UN 3091 – LITHIUM METAL BATTERIES CONTAINED IN EQUIPMENT (including lithium alloy batteries)

Cells and batteries offered for carriage are not subject to other provisions of ADR if they meet the following: (a) For a lithium metal or lithium alloy cell, the lithium content is not more than 1 g, and for a lithium ion or sodium ion cell, the Watt-hour rating is not more than 20 Wh; NOTE: When lithium batteries in conformity with 2.2.9.1.7.1 (f) are carried in accordance with this special provision, the total lithium content of all lithium metal cells contained in the battery shall not exceed 1.5 g and the total capacity of all lithium ion cells contained in the battery shall not exceed 10 Wh (see special provision 387). (b) For a lithium metal or lithium alloy battery the aggregate lithium content is not more than 2 g, and for a lithium-ion or sodium ion battery, the Watt-hour rating is not more than 100 Wh. Lithium ion and sodium ion batteries subject to this provision shall be marked with the Watt-hour rating on the outside case, except lithium ion batteries manufactured before 1 January 2009; NOTE: When lithium batteries in conformity with 2.2.9.1.7.1 (f) are carried in accordance with this special provision, the total lithium content of all lithium metal cells contained in the battery shall not exceed 1.5 g and the total capacity of all lithium ion cells contained in the battery shall not exceed 10 Wh (see special provision 387). (c) Each lithium cell or battery meets the provisions of 2.2.9.1.7.1 (a), (e), (f) if applicable and (g) or for sodium ion cells or batteries, the provisions of 2.2.9.1.7.2 (a), (e) and (f) shall apply; (d) Cells and batteries, except when installed in equipment, shall be packed in inner packagings that completely enclose the cell or battery. Cells and batteries shall be protected so as to prevent short circuits. This includes protection against contact with electrically conductive material within the same packaging that could lead to a short circuit. The inner packagings shall be packed in strong outer packagings which conform to the provisions of 4.1.1.1, 4.1.1.2 and 4.1.1.5; (e) Cells and batteries when installed in equipment shall be protected from damage and short circuit, and the equipment shall be equipped with an effective means of preventing accidental activation. This requirement does not apply to devices which are intentionally active in carriage (radio frequency identification (RFID) transmitters, watches, sensors, etc.) and which are not capable of generating a dangerous evolution of heat. When batteries are installed in equipment, the equipment shall be packed in strong outer packagings constructed of suitable material of adequate strength and design in relation to the packaging's capacity and its intended use unless the battery is afforded equivalent protection by the equipment in which it is contained; (f) Each package shall be marked with the appropriate battery mark, as illustrated in 5.2.1.9. This requirement does not apply to: (i) Packages containing only button cell batteries installed in equipment (including circuit boards); and (ii) Packages containing no more than four cells or two batteries installed in equipment, where there are not more than two packages in the consignment. When packages are placed in an overpack, the battery mark shall either be clearly visible or be reproduced on the outside of the overpack and the overpack shall be marked with the word "OVERPACK". The lettering of the "OVERPACK" mark shall be at least 12 mm high. NOTE: Packages containing lithium batteries packed in conformity with the provisions of Part 4, Chapter 11, packing instructions 965 or 968, Section IB of the ICAO Technical Instructions that bear the mark as shown in 5.2.1.9 (battery mark) and the label shown in 5.2.2.2.2, model No. 9A shall be deemed to meet the provisions of this special provision. (g) Except when cells or batteries are installed in equipment, each package shall be capable of withstanding a 1.2 m drop test in any orientation without damage to cells or batteries contained therein, without shifting of the contents so as to allow battery to battery (or cell to cell) contact and without release of contents; and (h) Except when cells or batteries are installed in or packed with equipment, packages shall not exceed 30 kg gross mass. As used above and elsewhere in ADR, "lithium content" means the mass of lithium in the anode of a lithium metal or lithium alloy cell. As used in this special provision "equipment" means apparatus for which the cells or batteries will provide electrical power for its operation. Separate entries exist for lithium metal batteries and lithium ion batteries to facilitate the carriage of these batteries for specific modes of carriage and to enable the application of different emergency response actions. A single cell battery as defined in Part III, sub-section 38.3.2.3 of the Manual of Tests and Criteria is considered a "cell" and shall be carried according to the requirements for "cells" for the purpose of this special provision.

Lithium cells and batteries may be carried under this entry if they meet the provisions of 2.2.9.1.7.1. Sodium ion cells and batteries may be carried under this entry if they meet the provisions of 2.2.9.1.7.2.

Cells or batteries from production runs of not more than 100 cells or batteries, or pre-production prototypes of cells or batteries when these prototypes are carried for testing, shall meet the provisions of 2.2.9.1.7.1 with the exception of (a), (e) (vii), (f) (iii) if applicable, (f) (iv) if applicable and (g). NOTE: "Carried for testing" includes, but is not limited to, testing described in the Manual of Tests and Criteria, Part III, sub-section 38.3, integration testing and product performance testing. These cells and batteries shall be packaged in accordance with packing instruction P910 of 4.1.4.1 or LP905 of 4.1.4.3, as applicable. Articles (UN Nos. 3537, 3538, 3540, 3541, 3546, 3547 or 3548) may contain such cells or batteries provided that the applicable parts of packing instruction P006 of 4.1.4.1 or LP03 of 4.1.4.3, as applicable, are met. The transport document shall include the following statement: "Transport in accordance with special provision 310". Damaged or defective cells, batteries, or cells and batteries contained in equipment shall be carried in accordance with special provision 376. Cells, batteries or cells and batteries contained in equipment carried for disposal or recycling may be packaged in accordance with special provision 377 and packing instruction P909 of 4.1.4.1.

Vehicles only powered by lithium metal, lithium ion or sodium ion batteries shall be assigned to the entries UN 3556 VEHICLE, LITHIUM ION BATTERY POWERED or UN 3557 VEHICLE, LITHIUM METAL BATTERY POWERED or UN 3558 VEHICLE, SODIUM ION BATTERY POWERED, as applicable. Lithium batteries installed in cargo transport units, designed only to provide power external to the transport unit shall be assigned to entry UN 3536 LITHIUM BATTERIES INSTALLED IN CARGO TRANSPORT UNIT lithium ion batteries or lithium metal batteries.

Lithium metal, lithium ion or sodium ion cells or batteries identified as being damaged or defective such that they do not conform to the type tested according to the applicable provisions of the Manual of Tests and Criteria shall comply with the requirements of this special provision. For the purposes of this special provision, these may include, but are not limited to: - Cells or batteries identified as being defective for safety reasons; - Cells or batteries that have leaked or vented; - Cells or batteries that cannot be diagnosed prior to carriage; or - Cells or batteries that have sustained physical or mechanical damage. ----- NOTE: In assessing a cell or battery as damaged or defective, an assessment or evaluation shall be performed based on safety criteria from the cell, battery or product manufacturer or by a technical expert with knowledge of the cell's or battery's safety features. An assessment or evaluation may include, but is not limited to, the following criteria: (a) Acute hazard, such as gas, fire, or electrolyte leaking; (b) The use or misuse of the cell or battery; (c) Signs of physical damage, such as deformation to cell or battery casing, or colours on the casing; (d) External and internal short circuit protection, such as voltage or isolation measures; (e) The condition of the cell or battery safety features; or (f) Damage to any internal safety components, such as the battery management system. ----- Cells and batteries shall be carried according to the provisions applicable to UN Nos. 3090, 3091, 3480, 3481, 3551 and 3552, as appropriate, except special provision 230 and as otherwise stated in this special provision. Cells and batteries shall be packed in accordance with packing instructions P908 of 4.1.4.1 or LP904 of 4.1.4.3, as applicable. Cells and batteries identified as damaged or defective and liable to rapidly disassemble, dangerously react, produce a flame or a dangerous evolution of heat or a dangerous emission of toxic, corrosive or flammable gases or vapours under normal conditions of carriage shall be packed and carried in accordance with packing instruction P911 of 4.1.4.1 or LP906 of 4.1.4.3, as applicable. Alternative packing and/or carriage conditions may be authorized by the competent authority of any ADR Contracting Party who may also recognize an approval granted by the competent authority of a country which is not an ADR Contracting Party provided that this approval has been granted in accordance with the procedures applicable according to RID, ADR, ADN, the IMDG Code or the ICAO Technical Instructions. Packages shall be marked "DAMAGED/DEFECTIVE LITHIUM ION BATTERIES", "DAMAGED/DEFECTIVE LITHIUM METAL BATTERIES" or "DAMAGED/DEFECTIVE SODIUM ION BATTERIES", as applicable. The transport document shall include the following statement: "Transport in accordance with special provision 376". If applicable, a copy of the competent authority approval shall accompany the carriage.

Lithium metal, lithium ion and sodium ion cells and batteries and equipment containing such cells and batteries carried for disposal or recycling, either packed together with or packed without non-lithium or non-sodium ion batteries, may be packaged in accordance with packing instruction P909 of 4.1.4.1. These cells and batteries are not subject to the requirements of 2.2.9.1.7.1 (a) to (g) or 2.2.9.1.7.2 (a) to (f), as appropriate. Packages shall be marked "LITHIUM BATTERIES FOR DISPOSAL", "SODIUM ION BATTERIES FOR DISPOSAL", "LITHIUM BATTERIES FOR RECYCLING" or "SODIUM ION BATTERIES FOR RECYCLING", as appropriate. Identified damaged or defective batteries shall be carried in accordance with special provision 376.

Lithium batteries in conformity with 2.2.9.1.7.1 (f) containing both primary lithium metal cells and rechargeable lithium ion cells shall be assigned to UN Nos. 3090 or 3091 as appropriate. When such batteries are carried in accordance with special provision 188, the total lithium content of all lithium metal cells contained in the battery shall not exceed 1.5 g and the total capacity of all lithium ion cells contained in the battery shall not exceed 10 Wh.

When a package contains a combination of lithium batteries contained in equipment and lithium batteries packed with equipment, the following requirements apply for the purposes of package marking and documentation: (a) the package shall be marked "UN 3091" or "UN 3481", as appropriate. If a package contains both lithium ion batteries and lithium metal batteries packed with and contained in equipment, the package shall be marked as required for both battery types. However, button cell batteries installed in equipment (including circuit boards) need not be considered; (b) the transport document shall indicate "UN 3091 LITHIUM METAL BATTERIES PACKED WITH EQUIPMENT" or "UN 3481 LITHIUM ION BATTERIES PACKED WITH EQUIPMENT", as appropriate. If a package contains both lithium metal batteries and lithium ion batteries packed with and contained in equipment, then the transport document shall indicate both "UN 3091 LITHIUM METAL BATTERIES PACKED WITH EQUIPMENT" and "UN 3481 LITHIUM ION BATTERIES PACKED WITH EQUIPMENT".

(a) Lithium cells and batteries and sodium ion cells and batteries installed in equipment from private households collected and handed over for carriage for depollution, dismantling, recycling or disposal are not subject to the other provisions of ADR including special provision 376, 2.2.9.1.7.1 and 2.2.9.1.7.2 when: (i) They are not the main power source for the operation of the equipment in which they are contained; (ii) The equipment in which they are contained does not contain any other lithium cell or battery or sodium ion cell or battery used as the main power source; and (iii) They are afforded protection by the equipment in which they are contained. Examples for cells and batteries covered by this paragraph are button cells used for data integrity in household appliances (e.g. refrigerators, washing machines, dishwashers) or in other electrical or electronic equipment; (b) Up to the intermediate processing facility lithium cells and batteries and sodium ion cells and batteries contained in equipment from private households not meeting the requirements of (a) collected and handed over for carriage for depollution, dismantling, recycling or disposal are not subject to the other provisions of ADR including special provision 376, 2.2.9.1.7.1 and 2.2.9.1.7.2, if the following conditions are met: (i) The equipment is packed in accordance with packing instruction P909 of 4.1.4.1 except for the additional requirements 1 and 2; or it is packed in strong outer packagings, e.g. specially designed collection receptacles, which meet the following requirements: - The packagings shall be constructed of suitable material and be of adequate strength and design in relation to the packaging capacity and its intended use. The packagings need not meet the requirements of 4.1.1.3; - Appropriate measures shall be taken to minimize the damage of the equipment when filling and handling the packaging, e.g. use of rubber mats; and - The packagings shall be constructed and closed so as to prevent any loss of contents during carriage, e.g. by lids, strong inner liners, covers for transport. Openings designed for filling are acceptable if they are constructed so as to prevent loss of content; (ii) A quality assurance system is in place to ensure that the total amount of lithium cells and batteries and sodium ion cells and batteries per transport unit does not exceed 333 kg; NOTE: The total quantity of lithium cells and batteries and sodium ion cells and batteries contained in equipment from private households may be assessed by means of a statistical method included in the quality assurance system. A copy of the quality assurance records shall be made available to the competent authority upon request. (iii) Packages are marked "LITHIUM BATTERIES FOR DISPOSAL", "LITHIUM BATTERIES FOR RECYCLING", "SODIUM ION BATTERIES FOR DISPOSAL" or "SODIUM ION BATTERIES FOR RECYCLING", as appropriate. If equipment containing lithium cells or batteries or sodium ion cells or batteries is carried unpackaged or on pallets in accordance with packing instruction P909 (3) of 4.1.4.1, this mark may alternatively be affixed to the external surface of the vehicles or containers). NOTE: "Equipment from private households" means equipment which comes from private households and equipment which comes from commercial, industrial, institutional and other sources which, because of its nature and quantity, is similar to that from private households. Equipment likely to be used by both private households and users other than private households shall in any event be considered to be equipment from private households.

