u.s.
Department
of Transportation
1200 New Jersey Ave., SE
Washington, DC 20590
Pipeline and Hazardous Materials
Safety Administration
MAR 30 2010
Mr. Kyle Pits or
Vice President, Government Relations
National Electrical Manufacturers Association
1300 North 17th Street, Suite 1752
Rosslyn, V A 22209
Ref. No.: 09·0160
Dear Mr. Pitsor:
This responds to your July 13, 2009 letter requesting clarification of the applicability of the
Hazardous Materials Regulations (HMR; 49 CFR Parts 171·180) to the transport of used dry
cell batteries and used lithium metal batteries. You reference a letter issued by this Office to
Kinsbursky Brothers Inc. (09·0090) pertaining to the transport of used alkaline batteries
transported for recycling or disposal. You provide additional test data illustrating different
short circuit scenarios involving alkaline batteries, carbon zinc cylindrical and lantern
batteries and lithium coin and lithium cylindrical cells.
In letter Ref. No. 09·0090, we stated that based on the test data provided, spent 1.5 volt
alkaline dry cell batteries are not subject to regulation under the HMR when transported by
highway or rail because they are not likely to generate a dangerous quantity of heat nor are
they likely to short circuit or create sparks when they are transported in a packaging with no
other battery types or chemistries present. You request confirmation that used or spent non­
lithium batteries utilizing dry chemistries (Le., alkaline and carbon zinc) that are combined in
the same package without terminal protection do not pose an unreasonable risk in
transportation and, thus are not subject to the HMR.
Your understanding is correct. After further consideration and analysis of the battery
chemistries and sizes in question, and based on information available to us, it is the opinion
of this Office that used or spent dry, sealed batteries of both non·rechargeable and
rechargeable designs, described as "Batteries, dry, sealed, n.o.s." in the Hazardous Materials
Table in § 172.101 of the HMR and not specifically covered by another proper shipping
name, with a marked rating of9-volt or less that are combined in the same package and
transported by highway or rail for recycling, reconditioning, or disposal are not subject to the
HMR. Note that batteries utilizing different chemistries (i.e., those battery chemistries
specifically covered by another proper shipping name) as well as dry, sealed batteries with a
marked rating greater than 9~volt may not be combined with used or spent batteries of the
type "Batteries, dry, sealed, n.o.s." in the same package. Note also, that the clarification
provided in this letter does not apply to batteries that have been reconditioned for reuse.
You also provided test data on lithium metal coin cells and cylindrical lithium metal cells
representing various states of discharge. Lithium metal cells were placed randomly in a rigid
plastic container. Temperatures were measured in various locations inside the container.
Even in a partially discharged state, the lithium cells were capable of producing higher
temperatures than the comparable alkaline and carbon zinc batteries. Further, most lithium
batteries are comprised of a sealed metal can and contain a flammable electrolyte not found
in other dry battery chemistries. We have concerns that the observed elevated temperatures
and many unprotected lithium cells in close proximity to each other in an enclosed space
could lead to increased pressure inside individual lithium cells, leaking of the flammable
electrolyte and possibly a thermal runaway situation characterized by rapidly increasing
temperatures and exothermic side reactions. We have observed various transportation and
non-transportation incidents involving lithium batteries not properly protected from short
circuits. While these incidents likely resulted from a lack of compliance, they serve to
illustrate the point that even while partially discharged, lithium batteries pose a risk of
evolving a dangerous quantity of heat while in transportation. Therefore, spent or used
lithium batteries must be offered for transportation in a manner that protects against short
circuits, damage and the evolution of a dangerous quantity of heat in accordance with all
applicable requirements of the HMR.
I trust this satisfies your inquiry. If we can be of further assistance, please contact us.
ief, Standards Development
OffIce of Hazardous Materials Standards
LeQY-~ ~ 11Z. (O'Z ~p /30
Settmg Standards for Excellence
KYLE PITSOR
Vice President. Government Relatlvll"
July 13, 2009
t§ 113·2,/ .
