1、IATA Lithium Battery Guidance Document 2013 1 Lithium Battery Guidance Document Transport of lithium Metal and Lithium Ion batteries 运输锂金属和锂离子电池 Revised for the 2013 Regulations 根据 2013年规则更新 Introduction 引言 This document is based on the provisions set out in the 2013-2014 Edition of the ICAO Technic
2、al Instruction for the Safe Transport of Dangerous Goods by Air and the 54thEdition of the IATA Dangerous Goods Regulations (DGR). 本文件基于 2013 2014版 ICAO技术细则以及第 54版 IATA DGR 编写。 The purpose of this document is to provide guidance for complying with provisions applicable to the transport by air of lit
3、hium batteries as set out in the DGR. 本文件编写的目的是为了能安照 DGR 运输锂电池提供一个指南。 Specifically the document provides information on: 本文件包含以下内容： Definitions; 定义 Classification (including classification flowcharts); 分类（ 含分类流程图 ） Transport Conditions 运输条件 Exceptions; 例外条款 Special Provisions; 特殊规定 Packaging provisi
4、ons for lithium batteries; 包装要求 Prohibitions; 禁运情况 Passenger Provisions; and 对旅客的要求 Frequently Asked Questions 常见问题 IATA Lithium Battery Guidance Document 2013 2 Definitions 定义 Lithium Battery The term “lithium battery” refers to a family of batteries with different chemistries, comprising many type
5、s of cathodes and electrolytes. For the purposes of the DGR they are separated into: 锂电池 “锂电池”是指各种不同的化学成分包含许多类型的阴极和电解质的组合。在 DGR 中，锂电池分成以下几类： Lithium metal batteries. Are generally primary (non-rechargeable) batteries that have lithium metal or lithium compounds as an anode. Lithium metal batteries a
6、re generally used to power devices such as watches, calculators, cameras, temperature data loggers; 锂金属电池 一般由锂金属或锂混合物充当阳极的一次性电池（不可充电的） 。锂金属电池一般用作手表，计算器，相机，温度数据记录仪的能源。 Figure 1 - Example of Lithium Metal Batteries 图 1锂金属电池 Lithium-ion batteries (sometimes abbreviated Li-ion batteries) are a type of s
7、econdary (rechargeable) battery commonly used in consumer electronics. Also included within lithium-ion batteries are lithium polymer batteries. Lithium-ion batteries are generally found in mobile telephones, laptop computers, etc. 锂离子 电池 （有时缩写成 Liion batteries）是一种可二次使用的电池（可充电的） ，一般用于消费者电子行业。包含在锂离子电
8、池里的还有锂聚合物电池。锂离子电池通常用于移动电话，手提电脑等。 Figure 2 - Example of a Lithium Ion Battery 图 2锂离子电池 The technical definition of a battery and cell, as indicated in the UN Manual of Tests and Criteria, is as follows: 在联合国检测和标准的手册里提到的电池和电池芯的技术定义如下： “Battery” means two or more cells which are electrically connected
9、together and fitted with devices IATA Lithium Battery Guidance Document 2013 3 necessary for use, for example, case, terminals, marking and protective devices. A single cell lithium battery is considered a “cell“ and must be tested according to the testing requirements for “cells“ for the purposes o
10、f these Regulations and the provisions of subsection 38.3 of the UN Manual of Tests and Criteria (see also the definition for “cell“). “电池”用电路连接在一起的两个或多个电池芯，并安装有使用所必需的装置，如：外壳、电极端子、标记和保护装置等。单芯电池被认为是“电池芯” ，在进行 UN38.3 测试时按电池芯处理。 （又见“电池芯”的定义） 。 Note: Units that are commonly referred to as “battery packs
11、”, “modules” or “battery assemblies” having the primary function of providing a source of power to another piece of equipment are for the purposes of these Regulations and the provisions of Subsection 38.3 of the UN Manual of Tests and Criteria treated as batteries. “Cell” means a single encased ele
12、ctrochemical unit (one positive and one negative electrode) which exhibits a voltage differential across its two terminals. Under these Regulations and the UN Manual of Tests and Criteria, to the extent the encased electrochemical unit meets the definition of “cell” herein, it is a “cell”, not a “ba
