Which UN numbers apply to lithium-ion and lithium-metal batteries?

The UN Model Regulations assign four primary UN numbers to lithium batteries. UN 3480 covers lithium-ion batteries shipped alone, and UN 3481 covers lithium-ion batteries packed with equipment or contained in equipment. UN 3090 covers lithium-metal batteries shipped alone, and UN 3091 covers lithium-metal batteries packed with or contained in equipment. UN 3171 covers battery-powered vehicles. Since the 23rd edition of the UN Model Regulations (2023), the new UN 3556, UN 3557 and UN 3558 cover sodium-ion batteries with organic electrolyte under broadly similar regimes. The packing instruction (PI) family in IATA DGR mirrors these UN numbers (PI 965 to PI 970).

What are the Section II, Section IB and Section IA thresholds in IATA DGR?

Each lithium battery packing instruction (PI 965 to PI 970) partitions shipments into sections based on energy or lithium content. Section II covers small batteries (lithium-ion not exceeding 100 Wh per battery and 20 Wh per cell, or lithium-metal not exceeding 2 g per cell and 1 g per cell metallic equivalent for certain configurations), with reduced documentation but still mandatory marking and handling rules. Section IB covers medium lithium-ion shipments above Section II limits but in net quantities per package below a defined threshold, subject to full Class 9 labelling and Cargo Aircraft Only (CAO) restriction. Section IA covers higher quantities above Section IB, fully regulated under Class 9 with UN specification packaging and Dangerous Goods Declaration. The exact watt-hour and net-quantity limits must be read in the current IATA DGR edition.

Why are stand-alone lithium-ion batteries banned from passenger aircraft, and what is the 30 percent SoC limit?

Since 1 April 2016, ICAO and IATA have prohibited the carriage of lithium-ion batteries shipped alone (UN 3480) on passenger aircraft. Such shipments must travel as Cargo Aircraft Only (CAO), with the CAO label affixed. In parallel, since the same date, the state of charge (SoC) of lithium-ion batteries shipped under UN 3480 must not exceed 30 percent of rated capacity, except where the State of Origin and State of the Operator grant a specific approval. This SoC limit reduces the thermal runaway energy available in transit. The 30 percent SoC must be verified in QC before sealing the shipment and recorded in the documentation chain. Batteries packed with or contained in equipment (UN 3481) are not subject to the 30 percent SoC cap and remain permitted on passenger aircraft under the applicable packing instruction.

What is a UN 38.3 Test Summary and when did it become mandatory at handover?

The UN 38.3 Test Summary is a standardised document defined in sub-section 38.3.5 of the UN Manual of Tests and Criteria. It summarises the eight tests T.1 to T.8, identifies the cell or battery, names the manufacturer and the test laboratory, and references the full test report. Since 1 January 2020, the manufacturer or distributor of any lithium cell or battery must make the Test Summary available to any party in the transport chain. Forwarders, carriers and customs authorities request it on demand. Absence of the Test Summary at handover blocks the shipment, irrespective of the mode (air, sea, road, rail). The summary applies independently to cell, battery and assembled-pack levels as relevant.

How are damaged, defective or recycling-destined lithium batteries handled?

Damaged or defective lithium batteries cannot be shipped under the ordinary packing instructions (PI 965 to PI 970, or their IMDG and ADR equivalents). Special Provision SP 376 of the UN Model Regulations applies to lithium cells and batteries identified as damaged or defective and liable to react dangerously during transport. SP 376 requires specific reinforced packaging, often involving cushioning, fire-retardant material and individual cell isolation, with explicit marking. Lithium batteries shipped for disposal or recycling are covered by Special Provision SP 377, which permits transport under defined conditions including specific packaging. Air carriage of damaged or defective lithium batteries is generally forbidden. The detailed conditions must be read in the current edition of the UN Model Regulations and the modal texts.

What UN packaging codes apply to lithium battery shipments?

