroxide solid, UN 3028, are 
those which contain corrosive solids, and are subject to the packaging 
requirements of Sec. 173.213.
    Dry batteries that are not otherwise subject to the requirements of 
the HMR are batteries such as rechargeable camera, cell phone, and dry 
carbon and alkaline batteries which are commonly used by consumers. 
These batteries are otherwise excepted from requirements of the HMR 
when offered for transportation or transported in commerce provided the 
battery is packaged in a manner that prevents the generation of a 
dangerous quantity of heat that may result from short-circuiting. For 
the purpose of Sec. 173.21 (c), ``dangerous quantity of heat'' is 
considered, in part, to be a sufficient amount of energy to cause 
leakage of the battery contents, smoke or fire, or personal injury.
    Even without a short-circuit condition existing, a component in 
circuitry connected to a battery may become heated to a point where 
combustion is initiated in the component itself, or in near-by 
combustible materials, even if the battery or the device in which the 
battery is installed functions normally. RSPA has become aware of 
several incidents in which devices that contain batteries, although 
shipped in compliance with Sec. 173.159, have produced dangerous 
quantities of heat while in transportation in commerce. RSPA is 
evaluating the conditions surrounding these incidents.
    An example is a November 1997 incident in which a device known 
commonly as an Uninterruptible Power Source was offered to an air 
carrier for transportation in commerce. An Uninterruptible Power 
Source, a device consisting of a battery with associated circuitry, is 
used both to provide electrical surge protection to computers and to 
supply emergency power to computers in the event of a loss of normal 
power. After being transported on at least one flight, the power 
source, packed in a fiberboard box, was

[[Page 36745]]

discovered burning and smoking at a cargo sort facility. A subsequent 
investigation revealed that the burning initiated in a printed circuit 
board, with the source of energy being a battery within the device.
    Another example of a condition of a component in circuitry 
connected to a battery may become heated to a point where combustion is 
initiated in the component itself, or in near-by combustible materials, 
even when the device functions normally is a properly operating, high-
intensity flashlight used by scuba divers. Such devices, packed in 
checked baggage and unintentionally activated (i.e., by movement of the 
on/off switch to the ``on'' position), have started fires in passenger 
baggage.
    Airline passengers and persons who offer such electrical devices 
for transportation as carry on baggage, checked baggage, or as cargo, 
are responsible for assuring that appropriate means are taken to 
protect against dangerous levels of heat from inadvertent activation or 
short-circuit of the electrical device in transportation. Individuals 
who carry any battery-powered electrical device in their luggage should 
take care not to pack it in a manner that may lead to a short-circuit 
by contact with keys or other metallic articles, or its inadvertent 
activation while in transportation. To address this potential risk, the 
HMR contains an overriding provision in Sec. 173.21, Forbidden 
materials and packages. Materials forbidden by Sec. 173.21 may not be 
offered for transportation, or transported in commerce. This section 
extends the forbidden designation beyond materials specifically 
identified in the Hazardous Materials Table or elsewhere in the HMR, to 
various additional general categories including:

``Electrical devices which are likely to create sparks or generate a 
dangerous quantity of heat, unless packaged in a manner which 
precludes such an occurrence.''

    Any electrical device, even one not otherwise subject to the HMR 
(either by specific exception from the HMR, or because the device and 
its power source contains no material meeting the definition of a 
hazardous material), is forbidden from being offered for 
transportation, or transported, if the device is likely to produce 
sparks or a dangerous quantity of heat.

III. Reminder to Offerers and Transporters

    Any persons who offers or transports a battery or an electrical 
device with an installed battery, including power sources, lights or 
torches, power tools, and other related articles are encouraged to 
carefully review this guidance, to examine all of their procedures, and 
where necessary, to take measures to prevent potential incidents in 
transportation. While evaluating whether such devices are likely to 
produce sparks or generate a dangerous quantity of heat, environmental 
conditions normally encountered in transportation must be taken into 
account, including temperature, humidity, vibration, impacts from rough 
handling and other relevant factors. In addition, the possibility of 
product manufacturing variations such as contamination, spacings, and 
loose parts should be taken into account.
    Persons are reminded that the offering for transportation of any 
forbidden material in violation of the HMR subjects the offerer to 
enforcement action, including, but not limited to, significant civil 
penalties and appropriate judicial remedies. Furthermore, a willful 
violation of the HMR, or the reckless offering of a material for 
transportation in violation of the HMR, is subject to criminal 
penalties of up to 5 years in prison and/or fines.

    Issued in Washington, DC, on June 28, 1999.
Alan I. Roberts,
Associate Administrator for Hazardous Materials Safety.
[FR Doc. 99-17123 Filed 7-6-99; 8:45 am]
BILLING CODE 4910-60-P