~ 173· I~S
~Herie£
oq .. C(toO
Mr. Charles Betts
Office of Hazardous Materials Standards
Pipeline and Hazardous Materials Safety Administration
U.S. Department of Transportation East Building 1200 New Jersey Ave. SE Washington, DC 20590-0001 RE: 49 CFR §172.102, Special Provision 130, and §173.21
Dear Mr. Betts,
I am writing on behalf of the Dry Battery Section of the National Electrical Manufacturers
Association (NEMA) to request the Department's interpretation of the applicability of 49 CFR
§ 172.1 02 Special Provision 130 and § 173.21 on primary (non-rechargeable) spent or scrap dry
cell batteries being shipped for recycling or disposal. The information provided below and in the
attachment supplements the April 16, 2009 letter from Kinsbursky Brothers (KBI), Inc and
Toxco Inc. regarding the applicability of 49 CFR § 172.102 Special Provision 130 and, §173 .21
on spent alkaline dry cell batteries being shipped for recycling or disposal. Data generation and
this letter were all drafted and completed prior to the 23 June 2009 response from DOTIPHMSA
to KBI, but we include all our data below for reference.
The difference in this letter from the KBI letter is the inclusion of scrap batteries (varying states
of charge) and all non-rechargeable dry cell batteries (alkaline and carbon zinc, as opposed to
just alkaline). While they are also technically primary dry cell batteries, lithium metal batteries
are covered separately below.
As mentioned in the KBI letter, it appears the Hazardous Materials Regulations (HMR) do not
account for the low risk associated with the transport of non-lithium primary dry cell batteries.
The requirement in Special Provision 130 to insulate the terminals of each and every dry cell
battery in transportation presents numerous technical and financial problems for spent and scrap
types and is unnecessary for these chemistries of batteries, as outlined in the KBI letter.
To further support our joint request, the NEMA Dry Battery Section has completed short circuit
testing of a number of different scenarios representing reasonable and worst case conditions for
spent or scrap batteries in transportation. Testing was conducted for alkaline and carbon zinc
cylindrical and lantern batteries as well as lithium coin cells and lithium cylindrical cells.
National Electrical
Manufacturers Association
1300 North 17th Street. Suite! -:-52
Rosslyn. VA 22209
(703) 841·3274
FAX (703) 84]·3374
kyl~pltsor@nemd .or9
Unlabeled and undischarged samples were used in many of the test scenarios to represent an
absolute worst case condition. Unlabeled and undischarged samples maximize the short circuit
and heat generation potential. However, this condition would be rarely found in the field since in
most, if not all collection scenarios the batteries collected would be discharged and labeled.
In NEMA's testing, in no case was there a dangerous evolution of heat generated, even during
the worst case scenarios. More realistic scenarios showed maximum temperatures in the 25 ­
35°C range.
The scenarios tested and the results are shown in the attached annex in two sections:
1. Alkaline and carbon zinc batteries
2. Lithium batteries
Based on the additional data presented in the attached annex, NEMA makes the following
requests.
Non-lithium primary dry cell batteries
NEMA is requests the Department's agreement that based on the additional testing provided:
1. Non-lithium dry cell batteries (Batteries, Dry Sealed n.o.s.) are incapable of producing a
dangerous evolution of heat during transportation.
2. Non-lithium dry cell batteries (Batteries, Dry Sealed n.o.s.), based on their chemistry and
design, meet the requirements of SP 130 without the need to insulate the terminals of
these batteries when scrap or discharged. While technically, even new batteries, as
tested, would not evolve dangerous levels of heat, the battery industry has no intention of
shipping new batteries, intended for retail or other customers, in a manner that does not
protect from short circuit.
Lithium primary dry cell batteries
NEMA is requesting the Department's agreement that based on the additional testing of spent
lithium primary batteries:
1. Spent (and only spent) lithium primary batteries, when mixed with consumer spent other
battery types, are incapable of producing a dangerous evolution of heat during
transportation.
