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NTSB · Safety Recommendation

Safety Recommendation A-20-031

Recommendation

TO THE PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION: Propose to the International Civil Aviation Organization to remove its special provision A88 from its Technical Instructions for the Safe Transport of Dangerous Goods by Air allowing special permits for low-production or prototype lithium-ion cells or batteries shipped by airplane and eliminate any exceptions to the testing of United Nations Manual of Tests and Criteria, Part III, Sub-section 38.3 requirements for all lithium-ion batteries before transport by air.

Safety Issue and Context

On June 3, 2016, about 4:05 p.m. local time, a FedEx W900 local delivery truck and all its cargo were destroyed by a fire while delivering packages to a business in Brampton, Ontario, Canada; no injuries were reported. The fire began among a shipment of four, large-format lithium ion batteries, each of which were individually packaged in a fiberboard box. No other dangerous goods were on board. The shipment of the four lithium-ion batteries originated from Braille Battery, Inc. (Braille), a battery manufacturer located in Sarasota, Florida, and were destined for Toronto, Canada.

The batteries were initially transported by FedEx on two separate United States registered cargo aircraft before being loaded on the delivery truck. The fire occurred about 10 hours after the batteries were offloaded from an airplane in Toronto, Canada. Estimated damages were over $71,000. The Federal Aviation Administration (FAA) notified the National Transportation Safety Board (NTSB) of the accident over concerns that the accident could also occur during air transport.

Response History

April 19, 2021 · NTSB Correspondence · PHMSA

You indicated that the actions we recommended would not be an effective solution because the general program procedure for special permit applications contained in 49 CFR Part 107, subpart B would still allow offerors to transport prototype or low-production-run lithium batteries by air. In addition, you stated that safety would have been maintained had the batteries that were involved in this accident been packaged in accordance with the Department of Transportation’s Hazardous Materials Regulations (HMRs), and if the offeror had obtained and complied with the conditions of the approval, as required by 49 CFR 173.185(e)(7).

You also stated that, because specialized lithium batteries are not manufactured in sufficient quantities to provide enough samples for the entire testing scheme required by the UN Manual of Tests and Criteria, the existing approval and special permit processes provide an equivalent level of safety to the regulations while facilitating innovation and providing a safe alternative means of transportation.

We understand that these recommendations would not eliminate the procedure for special permit applications contained in 49 CFR Part 107, subpart B; however, it is our understanding that, by eliminating paragraph 7 of Part 173.185(e), offerors of prototype and low-production-run lithium batteries would no longer be able to obtain a special permit through Part 107 and would, therefore, be subject to UN 38.3 testing. We point out that the fire in this accident was caused by an electrical short circuit between the battery terminal bolt and the upper cells of the lithium-ion battery module, which resulted in a thermal runaway within the battery and ignited the battery and its packaging.

Although packaging the batteries with noncombustible cushioning, in accordance with the HMRs, would have reduced the severity and slowed the spread of the fire, it would not have prevented it. We also point out that 49 CFR 173.185(e) of the HMRs lacks detailed information for offerors regarding acceptable outer packaging, noncombustible cushioning, and other mitigations that would minimize the risks posed by low-production and prototype batteries moving during transport.

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Recommendation Facts

Status
Open - Unacceptable Response
Issued
June 8, 2020
Priority
CLASS II
Recipient
PHMSA
Adopted
May 28, 2020
Related Investigation
DCA16SH001
Related Report
HZB2001 HZMSR2002

In our investigation into the lithium-ion battery fire in Brampton, Ontario, we determined that prototype batteries pose significant flammability hazards and should be tested in accordance with UN 38.3 to identify any design flaws that could lead to a thermal runaway. We do not believe the design flaws that were found inside the Braille battery that started the fire in this accident would have been identified during a fitness review or on-site investigation. However, had UN 38.3 testing been required for these batteries, they would have been subject to shock tests that would likely have created the conditions that caused the battery to fail in this accident.

We do not believe your plan to review approvals, special permits, and grantees’ processes for achieving compliance are an acceptable alternative solution to this issue. We also do not believe amending special provision A88 would improve safety, as there is no evidence to show how approvals from the operator’s state or state of origin (which is sometimes the same regulatory authority) would increase the safety of shipping prototype batteries. We remain concerned that PHMSA’s special permit process is less rigorous than the tests required by UN 38.3 and increases the risk of a lithium battery incident on an aircraft.

We believe all shipments of lithium batteries—including low-production and prototype batteries whose thermal hazards have yet to be identified—should be required to undergo UN 38.3 testing or should be subject to safety measures that ensure an equivalent level of safety and mitigate the potential of thermal runaway events. We will be reaching out to your staff to schedule a meeting to further discuss these recommendations. In the meantime, pending our review of a plan that would address these concerns, Safety Recommendations A-20-31 and -32 are classified OPEN-- UNACCEPTABLE RESPONSE.

