UN 38 3 Lithium Transport Tests and Large

UN 38. 3 Lithium Transport Tests and Large Cell/Battery Standards Comparison Laurie Florence UL LLC laurie. b. florence@ul. com UL and the UL logo are trademarks of UL LLC © 2013

UN T Tests Comparisons: General Info for Tables UN Manual of Tests and Criteria, Section 38. 3 - For dangerous goods classification of lithium metal and lithium ion cells and batteries IEC 62619 - Safety requirements for large format secondary lithium cells and batteries for use in industrial applications IEC 62660 -3 - Secondary lithium-ion cells for the propulsion of electric road vehicles - Part 3: Safety requirements of cells and modules SAE J 2929 - Electric and Hybrid Vehicle Propulsion Battery System Safety Standard - Lithiumbased Rechargeable Cells UL 2580 - Batteries for Use in Electric Vehicles ISO 12405 -3 - Electrically propelled road vehicles - Test specification for Lithium-ion traction battery packs and systems -- Part 3: Safety performance requirements RTCA DO-311 - Minimum Operational Performance Standards for rechargeable lithium battery systems to be used as permanently installed power sources on aircraft. RTCA DO-160 – Environmental Conditions and Test Procedures for Airbone equipments 2

3 Comparison of UN Battery Tests UN IEC 62660 UL 2580 SAE J 2929 Altitude RTCA DO-311 DO-160 ISO 12405 -3 IEC 62619 Y Thermal Y Y Y Vibration Y Y Y Shock Y Y Y Sh. Circuit Y Y Y O-Charge Y Y Y

UN T Tests Comparisons: General Info for Tables Results Key: NL – no leakage, NF – no fire, NC – no combustible mixtures, NV – no venting, NE – no explosion, ND – no disassembly (same as NE), NR – no rupture of case/enclosure, ≥ 100 /V – minimum isolation resistance value, OCV ≤ 10% - change in open circuit voltage IEC 62660 -3 and IEC 62619 are draft standards and may be subject to change before publication. Information represents current draft status. 4

5 UN T 1 Test: Altitude Simulation Standard Cl Test Name Device Tested Parameters Requirements Comments UN 38. 3. 4. 1 T. 1 Altitude Simulation Cells or Batteries Fully charged 11. 6 k. Pa or less for 6 hours NL, NV, ND, NR, NF, OCV ≤ 10% 10 fresh cells, 2 fresh bat & 2 cycled bat (25 cycl) UL 1642 19 Low Pressure (Altitude Simulation) Cells Fully charged 11. 6 k. Pa or less for 6 hours NL, NV, ND, NR, NF 5 fresh 5 cycled (new designs) RTCA DO-311 3. 4. 1 Steady state altitude Batteries Fully charged (according to manufacturer design), then discharged and charged during the test Temperature: ambiant 9, 12 k. Pa (reached in 14 min) then maintained for 3 hours 2 times (6 hours in total) NL, NF, NV, ND, NR No OCV 1 sample There are other types of altitude tests in D 0311 and D 0160 not reported here

UN T 2 Test: Thermal Parameters 6 Standard CL Test Name Device Tested Requirements Comments UN 38. 3. 4. 2 Thermal test Cells and Batteries 72 ± 2 °C for 12 h, -40 2 C for 12 h 30 min interval between temps 10 cycles, 10 h at ambient NL, NV, ND, NR, NF, OCV ≤ 10% Same 100% SOC samples from T 1 UL 1642 18 Temperature cycling Cells 70 ± 3°C for 4 h, 20 3 C for 2 h, -40 ± 3°C for 4 h 30 min interval between temps 9 temp cycles, 24 h at ambient NF, NE, NL, NR, NV 100%SOC, 5 fresh, 5 cycled samples IEC CD 62660 -3 6. 2. 2 Temperature Cycling Cells -40 C or Tmin for 1. 5 h 85 C or Tmax for 1. 5 h Transition to 25 C between extreme temps 1 h transition time between 25 C and extreme temps 30 cycles from NF, NE 1 sample 100% SOC BEV 80% SOC HEV UL 2580 27 Thermal cycling Batteries 85 2 C, -40 2 C 15 min interval between temps 5 temp cycles, C/D cycle at end NV, NF, NE, NL, NR, ≥ 100 /V. protectors functional 1 sample MOSOC Cells: 1642 SAE J 2929 4. 2. 3 Thermal Shock Cycling Batteries UN T 2 or 70 5 C for ≥ 6 h, -40 5 C for ≥ 6 h 15 min interval between temps 5 temp cycles, C/D cycle at end NV, NF, NE, ≥ 100 /V OCV ≤ 10%, No damage to HV conduct. 1 sample MOSOC ISO 12405 -3 7. 2 Thermal cycling Batteries 60 2 C for 6 h, -40 2 C for 6 h 30 min interval between temps 5 temp cycles NV, NF, NE, NL, NR, ≥ 100 /V. 1 sample 80% SOC RTCA DO-311 3. 5 Temperature shock Batteries 85°C ± 2°C for 4. 25 h ± 0. 25 h; -55°C ± 2°C. 4. 25 h +/- 0. 25 h. 85°C ± 2°C. 4. 25 h +/- 0. 25 h. 5 min interval between temps 3 temp cycles. C/D at end NL, NF, NV, ND, NR No OCV Min value insulation resistance 10 M 1 sample