UN specification packaging used for lithium battery shipments typically falls under the 4G (fibreboard box) or 4D (plywood box) categories, with the variation 4GV being a non-standardised inner packaging variant. Packaging is tested and certified by an accredited body under the UN Model Regulations Part 6, with performance defined for Packing Group II (lithium batteries are assigned to Class 9, Packing Group II for packaging selection). The UN packaging marking includes the UN symbol, the packaging code, the packing group, the gross mass, the year of manufacture, the country of authorisation and the manufacturer identifier. Certification is valid for a defined period (typically up to 5 years per design type, subject to national authority rules). Re-use of packaging is subject to integrity verification.

What are the most frequent pitfalls in lithium battery shipping?

Several recurring traps are flagged by carriers and freight forwarders. Missing UN 38.3 Test Summary at handover, blocking the shipment. Exceeding 30 percent SoC on UN 3480 air shipments, which triggers carrier refusal. CAO label missing on PI 965 Section IB air shipments. UN packaging certificate stale or out of design validity period. DGR staff certification expired (renewal is typically every 24 months for air). Treating the Section II small battery exception as no regulation, when handling, segregation, marking and Test Summary still apply. Missing Special Provision SP 188 documentation for sea shipments of small lithium-ion under IMDG. Damaged or returned batteries shipped under PI 967 or PI 970 when SP 376 applies, which is illegal and creates significant liability. Watt-hour calculation error, where mAh is reported in place of Wh (conversion: Wh equals V nominal multiplied by Ah).

Lithium battery shipping: IATA DGR, IMDG, ADR, DOT

Q: What is the relationship between UN 38.3 and the IATA, IMDG, ADR and DOT modal regulations?

UN 38.3 is a transport qualification test programme defined in the UN Manual of Tests and Criteria, Section 38.3. It is not a transport regulation in itself. The modal regulations, IATA DGR for air, IMDG Code for sea, ADR for European road, RID for European rail, and 49 CFR Part 173 for the United States, all derive from the UN Recommendations on the Transport of Dangerous Goods (UN Model Regulations) and require UN 38.3 qualification before any shipment of lithium cells or batteries. A successful UN 38.3 dossier is a prerequisite for compliant shipment under any mode, but each modal regulation adds its own packing instructions, labelling, segregation and documentation requirements.

Author Hugues Orgitello Last updated 27 May 2026 ~16 min read

Guide, lithium battery shipping

Shipping lithium-ion and lithium-metal batteries crosses two distinct regulatory layers. The UN Recommendations on the Transport of Dangerous Goods (UN Model Regulations, 23rd revised edition, 2023) set the harmonised classification, packing and documentation framework. The modal regulations, IATA DGR for air, IMDG Code for sea, ADR for European road, RID for European rail, ADN for inland waterways, and 49 CFR Part 173 for the United States, transpose and operationalise these recommendations with mode-specific packing instructions, labels, segregation and reporting. The transport qualification baseline is UN 38.3, defined in the UN Manual of Tests and Criteria, 8th revised edition (2023), Section 38.3. This guide maps the architecture: UN numbers and packing instructions, watt-hour thresholds, packaging codes, labels and marks, state-of-charge limits, special provisions for damaged or recycling-destined batteries, and the recurring pitfalls flagged by carriers and customs.

Regulatory architecture

Lithium battery shipping is governed by a layered set of texts. The base layer is the UN Model Regulations, published by the UN Economic Commission for Europe (UNECE), which set the international harmonised classification and packing framework. The modal regulations transpose these recommendations into binding text for each mode of transport.

Layer	Text	Scope
Base, classification	UN Model Regulations, 23rd revised edition (2023)	Classification, UN numbers, packing groups, base packing rules
Base, transport testing	UN Manual of Tests and Criteria, 8th revised edition (2023), Section 38.3	Eight transport tests T.1 to T.8 for lithium cells and batteries
Air	IATA DGR (Dangerous Goods Regulations) and ICAO Technical Instructions	Air-specific packing instructions PI 965 to PI 970, labels, CAO restrictions
Sea	IMDG Code (International Maritime Dangerous Goods), IMO	Sea-specific provisions, segregation, stowage, SP 188 for small cells
Road, EU	ADR 2025	Road-specific provisions in Europe, SP 188, SP 230, SP 310, SP 636, SP 666, SP 670
Rail, EU	RID 2025	Rail-specific provisions, broadly aligned with ADR
Road, US	49 CFR Part 173, Subpart E, Section 173.185	US-specific lithium cell and battery rules, exception 173.185(c) for small shipments