13、ttery”, regardless of whether the unit is termed a “battery” or a “single cell battery” outside of these Regulations and the UN Manual of Tests and Criteria 注： 像“电池包” ， “模块”或“电池组件”这一类的单元，具有的主要功能是为另一设备提供能量，并且符合这些规则和联合国检测标准小册子里的 38.3 条款的，可以被称为电池。 “电池芯”由一个正极和一个负极组成且两个电极之间有电位差的单一的、封闭的电化学装置。无论在这些规则和联合国测试
14、标准和手册之外，这种电化单元被称作“电池”还是“单芯电池” ，在我们的规则和联合国测试标准和手册中，它们被称为“电池芯”而不是电池。 Button cell or battery means a round small cell or battery when the overall height is less than the diameter. 钮扣电池：整体高度小于直径的圆形小电池芯或电池 。 Classification (DGR 3.9.2.6) 分类 (DGR 3.9.2.6) Lithium batteries are classified in Class 9 Miscell
15、aneous dangerous goods as: 锂电池作为以下 UN 编号，被分在第 9 类 杂项类危险品里 ： UN3090，锂金属电池（ lithium metal batteries） UN3480，锂离子电池（ lithium ion batteries） or, if inside a piece of equipment or packed separately with a piece of equipment as: 或，将其安装在设备内或与设备分开包装在一个包装件内，见 ： UN3091，锂金属电池安装在设备中（ lithium metal batteries cont
16、ained in equipment） UN3091，锂金属电池与设备包装在一起（ lithium metal batteries packed with equipment） UN3481，锂离子电池安装在设备中（ lithium ion batteries contained in equipment） UN3481，锂离子电池与设备包装在一起（ lithium ion batteries packed with equipment） In the absence of exceptions, these batteries must be shipped in quantities th
17、at comply with the limitations contained in the DGR (see DGR Table 4.2 and the applicable packing instruction). They must be contained in a UN specification packaging as prescribed by the applicable packing IATA Lithium Battery Guidance Document 2013 4 instruction in the DGR. 在不考虑例外的情况下，这些电池的限量必须遵守规
18、则（见 DGR 表格 4.2 和适用的包装说明）里的限制进行运输。并且，它们必须依据适用的包装说明指导装在 DGR 危险品规则所规定的 UN 规格包装里。 A completed package must display a Class 9 hazard label in addition to markings that identify the applicable proper shipping name and UN number. A shipper must document the shipment using a Shippers Declaration for Dangero
19、us Goods. 一个完整的包装件除了标有适用的正确运输专用名称和 UN 编号的标记外，还必须贴 9 类危险性标签。托运人必须填写危险品申报单。 As of 1 January 2013, the classification criteria for lithium batteries stipulate that cells and batteries must be manufactured under a quality management program. DGR 3.9.2.6 includes the elements that must be included in suc
20、h a program. 自 2013 年 1 月 1 号起，锂电池的分类标准规定，必须在下生产电池芯和电池。 DGR3.9.2.6 包含了质量管理的程序必须含有的一些要素。 Transport Conditions 运输条件 The following information is a summary of the conditions that apply to various sizes of batteries for air transport. More details on the exceptions are found in the next section of this
21、document. 以下信息是一个对各种尺寸电池空运条件的简介。更多例外细节可在本文件的下节内容里找到。 1. Section I / IA Packing Instructions 965 970 1、 Section I/IA 包装说明 965-970 Lithium ion and lithium metal cells and batteries (PI 965 危险品培训 (DGR 1.5) (b) classification (DGR 3.9.2.6); 分类 (DGR 3.9.2.6)； (c) limits on the net quantity of lithium bat
22、teries per package (DGR 4.2 and applicable packing instruction); 锂电池包装件的限量（ DGR4.2 和适用的包装说明） (d) UN specification packaging (applicable packing instruction, see also DGR Section 6); 联合国规格包装（适用的包装说明，同时参见 DGR 第 6 章） Note: UN specification packaging does not apply to PI 967 and PI 970. 注： 联合国规格包装不适用于 P
23、I967 和 970 (e) marking and labelling of packages (DGR Section 7) 包装件的标记和标签（ DGR 第 7 章） Note: packages must not bear the lithium battery handling label, only the Class 9 hazard label IATA Lithium Battery Guidance Document 2013 5 and Cargo Aircraft Only label, when applicable, must be applied. If pack
24、ages are assembled into an overpack the requirements for overpacks in DGR 7.1.4 and 7.2.7 apply; 注： 包装件不贴锂电池操作标签，只贴第 9 类危险性标签，适用时还有仅限货机标签。如果包装件装在合成包装件内，还需要同时满足 DGR7.1.4 和 7.2.7 合成包装件的要求。 (f) Shippers Declaration for Dangerous Goods (DGR Section 8); 托运人危险品申报单（ DGR 第 8 章） 2. Section IB - Packing Instr
25、uctions 965 危险品培训 (DGR 1.5) (b) classification (DGR 3.9.2.6); 分类 (DGR 3.9.2.6)； (c) limits on the total weight per package (applicable packing instruction); 每个包装件的总量限制（适用的包装说明） (d) strong outer packagings (see Section IB of applicable packing instruction); 坚固的外包装（见适用包装说明的 Section IB） (e) marking and
