If you're designing applications using lithium batteries, it is important to understand the impact of certifications and regulatory requirements so companies are prepared prior to entering their product to market. In this webinar as we discuss the new UN 38.3 testing requirements and the recent IATA regulations changes required for lithium batteries. We will also review the challenges OEM's may face with the regulation changes. To learn more about our custom battery pack solutions visit http://www.epectec.com/batteries/

1.  DELIVERING QUALITY SINCE 1952.
Lithium Battery Regulations and
How They Affect OEM's
06.24.16

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America's Oldest,
A History of Innovation
 Privately held company, established in 1952.
 Estimated 2016: Sales: US$50 Million
 117 Employees Worldwide
(84 – North America, 30 – Asia, 3 – Europe)
 Design and manufacture customized, built-to-print,
performance-critical products for all sectors of the
electronics industry.
 Leading provider of printed circuit boards, custom battery packs, energy
efficient fans & motors, cable assemblies and high reliability user interfaces.
 Integrated supply chain management solutions to handle the complexity of
today’s global marketplace while making sure that every order is being
manufactured at the “right” factory.

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Our Products
Battery Packs Flex & Rigid-Flex PCB’s User Interfaces
Fans & Motors Cable Assemblies Printed Circuit Boards

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Global Operations
Significant Investment in People and
Facilities across the globe.

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Our Customers - The Top Global
OEM’s In Growth Industries

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Todays Objectives
 Provide an overview of:
– Changes in the 38.3 Testing requirements that will go into
effect January 1, 2017
– Changes to the IATA Dangerous Goods Regulations (DGR)
that became effective April, 2016

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What is IATA and 38.3 DOT Testing?
 The IATA (International Air Transport Association) is a certification
regarding handling of dangerous goods to be able to ship (Lithium) by
air. It is not a specific test certification for a product but guidelines and
training to be able to manage.
 Any company that ships lithium batteries alone or as part of their end
product must be certified to be able to manage shipping the Lithium
products by air transit under their described guidelines. (specific
quantities, weight per box, labeling, etc.) – A COMPANY MUST PASS
A COURSE TO DO THIS
 The UN / DOT 38.3 testing is a specific test for a lithium product that is
performed by a third party. This testing is mandatory to ship any
lithium air transit. The test that will determine that the product meets
an 8 point safety destructive test and can be shipped air transit (above
the IATA guidelines) and not be considered as a safety risk.

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Why is This Important?
 Several Reasons:
1. Safety of the flying public.
2. Any person, company or entity identified as
the Shipper on the shipment waybill is legally
responsible to ensure 100% compliance with
the IATA Dangerous Goods Regulations. This
responsibility persists even if the shipment
containing the Lithium Batteries does not
actually belong to or was made by the person,
company or entity identified on the waybill.
3. Shipment delays and rejections are becoming
commonplace, especially with shipments
originating from Asia.

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38.3 Testing
 8 Tests to Simulate Failure Modes
– T1 – Altitude Simulation
This is low pressure testing that simulates unpressurized airplane space (cargo area) at
15,000 meter altitude. After storing batteries at 11.6kPa for >6 hours, these criteria shall
be met: no mass loss, leaking, venting, disassembly, rupture or fire, and voltage within
10% of pre-test voltage.
– T2 – Thermal Test
This test covers changes in temperature extremes from -40C to +75C. Batteries are
stored for 6 hours at -40C (12 hours for large cells/batteries), then 6 hours at +75C (12
hours for large cells/batteries), for a total of 10 cycles.
– T3 – Vibration
This test simulates vibration during transportation. Test is a Sine Sweep: 7Hz – 200Hz –
7Hz in 15 Minutes; 12 Sweeps (3 hours).
– T4 – Shock
This test also simulates vibration during transportation. Test is a Half-Sine pulse:
150G/6ms for small cells/batteries; 50G/11ms for large cells/batteries; 3 pulses per
direction; 6 directions.