The UN Model Regulations are revised on a biennial cycle. The 23rd revised edition entered force as the baseline for modal updates published from 2024 onward. The IATA DGR is reissued annually (the 66th edition applies for 2025). The IMDG Code is reissued biennially (Amendment 42-24 in force from 2024). Verify the current edition before any shipment campaign.

UN 38.3 transport qualification

Section 38.3 of the UN Manual of Tests and Criteria defines the eight transport tests applicable to every lithium cell and battery design type before first shipment.

Test	Subject	Applies to
T.1 Altitude simulation	Low pressure equivalent to 11 600 m altitude, 6 hours	Cells and batteries
T.2 Thermal test	Thermal cycling between hot and cold extremes	Cells and batteries
T.3 Vibration	Vibration profile representative of transport	Cells and batteries
T.4 Shock	Mechanical shock half-sine pulses	Cells and batteries
T.5 External short circuit	Short circuit at controlled temperature	Cells and batteries
T.6 Impact or crush	Mechanical impact (small cells) or crush (large cells)	Cells
T.7 Overcharge	Charge at twice maximum charge current and voltage	Rechargeable batteries
T.8 Forced discharge	Forced discharge through primary cell	Primary cells

The Test Summary defined in sub-section 38.3.5 has been mandatory at handover since 1 January 2020. For the test programme itself, the IEC 62133 product safety standard, and the relationship between the two, see IEC 62133 and UN 38.3.

UN numbers for lithium batteries

The UN Model Regulations assign four primary UN numbers to lithium batteries, plus one for battery-powered vehicles, and since the 23rd edition (2023) three new numbers for sodium-ion.

UN number	Designation	Class
UN 3480	Lithium-ion batteries (shipped alone)	9
UN 3481	Lithium-ion batteries packed with equipment or contained in equipment	9
UN 3090	Lithium-metal batteries (shipped alone)	9
UN 3091	Lithium-metal batteries packed with or contained in equipment	9
UN 3171	Battery-powered vehicle (with lithium battery)	9
UN 3556	Lithium-ion sodium-ion battery (new 2023)	9
UN 3557	Sodium-ion battery (packed with equipment)	9
UN 3558	Sodium-ion battery (contained in equipment)	9

Lithium-ion (Li-ion) refers to rechargeable secondary cells with intercalation chemistry (LFP, NMC, NCA, LCO, and so on). Lithium-metal refers to primary (non-rechargeable) cells with metallic lithium anode (Li-MnO2, Li-SOCl2 thionyl chloride, and so on). The two families have distinct thresholds: lithium-ion is measured by watt-hour (Wh), lithium-metal by metallic lithium content in grams (g).

Watt-hour calculation and thresholds

The watt-hour rating of a lithium-ion battery determines its packing instruction section. The conversion is mechanical but a frequent source of error.

Wh = V_nominal (V) * C (Ah)
   = V_nominal (V) * C (mAh) / 1000

For a battery with 3.6 V nominal voltage and 2 600 mAh capacity:

Wh = 3.6 * 2.600 = 9.36 Wh

Some manufacturer datasheets state only mAh and nominal voltage. The Wh value must be calculated and printed on the battery marking. For a lithium-metal cell, the metallic lithium content in grams is declared by the cell manufacturer, typically computed from anode mass.

Section thresholds in IATA DGR

The lithium-ion packing instructions (PI 965 and PI 966 and PI 967) divide shipments into three sections (II, IB, IA) based on watt-hour and net quantity per package. The lithium-metal packing instructions (PI 968, PI 969, PI 970) use an equivalent partition based on lithium content in grams.