2. Spent (and only spent) lithium primary batteries, when mixed with consumer spent other
battery types, meet the requirements of SP 130 without the need to insulate the terminals
of these batteries.
Thank you for your consideration of the attached data and of the above requests. I look forward
to your reply. Please contact Craig Updyke or my staff at 703 841 3294 or
[email protected] with any questions, concerns or comments.
Respectfully,
*()?~
Kyle Pitsor
Vice President, Government Relations
Attachment: Technical annex
REF: INTERPRETATION LETTER TO MR. KYLE PITSOR AT NATIOI\IAL ELECTRICAL I\(IANUFACTURERS
ASSOCIATION (1-7-2010)
This reviewer (Steve Hwang) has some concerns about the wording in the letter drafted for response for
the following reasons:
1. Non-lithium dry cell batteries
The summary for the test data under the heading of "Alkaline and carbon zinc batteries" shows that
"lantern cells" were "Not tested" in the "Discharged" states. Hence, I would be cautious about the
wording in the last sentence ofthe first paragraph ofthe response letter. I would recommend changing
" and lantern batteries" to "except for lantern batteries." Also the summary table indicates "Not yet
tested" in the "Discharges states" for the alkaline and carbon zinc batteries although the draft response
letter seems to indicate that the test data are inclusive of these conditions. No profile of battery energy
content or the range of voltages used in the experiments was not provided. It would be appropriate to
raise a question regarding how NEMA made conclusion that "Non-lithium dry cell batteries are
incapable of producing a dangerous evolution of heat" despite the I\IEMA data that "Undischarged,"
"Unlabeled" alkaline and carbon zinc batteries showed a significant rise in the maximum temperature
(over 100°C versus about 30°C) compared to "Undischarged," "Labeled" batteries and regarding what
the definitions for "Undischarged," "Discharged," "Labeled," and "Unlabeled" are.
2. Lithium batteries
Measured temperatures are shown at various locations of the experimental set-up before and after
stirring. Six temperature measurements are reported on the table in terms of "Maximum temperature."
Out of these six, three data points were shown to be "Not yet tested." Rather than indicating
incompleteness of the tests results, the draft letter states that "Even in a partially discharged state, ...
higher temperatures than the comparable alkaline and carbon zinc batteries." There is no "partially
discharged state" included in the summary. Also this statement regarding the temperature rise is not
consistent with the NEMA's data. It would be inappropriate to compare the temperature rises between
the lithium batteries and dry cell batteries because of different chemistry, electrolytes, and the designs
used. We would just note that we can not make any conclusions based on the "Not yet tested" data
base and the temperature rise exceeding 100°C. In addition to the past histories of incidents and the
flammability of electrolyte we indicate hazards associated with lithium batteries especially with the
primary lithium batteries because of possibility of external and internal short-circuiting unless terminals
are protected. I would indicate that the NEMA's data are insufficient to make any conclusions regarding
the issues that NEMA is addressing because of the "l\Iot yet tested" data base and the consequences
associated with the rise in maximum temperature up to 104°C in an experiment ..
Technical Annex to NE MA Letter
Alkaline and carbon zinc batteries Battery Type
AJkaline
AA/AAA
Carbon zinc
AA/AAA
Carbon zinc Lantern Alkali ne Lantern State of Charge
Undischarged Undischarged Discharged Dischal'ged Discharged Undischarged Und ischarged Discharged Discharged Und ischarged Discharged Und ischargcd Discharged La beled / Unla beled
Labeled Unlabeled Labeled Unlabeled Mixed Labeled Unlabeled Labeled Un labeled Maximum Temperature (OC) 28.5
104
Not yet tested Not yet tested 32 26.2 105 Not yet tested Not yet tested 137.8 -Less severe; Not tested
-151 .2 Less severe; Not tested l
J­
Except ror the lantern batteri s, AA and AAA ce lls were used to maxim ize the poten tial for short
circ uit and heat generation. It is important to note that the maximum temperature listeo above
was the highest observed temperat ure found at a si ngle point and not the temperature r the
container or every single battery in the container as is shown in the infrared images. Thi
maximum tem p rature is the highe, t reco rded va lue from either the thennoco up!es or the
infrared image. lnfrared was used to show the proti Ie of temperat ures seen inside the contai ners.