Cells and batteries which, in accordance with special provision 376, are identified as damaged or defective and liable to rapidly disassemble, dangerously react, produce a flame or a dangerous evolution of heat or a dangerous emission of toxic, corrosive or flammable gases or vapours under normal conditions of carriage, shall be assigned to transport category 0. In the transport document, the words "Carriage in accordance with special provision 376" shall be supplemented by the words "Transport category 0".

Cells and batteries offered for carriage are not subject to other provisions of ADR if they meet the following: (a) For a lithium metal or lithium alloy cell, the lithium content is not more than 1 g, and for a lithium ion or sodium ion cell, the Watt-hour rating is not more than 20 Wh; NOTE: When lithium batteries in conformity with 2.2.9.1.7.1 (f) are carried in accordance with this special provision, the total lithium content of all lithium metal cells contained in the battery shall not exceed 1.5 g and the total capacity of all lithium ion cells contained in the battery shall not exceed 10 Wh (see special provision 387). (b) For a lithium metal or lithium alloy battery the aggregate lithium content is not more than 2 g, and for a lithium-ion or sodium ion battery, the Watt-hour rating is not more than 100 Wh. Lithium ion and sodium ion batteries subject to this provision shall be marked with the Watt-hour rating on the outside case, except lithium ion batteries manufactured before 1 January 2009; NOTE: When lithium batteries in conformity with 2.2.9.1.7.1 (f) are carried in accordance with this special provision, the total lithium content of all lithium metal cells contained in the battery shall not exceed 1.5 g and the total capacity of all lithium ion cells contained in the battery shall not exceed 10 Wh (see special provision 387). (c) Each lithium cell or battery meets the provisions of 2.2.9.1.7.1 (a), (e), (f) if applicable and (g) or for sodium ion cells or batteries, the provisions of 2.2.9.1.7.2 (a), (e) and (f) shall apply; (d) Cells and batteries, except when installed in equipment, shall be packed in inner packagings that completely enclose the cell or battery. Cells and batteries shall be protected so as to prevent short circuits. This includes protection against contact with electrically conductive material within the same packaging that could lead to a short circuit. The inner packagings shall be packed in strong outer packagings which conform to the provisions of 4.1.1.1, 4.1.1.2 and 4.1.1.5; (e) Cells and batteries when installed in equipment shall be protected from damage and short circuit, and the equipment shall be equipped with an effective means of preventing accidental activation. This requirement does not apply to devices which are intentionally active in carriage (radio frequency identification (RFID) transmitters, watches, sensors, etc.) and which are not capable of generating a dangerous evolution of heat. When batteries are installed in equipment, the equipment shall be packed in strong outer packagings constructed of suitable material of adequate strength and design in relation to the packaging's capacity and its intended use unless the battery is afforded equivalent protection by the equipment in which it is contained; (f) Each package shall be marked with the appropriate battery mark, as illustrated in 5.2.1.9. This requirement does not apply to: (i) Packages containing only button cell batteries installed in equipment (including circuit boards); and (ii) Packages containing no more than four cells or two batteries installed in equipment, where there are not more than two packages in the consignment. When packages are placed in an overpack, the battery mark shall either be clearly visible or be reproduced on the outside of the overpack and the overpack shall be marked with the word "OVERPACK". The lettering of the "OVERPACK" mark shall be at least 12 mm high. NOTE: Packages containing lithium batteries packed in conformity with the provisions of Part 4, Chapter 11, packing instructions 965 or 968, Section IB of the ICAO Technical Instructions that bear the mark as shown in 5.2.1.9 (battery mark) and the label shown in 5.2.2.2.2, model No. 9A shall be deemed to meet the provisions of this special provision. (g) Except when cells or batteries are installed in equipment, each package shall be capable of withstanding a 1.2 m drop test in any orientation without damage to cells or batteries contained therein, without shifting of the contents so as to allow battery to battery (or cell to cell) contact and without release of contents; and (h) Except when cells or batteries are installed in or packed with equipment, packages shall not exceed 30 kg gross mass. As used above and elsewhere in ADR, "lithium content" means the mass of lithium in the anode of a lithium metal or lithium alloy cell. As used in this special provision "equipment" means apparatus for which the cells or batteries will provide electrical power for its operation. Separate entries exist for lithium metal batteries and lithium ion batteries to facilitate the carriage of these batteries for specific modes of carriage and to enable the application of different emergency response actions. A single cell battery as defined in Part III, sub-section 38.3.2.3 of the Manual of Tests and Criteria is considered a "cell" and shall be carried according to the requirements for "cells" for the purpose of this special provision.

Lithium cells and batteries may be carried under this entry if they meet the provisions of 2.2.9.1.7.1. Sodium ion cells and batteries may be carried under this entry if they meet the provisions of 2.2.9.1.7.2.

Cells or batteries from production runs of not more than 100 cells or batteries, or pre-production prototypes of cells or batteries when these prototypes are carried for testing, shall meet the provisions of 2.2.9.1.7.1 with the exception of (a), (e) (vii), (f) (iii) if applicable, (f) (iv) if applicable and (g). NOTE: "Carried for testing" includes, but is not limited to, testing described in the Manual of Tests and Criteria, Part III, sub-section 38.3, integration testing and product performance testing. These cells and batteries shall be packaged in accordance with packing instruction P910 of 4.1.4.1 or LP905 of 4.1.4.3, as applicable. Articles (UN Nos. 3537, 3538, 3540, 3541, 3546, 3547 or 3548) may contain such cells or batteries provided that the applicable parts of packing instruction P006 of 4.1.4.1 or LP03 of 4.1.4.3, as applicable, are met. The transport document shall include the following statement: "Transport in accordance with special provision 310". Damaged or defective cells, batteries, or cells and batteries contained in equipment shall be carried in accordance with special provision 376. Cells, batteries or cells and batteries contained in equipment carried for disposal or recycling may be packaged in accordance with special provision 377 and packing instruction P909 of 4.1.4.1.

Vehicles only powered by lithium metal, lithium ion or sodium ion batteries shall be assigned to the entries UN 3556 VEHICLE, LITHIUM ION BATTERY POWERED or UN 3557 VEHICLE, LITHIUM METAL BATTERY POWERED or UN 3558 VEHICLE, SODIUM ION BATTERY POWERED, as applicable. Lithium batteries installed in cargo transport units, designed only to provide power external to the transport unit shall be assigned to entry UN 3536 LITHIUM BATTERIES INSTALLED IN CARGO TRANSPORT UNIT lithium ion batteries or lithium metal batteries.

Lithium metal, lithium ion or sodium ion cells or batteries identified as being damaged or defective such that they do not conform to the type tested according to the applicable provisions of the Manual of Tests and Criteria shall comply with the requirements of this special provision. For the purposes of this special provision, these may include, but are not limited to: - Cells or batteries identified as being defective for safety reasons; - Cells or batteries that have leaked or vented; - Cells or batteries that cannot be diagnosed prior to carriage; or - Cells or batteries that have sustained physical or mechanical damage. ----- NOTE: In assessing a cell or battery as damaged or defective, an assessment or evaluation shall be performed based on safety criteria from the cell, battery or product manufacturer or by a technical expert with knowledge of the cell's or battery's safety features. An assessment or evaluation may include, but is not limited to, the following criteria: (a) Acute hazard, such as gas, fire, or electrolyte leaking; (b) The use or misuse of the cell or battery; (c) Signs of physical damage, such as deformation to cell or battery casing, or colours on the casing; (d) External and internal short circuit protection, such as voltage or isolation measures; (e) The condition of the cell or battery safety features; or (f) Damage to any internal safety components, such as the battery management system. ----- Cells and batteries shall be carried according to the provisions applicable to UN Nos. 3090, 3091, 3480, 3481, 3551 and 3552, as appropriate, except special provision 230 and as otherwise stated in this special provision. Cells and batteries shall be packed in accordance with packing instructions P908 of 4.1.4.1 or LP904 of 4.1.4.3, as applicable. Cells and batteries identified as damaged or defective and liable to rapidly disassemble, dangerously react, produce a flame or a dangerous evolution of heat or a dangerous emission of toxic, corrosive or flammable gases or vapours under normal conditions of carriage shall be packed and carried in accordance with packing instruction P911 of 4.1.4.1 or LP906 of 4.1.4.3, as applicable. Alternative packing and/or carriage conditions may be authorized by the competent authority of any ADR Contracting Party who may also recognize an approval granted by the competent authority of a country which is not an ADR Contracting Party provided that this approval has been granted in accordance with the procedures applicable according to RID, ADR, ADN, the IMDG Code or the ICAO Technical Instructions. Packages shall be marked "DAMAGED/DEFECTIVE LITHIUM ION BATTERIES", "DAMAGED/DEFECTIVE LITHIUM METAL BATTERIES" or "DAMAGED/DEFECTIVE SODIUM ION BATTERIES", as applicable. The transport document shall include the following statement: "Transport in accordance with special provision 376". If applicable, a copy of the competent authority approval shall accompany the carriage.

Lithium metal, lithium ion and sodium ion cells and batteries and equipment containing such cells and batteries carried for disposal or recycling, either packed together with or packed without non-lithium or non-sodium ion batteries, may be packaged in accordance with packing instruction P909 of 4.1.4.1. These cells and batteries are not subject to the requirements of 2.2.9.1.7.1 (a) to (g) or 2.2.9.1.7.2 (a) to (f), as appropriate. Packages shall be marked "LITHIUM BATTERIES FOR DISPOSAL", "SODIUM ION BATTERIES FOR DISPOSAL", "LITHIUM BATTERIES FOR RECYCLING" or "SODIUM ION BATTERIES FOR RECYCLING", as appropriate. Identified damaged or defective batteries shall be carried in accordance with special provision 376.

Lithium batteries in conformity with 2.2.9.1.7.1 (f) containing both primary lithium metal cells and rechargeable lithium ion cells shall be assigned to UN Nos. 3090 or 3091 as appropriate. When such batteries are carried in accordance with special provision 188, the total lithium content of all lithium metal cells contained in the battery shall not exceed 1.5 g and the total capacity of all lithium ion cells contained in the battery shall not exceed 10 Wh.

When a package contains a combination of lithium batteries contained in equipment and lithium batteries packed with equipment, the following requirements apply for the purposes of package marking and documentation: (a) the package shall be marked "UN 3091" or "UN 3481", as appropriate. If a package contains both lithium ion batteries and lithium metal batteries packed with and contained in equipment, the package shall be marked as required for both battery types. However, button cell batteries installed in equipment (including circuit boards) need not be considered; (b) the transport document shall indicate "UN 3091 LITHIUM METAL BATTERIES PACKED WITH EQUIPMENT" or "UN 3481 LITHIUM ION BATTERIES PACKED WITH EQUIPMENT", as appropriate. If a package contains both lithium metal batteries and lithium ion batteries packed with and contained in equipment, then the transport document shall indicate both "UN 3091 LITHIUM METAL BATTERIES PACKED WITH EQUIPMENT" and "UN 3481 LITHIUM ION BATTERIES PACKED WITH EQUIPMENT".