Section	UN 3480 (Li-ion alone, PI 965)	UN 3090 (Li-metal alone, PI 968)	Regime
Section II	Battery <= 100 Wh, cell <= 20 Wh, limited net quantity per package	Cell <= 1 g Li metal, battery <= 2 g Li metal, limited net quantity	Reduced documentation, lithium battery mark, handling rules, CAO restriction since 2016 for UN 3480 alone
Section IB	Battery > 100 Wh or net quantity above Section II, up to a defined cap	Above Section II up to defined cap	Full Class 9 label, CAO label, UN-spec packaging, DGD
Section IA	Above Section IB	Above Section IB	Full Class 9, UN-spec packaging, DGD, fully regulated

The exact net-quantity caps depend on PI and section; consult the current IATA DGR. The principle: smaller shipments and lower watt-hours benefit from a lighter regime, but the lighter regime does not mean no regulation. Even Section II requires marking, packaging integrity, handling notice and Test Summary on demand.

Air transport, IATA DGR packing instructions

The IATA Dangerous Goods Regulations are the operational reference for air shipment of dangerous goods. They are derived from the ICAO Technical Instructions but add carrier-side requirements and present the material in working format. Lithium batteries are covered by PI 965 to PI 970.

Packing Instruction	UN number	Description	Aircraft type
PI 965	UN 3480	Lithium-ion batteries shipped alone	Cargo Aircraft Only (CAO) since 2016
PI 966	UN 3481	Lithium-ion batteries packed with equipment	Passenger or cargo, per section
PI 967	UN 3481	Lithium-ion batteries contained in equipment	Passenger or cargo, per section
PI 968	UN 3090	Lithium-metal batteries shipped alone	Cargo Aircraft Only (CAO)
PI 969	UN 3091	Lithium-metal batteries packed with equipment	Passenger or cargo, per section
PI 970	UN 3091	Lithium-metal batteries contained in equipment	Passenger or cargo, per section

Cargo Aircraft Only and 30 percent SoC

Since 1 April 2016, ICAO and IATA prohibit the carriage of lithium-ion batteries shipped alone (UN 3480) on passenger aircraft. PI 965 shipments must travel CAO, with the CAO label affixed. In parallel, since the same date, the state of charge (SoC) of lithium-ion batteries shipped under UN 3480 must not exceed 30 percent of rated capacity, except under specific State of Origin and State of the Operator approval. The 30 percent SoC cap reduces available energy in the event of thermal runaway in transit. UN 3481 (packed with or contained in equipment) is not subject to the 30 percent SoC cap.

State variations

Annex 2.8 of IATA DGR collects State variations applied by national civil aviation authorities (USDOT, EASA, UK CAA, JCAB, CASA, and so on). These variations can be more restrictive than the base text (additional segregation, lower thresholds for certain configurations, declaration formats). The State of Origin (departure), State of the Operator (carrier), States of transit and State of destination variations must all be checked before booking.

Sea transport, IMDG Code

The International Maritime Dangerous Goods Code is published by the International Maritime Organization (IMO). Amendment 42-24 entered force from 1 January 2024 (mandatory from 2026 after a transitional period). It uses the same UN numbers as the UN Model Regulations and the air regulations.

Special Provision SP 188

SP 188 of the IMDG Code (mirrored in ADR and 49 CFR) exempts small lithium cells and batteries from the bulk of Class 9 requirements when all of the following are met: each lithium-ion cell <= 20 Wh and each battery <= 100 Wh (or lithium-metal cell <= 1 g and battery <= 2 g); package marked with the lithium battery mark; package able to withstand a 1.2 m drop test; net quantity per package within defined limits; outer packaging integrity. SP 188 still requires the Test Summary on demand and the lithium battery mark.

Stowage and segregation

Class 9 lithium batteries are subject to segregation and stowage rules in the IMDG Code. Stowage codes (SW1, SW2 and so on) specify deck position (under deck, on deck), distance from accommodation and from sources of ignition. Segregation tables define separation distances from other dangerous goods classes. Container ships with reefer connections require additional power monitoring where lithium batteries are stowed near temperature-controlled cargo.

