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1、IATALithiumBatteryGuidanceDocument20131 LithiumBatteryGuidanceDocumentTransportoflithiumMetalandLithiumIonbatteries运输锂金属和锂离子电池 Revisedforthe2013Regulations 根据2013年规则更新 Introduction 引言 Thisdocumentisbasedontheprovisionssetoutinthe2013-2014Editionofthe ICAOTechnicalInstructionfortheSafeTransportofDang
2、erousGoodsbyAirand the54thEditionoftheIATADangerousGoodsRegulations(DGR).本文件基于20132014版ICAO技术细则以及第54版 IATA DGR 编写。Thepurposeofthisdocumentistoprovideguidanceforcomplyingwithprovisions applicabletothetransportbyairoflithiumbatteriesassetoutintheDGR.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。Specificallythedocumen
3、tprovidesinformationon:本文件包含以下内容：Definitions;定义Classification(includingclassificationflowcharts);分类（含分类流程图）TransportConditions 运输条件Exceptions;例外条款SpecialProvisions;特殊规定Packagingprovisionsforlithiumbatteries;包装要求Prohibitions;禁运情况PassengerProvisions;and 对旅客的要求FrequentlyAskedQuestions 常见问题IATALithiumBa
4、tteryGuidanceDocument20132Definitions 定义LithiumBatteryTheterm“lithiumbattery”referstoafamilyofbatterieswith differentchemistries,comprisingmanytypesofcathodesandelectrolytes.Forthe purposesoftheDGRtheyareseparatedinto: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：Lithiummetalbatteries.Aregen
5、erallyprimary(non-rechargeable)batteriesthathavelithiummetalorlithiumcompoundsasananode.Lithiummetalbatteriesaregenerallyusedtopowerdevicessuchaswatches,calculators,cameras,temperaturedataloggers;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。Figure1-ExampleofLithiumMetalBatteries图
6、 1锂金属电池Lithium-ionbatteries(sometimesabbreviatedLi-ionbatteries)areatypeofsecondary(rechargeable)batterycommonlyusedinconsumerelectronics.Alsoincludedwithinlithium-ionbatteriesarelithiumpolymerbatteries.Lithium-ionbatteriesaregenerallyfoundinmobiletelephones,laptopcomputers,etc.锂离子电池（有时缩写成 Liionbatt
7、eries）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。Figure2-ExampleofaLithiumIonBattery图 2锂离子电池Thetechnicaldefinitionofabatteryandcell,asindicatedintheUNManualofTests andCriteria,isasfollows: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”meanstwoormorecellswhichareelectricallyconnecte
8、dtogetherand fittedwithdevicesIATALithiumBatteryGuidanceDocument20133necessaryforuse,forexample,case,terminals,markingand protectivedevices.Asinglecelllithiumbatteryisconsideredacellandmustbe testedaccordingtothetestingrequirementsforcellsforthepurposesofthese Regulationsandtheprovisionsofsubsection
9、38.3oftheUNManualofTestsand Criteria(seealsothedefinitionforcell).“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:Unitsthatarecommonlyreferredtoas“batterypacks”,“modules”or“battery assemblies”havingtheprimaryfunctionofprovidingasourceofpower
10、toanother pieceofequipmentareforthepurposesoftheseRegulationsandtheprovisionsof Subsection38.3oftheUNManualofTestsandCriteriatreatedasbatteries.“Cell”meansasingleencasedelectrochemicalunit(onepositiveandonenegative electrode)whichexhibitsavoltagedifferentialacrossitstwoterminals.Underthese Regulatio
11、nsandtheUNManualofTestsandCriteria,totheextenttheencased electrochemicalunitmeetsthedefinitionof“cell”herein,itisa“cell”,nota“battery”,regardlessofwhethertheunitistermeda“battery”ora“singlecellbattery”outsideof theseRegulationsandtheUNManualofTestsandCriteria 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
12、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。Buttoncellorbatterymeansaroundsmallcellorbatterywhentheoverallheightislessthanthediameter.钮扣电池：整体高度小于直径的圆形小电池芯或电池。Classification(DGR3.9.