UN T 3 Test: Vibration 7 Standard C L Test Name Device Tested Parameters Requirements Comments UN 38. 3. 4. 2 T 3 Vibration Cells and Batteries Sinusoidal Waveform , Log sweep 7 Hz 200 Hz 7 Hz in 15 min. , 12 times, 3 directions: • 7 18 Hz. , peak accel of 1 gn, • 0. 8 mm amp maint. , • 18 200 Hz, peak accel. of 2 gn NL, NV, ND, NR, NF, OCV ≤ 10% Same 100% SOC samples from T 2 UL 1642 16 Vibration Cells Simple harmonic vibration, 0. 8 mm amp. Frequency varied at 1 Hz/min, From 10 – 55 Hz within 90 -100 min. 3 direction NF, NE, NL, NR, NV 5 sample 100% SOC IEC 626603 6. 1. 1 Vibration Cells IEC 60068 -2 -64 random vibration, 8 h vibration for each plane of cell, rms accel. is 27. 8 m/s 2, 10 Hz to 2000 Hz frequency, PSD range is 20 – 0. 14 (m/s 2)2/Hz NF, NE 1 sample 100%SOC BEV, 80% SOC HV UL 2580 23 Vibration Endurance Batteries SAE J 2380 Random vibration or Vehicle specific profile NV, NF, NE, NL, NR, ≥ 100 /V. protectors functional 1 sample at MOSOC SAE J 2929 4. 2. 2 Vibration Batteries UN T 3; or SAE J 2380 Random Vibration; or Vehicle specific profile NV, NF, NE, ≥ 100 /V OCV ≤ 10%, No damage to HV conduct. 1 sample at MOSOC ISO 124053 6. 1 Vibration Batteries Random vibration of IEC 60068 -2 -64 and ISO 12405 -1 or -2 with temperate variation; or Vehicle specific profile; or UNECE R 100 -02 NV, NF, NE, NL, NR, ≥ 100 /V. 1 sample at 50$ SOC RTCA DO 311 3. 1 Vibration Batteries Random vibration of D 0 -160 § 8. 5. 2 10 to 2000 Hz (specific power spectral density curve), 0. 5 gn scan before and after, 3 directions 1 hour duration each, NL, NF, NV, ND, NR No irregular V Min value insulation resistance 10 M 1 sample

UN T 4 Test: Mechanical Shock Test Name Device Tested Parameters 8 Standard CL Requirements Comments UN 38. 3. 4. 4 T 4 Shock Cells and Batteries Large cell and Batt: half-sine shock, peak accel. of 50 gn, pulse duration of 11 msecs 3 shocks in + and – direction, 3 direction for 18 total shocks NL, NV, ND, NR, NF, OCV ≤ 10% Same 100% SOC samples from T 3 UL 1642 15 Shock Cells first 3 msec. 75 g ave. accel. 125 - 175 gn peak accel. 3 shocks in 3 direction for 18 total shocks NL, NV, NE, NR, NF 5 sample fresh and 5 samples cycled 100% SOC IEC 62660 -3 6. 1. 2 Mechanical Shock Cells Half-sine, 500 m/sec 2, accel. , 6 ms duration, 10 shocks/direction, 6 spatial directions applied NE, NF 1 sample, 100% SOC BEV, 80% SOC HEV UL 2580 24 Shock Batteries Half-sine, 25 gn peak accel. , 15 ms pulse dur. , 3 shocks in 3 directions for 18 total NV, NF, NE, NL, NR, ≥ 100 /V. protectors functional 1 sample MOSOC SAE J 2929 4. 5 Mechanical Shock Batteries • UN T 4 shock test, or • Half-sine, 25 gn peak accel. , 15 ms pulse dur. , 1 repetition in + and - directions of vehicle longit. and later. axes for total 4 separate shocks NV, NF, NE, ≥ 100 /V OCV ≤ 10%, No damage to HV conduct. 1 sample MOSOC ISO 12405 -3 6. 2 Mechanical shock Batteries Half-sine, 500 m/sec 2, accel. , 6 ms duration, 10 shocks/direction, 6 spatial directions applied NV, NF, NE, NL, NR, ≥ 100 /V. 1 sample RTCA DO-311 3. 3 Operational shock and crash safety Batteries Saw tooth pulse, acceleration 6 and 20 gn, 11 ms pulse duration, 3 shocks in + and – direction, 3 direction No damage or leakage (NL, NF, NV, NE, ND, NR) 1 sample Other constant acceleration tests are not reported here