Road transport, EU (ADR 2025)

ADR (Accord europeen relatif au transport international des marchandises Dangereuses par Route) is the European agreement on the international carriage of dangerous goods by road, applied across UNECE member states. ADR 2025 entered force on 1 January 2025, with a transitional period until 30 June 2025.

Applicable special provisions

Special Provision	Subject
SP 188	Small lithium cells and batteries exemption (mirrors IMDG SP 188)
SP 230	Lithium cells and batteries general classification rule
SP 310	Lithium cell and battery prototypes, pre-production samples
SP 376	Damaged or defective lithium cells and batteries
SP 377	Lithium cells and batteries shipped for disposal or recycling
SP 636	Used lithium cells and batteries collected from consumers
SP 666	Battery-powered vehicles, equipment and machinery
SP 670	Lithium cells and batteries installed in damaged vehicles

Documentation and operational requirements

Above the SP 188 threshold, full ADR applies: transport document, written instructions (driver tremcards), orange plates on the vehicle, Class 9 placards on the unit load, ADR-certified driver, on-board safety equipment, mandatory safety adviser (DGSA, Dangerous Goods Safety Adviser) at consignor and carrier level. Packaging is UN specification, typically 4G or 4GV, Packing Group II performance.

Road transport, US (49 CFR Part 173)

In the United States, the Hazardous Materials Regulations are codified in 49 CFR (Code of Federal Regulations), administered by the Pipeline and Hazardous Materials Safety Administration (PHMSA), part of the Department of Transportation (DOT). Lithium cells and batteries are covered by Section 173.185.

Key provisions

Section 173.185(a): classification, requires UN 38.3 qualification.
Section 173.185(b): general packaging requirements, including UN specification packaging for shipments above the small battery exception.
Section 173.185(c): small battery exception, analogous to international SP 188, exempts small lithium cells and batteries from most requirements when packaged according to specified conditions.
Section 173.185(d): medium lithium batteries, between the small exception and the fully regulated regime.
Section 173.185(f): damaged, defective or recalled lithium cells and batteries, with specific packaging and hazcom requirements (analogous to international SP 376).

49 CFR aligns closely with the UN Model Regulations but retains specific US-only provisions (for example the use of the US DOT marking, training requirements under 49 CFR Part 172 Subpart H, and Hazmat Employer training records).

UN packaging codes

Packaging used for fully regulated lithium battery shipments must carry a UN specification marking demonstrating compliance with the performance tests of Part 6 of the UN Model Regulations.

Common codes for lithium batteries

Code	Description	Typical use
4G	Fibreboard box	Most common for lithium battery shipments
4GV	Variation packaging, fibreboard box with non-standardised inner packaging	Where multiple inner packagings or non-standard inners are used
4D	Plywood box	Heavier or larger battery shipments
4DV	Variation packaging, plywood with non-standardised inner packaging	Similar to 4GV but in plywood
4H2	Solid plastics box	Some specialised applications

UN packaging marking decoded

A typical mark such as UN 4G/Y20/S/24/F/AB1234 decodes as follows:

UN UN symbol
4G packaging code (fibreboard box)
Y packing group performance (Y for Packing Group II and III, X for I, Z for III only)
20 maximum gross mass in kg or specific gravity for liquids
S indicates solids or inner packagings (alternative: marking with the test pressure for liquids)
24 year of manufacture (2024)
F country of authorisation (France in this example, GB for United Kingdom, USA for United States and so on)
AB1234 manufacturer and approval authority identifier

The packaging certification (design type approval) is delivered by an accredited body and typically valid up to 5 years per design, subject to national rules. Re-use of UN-spec packaging is conditional on integrity verification and traceability.

Labelling and marking

Lithium battery shipments require specific marks and labels depending on the regime (Section II exempted, Section IB or IA fully regulated, SP 376 damaged or defective).

Class 9 lithium battery hazard label

The Class 9 lithium battery hazard label, introduced in 2016 and mandatory since 1 January 2017, is a white square set on point with seven black vertical stripes in the upper half and a battery icon in the lower half, plus the figure 9 in the bottom corner. It replaces the former lithium battery handling label for fully regulated shipments. Minimum dimensions are 100 mm by 100 mm.