26、 labelling of packages (DGR Section 7) 包装件的标记标签（ DGR 第 7 章） Note: packages must bear both the lithium battery handling label and the Class 9 hazard label. If packages are assembled into an overpack the requirements for overpacks in DGR 7.1.4 and 7.2.7 apply; 注： 包装件必须贴锂电池操作标签和第 9 类危险性标签。如果包装件装在合成包装件内
27、，还需要同时满足 DGR7.1.4 和 7.2.7 合成包装件的要求。 (f) documentation must describe the details of the consignment (Section IB of PI 965 or PI 968); 文件必须描述所托运货物的详细信息。 （ (Section IB of PI 965 or PI 968); Note: if packages of Section IB are consolidated with other cargo, the provisions of DGR 1.3.3.3 and 1.3.3.6 appl
28、y. If packages are assembled into an overpack the requirements for overpacks in DGR 8.1.6.9.3, Step 7 apply to the document used to describe the batteries. 注： 如果满足 IB 要求的包装件和其它货物混装在一起， DGR 的 1.3.3.3 和 1.3.3.6 也必须满足。如果包装件装在合成包装件内，该票货物还需要同时满足 DGR8.1.6.9.3 适用的文件描述要IATA Lithium Battery Guidance Document
29、 2013 6 求。 3. Section II - Packing Instructions 965 970 Section II-包装说明 965-970 “Small” Lithium ion and lithium metal cells and batteries that meet the Watt-hour or lithium content limits set out in Section II of PI 965 to PI 970 are only subject to certain parts of the DGR when shipped as cargo. Th
30、e bulk of the requirements for these small lithium batteries are contained within the General Requirements at the start of each packing instruction which apply to all lithium batteries and then the specific requirements set out in Section II of each packing instruction. are as follows: 锂离子或锂金属电池的瓦时数
31、或锂含量符合 PI965 和 PI968 第二节限制的小电池只受 DGR 指定部分的限制。限制内容在每个包装说明开始处的“基本要求”和后面的“ Section II”给出的特殊规定。如下所列： (a) classification (DGR 3.9.2.6); 分类（ DGR3.9.2.6） (b) limits on the quantity of lithium cells or batteries per package (Table II of the applicable packing instruction); 每个包装件里的锂电池芯或电池的数量限制 (适用包装说明图 II)；
32、(c) strong outer packagings (see Section II of applicable packing instruction); 坚固的外包装（见适用包装说明第二部分） ； (d) marking and labelling of packages (Additional Requirements of Section II of the applicable packing instruction); 包装件的标记和标签（适用的包装说明第二部分的附加要求） ； (d) the details of the consignment must be describe
33、d (Additional Requirements of Section II of the applicable packing instruction). 货物的详细说明描述（适用包装说明第二部分的附加要求） 。 Exceptions 例外 Small lithium metal and lithium ion batteries are not subject to all of the provisions of the DGR provided that they comply with all of the requirements set out in Section II o
34、f Packing Instructions 965, 966 and 967 for lithium ion batteries and Section II of Packing Instructions 968, 969 and 970 for lithium metal batteries in the 54thEdition of the IATA DGR. 小型锂金属和锂离子电池不要求它们遵从所有的 DGR 条款，即在 IATA DGR 第 54 版本里对锂离子电池而言，满足包装说明 965， 966 和 967 第二部分提出的要求；对锂金属电池而言，满足包装说明 968， 969
35、 和 970 第二部分提出的要求。 Packages containing lithium batteries, or lithium batteries contained in, or packed with, equipment that meet the provisions of Section II of these packing instructions are not required to have a Class 9 hazard label and there is no requirement for a Shippers Declaration for Danger
36、ous Goods for consignments of these batteries. However, in the event of an incident involving these batteries, the incident reporting requirements apply. 含锂电池的包装件， 或锂电池和设备仪器包装或装在设备内的包装件满足适用的包装说明第二部分的要求时，不要求贴第 9 类危险性标签。不要求填托运人危险品申报单。但一旦发生事故征候，需要启动汇报程序 。 IATA Lithium Battery Guidance Document 2013 7 N
37、ote: Only batteries that have successfully passed the test procedures of Part III, Sub- Section 38.3 of the UN Manual of Tests and Criteria qualify under this exception. This is also true for so-called “OEM” or “aftermarket” batteries. Any battery manufacturer or distributor should be able to provid