13、2.6)分类(DGR3.9.2.6)LithiumbatteriesareclassifiedinClass9Miscellaneousdangerousgoodsas: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,ifinsideapieceofequipmentorpackedseparatelywithapieceofequipmentas: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
14、设备中（lithium metal batteries contained 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）Intheabsenceofexceptions,thesebatteriesmustbeshippedi
15、nquantitiesthat complywiththelimitationscontainedintheDGR(seeDGRTable4.2andthe applicablepackinginstruction).TheymustbecontainedinaUNspecification packagingasprescribedbytheapplicablepackingIATALithiumBatteryGuidanceDocument20134instructionintheDGR.在不考虑例外的情况下，这些电池的限量必须遵守规则（见 DGR 表格 4.2 和适用的包装说明）里的限制
16、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 completedpackagemustdisplayaClass9hazardlabelinadditiontomarkingsthat identifytheapplicablepropershippingnameandUNnumber.Ashippermust documenttheshipmentusingaShippersDeclarationforDangerousGoods.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
17、须填写危险品申报单。Asof1January2013,theclassificationcriteriaforlithiumbatteriesstipulatethatcells andbatteriesmustbemanufacturedunderaqualitymanagementprogram.DGR 3.9.2.6includestheelementsthatmustbeincludedinsuchaprogram.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。TransportCond
18、itions 运输条件Thefollowinginformationisasummaryoftheconditionsthatapplytovarioussizes ofbatteriesforairtransport.Moredetailsontheexceptionsarefoundinthenext sectionofthisdocument.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.SectionI/IAPackingInstructions965970 1、Section I/IA 包装说明 965-970 Lithiumionandli
19、thiummetalcellsandbatteries(PI965&PI968,SectionIAand PI966,PI967,PI969&PI970,SectionI)aresubjecttoalloftheapplicable requirements in the DGR.These requirements are as follows:锂离子和锂金属电池芯和电池（PI 965&PI 968,Section IA and PI 966,PI 967,PI 969&PI 970,Section I）需符合 DGR 里适用的所有要求。这些要求如下：(a)dangerousgoodstra
20、ining(DGR1.5);危险品培训(DGR 1.5)(b)classification(DGR3.9.2.6);分类(DGR 3.9.2.6)；(c)limitsonthenetquantityoflithiumbatteriesperpackage(DGR4.2and applicablepackinginstruction);锂电池包装件的限量（DGR4.2 和适用的包装说明）(d)UNspecificationpackaging(applicablepackinginstruction,seealsoDGR Section6);联合国规格包装（适用的包装说明，同时参见 DGR 第 6
21、 章）Note:UNspecificationpackagingdoesnotapplytoPI967andPI970.注：注：联合国规格包装不适用于 PI967 和 970(e)markingandlabellingofpackages(DGRSection7)包装件的标记和标签（DGR 第 7 章）Note:packagesmustnotbearthelithiumbatteryhandlinglabel,onlythe Class9hazardlabelIATALithiumBatteryGuidanceDocument20135andCargoAircraftOnlylabel,whe
22、napplicable,mustbe applied.Ifpackagesareassembledintoanoverpacktherequirementsfor overpacksinDGR7.1.4and7.2.7apply;注：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)ShippersDeclarationforDangerousGoods(DGRSection8);托运人危险品申报单（DGR 第 8 章）2.SectionIB-PackingIns
23、tructions965&968 Section IB-包装说明 965 和 968LithiumionandlithiummetalcellsandbatteriesthatmeettheWatt-hourorlithium contentlimitssetoutinSectionIIofPI965andPI968respectively,butthat exceedtheweightorquantitylimitssetoutinTable956-IIorTable968-IIare subjecttoalloftheapplicablerequirementsintheDGRexcept
24、forthe requirementsforUNspecificationpackagingsandforafullShippersDeclaration.锂离子或锂金属电池的瓦时数或锂含量符合 PI965 和 PI968 第二节的限制，但是重量或数量超出了表 965-II 或表 968-II 的限制时，需满足 DGR 规定的所有条款，除了联合国规格包装要求和完整的托运人申报要求。Therequirementsapplicableareasfollows:适用要求如下：(a)dangerousgoodstraining(DGR1.5);危险品培训(DGR 1.5)(b)classificati
25、on(DGR3.9.2.6);分类(DGR 3.9.2.6)；(c)limitsonthetotalweightperpackage(applicablepackinginstruction);每个包装件的总量限制（适用的包装说明）(d)strongouterpackagings(seeSectionIBofapplicablepackinginstruction);坚固的外包装（见适用包装说明的 Section IB）(e)markingandlabellingofpackages(DGRSection7)包装件的标记标签（DGR 第 7 章）Note:packagesmustbearbot