August 28, 2020 · Recipient Response · PHMSA

-From Howard R. Elliott, Administrator: PHMSA concurs with the safety concern of transporting prototype or low-production run lithium batteries by air that the NTSB is intending to address with the SRs; however, we do not believe implementation of the SRs as written is the most appropriate action because the incident was an outcome of non-compliance with regulations. PHMSA's approval and special permit processes provide for an equivalent level of safety to the regulations.

Additionally, the removal of special provision A88 from the International Civil Aviation Organization Technical Instructions for the Safe Transport of Dangerous Goods by Air (ICAO Tl) and, subsequently, the removal of§ 173 .185( e )(7) from the Hazardous Materials Regulations (HMR; 49 CFR Parts 171-180) will be ineffective. This is because offerors could still use the general program procedure for special permit applications that remains in 49 CFR Part 107, Subpart B to obtain permission to transport prototype or low-production run lithium batteries by air.

The packages involved in the incident were not compliant with the established regulations. Specifically, the packages involved in the incident were not prepared in accordance with the requirements applicable to prototype or low production run lithium batteries outlined in § 173.185(e) of the HMR or Packing Instruction 910 of the supplement to the ICAO TI.

Prototype and low production run lithium batteries must be packed using cushioning material that is non-combustible and electrically non-conductive and then placed inside performance oriented outer packaging rated to the most stringent performance level in the HMR. Additional measures must be taken to minimize the effects of vibration and shocks and to prevent damage and a dangerous condition during transport.

As NTSB notes in its accident report, 1 the interior packaging was composed of a combustible material. NTSB further notes that the combustible packaging facilitated the spread of the fire from the fiberboard box and involved other boxes in the shipment. PHMSA believes that had the batteries been packaged in accordance with the HMR and had the manufacturer applied for approval, as required by § 173 .185( e )(7) to transport by cargo aircraft, PHMSA and the Federal Aviation Administration (FAA) would have been engaged in the process to provide assurances for safe transport by air.

While NTSB correctly notes that DOT-SP 20323-a common special permit used by companies to ship prototype and low production run lithium batteries by cargo air-would have required only a short circuit test, PHMSA contends that the incident would likely have been prevented or mitigated had the offeror applied to be a party to this special permit or obtained a separate approval and followed the applicable requirements therein. Application for approval or special permit would have allowed PHMSA and FAA to review the battery specifications and safety and operational controls for shipment offered by the applicant.

DOT-SP 20323 safety controls, for instance, explicitly require non-combustible materials for packaging of lithium batteries consistent with the HMR. Ultimately, had the offeror complied with the HMR and obtained and complied with the conditions of the required approval, safety would have been maintained.

With respect to the detailed provisions of DOT-SP 20323, PHMSA maintains that it achieves a safety equivalency to the HMR by providing a safe and controlled method of cargo-only aircraft transportation for prototype and low production run lithium batteries. Certain innovative or specialized lithium batteries are not manufactured in sufficient quantities to provide enough samples for the entire testing scheme required by the United Nations (UN) Manual of Tests and Criteria, Part III, Sub-section 38.3.

These batteries need a safe alternative means of transportation that does not stifle their technological innovation by requiring the destruction of multiple prototypes during the early stages of the battery's product development process. PHMSA's special permit and approval process ensures safety while facilitating innovation. Compliance with DOT-SP 20323 provides enhanced safety by:

• Limiting the potential for thermal runaway events by offering the batteries for transportation at no more than 30 percent state of charge (SOC);

• Limiting the aggregate Watt-hour and lithium content of each package;

• Requiring the batteries to pass stringent short-circuit testing that would identify potential flaws, as such short circuit testing is performed at elevated temperature for batteries or cells that have not undergone the entire UN testing scheme;

• Requiring UN standard packaging PG I rated metal outer packaging for batteries less than 12 kg;

• Requiring non-combustible, non-conductive cushioning in the packages to mitigate shock and vibration; and

• Limiting the net weight of cells and batteries in a single package to 35 kg or less and, for batteries greater than 30 kg, allowing only one cell or battery per outer packaging.

DOT-SP 20323 was originally issued in January 2017; however, it was developed taking into account experience with numerous competent authority approvals issued by PHMSA over a seven-year period. PHMSA drew upon the safe history and experience with these approvals in developing and issuing this special permit. As of July 2020, there are 40 grantees of this special permit, and 136 shipments have been made under the terms of the permit without reported incident.