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38.3 Testing
 8 Tests to Simulate Failure Modes (continued)
– T5 – External Short Circuit
This test simulates an external short to the terminals of the cell or battery. At
temperature of +55C, apply short circuit (<0.1ohm) across terminals. Maintain at least
an hour after sample temperature returns to +55 +/-2°C. Pass criteria are: Case
temperature does not exceed +170°C and no disassembly, rupture, or fire within 6 hours
of test.
– T6 – Impact
This test is only applicable to primary and secondary cells. For cylindrical cells >20mm
diameter, it simulates impact to case of cell. For cylindrical cells <20mm diameter and all
other cell constructions, it simulates crushing of a cell.
– T7 – Overcharge
This test is for secondary or rechargeable batteries only. It simulates an overcharge
condition on a rechargeable battery: 2x the manufacturer’s recommended charge current
for 24 hours. Then battery shall be monitored for 7 days for fire or disassembly.
– T8 – Forced Discharge
This testing simulates a forced discharge condition for primary and secondary cells only.
Same pass criteria as T7.

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Latest Edition
 Issued 2015 – Effective Date January 1, 2017

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Where Can I Get It?

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Sixth Revision Changes
1. Clarification of COMPONENT CELL, CELL, and BATTERY/ BATTERY ASSEMBLY/
MODULE.
2. Reduction in the SHOCK test peak G level for large batteries. Base shock pulse on
constant energy, rather than constant acceleration.
3. Clarification of Overcharge test applicability.
4. Clarification of Short Circuit test temperature conditions.
5. Added a separate paragraph to the Battery Assembly exemption: was previously
38.3.3.f, now includes 38.3.3.g as a separate paragraph.
6. For >6200 Watt-hour battery assemblies, add requirement to demonstrate that
Overcharge, Short Circuit and Over-discharge between batteries within the assembly
are addressed.
7. Short circuit test conditions clarified to allow for testing inside or outside of a
temperature chamber or oven (i.e. precondition, then test at ambient temperatures).
8. Clarify Overcharge test reasoning.

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Six Revision Summary
 Provides more definitions and clarification of the testing parameters
and why they were chosen.
 Clarifies the difference between battery packs and cells.
 Gives more guidance on larger packs.
 For OEMs:
– All new designs should be tested to the Revision 6 parameters.
– All yearly re-cert’s should be to the Revision 6 parameters.
– More of a paperwork and sample size
change as the majority of designs
vastly outperform the Revision 5
parameters.

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Shipping Regulations
 Effective April 1, 2016, more stringent regulations were issued by the
International Air Transport Association (IATA) for the transport of
Lithium Batteries that are packed and shipped as loose/bulk
(UN3480/PI965).
 Due to increasing safety concerns raised by the aviation industry, the
IATA regulations governing the shipping of Lithium Batteries have
been tightened and airlines consequently have to enforce these
regulations more rigorously.

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Major Changes
 Lithium ion or lithium polymer cells and batteries packaged alone (i.e., without
equipment) may not exceed a state of charge of 30% of their rated design capacity.
(Effective April 1, 2016).
 UN 3480, PI 965, Section IA and IB are forbidden for carriage on passenger aircraft.
All packages must bear the Cargo Aircraft Only label in addition to the other marks and
labels required by the Regulations.
 Rigid” Packaging (Effective January 1, 2016). The updated regulations specify that
“strong rigid outer packaging” must be used for batteries that are shipped alone or in or
with equipment.
 Lithium Ion and Lithium Metal Batteries Packaged Alone (Effective April 1, 2016).
The updated regulations limit the number of packages containing lithium batteries and
how many batteries in each package that are not shipped with equipment that may be
placed in a shipment.
 New Lithium Battery Labeling Requirements & Documentation. The current lithium
battery labeling requirements will be replaced with a new set of standards. Lithium
batteries that do not qualify for the exceptions must be shipped as Class 9 dangerous
goods.