26、hthelithiumbatteryhandlinglabelandthe Class9hazardlabel.Ifpackagesareassembledintoanoverpackthe 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，还需要同时满足 DGR7.1.4 和 7.2.7 合成包装件的要求。(f)documentationmustdescribethedetailsoftheconsignment(SectionIBofPI 965o
27、rPI968);文件必须描述所托运货物的详细信息。（(SectionIBofPI 965orPI968);Note:ifpackagesofSectionIBareconsolidatedwithothercargo,the provisionsofDGR1.3.3.3and1.3.3.6apply.Ifpackagesareassembledinto anoverpacktherequirementsforoverpacksinDGR8.1.6.9.3,Step7applyto thedocumentusedtodescribethebatteries.注：如果满足 IB 要求的包装件和其它
28、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IATALithiumBatteryGuidanceDocument20136求。3.SectionII-PackingInstructions965970 Section II-包装说明 965-970“Small”LithiumionandlithiummetalcellsandbatteriesthatmeettheWatt-hour orlithiumcontentlimitssetoutinSectionIIofPI
29、965toPI970areonlysubjectto certainpartsoftheDGRwhenshippedascargo.Thebulkoftherequirementsfor thesesmalllithiumbatteriesarecontainedwithintheGeneralRequirementsat thestartofeachpackinginstructionwhichapplytoalllithiumbatteriesandthen thespecificrequirementssetoutinSectionIIofeachpackinginstruction.a
30、reas follows:锂离子或锂金属电池的瓦时数或锂含量符合 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(DGR3.9.2.6);分类（DGR3.9.2.6）(b)limitsonthequantityoflithiumcellsorbatteriesperpackage(TableIIofthe applicablepackinginstruction);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)；(c
31、)strongouterpackagings(seeSectionIIofapplicablepackinginstruction);坚固的外包装（见适用包装说明第二部分）；(d)markingandlabellingofpackages(AdditionalRequirementsofSectionIIof theapplicablepackinginstruction);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)thedetailsoftheconsignmentmustbedescribed(AdditionalRequirementsof SectionIIofth
32、eapplicablepackinginstruction).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 Smalllithiummetalandlithiumionbatteriesarenotsubjecttoalloftheprovisionsof theDGRprovidedthattheycomplywithalloftherequirementssetoutinSectionIIof PackingInstructions965,966and967forlithiumionbatteriesandSectionIIof PackingInstr
33、uctions968,969and970forlithiummetalbatteriesinthe54thEditionof theIATADGR.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 和 970 第二部分提出的要求。Packagescontaininglithiumbatteries,orlithiumbatteriescontainedin,orpacked with,equipmentthatmeett
34、heprovisionsofSectionIIofthesepackinginstructions arenotrequiredtohaveaClass9hazardlabelandthereisnorequirementfora ShippersDeclarationforDangerousGoodsforconsignmentsofthesebatteries.However,intheeventofanincidentinvolvingthesebatteries,theincidentreporting requirementsapply.含锂电池的包装件，或锂电池和设备仪器包装或装在
35、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。IATALithiumBatteryGuidanceDocument20137Note:OnlybatteriesthathavesuccessfullypassedthetestproceduresofPartIII,Sub-Section38.3oftheUNManualofTestsandCriteriaqualifyunderthisexception.This isalsotrueforso-called“OEM”or“aftermarke
36、t”batteries.Anybatterymanufacturer ordistributorshouldbeabletoprovidedocumentationconfirmingthatthebatteries havebeensotested.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。QuantitiesofLithiummetalandlithiumioncellsandbatteriesthatexceedthe“per p
37、ackage”limitsdescribedinSectionIIofthepackinginstruction965(Table965-II)and968(Table968-II)mustbeassignedtoclass9andshippedas“SectionIB”.All applicablerequirementscontainedintheIATADangerousGoodsRegulations relatingtothesecommoditiesmustbecompliedwith,includingthetraining requirements,withtheexcepti
38、onof: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“ShippersDeclarationforDangerousGoods”isnotrequiredprovidedthat theairwaybilloralternativetransportdocumentconta