Each set of tests below was co nd ucted in a lexan box with no air circu lation as pictured below.
Alkaline - Unlabeled, Undischarged AA and AA
Top or Container
Approximately 100 AA and
J 00 AAA Batt ries
Max im um remp = 104°
Pro fi le of tem perature of cells with the rmocouples
la,
MMax Temp - 70"
AMMa. Temp - 103'
100
-+-Sld~or 8IQttI~
95 -
~ 6ottQm
90
......... AAA1 85
- AA~l
_
t.AAl
_
AAA"
all
75
- .-"''''''5
70
-AAA6
~
-
!
MA7
iI
-....-AAA8
~
-
MA9
E
MAIO
___ ..... 1
"AZ
AAl
'5
-AM
'0
-us
35
AAO
,0
..... 7
AA8
25
AA9
M1Q
20
2,000 00
'.000 ao
6 ,000
o.a
H,ooo.OO
10,000 DO
12 .000 00
of80ttt.e
Alkaline - Labeled, Undischarged AA and AAA
No infrared image ava ilable
Side of Container
App roximately 100 AA and 100 AAA
Batteries
aximum
Te mp ~ ra ture
= 28.5°C
Profi Ie of temperature of cells with thermocoup les
- ~5
-
u!
U ·­
H---------------------------------------------------------­
n -:
L -___________________________________________________________
~ ::
:
- l;~
::
--­
Alkaline - Mix of La beled and Unlabeled, Discha rged AA and AAA
Top of Container Approxi mately 100 AA and 100 AAA Batt ries Maxi mu m Temperature = 32°C
Profi l of temperature of cells with the rmocouples
Spent Cell Test ing of AlkalineCelis Cell Su rface Temperatu re M onitori ng -+- tkmom of Bottle
-
A4R""' Z
-
AARaw-3
........ 44110.... ~AAR0w5
u
-AAA l.b.~l
19.0
-
•
~
~
•
AM lobekdl
·--+-AU Labe ledJ
Z8 .0
~ AAA
laheled4
Q.
j
I>.AA Labe l. d 5
HO
-
AM liowl
AAA {:law2
16.0
AAA Row,
-
AIIARa""
-
Z5 .0
AAA ......:;
AAlabc:h:dl
AA
Z40
lobeled2
AA l obekdl
..... l.obe l.d~
230
5.00000
AA
to.ooo 00
\ 5.000 00
n me (S ...)
10.00000
15.000 00
label1od3
Carbon Zinc - La beled, Undischarged AA
Ma
I nfrared Pi ture 0 r Sides
= 26.2°C
Profile of temperature of cell with thermocouples
'<.!.! - ' . -
1" =='
I
!'...: ~
Carbon Zinc - Un la beled, Undischarged AA
Test Setup
100 AA Batteries
Infrared Picture of Sides
Maximum Tern erature = 105°
Pro file of temperature of cells with thermocouples
Carbon Zinc Lantern Batteries - Undischarged
Infrared Picture of Sides
Max im um Temperature =
67.8°(
Test Setup
Infrared Picture of Tops
Maxim um Tempcratur =
13 7.8°(
Profile of temReratur of cells with thermocouRl es
i Batty!