Lithium battery mark

The lithium battery mark (handling label since 2019) is a rectangular mark with the lithium battery symbol, the UN number(s) covered and a contact telephone number. It applies to Section II shipments and certain SP 188 configurations. Minimum dimensions are 100 mm by 100 mm (reducible to 100 mm by 70 mm where the package is too small).

Cargo Aircraft Only label

The Cargo Aircraft Only (CAO) label is a black-and-orange rectangular mark with a passenger aircraft symbol crossed out and the words Cargo Aircraft Only. It is required on UN 3480 alone (PI 965) and UN 3090 alone (PI 968) shipments, irrespective of section. Minimum dimensions are 110 mm by 120 mm.

Required information on the package

Information	Where
UN number (UN 3480, UN 3481, UN 3090, UN 3091)	Adjacent to the proper shipping name
Proper shipping name (`Lithium ion batteries`, `Lithium metal batteries`, etc.)	Adjacent to the UN number
Watt-hour rating (Li-ion) or lithium content in grams (Li-metal)	On the battery and on the package marking
Class 9 hazard label or lithium battery mark	Per regime
Cargo Aircraft Only label	UN 3480 and UN 3090 air shipments
Sender and consignee details	Per modal regulation
Net or gross quantity	Per modal regulation

Damaged, defective and recycling-destined batteries

Lithium cells or batteries identified as damaged or defective and liable to react dangerously during transport (thermal runaway risk, swelling, electrolyte leakage, fire-damaged housing, voltage out of design range) cannot be shipped under ordinary packing instructions.

SP 376 damaged or defective

Special Provision SP 376 of the UN Model Regulations defines the transport conditions for damaged or defective lithium cells and batteries. It requires:

specific reinforced packaging, often inner cushioning and fire-retardant material,
individual cell isolation where applicable,
ground transport only in most cases (air carriage generally forbidden),
explicit marking Damaged or defective lithium-ion batteries or Damaged or defective lithium metal batteries,
specific entry in the transport document.

Severely damaged batteries (with thermal runaway in progress, fire-affected, smoking) cannot be shipped under SP 376 either, and require specialist intervention.

SP 377 disposal or recycling

Special Provision SP 377 covers lithium cells and batteries shipped for disposal or recycling, in defined packaging. Used consumer batteries collected for recycling under EU producer responsibility schemes (for example through the WEEE / DEEE system in France) typically move under SP 377 with consolidated packaging, on dedicated routes.

The categorisation between SP 376 (damaged or defective, requires reinforced packaging) and SP 377 (recycling, normal end-of-life) is critical: shipping a damaged battery under SP 377 normal-recycling conditions, or under PI 967 or PI 970 ordinary packing, is illegal and creates significant liability in case of in-transit incident.

Documentation chain

Lithium battery shipments require a layered set of documents, each independent of the others.

Mandatory documents

Document	Source	Mode	Mandatory since
UN 38.3 Test Summary	Cell or battery manufacturer	All modes	1 January 2020
Safety Data Sheet (SDS)	Cell or battery manufacturer, GHS-compliant	All modes	Continuous, per chemical regulation
Dangerous Goods Declaration (DGD)	Shipper, signed by trained DG specialist	Air (mandatory for fully regulated), sea (mandatory IMDG), road (mandatory ADR full)	Per modal regulation
Air waybill (AWB)	Carrier, with dangerous goods entries	Air	Continuous
Bill of Lading	Carrier, with dangerous goods entries	Sea	Continuous
CMR transport document	Consignor and carrier, ADR-compliant	Road EU	Continuous
Packing certificate	Shipper or packing service	Sea (mandatory IMDG), road (recommended)	Continuous

The DG specialist (DGR-certified for air, IMDG-trained for sea, ADR-trained for road) is responsible for documentation accuracy. DGR certification for air is renewed every 24 months. IMDG and ADR training is renewed at intervals defined by the respective regulations.