39、instherequired 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。PackagesmustbeartheClass9hazardlabelinadditiontothelithiumbattery handlinglabel.包装上必须同时贴第 9 类危险性标签和锂电池操作标签。LithiummetalandlithiumionbatterieslargerthanthosepermittedbySectionIIofthe applicablepackinginstructionmustbeassignedtoClass9andconsigne
40、das UN3090(Lithiummetalbatteries),UN3480(Lithiumionbatteries),UN3091(Lithium metalbatteriescontainedinequipmentorLithiummetalbatteriespackedwith equipment)orUN3481(LithiumionbatteriescontainedinequipmentorLithiumion batteriespackedwithequipment).AllapplicablerequirementscontainedintheIATA DangerousG
41、oodsRegulationsrelatingtothesecommoditiesmustbecompliedwith,includingthetrainingrequirements;a“ShippersDeclarationforDangerousGoods”mustbeissued,andpackagesmustbeartheClass9hazardlabel.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 UN348
42、1（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。SpecialProvisions 特殊规定 Thereareanumberofspecialprovisionswhichmayallowforthetransportoflithium batteries other than in accordance with the defined conditions or limits,or which requiretheshippertotakeaddi
43、tionalprecautionswhenpreparingbatteriesfor transport.Thespecialprovisionsapplicabletolithiumbatteriesaresetoutfollowing.Notwithstandingthegeneralrequirementthatpriortobeingtransportedeachtypeof lithiumbatterymusthavesuccessfullypassedtheUNtestrequirements,thereis provisionforprototypelithiumbatterie
44、sthathavenotyetpassedtheUNtest requirementstobeshippedfortestingpurposes,thistestingincludespre-production orproductcompatibilityIATALithiumBatteryGuidanceDocument20138testing,inaccordancewithSpecialProvisionA88,asfollows: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。A88Prototypeorlow
45、production,(i.e.annualproductionrunsconsistingofno morethan100lithiumcellsorbatteries)lithiumcellsorbatteriesthathavenot beentestedtotherequirementsinsubsection38.3oftheUNManualofTests andCriteriamaybetransportedaboardcargoaircraft,ifapprovedbythe appropriateauthorityoftheStateoforiginandthefollowin
46、grequirementsare met:a)exceptasprovidedinparagraph(c),thecellsorbatteriesmustbe transportedinanouterpackagingthatisametal,plasticorplywooddrum orametal,plasticorwoodenboxandthatmeetsthecriteriaforPacking GroupIpackagings;b)exceptasprovidedinparagraph(c),eachcellorbatterymustbe individuallypackedinan
47、innerpackaginginsideanouterpackagingand surroundedbycushioningmaterialthatisnon-combustible,andnon-conductive.Cellsorbatteriesmustbeprotectedagainstshort-circuiting;c)lithiumbatterieswithamassof12kgorgreaterandhavingastrong,impactresistantoutercasing,orassembliesofsuchbatteries,maybe packedinstrongo
48、uterpackagingsorprotectiveenclosuresnotsubjectto therequirementsofSection6oftheseRegulations.Thebatteriesor batteryassembliesmustbeprotectedagainstshortcircuiting;andd)acopyofthedocumentofapprovalshowingthequantitylimitationsmust accompanytheconsignment.IrrespectiveofthelimitspecifiedinColumnLofTabl
49、e4.2,thebatteryor batteryassemblyaspreparedfortransportmayhaveamassexceeding35 kg.A88 原型或低产量（即年度生产量不超过 100 个锂电池或电池芯）的锂电池或电池芯，没有按联合国试验和标准手册的 38.3 节的要求进行过测试的，如果经始发国有关当局的批准并且满足如下条件，可以在货机上运输：a)除了 c)款规定者外，电池芯或电池必须装入符合 I 级包装标准的外包装中运输，该外包装应是金属桶、塑料桶、胶合板桶或金属箱、塑料箱、木箱；b)除了 c)款规定者外，每个电池芯或电池在装入外包装之前必须单独装入内包装中，周围
50、用不燃性的绝缘材料衬垫。必须对电池芯或电池做好防短路保护；c)质量为 12 千克或以上、具有坚实抗冲击外壳的锂电池或此类电池组件，可以装入不受本细则第 6 部分要求所限的坚固的外包装或保护罩内。必须对电池或电池组件做好防短路保护；和d)托运货物必须随附一份列有数量限制的批准文件。无论表 4.2 第 L 栏规定的限制为何，准备交运的电池或电池组件的毛重可以超过 35 千克。Forairtransport,specificquantitylimitsapplytothenetweightoflithiumbatteriesin apackage.Themaximumnetweightoflithi