[Federal Register Volume 65, Number 174 (Thursday, September 7, 2000)]
[Notices]
[Pages 54336-54338]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-22838]


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DEPARTMENT OF TRANSPORTATION

Research and Special Programs Administration

[Docket No. RSPA-00-7283; Notice No. 00-10]


Advisory Notice; Transportation of Lithium Batteries

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

ACTION: Advisory notice.

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[[Page 54337]]

SUMMARY: RSPA (we) is aware of an incident during transportation in 
which a fire occurred in a shipment of primary lithium batteries which 
are excepted from the Hazardous Materials Regulations (HMR). We are 
issuing this advisory notice to (1) inform persons of this 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 that we 
received from the National Transportation Safety Board (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.

FOR FURTHER INFORMATION CONTACT: John Gale or 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:

I. Guidance and Recommendations

    We recommend that offerors and transporters take precautions in the 
transportation of lithium batteries that are presently excepted from 
regulation as a hazardous material under 49 CFR 173.185 of the HMR (49 
CFR parts 171-180) and Special Provision A45 of the International Civil 
Aviation Organization (ICAO) Technical Instructions for the Transport 
of Dangerous Goods by Air (Technical Instructions). On April 28, 1999, 
at Los Angeles International Airport (LAX), a shipment of two pallets 
of primary lithium batteries 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 primary batteries. These batteries contain small 
amounts of lithium metal. However, because of existing exceptions in 
the HMR and the ICAO Technical Instructions, these packages were 
excepted from all hazard communication requirements (i.e., marking, 
labeling and shipping papers). It should be noted that there are two 
basic categories of lithium batteries: primary (non-rechargeable) 
lithium batteries, and secondary (rechargeable) lithium batteries. 
Primary lithium batteries employ different technology to produce 
electricity than do rechargeable lithium batteries. The incident at LAX 
airport involved primary lithium batteries; however, in the interest of 
caution, we recommend that an offeror of either category of lithium 
batteries take the following steps:
    (1) Ensure that the batteries are packaged in a manner that 
conforms to the HMR, in packages capable of withstanding conditions 
normally encountered in transportation, including preventing the 
release of packaged contents or damage to the package which could make 
the batteries unsafe.
    (2) Inform transporters that packages contain such batteries, and 
specify what actions should be taken if packages are damaged through 
package markings, shipping papers or other means.
    We recommend that a transporter, especially an aircraft operator:
    (1) Exercise care in handling of all packages to avoid damage, 
whether or not those packages are identified as containing hazardous 
materials.
    (2) Remove any damaged packages containing lithium batteries from 
transportation until it is determined that the batteries are free from 
damage and can be appropriately repackaged and continue in 
transportation.
    These recommendations are consistent with actions being taken 
voluntarily by members of the battery industry as discussed in more 
detail below.

II. Regulatory Provisions, NTSB Recommendations and DOT Actions

A. Regulatory Provisions for Lithium Batteries

    Consistent with international standards, the HMR regulate lithium 
metal as a Division 4.3 (Dangerous When Wet) material and lithium 
batteries are regulated as Class 9 (miscellaneous) hazardous materials. 
However, many lithium batteries which meet certain conditions are 
excepted from other requirements in the HMR. All lithium batteries and 
cells must be designed or packed in a way as to prevent short-circuits 
under conditions normally encountered in transportation. Lithium 
batteries excepted from the HMR include liquid cathode batteries 
containing no more than 0.5 grams of lithium or lithium alloy per cell, 
or containing an aggregate quantity of no more than 1 gram of lithium 
or lithium alloy, and solid cathode batteries containing no more than 1 
gram of lithium or lithium alloy per cell, or an aggregate quantity of 
no more than 2 grams of lithium or lithium alloy. Cells that contain 5 
grams or less of lithium or lithium alloy and no more than 25 grams of 
lithium or lithium alloy per battery are also excepted from the HMR if 
they pass tests specified in the United Nations (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 levels 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.

B. NTSB Recommendations

    On November 16, 1999, the National Transportation Safety Board 
issued five safety recommendations to RSPA on the transportation of 
lithium batteries. The recommendations were issued as the result of the 
Safety Board's investigation of the incident that occurred on April 28, 
1999, at LAX. The recommendations are as follows:
    A-99-80. With the Federal Aviation Administration, evaluate the 
fire hazards posed by lithium batteries in an air transportation 
environment and require that appropriate safety measures be taken to 
protect aircraft and occupants. The evaluation should consider the 
testing requirements for lithium batteries in the United Nation's 
Transport of Dangerous Goods Manual of Tests and Criteria, the 
involvement of packages containing large quantities of tightly packed 
batteries in a cargo compartment fire, and the possible exposure of 
batteries to rough handling in an air transportation environment, 
including being or abraded open.
    A-99-81. Pending completion of your evaluation of the fire hazards 
posed by lithium batteries in an air transportation environment, 
prohibit the transportation of lithium batteries on passenger-carrying 
aircraft.
    A-99-82. Require that packages containing lithium batteries be 
identified as hazardous materials, including appropriate marking and 
labeling of the packages and proper identification in shipping 
documents, when transported on aircraft.