(a) Lithium cells and batteries and sodium ion cells and batteries installed in equipment from private households collected and handed over for carriage for depollution, dismantling, recycling or disposal are not subject to the other provisions of ADR including special provision 376, 2.2.9.1.7.1 and 2.2.9.1.7.2 when: (i) They are not the main power source for the operation of the equipment in which they are contained; (ii) The equipment in which they are contained does not contain any other lithium cell or battery or sodium ion cell or battery used as the main power source; and (iii) They are afforded protection by the equipment in which they are contained. Examples for cells and batteries covered by this paragraph are button cells used for data integrity in household appliances (e.g. refrigerators, washing machines, dishwashers) or in other electrical or electronic equipment; (b) Up to the intermediate processing facility lithium cells and batteries and sodium ion cells and batteries contained in equipment from private households not meeting the requirements of (a) collected and handed over for carriage for depollution, dismantling, recycling or disposal are not subject to the other provisions of ADR including special provision 376, 2.2.9.1.7.1 and 2.2.9.1.7.2, if the following conditions are met: (i) The equipment is packed in accordance with packing instruction P909 of 4.1.4.1 except for the additional requirements 1 and 2; or it is packed in strong outer packagings, e.g. specially designed collection receptacles, which meet the following requirements: - The packagings shall be constructed of suitable material and be of adequate strength and design in relation to the packaging capacity and its intended use. The packagings need not meet the requirements of 4.1.1.3; - Appropriate measures shall be taken to minimize the damage of the equipment when filling and handling the packaging, e.g. use of rubber mats; and - The packagings shall be constructed and closed so as to prevent any loss of contents during carriage, e.g. by lids, strong inner liners, covers for transport. Openings designed for filling are acceptable if they are constructed so as to prevent loss of content; (ii) A quality assurance system is in place to ensure that the total amount of lithium cells and batteries and sodium ion cells and batteries per transport unit does not exceed 333 kg; NOTE: The total quantity of lithium cells and batteries and sodium ion cells and batteries contained in equipment from private households may be assessed by means of a statistical method included in the quality assurance system. A copy of the quality assurance records shall be made available to the competent authority upon request. (iii) Packages are marked "LITHIUM BATTERIES FOR DISPOSAL", "LITHIUM BATTERIES FOR RECYCLING", "SODIUM ION BATTERIES FOR DISPOSAL" or "SODIUM ION BATTERIES FOR RECYCLING", as appropriate. If equipment containing lithium cells or batteries or sodium ion cells or batteries is carried unpackaged or on pallets in accordance with packing instruction P909 (3) of 4.1.4.1, this mark may alternatively be affixed to the external surface of the vehicles or containers). NOTE: "Equipment from private households" means equipment which comes from private households and equipment which comes from commercial, industrial, institutional and other sources which, because of its nature and quantity, is similar to that from private households. Equipment likely to be used by both private households and users other than private households shall in any event be considered to be equipment from private households.

Cells and batteries which, in accordance with special provision 376, are identified as damaged or defective and liable to rapidly disassemble, dangerously react, produce a flame or a dangerous evolution of heat or a dangerous emission of toxic, corrosive or flammable gases or vapours under normal conditions of carriage, shall be assigned to transport category 0. In the transport document, the words "Carriage in accordance with special provision 376" shall be supplemented by the words "Transport category 0".

Cells and batteries offered for carriage are not subject to other provisions of RID if they meet the following: (a) For a lithium metal or lithium alloy cell, the lithium content is not more than 1 g, and for a lithium ion or sodium ion cell, the Watt-hour rating is not more than 20 Wh; NOTE: When lithium batteries in conformity with 2.2.9.1.7.1 (f) are carried in accordance with this special provision, the total lithium content of all lithium metal cells contained in the battery shall not exceed 1.5 g and the total capacity of all lithium ion cells contained in the battery shall not exceed 10 Wh (see special provision 387). (b) For a lithium metal or lithium alloy battery the aggregate lithium content is not more than 2 g, and for a lithium-ion or sodium ion battery, the Watt-hour rating is not more than 100 Wh. Lithium ion and sodium ion batteries subject to this provision shall be marked with the Watt-hour rating on the outside case, except lithium ion batteries manufactured before 1 January 2009; NOTE: When lithium batteries in conformity with 2.2.9.1.7.1 (f) are carried in accordance with this special provision, the total lithium content of all lithium metal cells contained in the battery shall not exceed 1.5 g and the total capacity of all lithium ion cells contained in the battery shall not exceed 10 Wh (see special provision 387). (c) Each lithium cell or battery meets the provisions of 2.2.9.1.7.1 (a), (e), (f) if applicable and (g) or for sodium ion cells or batteries, the provisions of 2.2.9.1.7.2 (a), (e) and (f) shall apply; (d) Cells and batteries, except when installed in equipment, shall be packed in inner packagings that completely enclose the cell or battery. Cells and batteries shall be protected so as to prevent short circuits. This includes protection against contact with electrically conductive material within the same packaging that could lead to a short circuit. The inner packagings shall be packed in strong outer packagings which conform to the provisions of 4.1.1.1, 4.1.1.2 and 4.1.1.5; (e) Cells and batteries when installed in equipment shall be protected from damage and short circuit, and the equipment shall be equipped with an effective means of preventing accidental activation. This requirement does not apply to devices which are intentionally active in carriage (radio frequency identification (RFID) transmitters, watches, sensors, etc.) and which are not capable of generating a dangerous evolution of heat. When batteries are installed in equipment, the equipment shall be packed in strong outer packagings constructed of suitable material of adequate strength and design in relation to the packaging's capacity and its intended use unless the battery is afforded equivalent protection by the equipment in which it is contained; (f) Each package shall be marked with the appropriate battery mark, as illustrated in 5.2.1.9. This requirement does not apply to: (i) packages containing only button cell batteries installed in equipment (including circuit boards); and (ii) packages containing no more than four cells or two batteries installed in equipment, where there are not more than two packages in the consignment. When packages are placed in an overpack, the battery mark shall either be clearly visible or be reproduced on the outside of the overpack and the overpack shall be marked with the word "OVERPACK". The lettering of the "OVERPACK" mark shall be at least 12 mm high. NOTE: Packages containing lithium batteries packed in conformity with the provisions of Part 4, Chapter 11, packing instructions 965 or 968, Section IB of the ICAO Technical Instructions that bear the mark as shown in 5.2.1.9 (battery mark) and the label shown in 5.2.2.2.2, model No. 9A shall be deemed to meet the provisions of this special provision. (g) Except when cells or batteries are installed in equipment, each package shall be capable of withstanding a 1.2 m drop test in any orientation without damage to cells or batteries contained therein, without shifting of the contents so as to allow battery to battery (or cell to cell) contact and without release of contents; and (h) Except when cells or batteries are installed in or packed with equipment, packages shall not exceed 30 kg gross mass. As used above and elsewhere in RID, "lithium content" means the mass of lithium in the anode of a lithium metal or lithium alloy cell. As used in this special provision "equipment" means apparatus for which the cells or batteries will provide electrical power for its operation. Separate entries exist for lithium metal batteries and lithium ion batteries to facilitate the carriage of these batteries for specific modes of carriage and to enable the application of different emergency response actions. A single cell battery as defined in Part III, sub-section 38.3.2.3 of the Manual of Tests and Criteria is considered a "cell" and shall be carried according to the requirements for "cells" for the purpose of this special provision.

Lithium cells and batteries may be carried under this entry if they meet the provisions of 2.2.9.1.7.1. Sodium ion cells and batteries may be carried under this entry if they meet the provisions of 2.2.9.1.7.2.

Cells or batteries from production runs of not more than 100 cells or batteries, or pre-production prototypes of cells or batteries when these prototypes are carried for testing, shall meet the provisions of 2.2.9.1.7.1 with the exception of (a), (e) (vii), (f) (iii) if applicable, (f) (iv) if applicable and (g). NOTE: "Carried for testing" includes, but is not limited to, testing described in the Manual of Tests and Criteria, Part III, sub-section 38.3, integration testing and product performance testing. These cells and batteries shall be packaged in accordance with packing instruction P 910 of 4.1.4.1 or LP 905 of 4.1.4.3, as applicable. Articles (UN Nos. 3537, 3538, 3540, 3541, 3546, 3547 or 3548) may contain such cells or batteries provided that the applicable parts of packing instruction P 006 of 4.1.4.1 or LP 03 of 4.1.4.3, as applicable, are met. The transport document shall include the following statement: "Transport in accordance with special provision 310". Damaged or defective cells, batteries, or cells and batteries contained in equipment shall be carried in accordance with special provision 376. Cells, batteries or cells and batteries contained in equipment carried for disposal or recycling may be packaged in accordance with special provision 377 and packing instruction P 909 of 4.1.4.1.

Vehicles only powered by lithium metal, lithium ion or sodium ion batteries shall be assigned to the entries UN 3556 VEHICLE, LITHIUM ION BATTERY POWERED or UN 3557 VEHICLE, LITHIUM METAL BATTERY POWERED or UN 3558 VEHICLE, SODIUM ION BATTERY POWERED, as applicable. Lithium batteries installed in cargo transport units, designed only to provide power external to the transport unit shall be assigned to entry UN 3536 LITHIUM BATTERIES INSTALLED IN CARGO TRANSPORT UNIT lithium ion batteries or lithium metal batteries.

Lithium metal, lithium ion or sodium ion cells or batteries identified as being damaged or defective such that they do not conform to the type tested according to the applicable provisions of the Manual of Tests and Criteria shall comply with the requirements of this special provision. For the purposes of this special provision, these may include, but are not limited to: - Cells or batteries identified as being defective for safety reasons; - Cells or batteries that have leaked or vented; - Cells or batteries that cannot be diagnosed prior to carriage; or - Cells or batteries that have sustained physical or mechanical damage. ----- NOTE: In assessing a cell or battery as damaged or defective, an assessment or evaluation shall be performed based on safety criteria from the cell, battery or product manufacturer or by a technical expert with knowledge of the cell's or battery's safety features. An assessment or evaluation may include, but is not limited to, the following criteria: (a) Acute hazard, such as gas, fire, or electrolyte leaking; (b) The use or misuse of the cell or battery; (c) Signs of physical damage, such as deformation to cell or battery casing, or colours on the casing; (d) External and internal short circuit protection, such as voltage or isolation measures; (e) The condition of the cell or battery safety features; or (f) Damage to any internal safety components, such as the battery management system. ----- Cells and batteries shall be carried according to the provisions applicable to UN Nos. 3090, 3091, 3480, 3481, 3551 and 3552, as appropriate, except special provision 230 and as otherwise stated in this special provision. Cells and batteries shall be packed in accordance with packing instructions P 908 of 4.1.4.1 or LP 904 of 4.1.4.3, as applicable. Cells and batteries identified as damaged or defective and liable to rapidly disassemble, dangerously react, produce a flame or a dangerous evolution of heat or a dangerous emission of toxic, corrosive or flammable gases or vapours under normal conditions of carriage shall be packed and carried in accordance with packing instruction P 911 of 4.1.4.1 or LP 906 of 4.1.4.3, as applicable. Alternative packing and/or carriage conditions may be authorized by the competent authority of any RID Contracting State who may also recognize an approval granted by the competent authority of a country which is not an RID Contracting State provided that this approval has been granted in accordance with the procedures applicable according to RID, ADR, ADN, the IMDG Code or the ICAO Technical Instructions. Packages shall be marked "DAMAGED/DEFECTIVE LITHIUM ION BATTERIES", "DAMAGED/DEFECTIVE LITHIUM METAL BATTERIES" or "DAMAGED/DEFECTIVE SODIUM ION BATTERIES", as applicable. The transport document shall include the following statement: "Transport in accordance with special provision 376". If applicable, a copy of the competent authority approval shall accompany the carriage.

Lithium metal, lithium ion and sodium ion cells and batteries and equipment containing such cells and batteries carried for disposal or recycling, either packed together with or packed without non-lithium or non-sodium ion batteries, may be packaged in accordance with packing instruction P 909 of 4.1.4.1. These cells and batteries are not subject to the requirements of 2.2.9.1.7.1 (a) to (g) or 2.2.9.1.7.2 (a) to (f), as appropriate. Packages shall be marked "LITHIUM BATTERIES FOR DISPOSAL", "SODIUM ION BATTERIES FOR DISPOSAL", "LITHIUM BATTERIES FOR RECYCLING" or "SODIUM ION BATTERIES FOR RECYCLING", as appropriate. Identified damaged or defective batteries shall be carried in accordance with special provision 376.