Connection with the broader risk framework

Lithium battery shipping risk is part of the product risk file. The hazard, frequency and severity assessment, treatment and residual risk justification logic follow the risk management ISO 14971 and IEC 31010 framework. For products placed on the EU market, lithium battery design also intersects EU Battery Regulation 2023/1542 on the substantive side (carbon footprint, removable battery, due diligence), and conflict minerals reporting for cobalt and lithium supply traceability.

Step-by-step shipping procedure for a lithium battery shipment

The typical sequence for a manufacturer or logistics team preparing a first international shipment.

Identify the UN number for the configuration (UN 3480 alone, UN 3481 packed with or contained in equipment, UN 3090 lithium-metal alone, UN 3091 lithium-metal packed with or contained in).
Compute the watt-hour rating for each lithium-ion battery (Wh equals V nominal multiplied by Ah), or lithium content in grams for lithium-metal. Print on the battery marking.
Determine the applicable section in the relevant packing instruction (Section II, IB or IA for IATA DGR; equivalent partitions for IMDG, ADR, 49 CFR).
Verify UN 38.3 qualification for the cell, battery and assembled pack as applicable. Obtain the Test Summary from the manufacturer.
Confirm state of charge for UN 3480 alone air shipments at 30 percent SoC or below, verified in QC.
Select UN specification packaging of the appropriate code (typically 4G or 4GV), within design type validity period.
Apply marks and labels as required by the regime: Class 9 hazard label, lithium battery mark, CAO label for air, UN number, proper shipping name, watt-hour rating.
Prepare documentation: Dangerous Goods Declaration signed by trained DG specialist, transport document, Test Summary, SDS, packing certificate.
Book with a carrier authorised for Class 9 dangerous goods for the chosen mode. Verify State of Origin, State of the Operator and State of Destination variations for air.
Maintain a shipping log linking each consignment to the UN 38.3 dossier, the packaging certificate, the SDS revision, and the DG specialist signature. For damaged or returned batteries, switch to SP 376 packaging and documentation, never reuse the ordinary PI for forward shipment.

For cross-cutting orders of magnitude per phase, see certification timeline.

Frequent pitfalls

Pitfall	Consequence
UN 38.3 Test Summary missing at handover	Shipment blocked by carrier or customs, regardless of mode
State of charge above 30 percent on UN 3480 air shipment	Refusal by air carrier, return shipment, potential investigation by State of Origin authority
CAO label missing on PI 965 air shipment	Refusal at acceptance, refile required
Treating Section II as no regulation	Lithium battery mark missing, Test Summary not provided, handling instructions not communicated, surveillance block
UN packaging certificate expired or out of design validity	Package non-compliant, shipment blocked or refused
DGR staff certification lapsed (air)	DGD signed by uncertified personnel, shipment rejected by carrier
Watt-hour calculation error, mAh stated instead of Wh	Wrong section assignment, wrong packing instruction, customs detention
SP 188 documentation missing for sea (IMDG) small Li-ion	Shipment refused at port, demurrage charges
Damaged or returned battery shipped under PI 967 or PI 970	Illegal under SP 376, severe liability in case of in-transit thermal runaway, criminal exposure
Confusing lithium-ion (Wh threshold) and lithium-metal (gram threshold)	Wrong UN number, wrong PI, customs and carrier escalation
Sodium-ion battery shipped as lithium under UN 3480	Wrong UN number (UN 3556 / 3557 / 3558 since 2023), documentation chain invalid
Re-using UN packaging without integrity verification	Drop-test performance not validated, packaging classed as non-spec

Going further

IEC 62133 and UN 38.3: the underlying battery safety and transport-qualification framework
EU Battery Regulation 2023/1542: EU regulation on batteries, battery passport, carbon footprint
Risk management, ISO 14971 and IEC 31010: risk framework including transport risk
Conflict minerals, CMRT and Dodd-Frank: cobalt and lithium supply traceability
WEEE / DEEE: end-of-life batteries under producer responsibility
Certification timeline: cross-cutting orders of magnitude per phase
Glossary: definitions of UN 38.3, IATA DGR, IMDG, ADR, CAO, SP 188, SP 376