Batty 1
11AIly',
Batty 7 110 Mill! r"l11p
=108· C
tOO
9()
so
2:
~
i!
l
E
~
70 60 50 40 30 20 0
5000
1;000
10000
TI~ [~(o n d:. )
20000 25000 Alkaline Lantern Batteries - Undischarged
Maximum Tem perature =
110. 10
Infrar d Pi cture of Tops
Maxi mwll Temperature =
12 1.6°C
Profile of temperature of cells with t hermocouples
160 ISO 1010 130 120 110 :g
100 !
e!
9IJ
t!.
10 E
GO
so
'000
0000
10000
12000
l.woo
IbOOO
18000
10000 Lithium batteries
In additi on to the carbon zinc and alkal ine dry cell batteries, severa l sets or lithium batteries were
also tested. The types tested were :
Battery Type
Lithium Coi n
Lithium 1.5V
AA/AAA
State of Charge
La beled / Unla beled
Undischarged
Discharged
Undisc harged
Und ischarged
Discharged
Di scharged
Coin cells ar never
labeled
Labeled
Un labeled
Labe led
Unlabel ed
M aximum
Temperature (OC)
Not yet tested
34.1
Not yet tested
104
No t ye t tested
27.6
Unlabeled. Discharged Lithiu m Coin Cells (All Coin Cells a loe Unlabeled)
Infrared Pi cture from op
Maximum T
re =: 34. 1QC
The ce lls lested represented varying states of discharge. A pro fi le of the open circuit oltages of
these batteries is sho 11 below. Undischarged lithium coin cells are nom inally about 3.0 vo lts
but the ir typical new open circuit vo ltage is 3.2 - 3.3 volts.
lithium Coin Spent Cells - OCV
......
• ••
•• •
3 .5
3.0
2.5
•••
• • •
•
2.0
~
0
•
•
#
0 .5
0.0
~-
• • +.
• •• • •
•
•
•
•
• •
••
•
1.5
1 .0
-.
..
•
....
.
.#.:
.. .. • • •••
•
•
--­
-
••
·0.5
Profile of temperature of cells with thermocouples
Spent Uthium Coin Cells - Before and After Stirring
Batteries Stirred
3S
3U
g
!!
::l
i!
B­
:15
E
f!
~o
-
5 :., 0/ Ik, " -
lo _t:riJ .;-
!lmm~_
olb, ..;;", - E"','~ '; ' C'.,Z.;l3;J
::if
~ .ooo.oo
6,000 .00
8,000.00
Tune (second~1
-
Y a ..i
");_ 1
- !" ;"~-=:=r
: C:;:'::!1
3 ~
..R!.o:.!S
- =r=\'" s ' ~:r
:~~!o
8 .GIr.lOO
Unlabeled, Undischa rged Lithiu m (l.SV) AA and AAA
Side of Container Appr ximately 100 AA and 100 AAA Batteries Maximum Temperatur = 104 C
Q
Profile of temperature of cel ls wi th therm ocoup les
lOS
AAMax temp = 104"1"(
IOD
AAA MaJC femp = 101 · C
-"'- &ttomol
95
___ Std# ot Sottit
90
-+-AAA I
-
85
Ail
-+- AAA-4
7,
g;
~
e!
E
AMI
-.-AMJ
- .- .......,
7D
-
.....1\7
6S .
60
{!.
UAta
::'5
-
AAI
- ...,"
';()
4Al
os
-AA'
40
AA;
AA6
35
M7
.....
JO
2>
.....9
MIa
10
000
sooooo
1000000
ISOOOOO
2000000
25000 00
Unlabeled, Discharged Lithium (1.5V) AA and AAA
ide of Conta ine r
Approx imate ly 125 AA and 60 AAA
Batteri es
Infrared Picture o f id
Max im um em perature = 27 .6°C
Prof! Ie of tem peratur of ce lls wi th the rmoco uples
H ~---------------------------------------------------
:!
*---------------------------------------------------­
-~
- ~-
....... 5 ....;,E
, . +---~--------~--~----~--_r----._--~--~----~--~
J ':: :
B.:! : _
Z... :: :
T"""I~cl
END OF TECHN ICAL ANNE X