Lithium batteries in conformity with 2.2.9.1.7.1 (f) containing both primary lithium metal cells and rechargeable lithium ion cells shall be assigned to UN Nos. 3090 or 3091 as appropriate. When such batteries are carried in accordance with special provision 188, the total lithium content of all lithium metal cells contained in the battery shall not exceed 1.5 g and the total capacity of all lithium ion cells contained in the battery shall not exceed 10 Wh.

When a package contains a combination of lithium batteries contained in equipment and lithium batteries packed with equipment, the following requirements apply for the purposes of package marking and documentation: (a) the package shall be marked "UN 3091" or "UN 3481", as appropriate. If a package contains both lithium ion batteries and lithium metal batteries packed with and contained in equipment, the package shall be marked as required for both battery types. However, button cell batteries installed in equipment (including circuit boards) need not be considered; (b) the transport document shall indicate "UN 3091 LITHIUM METAL BATTERIES PACKED WITH EQUIPMENT" or "UN 3481 LITHIUM ION BATTERIES PACKED WITH EQUIPMENT", as appropriate. If a package contains both lithium metal batteries and lithium ion batteries packed with and contained in equipment, then the transport document shall indicate both "UN 3091 LITHIUM METAL BATTERIES PACKED WITH EQUIPMENT" and "UN 3481 LITHIUM ION BATTERIES PACKED WITH EQUIPMENT".

(a) Lithium cells and batteries and sodium ion cells and batteries installed in equipment from private households collected and handed over for carriage for depollution, dismantling, recycling or disposal are not subject to the other provisions of RID including special provision 376, 2.2.9.1.7.1 and 2.2.9.1.7.2 when: (i) They are not the main power source for the operation of the equipment in which they are contained; (ii) The equipment in which they are contained does not contain any other lithium cell or battery or sodium ion cell or battery used as the main power source; and (iii) They are afforded protection by the equipment in which they are contained. Examples for cells and batteries covered by this paragraph are button cells used for data integrity in household appliances (e.g. refrigerators, washing machines, dishwashers) or in other electrical or electronic equipment; (b) Up to the intermediate processing facility lithium cells and batteries and sodium ion cells and batteries contained in equipment from private households not meeting the requirements of (a) collected and handed over for carriage for depollution, dismantling, recycling or disposal are not subject to the other provisions of RID including special provision 376, 2.2.9.1.7.1 and 2.2.9.1.7.2, if the following conditions are met: (i) The equipment is packed in accordance with packing instruction P 909 of 4.1.4.1 except for the additional requirements 1 and 2; or it is packed in strong outer packagings, e.g. specially designed collection receptacles, which meet the following requirements: - The packagings shall be constructed of suitable material and be of adequate strength and design in relation to the packaging capacity and its intended use. The packagings need not meet the requirements of 4.1.1.3; - Appropriate measures shall be taken to minimize the damage of the equipment when filling and handling the packaging, e.g. use of rubber mats; and - The packagings shall be constructed and closed so as to prevent any loss of contents during carriage, e.g. by lids, strong inner liners, covers for transport. Openings designed for filling are acceptable if they are constructed so as to prevent loss of content; (ii) A quality assurance system is in place to ensure that the total amount of lithium cells and batteries and sodium ion cells and batteries per wagon or large container unit does not exceed 333 kg; NOTE: The total quantity of lithium cells and batteries and sodium ion cells and batteries contained in equipment from private households may be assessed by means of a statistical method included in the quality assurance system. A copy of the quality assurance records shall be made available to the competent authority upon request. (iii) Packages are marked "LITHIUM BATTERIES FOR DISPOSAL", "LITHIUM BATTERIES FOR RECYCLING", "SODIUM ION BATTERIES FOR DISPOSAL" or "SODIUM ION BATTERIES FOR RECYCLING", as appropriate. If equipment containing lithium cells or batteries or sodium ion cells or batteries is carried unpackaged or on pallets in accordance with packing instruction P 909 (3) of 4.1.4.1, this mark may alternatively be affixed to the external surface of the wagons or large containers). NOTE: "Equipment from private households" means equipment which comes from private households and equipment which comes from commercial, industrial, institutional and other sources which, because of its nature and quantity, is similar to that from private households. Equipment likely to be used by both private households and users other than private households shall in any event be considered to be equipment from private households.

Cells and batteries which, in accordance with special provision 376, are identified as damaged or defective and liable to rapidly disassemble, dangerously react, produce a flame or a dangerous evolution of heat or a dangerous emission of toxic, corrosive or flammable gases or vapours under normal conditions of carriage, shall be assigned to transport category 0. In the transport document, the words "CARRIAGE IN ACCORDANCE WITH SPECIAL PROVISION 376" shall be supplemented by the words "TRANSPORT CATEGORY 0".

Cells and batteries offered for carriage are not subject to other provisions of RID if they meet the following: (a) For a lithium metal or lithium alloy cell, the lithium content is not more than 1 g, and for a lithium ion or sodium ion cell, the Watt-hour rating is not more than 20 Wh; NOTE: When lithium batteries in conformity with 2.2.9.1.7.1 (f) are carried in accordance with this special provision, the total lithium content of all lithium metal cells contained in the battery shall not exceed 1.5 g and the total capacity of all lithium ion cells contained in the battery shall not exceed 10 Wh (see special provision 387). (b) For a lithium metal or lithium alloy battery the aggregate lithium content is not more than 2 g, and for a lithium-ion or sodium ion battery, the Watt-hour rating is not more than 100 Wh. Lithium ion and sodium ion batteries subject to this provision shall be marked with the Watt-hour rating on the outside case, except lithium ion batteries manufactured before 1 January 2009; NOTE: When lithium batteries in conformity with 2.2.9.1.7.1 (f) are carried in accordance with this special provision, the total lithium content of all lithium metal cells contained in the battery shall not exceed 1.5 g and the total capacity of all lithium ion cells contained in the battery shall not exceed 10 Wh (see special provision 387). (c) Each lithium cell or battery meets the provisions of 2.2.9.1.7.1 (a), (e), (f) if applicable and (g) or for sodium ion cells or batteries, the provisions of 2.2.9.1.7.2 (a), (e) and (f) shall apply; (d) Cells and batteries, except when installed in equipment, shall be packed in inner packagings that completely enclose the cell or battery. Cells and batteries shall be protected so as to prevent short circuits. This includes protection against contact with electrically conductive material within the same packaging that could lead to a short circuit. The inner packagings shall be packed in strong outer packagings which conform to the provisions of 4.1.1.1, 4.1.1.2 and 4.1.1.5; (e) Cells and batteries when installed in equipment shall be protected from damage and short circuit, and the equipment shall be equipped with an effective means of preventing accidental activation. This requirement does not apply to devices which are intentionally active in carriage (radio frequency identification (RFID) transmitters, watches, sensors, etc.) and which are not capable of generating a dangerous evolution of heat. When batteries are installed in equipment, the equipment shall be packed in strong outer packagings constructed of suitable material of adequate strength and design in relation to the packaging's capacity and its intended use unless the battery is afforded equivalent protection by the equipment in which it is contained; (f) Each package shall be marked with the appropriate battery mark, as illustrated in 5.2.1.9. This requirement does not apply to: (i) packages containing only button cell batteries installed in equipment (including circuit boards); and (ii) packages containing no more than four cells or two batteries installed in equipment, where there are not more than two packages in the consignment. When packages are placed in an overpack, the battery mark shall either be clearly visible or be reproduced on the outside of the overpack and the overpack shall be marked with the word "OVERPACK". The lettering of the "OVERPACK" mark shall be at least 12 mm high. NOTE: Packages containing lithium batteries packed in conformity with the provisions of Part 4, Chapter 11, packing instructions 965 or 968, Section IB of the ICAO Technical Instructions that bear the mark as shown in 5.2.1.9 (battery mark) and the label shown in 5.2.2.2.2, model No. 9A shall be deemed to meet the provisions of this special provision. (g) Except when cells or batteries are installed in equipment, each package shall be capable of withstanding a 1.2 m drop test in any orientation without damage to cells or batteries contained therein, without shifting of the contents so as to allow battery to battery (or cell to cell) contact and without release of contents; and (h) Except when cells or batteries are installed in or packed with equipment, packages shall not exceed 30 kg gross mass. As used above and elsewhere in RID, "lithium content" means the mass of lithium in the anode of a lithium metal or lithium alloy cell. As used in this special provision "equipment" means apparatus for which the cells or batteries will provide electrical power for its operation. Separate entries exist for lithium metal batteries and lithium ion batteries to facilitate the carriage of these batteries for specific modes of carriage and to enable the application of different emergency response actions. A single cell battery as defined in Part III, sub-section 38.3.2.3 of the Manual of Tests and Criteria is considered a "cell" and shall be carried according to the requirements for "cells" for the purpose of this special provision.

Lithium cells and batteries may be carried under this entry if they meet the provisions of 2.2.9.1.7.1. Sodium ion cells and batteries may be carried under this entry if they meet the provisions of 2.2.9.1.7.2.

Cells or batteries from production runs of not more than 100 cells or batteries, or pre-production prototypes of cells or batteries when these prototypes are carried for testing, shall meet the provisions of 2.2.9.1.7.1 with the exception of (a), (e) (vii), (f) (iii) if applicable, (f) (iv) if applicable and (g). NOTE: "Carried for testing" includes, but is not limited to, testing described in the Manual of Tests and Criteria, Part III, sub-section 38.3, integration testing and product performance testing. These cells and batteries shall be packaged in accordance with packing instruction P 910 of 4.1.4.1 or LP 905 of 4.1.4.3, as applicable. Articles (UN Nos. 3537, 3538, 3540, 3541, 3546, 3547 or 3548) may contain such cells or batteries provided that the applicable parts of packing instruction P 006 of 4.1.4.1 or LP 03 of 4.1.4.3, as applicable, are met. The transport document shall include the following statement: "Transport in accordance with special provision 310". Damaged or defective cells, batteries, or cells and batteries contained in equipment shall be carried in accordance with special provision 376. Cells, batteries or cells and batteries contained in equipment carried for disposal or recycling may be packaged in accordance with special provision 377 and packing instruction P 909 of 4.1.4.1.

Vehicles only powered by lithium metal, lithium ion or sodium ion batteries shall be assigned to the entries UN 3556 VEHICLE, LITHIUM ION BATTERY POWERED or UN 3557 VEHICLE, LITHIUM METAL BATTERY POWERED or UN 3558 VEHICLE, SODIUM ION BATTERY POWERED, as applicable. Lithium batteries installed in cargo transport units, designed only to provide power external to the transport unit shall be assigned to entry UN 3536 LITHIUM BATTERIES INSTALLED IN CARGO TRANSPORT UNIT lithium ion batteries or lithium metal batteries.

Lithium metal, lithium ion or sodium ion cells or batteries identified as being damaged or defective such that they do not conform to the type tested according to the applicable provisions of the Manual of Tests and Criteria shall comply with the requirements of this special provision. For the purposes of this special provision, these may include, but are not limited to: - Cells or batteries identified as being defective for safety reasons; - Cells or batteries that have leaked or vented; - Cells or batteries that cannot be diagnosed prior to carriage; or - Cells or batteries that have sustained physical or mechanical damage. ----- NOTE: In assessing a cell or battery as damaged or defective, an assessment or evaluation shall be performed based on safety criteria from the cell, battery or product manufacturer or by a technical expert with knowledge of the cell's or battery's safety features. An assessment or evaluation may include, but is not limited to, the following criteria: (a) Acute hazard, such as gas, fire, or electrolyte leaking; (b) The use or misuse of the cell or battery; (c) Signs of physical damage, such as deformation to cell or battery casing, or colours on the casing; (d) External and internal short circuit protection, such as voltage or isolation measures; (e) The condition of the cell or battery safety features; or (f) Damage to any internal safety components, such as the battery management system. ----- Cells and batteries shall be carried according to the provisions applicable to UN Nos. 3090, 3091, 3480, 3481, 3551 and 3552, as appropriate, except special provision 230 and as otherwise stated in this special provision. Cells and batteries shall be packed in accordance with packing instructions P 908 of 4.1.4.1 or LP 904 of 4.1.4.3, as applicable. Cells and batteries identified as damaged or defective and liable to rapidly disassemble, dangerously react, produce a flame or a dangerous evolution of heat or a dangerous emission of toxic, corrosive or flammable gases or vapours under normal conditions of carriage shall be packed and carried in accordance with packing instruction P 911 of 4.1.4.1 or LP 906 of 4.1.4.3, as applicable. Alternative packing and/or carriage conditions may be authorized by the competent authority of any RID Contracting State who may also recognize an approval granted by the competent authority of a country which is not an RID Contracting State provided that this approval has been granted in accordance with the procedures applicable according to RID, ADR, ADN, the IMDG Code or the ICAO Technical Instructions. Packages shall be marked "DAMAGED/DEFECTIVE LITHIUM ION BATTERIES", "DAMAGED/DEFECTIVE LITHIUM METAL BATTERIES" or "DAMAGED/DEFECTIVE SODIUM ION BATTERIES", as applicable. The transport document shall include the following statement: "Transport in accordance with special provision 376". If applicable, a copy of the competent authority approval shall accompany the carriage.