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New Requirements
 New Class 9 Label for Lithium
Batteries. Lithium batteries that do not
qualify for the exceptions (under Section II
of Packing Instructions 965, 966, 967,
968, 969, or 970) must be shipped as
Class 9 dangerous goods and meet
extensive packaging requirements.
 Documentation. The current rule requires
that shipments of lithium batteries bearing
the lithium battery handling label be
accompanied by a document specifying
that the package contains lithium
batteries, that a flammability hazard exists
and special care must be taken, that
special procedures are necessary in the
event of damage, and a telephone number
for additional information. (All shipping
companies have different requirements)

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New Requirements

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New Labels

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Labelling/Documentation Summary
 All Lithium Batteries except for Section II (Very Small Quantities) must be
shipped as Class 9 dangerous goods.
 What does this mean for shippers in the US:
 Shipping personnel must be IATA certified and Hazardous Materials trained.
 When shipping from International Ports, each shipping company has a
SEPARATE location where they accept Hazardous Materials.
– Add time to shipments
– Many limit the # and amount per flight
 Documentation must be exact and consistent, should have a procedure that
you have your manufacturers follow or approve a copy of theirs.
– All documents that are needed to be filled out
– Pictures of how the materials are packaged internally
 The shipper is 100% legally responsible.

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Changes
 Lithium ion or lithium polymer cells and batteries packaged alone (i.e.,
without equipment) may not exceed a state of charge of 30% of
their rated design capacity. (Effective April 1, 2016).
 Most Customer Specs had between 50-75% charge upon receipt.
 This includes batteries manufactured prior to this date.
 Does not apply if the battery is installed or packed with the equipment
the battery is intended to power.
 Creates new process steps at OEMs.

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30% SOC
 Enforcement
 Currently in the US, it is done at the location of receipt using
equipment at the receiving location.
 Next Steps
– Government agencies are
ramping up to be able to check
themselves.
– Shipping companies are being
required by some countries to
have the capability by the end
of the year.
– Shipping companies are
evaluating the possibility of
sampling every shipment.

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Packaging
 Rigid” Packaging (Effective January 1, 2016). The
updated regulations specify that “strong rigid outer
packaging” must be used for batteries that are shipped
alone or in or with equipment.
Except when lithium cells or batteries are contained in
equipment, each package, or the completed package
when packed with equipment, must be capable of
withstanding a 1.2 meter drop test.

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Prototypes
 How do I transport prototype lithium cells and batteries that have not been UN
Tested?
 Prototype or low-production lithium batteries may be transported by cargo
aircraft if you do the following (See Special Provision A88):
1. Obtain approval from the competent authority of the origin country prior to transport
(Be a certified shipper).
2. Protect the cells and batteries from short circuiting.
3. Individually pack each of the cells or batteries in an inner packaging inside an outer
packaging that completely surrounds the cells and batteries. All packaging and
cushioning material must be non-conductive and non-combustible.
4. Place the cells and batteries in an outer drum or box made of metal, plastic or
plywood that meets Packing Group I performance requirements.

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Prototype’s Continued

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In Summary
 Significant investment must be made to manage shipping of Lithium
Batteries.
 Shipper on the shipment waybill is legally responsible to ensure 100%
compliance.
 Shipment delays are commonplace, especially in Asia.
 This is only an overview, there are many more details to review:
– http://www.iata.org/whatwedo/cargo/dgr/Pages/lithium-batteries.aspx
– http://www.iata.org/whatwedo/cargo/dgr/Documents/lithium-battery-
guidance-document-2015-en.pdf
– http://www.intertek.com/energy-storage/un-transportation-testing/

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Technical Partner Relationships

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Q&A
 Questions?
– Enter any questions you may have
in the Control Panel
– If we don’t have time to get to it, we
will reply via email

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Thank You
Check out our previous webinars at www.epectec.com.
For more information email sales@epectec.com.
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