For companies to utilize DOT-SP 20323, they must submit to PHMSA an application to be a party to the permit in accordance with 49 CFR 107 .107. Applications undergo a fitness review that includes a review of any history of non-compliance issues. Any deficiencies noted will trigger a safety profile review by the PHMSA Field Operations Division, who may initiate an on-site investigation. Upon successful review by PHMSA, the application is forwarded to FAA for a safety profile review. The FAA conducts either an in-person inspection of the applicant's shipping location or a desk audit, including a review of employee training and incident history.

The initial special permit is valid for two years, and the company must apply for renewal in accordance with 49 CFR 107 .109 to continue use of the permit. A renewal application includes a disclosure of the number of times the permit was used and incident experience observed while acting under the terms of the special permit. Either the PHMSA Field Operations Division or the FAA can recommend denial of an application for party status or renewal upon a determination that the company is not fit to act under the terms of the special permit. The collaborative work of both PHMSA and FAA to ensure compliance complements· the robust inherent safety conditions of DOT-SP 20323.

PHMSA recognizes the significant potential consequences oflithium battery incidents, especially those associated with air transportation, and the importance of ensuring the safe transportation of prototype and low production run lithium batteries. Thus, we propose an alternative approach. PHMSA, with assistance from FAA, will perform a sufficiency evaluation of DOT-SP 20323 and other approvals/special permits granted for prototype and low production run lithium batteries.

This will include consideration of NTSB's concern that the batteries in question may have failed the vibration and shock tests contained in the UN Manual of Tests and Criteria, Part III, Sub-section 38.3 and whether to include these tests or other control measures. In addition, PHMSA and FAA plan to perform a review of current grantees of DOT-SP 20323 to assure that the grantees' processes for offering prototype and low production run lithium batteries achieve compliance and have proven safe and effective. PHMSA will update NTSB on the progress of this review and any next steps by the end of the curren

June 8, 2020 · NTSB Correspondence · PHMSA

The attached letter from the NTSB Chairman provides information about the NTSB’s May 28, 2020, report Standards for Lithium-Ion Battery Shipments by Air HZMSR-20/01. The details of this accident investigation and the resulting safety recommendations may be found in the attached report, which can also be accessed at http://www.ntsb.gov.

The NTSB is vitally interested in these recommendations because they are designed to prevent accidents and save lives. We would appreciate a response within 90 days of the date of this letter, detailing the actions you have taken or intend to take to implement these recommendations. When replying, please refer to the safety recommendations by number (for example, A-20-31 and -32). We encourage you to submit your response to ExecutiveSecretariat@ntsb.gov. If your reply exceeds 20 megabytes, including attachments, please e mail us at the same address for instructions on how to send larger documents. Please do not submit both an electronic copy and a hard copy of the same response.

This letter provides information about the National Transportation Safety Board’s (NTSB) May 28, 2020, report Standards for Lithium-Ion Battery Shipments by Air HZMSR-20/01. The details of this accident investigation and the resulting safety recommendations may be found in the attached report, which can also be accessed at http://www.ntsb.gov.

As a result of this investigation, we identified the following safety issues:

• Exemptions to International Civil Aviation Organization standards and United States federal hazardous materials regulations that allows prototypical and low-production lithium-ion batteries to be shipped on aircraft.

Accordingly, the NTSB makes the following safety recommendations to the Pipeline and Hazardous Materials Safety Administration. Additional information regarding these recommendations can be found in the noted sections of the report.

• Propose to the International Civil Aviation Organization to remove its special provision A88 from its Technical Instructions for the Safe Transport of Dangerous Goods by Air allowing special permits for low-production or prototype lithium-ion cells or batteries shipped by airplane and eliminate any exceptions to the testing of United Nations Manual of Tests and Criteria, Part III, Sub-section 38.3 requirements for all lithium-ion batteries before transport by air. (A 20-31) (See section Exemptions to Shipping Regulations.)

• Once the International Civil Aviation Organization removes special provision A88 from the Technical Instructions for the Safe Transport of Dangerous Goods by Air, remove the exemption from United Nations Manual of Tests and Criteria, Part III, Sub-section 38.3 testing from Title 49 Code of Federal Regulations 173.185(e) for low-production or prototype lithium-ion batteries, when transported by air. (A-20-32) (See section Exemptions to Shipping Regulations.) The NTSB is vitally interested in these recommendations because they are designed to prevent accidents and save lives.

We would appreciate a response within 90 days of the date of this letter, detailing the actions you have taken or intend to take to implement these recommendations. When replying, please refer to the safety recommendations by number (Safety Recommendation(s), A-20-31 and -32. We encourage you to submit your response to ExecutiveSecretariat@ntsb.gov. If your reply, including attachments, exceeds 20 megabytes, please e mail us at the same address for instructions. Please do not submit both an electronic copy and a hard copy of the same response.