Lithium metal, lithium ion and sodium ion cells and batteries and equipment containing such cells and batteries carried for disposal or recycling, either packed together with or packed without non-lithium or non-sodium ion batteries, may be packaged in accordance with packing instruction P 909 of 4.1.4.1. These cells and batteries are not subject to the requirements of 2.2.9.1.7.1 (a) to (g) or 2.2.9.1.7.2 (a) to (f), as appropriate. Packages shall be marked "LITHIUM BATTERIES FOR DISPOSAL", "SODIUM ION BATTERIES FOR DISPOSAL", "LITHIUM BATTERIES FOR RECYCLING" or "SODIUM ION BATTERIES FOR RECYCLING", as appropriate. Identified damaged or defective batteries shall be carried in accordance with special provision 376.

Lithium batteries in conformity with 2.2.9.1.7.1 (f) containing both primary lithium metal cells and rechargeable lithium ion cells shall be assigned to UN Nos. 3090 or 3091 as appropriate. When such batteries are carried in accordance with special provision 188, the total lithium content of all lithium metal cells contained in the battery shall not exceed 1.5 g and the total capacity of all lithium ion cells contained in the battery shall not exceed 10 Wh.

When a package contains a combination of lithium batteries contained in equipment and lithium batteries packed with equipment, the following requirements apply for the purposes of package marking and documentation: (a) the package shall be marked "UN 3091" or "UN 3481", as appropriate. If a package contains both lithium ion batteries and lithium metal batteries packed with and contained in equipment, the package shall be marked as required for both battery types. However, button cell batteries installed in equipment (including circuit boards) need not be considered; (b) the transport document shall indicate "UN 3091 LITHIUM METAL BATTERIES PACKED WITH EQUIPMENT" or "UN 3481 LITHIUM ION BATTERIES PACKED WITH EQUIPMENT", as appropriate. If a package contains both lithium metal batteries and lithium ion batteries packed with and contained in equipment, then the transport document shall indicate both "UN 3091 LITHIUM METAL BATTERIES PACKED WITH EQUIPMENT" and "UN 3481 LITHIUM ION BATTERIES PACKED WITH EQUIPMENT".

(a) Lithium cells and batteries and sodium ion cells and batteries installed in equipment from private households collected and handed over for carriage for depollution, dismantling, recycling or disposal are not subject to the other provisions of RID including special provision 376, 2.2.9.1.7.1 and 2.2.9.1.7.2 when: (i) They are not the main power source for the operation of the equipment in which they are contained; (ii) The equipment in which they are contained does not contain any other lithium cell or battery or sodium ion cell or battery used as the main power source; and (iii) They are afforded protection by the equipment in which they are contained. Examples for cells and batteries covered by this paragraph are button cells used for data integrity in household appliances (e.g. refrigerators, washing machines, dishwashers) or in other electrical or electronic equipment; (b) Up to the intermediate processing facility lithium cells and batteries and sodium ion cells and batteries contained in equipment from private households not meeting the requirements of (a) collected and handed over for carriage for depollution, dismantling, recycling or disposal are not subject to the other provisions of RID including special provision 376, 2.2.9.1.7.1 and 2.2.9.1.7.2, if the following conditions are met: (i) The equipment is packed in accordance with packing instruction P 909 of 4.1.4.1 except for the additional requirements 1 and 2; or it is packed in strong outer packagings, e.g. specially designed collection receptacles, which meet the following requirements: - The packagings shall be constructed of suitable material and be of adequate strength and design in relation to the packaging capacity and its intended use. The packagings need not meet the requirements of 4.1.1.3; - Appropriate measures shall be taken to minimize the damage of the equipment when filling and handling the packaging, e.g. use of rubber mats; and - The packagings shall be constructed and closed so as to prevent any loss of contents during carriage, e.g. by lids, strong inner liners, covers for transport. Openings designed for filling are acceptable if they are constructed so as to prevent loss of content; (ii) A quality assurance system is in place to ensure that the total amount of lithium cells and batteries and sodium ion cells and batteries per wagon or large container unit does not exceed 333 kg; NOTE: The total quantity of lithium cells and batteries and sodium ion cells and batteries contained in equipment from private households may be assessed by means of a statistical method included in the quality assurance system. A copy of the quality assurance records shall be made available to the competent authority upon request. (iii) Packages are marked "LITHIUM BATTERIES FOR DISPOSAL", "LITHIUM BATTERIES FOR RECYCLING", "SODIUM ION BATTERIES FOR DISPOSAL" or "SODIUM ION BATTERIES FOR RECYCLING", as appropriate. If equipment containing lithium cells or batteries or sodium ion cells or batteries is carried unpackaged or on pallets in accordance with packing instruction P 909 (3) of 4.1.4.1, this mark may alternatively be affixed to the external surface of the wagons or large containers). NOTE: "Equipment from private households" means equipment which comes from private households and equipment which comes from commercial, industrial, institutional and other sources which, because of its nature and quantity, is similar to that from private households. Equipment likely to be used by both private households and users other than private households shall in any event be considered to be equipment from private households.

Cells and batteries which, in accordance with special provision 376, are identified as damaged or defective and liable to rapidly disassemble, dangerously react, produce a flame or a dangerous evolution of heat or a dangerous emission of toxic, corrosive or flammable gases or vapours under normal conditions of carriage, shall be assigned to transport category 0. In the transport document, the words "CARRIAGE IN ACCORDANCE WITH SPECIAL PROVISION 376" shall be supplemented by the words "TRANSPORT CATEGORY 0".

Cells and batteries offered for carriage are not subject to other provisions of ADN if they meet the following: (a) For a lithium metal or lithium alloy cell, the lithium content is not more than 1 g, and for a lithium-ion or sodium ion cell, the Watt-hour rating is not more than 20 Wh; NOTE: When lithium batteries in conformity with 2.2.9.1.7.1 (f) are carried in accordance with this special provision, the total lithium content of all lithium metal cells contained in the battery shall not exceed 1.5 g and the total capacity of all lithium ion cells contained in the battery shall not exceed 10 Wh (see special provision 387). (b) For a lithium metal or lithium alloy battery the aggregate lithium content is not more than 2 g, and for a lithium-ion or sodium ion battery, the Watt-hour rating is not more than 100 Wh. Lithium ion and sodium ion batteries subject to this provision shall be marked with the Watt-hour rating on the outside case except lithium ion batteries manufactured before 1 January 2009; NOTE: When lithium batteries in conformity with 2.2.9.1.7.1 (f) are carried in accordance with this special provision, the total lithium content of all lithium metal cells contained in the battery shall not exceed 1.5 g and the total capacity of all lithium ion cells contained in the battery shall not exceed 10 Wh (see special provision 387). (c) Each lithium cell or battery meets the provisions of 2.2.9.1.7.1 (a), (e), (f) if applicable, and (g) or for sodium ion cells or batteries, the provisions of 2.2.9.1.7.2 (a), (e) and (f) shall apply; (d) Cells and batteries, except when installed in equipment, shall be packed in inner packagings that completely enclose the cell or battery. Cells and batteries shall be protected so as to prevent short circuits. This includes protection against contact with electrically conductive material within the same packaging that could lead to a short circuit. The inner packagings shall be packed in strong outer packagings which conform to the provisions of 4.1.1.1, 4.1.1.2 and 4.1.1.5 of ADR; (e) Cells and batteries when installed in equipment shall be protected from damage and short circuit, and the equipment shall be equipped with an effective means of preventing accidental activation. This requirement does not apply to devices which are intentionally active in carriage (radio frequency identification (RFID) transmitters, watches, sensors, etc.) and which are not capable of generating a dangerous evolution of heat. When batteries are installed in equipment, the equipment shall be packed in strong outer packagings constructed of suitable material of adequate strength and design in relation to the packaging's capacity and its intended use unless the battery is afforded equivalent protection by the equipment in which it is contained; (f) Each package shall be marked with the appropriate battery mark, as illustrated in 5.2.1.9; This requirement does not apply to: (i) packages containing only button cell batteries installed in equipment (including circuit boards); and (ii) packages containing no more than four cells or two batteries installed in equipment, where there are not more than two packages in the consignment. When packages are placed in an overpack, the battery mark shall either be clearly visible or be reproduced on the outside of the overpack and the overpack shall be marked with the word "OVERPACK". The lettering of the "OVERPACK" mark shall be at least 12 mm high. NOTE: Packages containing lithium batteries packed in conformity with the provisions of Part 4, Chapter 11, packing instructions 965 or 968 Section IB of the ICAO Technical Instructions that bear the mark as shown in 5.2.1.9 (battery mark) and the label shown in 5.2.2.2.2, model No. 9A shall be deemed to meet the provisions of this special provision. (g) Except when cells or batteries are installed in equipment, each package shall be capable of withstanding a 1.2 m drop test in any orientation without damage to cells or batteries contained therein, without shifting of the contents so as to allow battery to battery (or cell to cell) contact and without release of contents; and (h) Except when cells or batteries are installed in or packed with equipment, packages shall not exceed 30 kg gross mass. As used above and elsewhere in ADN, "lithium content" means the mass of lithium in the anode of a lithium metal or lithium alloy cell. As used in this special provision "equipment" means apparatus for which the cells or batteries will provide electrical power for its operation. Separate entries exist for lithium metal batteries and lithium ion batteries to facilitate the carriage of these batteries for specific modes of carriage and to enable the application of different emergency response actions. A single cell battery as defined in Part III, sub-section 38.3.2.3 of the Manual of Tests and Criteria is considered a "cell" and shall be carried according to the requirements for "cells" for the purpose of this special provision.

Lithium cells and batteries may be carried under this entry if they meet the provisions of 2.2.9.1.7.1. Sodium ion cells and batteries may be carried under this entry if they meet the provisions of 2.2.9.1.7.2.

Cells or batteries from production runs of not more than 100 cells or batteries, or pre-production prototypes of cells or batteries when these prototypes are carried for testing, shall meet the provisions of 2.2.9.1.7.1 with the exception of (a), (e) (vii), (f) (iii) if applicable, (f) (iv) if applicable and (g). NOTE: "Carried for testing" includes, but is not limited to, testing described in the "Manual of Tests and Criteria", Part III, sub-section 38.3, integration testing and product performance testing. These cells and batteries shall be packaged in accordance with packing instruction P910 of 4.1.4.1 of ADR or LP905 of 4.1.4.3 of ADR, as applicable. Articles (UN Nos. 3537, 3538, 3540, 3541, 3546, 3547 or 3548) may contain such cells or batteries provided that the applicable parts of packing instruction P006 of 4.1.4.1 of ADR or LP03 of 4.1.4.3 of ADR, as applicable, are met. The transport document shall include the following statement: "Transport in accordance with special provision 310". Damaged or defective cells, batteries, or cells and batteries contained in equipment shall be carried in accordance with special provision 376. Cells, batteries or cells and batteries contained in equipment carried for disposal or recycling may be packaged in accordance with special provision 377 and packing instruction P909 of 4.1.4.1 of ADR.

Vehicles only powered by lithium metal, lithium ion or sodium ion batteries shall be assigned to the entries UN 3556 VEHICLE, LITHIUM ION BATTERY POWERED or UN 3557 VEHICLE, LITHIUM METAL BATTERY POWERED or UN 3558 VEHICLE, SODIUM ION BATTERY POWERED, as applicable. Lithium batteries installed in cargo transport units, designed only to provide power external to the transport unit shall be assigned to entry UN 3536 LITHIUM BATTERIES INSTALLED IN CARGO TRANSPORT UNIT lithium ion batteries or lithium metal batteries.