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    A-99-83. Pending completion of your evaluation of the fire hazards 
posed by lithium batteries in an air transportation environment, notify 
the International Civil Aviation Organization's Dangerous Goods Panel 
about the circumstances of the fire in the Northwest Airlines cargo 
facility at Los Angeles International Airport on April 28, 1999. Also 
pending completion of your evaluation of the fire hazards posed by 
lithium batteries in an air transportation environment, initiate action 
through the Dangerous Goods Panel to revise the Technical Instructions 
for the Safe Transportation of Dangerous Goods by Air to prohibit the 
transportation of lithium batteries on passenger-carrying aircraft.
    A-99-84. Initiate action through the Dangerous Goods Panel to 
revise the Technical Instructions for the Safe Transportation of 
Dangerous Goods by Air to require that packages containing lithium 
batteries be identified as hazardous materials when transported on 
aircraft.
    Copies of the November 16, 1999, NTSB letter and our response are 
in the public docket. A summary of our response appears in the next 
section of the preamble.

C. DOT Actions

    We responded to the NTSB in a letter dated March 29, 2000. In that 
response, we stated that we were re-evaluating both the hazards posed 
by lithium batteries in air transportation and the safety measures 
necessary to protect an aircraft and its occupants. Additional 
information is being collected from lithium battery manufacturers and 
Federal agencies with extensive experience with testing and the use of 
lithium batteries. DOT also intends to conduct experimental evaluations 
necessary to obtain information not available from other sources. Our 
investigation is studying both primary lithium batteries and 
rechargeable lithium batteries.
    In our response to NTSB we stated that, taking into account the 
hazards that lithium batteries present in transportation, the unusual 
nature of the LAX incident, the number of lithium batteries that have 
been transported safely on passenger-carrying aircraft, and the 
potential economic consequences, we could not justify an immediate 
prohibition on the transportation of lithium batteries on passenger-
carrying aircraft. We are, however, initiating alternative actions to 
address the risk lithium batteries present in air transportation. These 
alternative actions include developing and distributing information 
aimed at shippers and airline personnel on the potential hazards of 
lithium batteries, such as the information contained in this notice, 
and based on the findings of our evaluation, initiating rulemaking 
action as necessary to address the classification, hazard 
communication, packaging, and operational controls relating to lithium 
batteries. We have also notified the ICAO Dangerous Goods Panel of the 
LAX incident and have initiated proposals to amend the United Nations 
Recommendations on the Transport of Dangerous Goods.
    We have met with representatives of the battery industry concerning 
actions being taken voluntarily by them to mitigate these hazards, as 
set forth in the following section.
    Upon completion of our evaluation of lithium batteries, we will 
initiate any additional actions necessary to address the hazards posed 
by the transportation of lithium batteries.

III. Actions by Members of the Battery Industry

    To address the concerns described above while we are considering 
further regulatory action, companies from around the world involved in 
the manufacture and distribution of small lithium primary, and lithium 
ion lithium polymer rechargeable cells and batteries voluntarily are 
implementing a program to identify and provide information concerning 
these batteries. The activity is expected to result in modification of 
shipping practices associated with the vast majority of small lithium 
primary and lithium ion rechargeable cells and batteries. A summary of 
the program's elements, as provided to us by the these companies, is 
provided below:
    Lithium, lithium ion and lithium polymer cells and batteries exempt 
from regulations under 49 CFR 173.185, Special Provision A45 of the 
ICAO Technical Instructions, and/or Special Provision 188 of the UN 
Recommendations on the Transport of Dangerous Goods Model Regulations 
(``covered products'') will be affected by this program.
    Implementation will begin September 1, 2000. The full program is 
expected to be in place by February 1, 2001 and DOT will be provided a 
list of companies who are voluntarily complying.
    Each shipment of covered products that is originated by a 
participating company and contains more than 20 new primary lithium 
cells or 10 new primary lithium batteries will be marked to identify 
its content and recommended response actions in the event of an 
accident or damage to packaging. The text will appear in both English 
and the language of the shipment's origin, and will state ``Lithium 
batteries inside. Do not damage or mishandle this package. If package 
is damaged or mishandled, batteries must be quarantined, inspected, and 
repacked.'' The label will include a toll free number to call in the 
event of an emergency.
    Each shipment of covered products that is originated by a 
participating company and contains more than 40 new lithium ion or 
lithium polymer cells or more than 20 new lithium ion or lithium 
polymer multi-cell battery packs (regardless of the number of cells in 
each) will carry a label explicitly identifying its content and 
recommended response actions in the event of an accident or damage to 
packaging. The text will appear in both English and the language of the 
shipment's origin, and will state ``Lithium ion rechargeable batteries 
inside. (No lithium metal.) In the event of fire, use Class B or C 
extinguisher. If package is damaged or mishandled, batteries must be 
quarantined, inspected, and repacked.''
    Packages which are marked will not exceed 30 kg and will be UN 4G 
fiberboard boxes, at the Packing Group II performance level, or 
equivalent.
    Participating companies will provide to air carriers, freight 
forwarders and other shippers involved in the air transportation of 
covered products brochures or similar documents that describe the 
covered products and packages, the physiochemical characteristics of 
covered products, the communications program, and safe shipment 
handling procedures for covered packages.

    Issued in Washington, DC, on August 30, 2000.
Robert A. McGuire,
Associate Administrator for Hazardous Materials Safety.
[FR Doc. 00-22838 Filed 9-6-00; 8:45 am]
BILLING CODE 4910-60-P