38、e documentation confirming that the batteries have been so tested. 注： 电池必须通过联合国测试和标准手册 38.3 节第 III 部分的测试要求才可例外。本要求同样适用于“ OEM”和“ aftermarket”电池。任何电池厂家或分销商应可以提供电池已通过测试的证明文件。 Quantities of Lithium metal and lithium ion cells and batteries that exceed the “per package” limits described in Section II of
39、the packing instruction 965 (Table 965-II) and 968 (Table 968-II) must be assigned to class 9 and shipped as “Section IB”. All applicable requirements contained in the IATA Dangerous Goods Regulations relating to these commodities must be complied with, including the training requirements, with the
40、exception of: 每个包装件内锂金属或锂离子电池或电池芯的数量超出 PI965（表 965-II）和 PI968(表 968-II)的限制必须归为第 9 类危险品， 按照 “Section IB”运输。 IATA DGR 内所有有关这些商品的要求必须满足，包括培训要求，除了： UN Specification packaging is not required. 不要求使用联合国规格包装 A “Shippers Declaration for Dangerous Goods” is not required provided that the air waybill or alter
41、native transport document contains the required information 不要求托运人危险品申报单，但运单上或替代文件需含要求的信息。 Packages must bear the Class 9 hazard label in addition to the lithium battery handling label. 包装上必须同时贴第 9 类危险性标签和锂电池操作标签 。 Lithium metal and lithium ion batteries larger than those permitted by Section II of
42、the applicable packing instruction must be assigned to Class 9 and consigned as UN 3090 (Lithium metal batteries), UN 3480 (Lithium ion batteries), UN 3091 (Lithium metal batteries contained in equipment or Lithium metal batteries packed with equipment) or UN 3481 (Lithium ion batteries contained in
43、 equipment or Lithium ion batteries packed with equipment). All applicable requirements contained in the IATA Dangerous Goods Regulations relating to these commodities must be complied with, including the training requirements; a “Shippers Declaration for Dangerous Goods” must be issued, and package
44、s must bear the Class 9 hazard label. 大于适用包装说明第二部分描述的限量要求的锂金属和锂离子电池，必须归为第 9 类危险品，并被分为 UN3090(锂金属电池 )， UN3480（锂离子电池） ， UN3091（锂金属电池含在仪器里或是锂金属电池跟仪器一起包装）或 UN3481（锂离子电池含在仪器里或是锂离子电池跟仪器一起包装） 。IATA 危险品规则里有关这些商品的所有适用的要求都必须满足，包括培训要求；必须填托运人危险品申报单，包装件必须贴第 9 类危险性标签。 Special Provisions 特殊规定 There are a number of
45、 special provisions which may allow for the transport of lithium batteries other than in accordance with the defined conditions or limits, or which require the shipper to take additional precautions when preparing batteries for transport. The special provisions applicable to lithium batteries are se
46、t out following. Notwithstanding the general requirement that prior to being transported each type of lithium battery must have successfully passed the UN test requirements, there is provision for prototype lithium batteries that have not yet passed the UN test requirements to be shipped for testing
47、 purposes, this testing includes pre-production or product compatibility IATA Lithium Battery Guidance Document 2013 8 testing, in accordance with Special Provision A88, as follows: 有一些关于锂电池运输的特殊规定，允许在指定的情况或限制外运输锂电池，或是要求托运人在准备托运锂电池时要注意附加的事先警告。 A88 Prototype or low production, (i.e. annual production
48、 runs consisting of no more than 100 lithium cells or batteries) lithium cells or batteries that have not been tested to the requirements in 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 origi
49、n and the following requirements are met: a) except as provided in paragraph (c), the cells or batteries must be transported in an outer packaging that is a metal, plastic or plywood drum or a metal, plastic or wooden box and that meets the criteria for Packing Group I packagings; b) except as provided in paragraph (c), each cell or battery must be individually packed in an inner packaging inside an outer packaging and surrounded by cushioning material that is non-combustible, and non- conductive. Cells or batteries must be prote