Lithium metal, lithium ion or sodium ion cells or batteries identified as being damaged or defective such that they do not conform to the type tested according to the applicable provisions of the Manual of Tests and Criteria shall comply with the requirements of this special provision. For the purposes of this special provision, these may include, but are not limited to: - Cells or batteries identified as being defective for safety reasons; - Cells or batteries that have leaked or vented; - Cells or batteries that cannot be diagnosed prior to carriage; or - Cells or batteries that have sustained physical or mechanical damage. ----- NOTE: In assessing a cell or battery as damaged or defective, an assessment or evaluation shall be performed based on safety criteria from the cell, battery or product manufacturer or by a technical expert with knowledge of the cell's or battery's safety features. An assessment or evaluation may include, but is not limited to, the following criteria: (a) Acute hazard, such as gas, fire, or electrolyte leaking; (b) The use or misuse of the cell or battery; (c) Signs of physical damage, such as deformation to cell or battery casing, or colours on the casing; (d) External and internal short circuit protection, such as voltage or isolation measures; (e) The condition of the cell or battery safety features; or (f) Damage to any internal safety components, such as the battery management system. ----- Cells and batteries shall be carried according to the provisions applicable to UN Nos. 3090, 3091, 3480, 3481, 3551 and 3552, as appropriate, except special provision 230 and as otherwise stated in this special provision. Cells and batteries shall be packed in accordance with packing instructions P908 of 4.1.4.1 of ADR or LP904 of 4.1.4.3 of ADR, as applicable. Cells and batteries identified as damaged or defective and liable to rapidly disassemble, dangerously react, produce a flame or a dangerous evolution of heat or a dangerous emission of toxic, corrosive or flammable gases or vapours under normal conditions of carriage shall be packed and carried in accordance with packing instruction P911 of 4.1.4.1 of ADR or LP906 of 4.1.4.3 of ADR, as applicable. Alternative packing and/or carriage conditions may be authorized by the competent authority of any ADN Contracting Party who may also recognize an approval granted by the competent authority of a country which is not an ADN Contracting Party provided that this approval has been granted in accordance with the procedures applicable according to RID, ADR, ADN, the IMDG Code or the ICAO Technical Instructions. Packages shall be marked "DAMAGED/DEFECTIVE LITHIUM-ION BATTERIES", "DAMAGED/DEFECTIVE LITHIUM METAL BATTERIES" or "DAMAGED/DEFECTIVE SODIUM ION BATTERIES", as applicable. The transport document shall include the following statement "Transport in accordance with special provision 376". If applicable, a copy of the competent authority approval shall accompany the carriage.

Lithium metal, lithium ion and sodium ion cells and batteries and equipment containing such cells and batteries carried for disposal or recycling, either packed together with or packed without non-lithium batteries, may be packaged in accordance with packing instruction P909 of 4.1.4.1 of ADR. These cells and batteries are not subject to the provisions of 2.2.9.1.7.1 (a) to (g) or 2.2.9.1.7.2 (a) to (f) as appropriate. Packages shall be marked "LITHIUM BATTERIES FOR DISPOSAL", "SODIUM ION BATTERIES FOR DISPOSAL" "LITHIUM BATTERIES FOR RECYCLING" or "SODIUM ION BATTERIES FOR RECYCLING", as appropriate. Identified damaged or defective batteries shall be carried in accordance with special provision 376.

Lithium batteries in conformity with 2.2.9.1.7.1 (f) containing both primary lithium metal cells and rechargeable lithium ion cells shall be assigned to UN Nos. 3090 or 3091 as appropriate. When such batteries are carried in accordance with special provision 188, the total lithium content of all lithium metal cells contained in the battery shall not exceed 1.5 g and the total capacity of all lithium ion cells contained in the battery shall not exceed 10 Wh.

When a package contains a combination of lithium batteries contained in equipment and lithium batteries packed with equipment, the following requirements apply for the purposes of package marking and documentation: (a) the package shall be marked "UN 3091" or "UN 3481", as appropriate. If a package contains both lithium ion batteries and lithium metal batteries packed with and contained in equipment, the package shall be marked as required for both battery types. However, button cell batteries installed in equipment (including circuit boards) need not be considered; (b) the transport document shall indicate "UN 3091 LITHIUM METAL BATTERIES PACKED WITH EQUIPMENT" or "UN 3481 LITHIUM ION BATTERIES PACKED WITH EQUIPMENT", as appropriate. If a package contains both lithium metal batteries and lithium ion batteries packed with and contained in equipment, then the transport document shall indicate both "UN 3091 LITHIUM METAL BATTERIES PACKED WITH EQUIPMENT" and "UN 3481 LITHIUM ION BATTERIES PACKED WITH EQUIPMENT".

(a) Lithium cells and batteries and sodium ion cells and batteries installed in equipment from private households collected and handed over for carriage for depollution, dismantling, recycling or disposal are not subject to the other provisions of ADN including special provision 376, 2.2.9.1.7.1 and 2.2.9.1.7.2 when: (i) They are not the main power source for the operation of the equipment in which they are contained; (ii) The equipment in which they are contained does not contain any other lithium cell or battery or sodium ion cell or battery used as the main power source; and (iii) They are afforded protection by the equipment in which they are contained. Examples for cells and batteries covered by this paragraph are button cells used for data integrity in household appliances (e.g. refrigerators, washing machines, dishwashers) or in other electrical or electronic equipment; (b) Up to the intermediate processing facility lithium cells and batteries and sodium ion cells and batteries contained in equipment from private households not meeting the requirements of (a) collected and handed over for carriage for depollution, dismantling, recycling or disposal are not subject to the other provisions of ADN including special provision 376, 2.2.9.1.7.1 and 2.2.9.1.7.2, if the following conditions are met: (i) The equipment is packed in accordance with packing instruction P909 of 4.1.4.1 of ADR except for the additional requirements 1 and 2; or it is packed in strong outer packagings, e.g. specially designed collection receptacles, which meet the following requirements: - The packagings shall be constructed of suitable material and be of adequate strength and design in relation to the packaging capacity and its intended use. The packagings need not meet the requirements of 4.1.1.3 of ADR; - Appropriate measures shall be taken to minimize the damage of the equipment when filling and handling the packaging, e.g. use of rubber mats; and - The packagings shall be constructed and closed so as to prevent any loss of contents during carriage, e.g. by lids, strong inner liners, covers for transport. Openings designed for filling are acceptable if they are constructed so as to prevent loss of content; (ii) A quality assurance system is in place to ensure that the total amount of lithium cells and batteries and sodium ion cells and batteries per transport unit does not exceed 333 kg; NOTE: The total quantity of lithium cells and batteries and sodium ion cells and batteries contained in equipment from private households may be assessed by means of a statistical method included in the quality assurance system. A copy of the quality assurance records shall be made available to the competent authority upon request. (iii) Packages are marked "LITHIUM BATTERIES FOR DISPOSAL", "LITHIUM BATTERIES FOR RECYCLING", "SODIUM ION BATTERIES FOR DISPOSAL" or "SODIUM ION BATTERIES FOR RECYCLING", as appropriate. If equipment containing lithium cells or batteries or sodium ion cells or batteries is carried unpackaged or on pallets in accordance with packing instruction P909 (3) of 4.1.4.1 of ADR, this mark may alternatively be affixed to the external surface of the vehicles, wagons or containers). NOTE: "Equipment from private households" means equipment which comes from private households and equipment which comes from commercial, industrial, institutional and other sources which, because of its nature and quantity, is similar to that from private households. Equipment likely to be used by both private households and users other than private households shall in any event be considered to be equipment from private households.

Cells and batteries which, in accordance with special provision 376, are identified as damaged or defective and liable to rapidly disassemble, dangerously react, produce a flame or a dangerous evolution of heat or a dangerous emission of toxic, corrosive or flammable gases or vapours under normal conditions of carriage, shall be assigned to transport category 0. In the transport document, the words "Carriage in accordance with special provision 376" shall be supplemented by the words "Transport category 0".

Cells and batteries offered for transport are not subject to other provisions of this Code if they meet the following: .1 For a lithium metal or lithium alloy cell, the lithium content is not more than 1g, and for a lithium-ion or sodium-ion cell, the watt-hour rating is not more than 20 Wh; .2 For a lithium metal or lithium alloy battery, the aggregate lithium content is not more than 2 g, and for a lithium-ion or sodium-ion battery, the watt-hour rating is not more than 100 Wh. Lithium-ion and sodium-ion batteries subject to this provision shall be marked with the watt-hour rating on the outside case, except lithium-ion batteries manufactured before 1 January 2009; .3 Each lithium cell or battery meets the provisions of 2.9.4.1, 2.9.4.5, 2.9.4.6 if applicable 2.9.4.7 or for sodium-ion cells or batteries, the provisions of 2.9.5.1, 2.9.5.5 and 2.9.5.6 shall apply; .4 Cells and batteries, except when installed in equipment, shall be packed in inner packagings that completely enclose the cell or battery. Cells and batteries shall be protected so as to prevent short circuits. This includes protection against contact with electrically conductive material within the same packaging that could lead to a short circuit. The inner packagings shall be packed in strong outer packagings which conform to the provisions of 4.1.1.1, 4.1.1.2, and 4.1.1.5; .5 Cells and batteries when installed in equipment shall be protected from damage and short circuit, and the equipment shall be equipped with an effective means of preventing accidental activation. This requirement does not apply to devices which are intentionally active in transport (radio frequency identification (RFID) transmitters, watches, sensors, etc.) and which are not capable of generating a dangerous evolution of heat. When batteries are installed in equipment, the equipment shall be packed in strong outer packagings constructed of suitable material of adequate strength and design in relation to the packagings capacity and its intended use unless the battery is afforded equivalent protection by the equipment in which it is contained. .6 Each package shall be marked with the appropriate lithium or sodium ion battery mark, as illustrated in 5.2.1.10; Note: Packages containing lithium batteries packed in conformity with the provisions of part 4, chapter 11, packing instructions 965 or 968, Section IB of the ICAO Technical Instructions for the Safe Transport of Dangerous Goods by Air that bear the mark as shown in 5.2.1.10 (lithium battery mark) and the label shown in 5.2.2.2.2, Model No. 9A shall be deemed to meet the provisions of this special provision. This requirement does not apply to: . 1 packages containing only button cell batteries installed in equipment (including circuit boards); and . 2 packages containing no more than four cells or two batteries installed in equipment, where there are not more than two packages in the consignment. When packages are placed in an overpack, the lithium or sodium ion battery mark shall either be clearly visible or be reproduced on the outside of the overpack and the overpack shall be marked with the word "OVERPACK". The lettering of the "OVERPACK" mark shall be at least 12 mm high; .7 Except when cells or batteries are installed in equipment, each package shall be capable of withstanding a 1.2 m drop test in any orientation without damage to cells or batteries contained therein, without shifting of the contents so as to allow battery to battery (or cell to cell) contact and without release of contents; and .8 Except when cells or batteries are installed in or packed with equipment, packages shall not exceed 30 kg gross mass. As used in this special provision "equipment" means apparatus for which the cells or batteries will provide electrical power for its operation. As used above and elsewhere in this Code, "lithium content" means the mass of lithium in the anode of a lithium metal or lithium alloy cell. Separate entries exist for lithium metal batteries and lithium ion batteries to facilitate the transport of these batteries for specific modes of transport and to enable the application of different emergency response actions. A single cell battery as defined in part III, subsection 38.3.2.3 of the Manual of Tests and Criteria is considered a "cell" and shall be transported according to the requirements for "cells" for the purpose of this special provision.

Lithium cells and batteries may be transported under this entry if they meet the provisions of 2.9.4. Sodium-ion cells and batteries may be transported under this entry if they meet the provisions of 2.9.5.

Cells or batteries from production runs of not more than 100 cells or batteries, or pre-production prototypes of cells or batteries when these prototypes are transported for testing, shall meet the provisions of 2.9.4 with the exception of 2.9.4.1, 2.9.4.5.7, 2.9.4.6.3 if applicable, 2.9.4.6.4 if applicable and 2.9.4.7. Note: "Transported for testing" includes, but is not limited to, testing described in the Manual of Tests and Criteria, part III, subsection 38.3, integration testing and product performance testing. These cells and batteries shall be packaged in accordance with packing instruction P910 of 4.1.4.1 or LP905 of 4.1.4.3, as applicable. Articles (UN Nos. 3537, 3538, 3540, 3541, 3546, 3547 or 3548) may contain such cells or batteries provided that the applicable parts of packing instruction P006 of 4.1.4.1 or LP03 of 4.1.4.3, as applicable, are met. The transport document shall include the following statement: "Transport in accordance with special provision 310". Damaged or defective cells, batteries, or cells and batteries contained in equipment shall be transported in accordance with special provision 376. Cells, batteries or cells and batteries contained in equipment transported for disposal or recycling may be packaged in accordance with special provision 377 and packing instruction P909 of 4.1.4.1.

Vehicles only powered by lithium metal, lithium ion or sodium ion batteries shall be assigned to the entries UN 3556 VEHICLE, LITHIUM ION BATTERY POWERED or UN 3557 VEHICLE, LITHIUM METAL BATTERY POWERED or UN 3558 VEHICLE, SODIUM ION BATTERY POWERED, as applicable. Lithium batteries installed in cargo transport units, designed only to provide power external to the transport unit shall be assigned to entry UN 3536 LITHIUM BATTERIES INSTALLED IN CARGO TRANSPORT UNIT.

Lithium metal, lithium ion or sodium ion cells or batteries identified as being damaged or defective such that they do not conform to the type tested according to the applicable provisions of the Manual of Tests and Criteria shall comply with the requirements of this special provision. For the purposes of this special provision, these may include, but are not limited to: - Cells or batteries identified as being defective for safety reasons; - Cells or batteries that have leaked or vented; - Cells or batteries that cannot be diagnosed prior to transport; or - Cells or batteries that have sustained physical or mechanical damage. Note: In assessing a cell or battery as damaged or defective, an assessment or evaluation shall be performed based on safety criteria from the cell, battery or product manufacturer or by a technical expert with knowledge of the cell's or battery's safety features. An assessment or evaluation may include, but is not limited to, the following criteria: .1 acute hazard, such as gas, fire or electrolyte leaking; .2 the use or misuse of the cell or battery; .3 signs of physical damage, such as deformation to cell or battery casing, or colours on the casing; .4 external and internal short circuit protection, such as voltage or isolation measures; .5 the condition of the cell or battery safety features; or .6 damage to any internal safety components, such as the battery management system. Cells and batteries shall be transported according to the provisions applicable to UN 3090, UN 3091, UN 3480, UN 3481, UN 3551 and UN 3552, as appropriate, except special provision 230 and as otherwise stated in this special provision. Cells and batteries shall be packed in accordance with packing instructions P908 of 4.1.4.1 or LP904 of 4.1.4.3, as applicable. Cells and batteries identified as damaged or defective and liable to rapidly disassemble, dangerously react, produce a flame or a dangerous evolution of heat or a dangerous emission of toxic, corrosive or flammable gases or vapours under normal conditions of transport shall be packed and transported in accordance with packing instruction P911 of 4.1.4.1 or LP906 of 4.1.4.3, as applicable. Alternative packing and/or transport conditions may be authorized by the competent authority. Packages shall be marked "DAMAGED/DEFECTIVE" in addition to the proper shipping name, as stated in 5.2.1. The transport document shall include the following statement "Transport in accordance with special provision 376". If applicable, a copy of the competent authority approval shall accompany the transport.

Lithium metal, lithium ion and sodium ion cells and batteries and equipment containing such cells and batteries transported for disposal or recycling, either packed together with or packed without non-lithium batteries, may be packaged in accordance with packing instruction P909 of 4.1.4.1. These cells and batteries are not subject to the requirements of section 2.9.4 or 2.9.5. Packages shall be marked "LITHIUM BATTERIES FOR DISPOSAL", "SODIUM ION BATTERIES FOR DISPOSAL", "LITHIUM BATTERIES FOR RECYCLING", or "SODIUM ION BATTERIES FOR RECYCLING", as appropriate. Identified damaged or defective batteries shall be transported in accordance with special provision 376. The transport document shall include the following statement: "Transport in accordance with special provision 377".

The label to be used is Model No 9A, see 5.2.2.2.2. However, for placarding of cargo transport units, the placard shall correspond to Model No. 9.

Lithium batteries in conformity with 2.9.4.6 containing both primary lithium metal cells and rechargeable lithium ion cells shall be assigned to UN 3090 or 3091 as appropriate. When such batteries are transported in accordance with special provision 188, the total lithium content of all lithium metal cells contained in the battery shall not exceed 1.5 g and the total capacity of all lithium ion cells contained in the battery shall not exceed 10 Wh.

When a package contains a combination of lithium batteries contained in equipment and lithium batteries packed with equipment, the following requirements apply for the purposes of package marking and documentation: .1 the package shall be marked "UN 3091 Lithium metal batteries packed with equipment", or "UN 3481 Lithium ion batteries packed with equipment", as appropriate. If a package contains both lithium ion batteries and lithium metal batteries packed with and contained in equipment, the package shall be marked as required for both battery types. However, button cell batteries installed in equipment (including circuit boards) need not be considered. .2 the transport document shall indicate "UN 3091 Lithium metal batteries packed with equipment" or "UN 3481 Lithium ion batteries packed with equipment", as appropriate. If a package contains both lithium metal batteries and lithium ion batteries packed with and contained in equipment, then the transport document shall indicate both "UN 3091 Lithium metal batteries packed with equipment" and "UN 3481 Lithium ion batteries packed with equipment".

Cells and batteries offered for transport are not subject to other provisions of this Code if they meet the following: .1 For a lithium metal or lithium alloy cell, the lithium content is not more than 1g, and for a lithium-ion or sodium-ion cell, the watt-hour rating is not more than 20 Wh; .2 For a lithium metal or lithium alloy battery, the aggregate lithium content is not more than 2 g, and for a lithium-ion or sodium-ion battery, the watt-hour rating is not more than 100 Wh. Lithium-ion and sodium-ion batteries subject to this provision shall be marked with the watt-hour rating on the outside case, except lithium-ion batteries manufactured before 1 January 2009; .3 Each lithium cell or battery meets the provisions of 2.9.4.1, 2.9.4.5, 2.9.4.6 if applicable 2.9.4.7 or for sodium-ion cells or batteries, the provisions of 2.9.5.1, 2.9.5.5 and 2.9.5.6 shall apply; .4 Cells and batteries, except when installed in equipment, shall be packed in inner packagings that completely enclose the cell or battery. Cells and batteries shall be protected so as to prevent short circuits. This includes protection against contact with electrically conductive material within the same packaging that could lead to a short circuit. The inner packagings shall be packed in strong outer packagings which conform to the provisions of 4.1.1.1, 4.1.1.2, and 4.1.1.5; .5 Cells and batteries when installed in equipment shall be protected from damage and short circuit, and the equipment shall be equipped with an effective means of preventing accidental activation. This requirement does not apply to devices which are intentionally active in transport (radio frequency identification (RFID) transmitters, watches, sensors, etc.) and which are not capable of generating a dangerous evolution of heat. When batteries are installed in equipment, the equipment shall be packed in strong outer packagings constructed of suitable material of adequate strength and design in relation to the packagings capacity and its intended use unless the battery is afforded equivalent protection by the equipment in which it is contained. .6 Each package shall be marked with the appropriate lithium or sodium ion battery mark, as illustrated in 5.2.1.10; Note: Packages containing lithium batteries packed in conformity with the provisions of part 4, chapter 11, packing instructions 965 or 968, Section IB of the ICAO Technical Instructions for the Safe Transport of Dangerous Goods by Air that bear the mark as shown in 5.2.1.10 (lithium battery mark) and the label shown in 5.2.2.2.2, Model No. 9A shall be deemed to meet the provisions of this special provision. This requirement does not apply to: . 1 packages containing only button cell batteries installed in equipment (including circuit boards); and . 2 packages containing no more than four cells or two batteries installed in equipment, where there are not more than two packages in the consignment. When packages are placed in an overpack, the lithium or sodium ion battery mark shall either be clearly visible or be reproduced on the outside of the overpack and the overpack shall be marked with the word "OVERPACK". The lettering of the "OVERPACK" mark shall be at least 12 mm high; .7 Except when cells or batteries are installed in equipment, each package shall be capable of withstanding a 1.2 m drop test in any orientation without damage to cells or batteries contained therein, without shifting of the contents so as to allow battery to battery (or cell to cell) contact and without release of contents; and .8 Except when cells or batteries are installed in or packed with equipment, packages shall not exceed 30 kg gross mass. As used in this special provision "equipment" means apparatus for which the cells or batteries will provide electrical power for its operation. As used above and elsewhere in this Code, "lithium content" means the mass of lithium in the anode of a lithium metal or lithium alloy cell. Separate entries exist for lithium metal batteries and lithium ion batteries to facilitate the transport of these batteries for specific modes of transport and to enable the application of different emergency response actions. A single cell battery as defined in part III, subsection 38.3.2.3 of the Manual of Tests and Criteria is considered a "cell" and shall be transported according to the requirements for "cells" for the purpose of this special provision.

Lithium cells and batteries may be transported under this entry if they meet the provisions of 2.9.4. Sodium-ion cells and batteries may be transported under this entry if they meet the provisions of 2.9.5.

Cells or batteries from production runs of not more than 100 cells or batteries, or pre-production prototypes of cells or batteries when these prototypes are transported for testing, shall meet the provisions of 2.9.4 with the exception of 2.9.4.1, 2.9.4.5.7, 2.9.4.6.3 if applicable, 2.9.4.6.4 if applicable and 2.9.4.7. Note: "Transported for testing" includes, but is not limited to, testing described in the Manual of Tests and Criteria, part III, subsection 38.3, integration testing and product performance testing. These cells and batteries shall be packaged in accordance with packing instruction P910 of 4.1.4.1 or LP905 of 4.1.4.3, as applicable. Articles (UN Nos. 3537, 3538, 3540, 3541, 3546, 3547 or 3548) may contain such cells or batteries provided that the applicable parts of packing instruction P006 of 4.1.4.1 or LP03 of 4.1.4.3, as applicable, are met. The transport document shall include the following statement: "Transport in accordance with special provision 310". Damaged or defective cells, batteries, or cells and batteries contained in equipment shall be transported in accordance with special provision 376. Cells, batteries or cells and batteries contained in equipment transported for disposal or recycling may be packaged in accordance with special provision 377 and packing instruction P909 of 4.1.4.1.

Vehicles only powered by lithium metal, lithium ion or sodium ion batteries shall be assigned to the entries UN 3556 VEHICLE, LITHIUM ION BATTERY POWERED or UN 3557 VEHICLE, LITHIUM METAL BATTERY POWERED or UN 3558 VEHICLE, SODIUM ION BATTERY POWERED, as applicable. Lithium batteries installed in cargo transport units, designed only to provide power external to the transport unit shall be assigned to entry UN 3536 LITHIUM BATTERIES INSTALLED IN CARGO TRANSPORT UNIT.

Lithium metal, lithium ion or sodium ion cells or batteries identified as being damaged or defective such that they do not conform to the type tested according to the applicable provisions of the Manual of Tests and Criteria shall comply with the requirements of this special provision. For the purposes of this special provision, these may include, but are not limited to: - Cells or batteries identified as being defective for safety reasons; - Cells or batteries that have leaked or vented; - Cells or batteries that cannot be diagnosed prior to transport; or - Cells or batteries that have sustained physical or mechanical damage. Note: In assessing a cell or battery as damaged or defective, an assessment or evaluation shall be performed based on safety criteria from the cell, battery or product manufacturer or by a technical expert with knowledge of the cell's or battery's safety features. An assessment or evaluation may include, but is not limited to, the following criteria: .1 acute hazard, such as gas, fire or electrolyte leaking; .2 the use or misuse of the cell or battery; .3 signs of physical damage, such as deformation to cell or battery casing, or colours on the casing; .4 external and internal short circuit protection, such as voltage or isolation measures; .5 the condition of the cell or battery safety features; or .6 damage to any internal safety components, such as the battery management system. Cells and batteries shall be transported according to the provisions applicable to UN 3090, UN 3091, UN 3480, UN 3481, UN 3551 and UN 3552, as appropriate, except special provision 230 and as otherwise stated in this special provision. Cells and batteries shall be packed in accordance with packing instructions P908 of 4.1.4.1 or LP904 of 4.1.4.3, as applicable. Cells and batteries identified as damaged or defective and liable to rapidly disassemble, dangerously react, produce a flame or a dangerous evolution of heat or a dangerous emission of toxic, corrosive or flammable gases or vapours under normal conditions of transport shall be packed and transported in accordance with packing instruction P911 of 4.1.4.1 or LP906 of 4.1.4.3, as applicable. Alternative packing and/or transport conditions may be authorized by the competent authority. Packages shall be marked "DAMAGED/DEFECTIVE" in addition to the proper shipping name, as stated in 5.2.1. The transport document shall include the following statement "Transport in accordance with special provision 376". If applicable, a copy of the competent authority approval shall accompany the transport.

Lithium metal, lithium ion and sodium ion cells and batteries and equipment containing such cells and batteries transported for disposal or recycling, either packed together with or packed without non-lithium batteries, may be packaged in accordance with packing instruction P909 of 4.1.4.1. These cells and batteries are not subject to the requirements of section 2.9.4 or 2.9.5. Packages shall be marked "LITHIUM BATTERIES FOR DISPOSAL", "SODIUM ION BATTERIES FOR DISPOSAL", "LITHIUM BATTERIES FOR RECYCLING", or "SODIUM ION BATTERIES FOR RECYCLING", as appropriate. Identified damaged or defective batteries shall be transported in accordance with special provision 376. The transport document shall include the following statement: "Transport in accordance with special provision 377".

The label to be used is Model No 9A, see 5.2.2.2.2. However, for placarding of cargo transport units, the placard shall correspond to Model No. 9.

Lithium batteries in conformity with 2.9.4.6 containing both primary lithium metal cells and rechargeable lithium ion cells shall be assigned to UN 3090 or 3091 as appropriate. When such batteries are transported in accordance with special provision 188, the total lithium content of all lithium metal cells contained in the battery shall not exceed 1.5 g and the total capacity of all lithium ion cells contained in the battery shall not exceed 10 Wh.

When a package contains a combination of lithium batteries contained in equipment and lithium batteries packed with equipment, the following requirements apply for the purposes of package marking and documentation: .1 the package shall be marked "UN 3091 Lithium metal batteries packed with equipment", or "UN 3481 Lithium ion batteries packed with equipment", as appropriate. If a package contains both lithium ion batteries and lithium metal batteries packed with and contained in equipment, the package shall be marked as required for both battery types. However, button cell batteries installed in equipment (including circuit boards) need not be considered. .2 the transport document shall indicate "UN 3091 Lithium metal batteries packed with equipment" or "UN 3481 Lithium ion batteries packed with equipment", as appropriate. If a package contains both lithium metal batteries and lithium ion batteries packed with and contained in equipment, then the transport document shall indicate both "UN 3091 Lithium metal batteries packed with equipment" and "UN 3481 Lithium ion batteries packed with equipment".

Packaging tests are not considered necessary.

Pre-production prototypes of lithium cells or batteries or sodium ion cells or batteries, when these prototypes are transported for testing, or low production runs (i.e. annual production runs consisting of not more than 100 lithiumcells or batteries or sodium ion cells or batteries) of lithium cells or batteries or sodium ion cells or batteries that have not been tested to the requirements in Part III, subsection 38.3 of the UN Manual of Tests and Criteria may be transported aboard cargo aircraft if approved by the appropriate authority of the State of Origin and the State of the Operator and the requirements in Packing Instruction 910 of the Supplement are met. A copy of the document of approval must accompany the consignment. Transport in accordance with this special provision must be noted on the dangerous goods transport document. Irrespective of the limit specified in column 13 of Table 3-1, the cell or battery as prepared for transport may have a mass exceeding 35 kg.

Irrespective of the quantity limits for cargo aircraft specified in column 13 of Table 3-1, and in Section I of Packing Instructions 965, 966, 967, 968, 969970, 976, 977 and 978, a lithium cell or battery or sodium ion cell or battery (i.e. UN 3090, UN 3480 or UN 3551), including when packed with equipment or contained in equipment (i.e. UN 3091, UN 3481 or UN 3552) that meets the other requirements of Section I of the applicable packing instruction, may have a mass exceeding 35 kg, if approved by the appropriate authority of the State of Origin and the State of the Operator. A copy of the document of approval must accompany the consignment. Transport in accordance with this special provision must be noted on the dangerous goods transport document.

Lithium ion cells or batteries, lithium metal cells or batteries and sodium ion cells or batteries, identified as being defective for safety reasons, that have the potential of producing a dangerous evolution of heat, fire or short circuit are forbidden for transport (e.g. those being returned to the manufacturer for safety reasons or cells or batteries that cannot be diagnosed as defective prior to transport). Lithium ion cells or batteries, lithium metal cells or batteries and sodium ion cells or batteries identified as being damaged such that they do not conform to the type tested according to the applicable provisions of the UN Manual of Tests and Criteria are forbidden for transport. For the purposes of this special provision, these may include, but are not limited to: a) cells or batteries that have leaked or vented; b) cells or batteries that cannot be diagnosed prior to transport; or c) cells or batteries that have sustained physical or mechanical damage. In assessing a cell or battery as damaged or defective, an assessment or evaluation must be performed based on safety criteria from the cell, battery or product manufacturer or by a technical expert with knowledge of the cell's or battery's safety features. An assessment or evaluation may include, but is not limited to, the following criteria: a) acute hazard, such as gas, fire, or electrolyte leaking; b) the use or misuse of the cell or battery; c) signs of physical damage, such as deformation to cell or battery casing, or colours on the casing; d) external and internal short circuit protection, such as voltage or isolation measures; e) the condition of the cell or battery safety features; or f) damage to any internal safety components, such as the battery management system.

When a package contains a combination of lithium batteries contained in equipment and lithium batteries packed with equipment, the following requirements apply: a) the shipper must ensure that all applicable parts of both packing instructions are met. The total mass of lithium batteries contained in any package must not exceed the limits for passenger aircraft or cargo aircraft, as applicable; b) the package must be marked UN 3091 Lithium metal batteries packed with equipment, or UN 3481 Lithium ion batteries packed with equipment, as appropriate. If a package contains both lithium metal batteries and lithium ion batteries packed with and contained in equipment, the package must be marked as required for both battery types. However, button cell batteries installed in equipment (including circuit boards) need not be considered; c) the dangerous goods transport document must indicate UN 3091 Lithium metal batteries packed with equipment or UN 3481 Lithium ion batteries packed with equipment, as appropriate. If a package contains both lithium metal batteries and lithium ion batteries packed with and contained in equipment, then the dangerous goods transport document must indicate both UN 3091 Lithium metal batteries packed with equipment and UN 3481 Lithium ion batteries packed with equipment.

Vehicles only powered by lithium metal, lithium ion or sodium ion batteries must be assigned to UN 3556 Vehicle, lithium ion battery powered or UN 3557 Vehicle, lithium metal battery powered or UN 3558 Vehicle, sodium ion battery powered, as applicable.. Lithium batteries installed in cargo transport units, designed only to provide power external to the transport unit must be assigned to entry UN 3536 Lithium batteries installed in cargo transport unit.

Lithium batteries in conformity with 2;9.3 f) containing both primary lithium metal cells and rechargeable lithium ion cells must be assigned to UN Nos. 3090 or 3091 as appropriate. When such batteries are transported in accordance with Section IB of Packing Instruction 968, or in accordance with Section II of Packing Instruction 969 or 970, the total lithium content of all lithium metal cells contained in the battery must not exceed 1.5 g, and the total capacity of all lithium ion cells contained in the battery must not exceed 10 Wh.

Packages containing COVID-19 pharmaceuticals accompanied by data loggers and/or cargo tracking devices containing lithium batteries are not subject to the marking and documentation requirements of Section II of Packing Instruction 967 or 970, as applicable. This same package configuration, when consigned without the COVID-19 pharmaceutical for the purpose of use or reuse, is also not subject to the marking and documentation requirements of Section II of Packing Instruction 967 or 970, as applicable, provided prior arrangements have been made with the operator.

Pre-production prototypes of lithium cells or batteries or sodium ion cells or batteries, when these prototypes are transported for testing, or low production runs (i.e. annual production runs consisting of not more than 100 lithiumcells or batteries or sodium ion cells or batteries) of lithium cells or batteries or sodium ion cells or batteries that have not been tested to the requirements in Part III, subsection 38.3 of the UN Manual of Tests and Criteria may be transported aboard cargo aircraft if approved by the appropriate authority of the State of Origin and the State of the Operator and the requirements in Packing Instruction 910 of the Supplement are met. A copy of the document of approval must accompany the consignment. Transport in accordance with this special provision must be noted on the dangerous goods transport document. Irrespective of the limit specified in column 13 of Table 3-1, the cell or battery as prepared for transport may have a mass exceeding 35 kg.

Irrespective of the quantity limits for cargo aircraft specified in column 13 of Table 3-1, and in Section I of Packing Instructions 965, 966, 967, 968, 969970, 976, 977 and 978, a lithium cell or battery or sodium ion cell or battery (i.e. UN 3090, UN 3480 or UN 3551), including when packed with equipment or contained in equipment (i.e. UN 3091, UN 3481 or UN 3552) that meets the other requirements of Section I of the applicable packing instruction, may have a mass exceeding 35 kg, if approved by the appropriate authority of the State of Origin and the State of the Operator. A copy of the document of approval must accompany the consignment. Transport in accordance with this special provision must be noted on the dangerous goods transport document.

Lithium ion cells or batteries, lithium metal cells or batteries and sodium ion cells or batteries, identified as being defective for safety reasons, that have the potential of producing a dangerous evolution of heat, fire or short circuit are forbidden for transport (e.g. those being returned to the manufacturer for safety reasons or cells or batteries that cannot be diagnosed as defective prior to transport). Lithium ion cells or batteries, lithium metal cells or batteries and sodium ion cells or batteries identified as being damaged such that they do not conform to the type tested according to the applicable provisions of the UN Manual of Tests and Criteria are forbidden for transport. For the purposes of this special provision, these may include, but are not limited to: a) cells or batteries that have leaked or vented; b) cells or batteries that cannot be diagnosed prior to transport; or c) cells or batteries that have sustained physical or mechanical damage. In assessing a cell or battery as damaged or defective, an assessment or evaluation must be performed based on safety criteria from the cell, battery or product manufacturer or by a technical expert with knowledge of the cell's or battery's safety features. An assessment or evaluation may include, but is not limited to, the following criteria: a) acute hazard, such as gas, fire, or electrolyte leaking; b) the use or misuse of the cell or battery; c) signs of physical damage, such as deformation to cell or battery casing, or colours on the casing; d) external and internal short circuit protection, such as voltage or isolation measures; e) the condition of the cell or battery safety features; or f) damage to any internal safety components, such as the battery management system.

Waste cells and batteries and cells or batteries being shipped for recycling or disposal are forbidden from air transport unless approved by the appropriate national authority of the State of Origin and the State of the Operator.

In instances where other forms of transport (including cargo aircraft) is impracticable, lithium cells or batteries may be transported as Class 9 (UN 3480 or UN 3090) on passenger aircraft with the prior approval of the authority of the State of Origin, the State of the Operator and the State of Destination under the written conditions established by those authorities, provided that the following types and quantities are met: a) quantities of lithium metal cells or batteries (UN 3090) are limited to the allowance permitted in Table 968-II of Packing Instruction 968; and b) quantities of lithium ion cells or batteries (UN 3480) are limited to the allowance permitted in Table 965-II of Packing Instruction 965. When States, other than the State of Origin, the State of the Operator or State of Destination have notified ICAO that they require prior approval of shipments made under this special provision, approval must also be obtained from these States, as appropriate. The requirements of Part 5 for Class 9 (UN 3090 or UN 3480) lithium metal and lithium ion batteries apply. A copy of the document of approval including the quantity limitations must accompany the consignment. Transport in accordance with this special provision must be noted on the dangerous goods transport document. If transport in accordance with this special provision is not possible, States concerned may grant an exemption from the prohibition to transport lithium metal or lithium ion batteries on passenger aircraft in accordance with Part 1;1.1.3. Authorities issuing exemptions or approvlas in accordance with this special provision must provide a copy to the Chief of the Cargo Safety Section within three months via email at CSS@icao.int, via facsimile at +1 514-954-6077 or via post to the following address: Chief, Cargo Safety Section International Civil Aviation Organization 999 Robert-Bourassa Boulevard Montréal, Quebec CANADA H3C 5H7 Note.- Guidance for the processing of exemptions or approvals from the prohibition to transport lithium batteries may be found in Part S-1;4 and Table S-3-1, Special Provision A334 of the Supplement to the Technical Instructions.

Lithium batteries in conformity with 2;9.3 f) containing both primary lithium metal cells and rechargeable lithium ion cells must be assigned to UN Nos. 3090 or 3091 as appropriate. When such batteries are transported in accordance with Section IB of Packing Instruction 968, or in accordance with Section II of Packing Instruction 969 or 970, the total lithium content of all lithium metal cells contained in the battery must not exceed 1.5 g, and the total capacity of all lithium ion cells contained in the battery must not exceed 10 Wh.