UN T 5 Test: External Short Circuit Standard CL Test Name Device Tested UN 38. 3. 4. 5 T 5, External Short Circuit Cells & Batteries UL 1642 10 Short Circuit IEC 626603 6. 3. 1 IEC 62619 Require -ments Comments 55 ± 2 °C, ext. resist. 0. 1 ohm, continue short until temp reaches 55 C and 1 h elapse, 6 h observation NF, ND, case temp ≤ 170 C Cells: 10 Batts: 2 cycle & 2 w/o cycle) 100% SOC Cells 55 ± 2 °C and 20 5 C, Ext. resistance load of 80 ± 20 m , apply short until cell at 0. 2 V and case temp 10 C from test ambient NF, NE 5 fresh & 5 cycle/ temp 100% SOC External short circuit Cells Ext resistance of ≤ 5 m , ESC applied for 10 mins NE, NF 1 sample 100% SOC 8. 2. 1 External short circuit Cells Ext. resistance of 30+/-10 mΩ, 6 h or case temp declines by 20 % of max temp rise, NE, NF 1 sample cell, 100% SOC UL 2580, 1973 14, Short Circuit Batteries Ext. resistance ≤ 20 m , single fault condition in discharge circuit, repeat at output 15% below protection operating current, until @ 0 SOC and temps near ambient NC, NF, NE, NL, NR, NV ≥ 100 /V 1 sample MOSOC SAE J 2929 4. 8 Electrical Short circuit Batteries UN T 5; or SAE J 2464 (External resistance of ≤ 5 m and <<DUT DC impedance within 1 min and hold for 60 min. 1 h observation). ; or ISO 12405 -1, -2 (same as ISO 12405 -3) NF, NE, NR, NC 1 sample 100% SOC Short Circuit Batteries Ext Resistance of 20 +0/-10 mΩ applied < 1 min and held for 10 min, 2 h observation NE, NF, NL, NR, ≥ 100 Ω/V, 1 sample 100% SOC Short Circuit Enabled Protection Batteries Ext Resistance 2 mΩ, 1 hour, room temperature Observation within 3 hours after test termination NL, NF, NE, no fumes or smokes 1 sample fully charged ISO 124053 RTCA DO-311 2. 3. 11 Parameters 9

UN T 6 Test: Impact/Crush Standard CL Test Name Device Tested UN 38. 3. 4. 6 T 6: Impact/ Crush Cells UL 1642 14 Impact UL 1642 15 IEC 62619 Parameters 10 Requirements Comments Impact test same as UL 1642 Crush test same as UL 1642 except crush stopped: • 13 k. N ± 0. 78 k. N reached; or • ≥ 100 m. V OCV drop; or • ≥ 50% deformation from original Crush in 1 direction for all formats Crush rate 1. 5 cm/s 6 h observation period ND, NF, cell case ≤ 170 C 5 cells at 50% rated Capaciity Impact: applies to cycl. cells > 20 mm dia. Crush: applies to rest of cells Cells A 9. 1 ± 0. 46 -kg weight is dropped from a height of 610 ± 25 mm onto a 15. 8 mm diameter steel bar laying across center cell, Prismatic impacted in 2 directions, other formats only impacted 1 direction NF, NE 100% SOC 5 fresh and 5 cycled cells Crush Cells Flat plate crush, Crush stopped when 13 ± 1 k. N reached, Crush all formats in one direction only NF, NE 100% SOC 5 fresh and 5 cycled cells 6. 2. 2 Impact Cells Same as UL 1642 NF, NE 1 sample (2 for prismatic) IEC 626603 6. 1. 3 Crush Cells Crushing mechanism 150 mm diameter: • Bar: for cylindrical • Sphere: for prismatic shaped NF, NE 1 sample 100% SOC for BEV, 80% SOC for HEV RTCA DO 311 N/A Not applicable at cell level

UN T 7 Test: Overcharge Test Name Device Tested Standard CL UN 38. 3. 4. 7 T 7: Overcharge Batteries (with protection) CC max with supply volt: • 2 x max charge voltage of battery or 22 V • 1. 2 x max charge voltage of battery 24 h charge, 7 d observation NF, ND for 7 d IEC 626603 6. 3. 2 Overcharge Cells Continue charging the cell beyond the 100 % SOC with 1 It for BEV application and 5 It for HEV. The voltage of cell reaches 120% of the maximum voltage, or the cell reaches 130 % SOC equivalent. NF, NE IEC 62619 9. 2. 2 Overcharge control of voltage Batteries charged at the maximum current of the recommended charger with voltage of supply set to exceed upper limit charging voltage by 10% for each cell in battery. NF, NE, BMU control auto dis. to prevent hazard 1 sample discharged IEC 62619 9. 2. 3 Overcharge control of current Batteries charged at a current exceeding the maximum charging current by 20%. NF, NE, BMU prevent Ich > Imax charge 1 sample discharged UL 2580, 1973 13 Overcharge Batteries Charge at max rate with single fault condition in charging circuit, push charging to 110% max charge voltage. NE, NF, NR, NC, NV, NL ≥ 100 /V 1 sample discharged SAE J 2929 4. 9 Single Point Overcharge Protection System Failure Batteries Charge at max rate, continue charging until the charge device voltage is reached or the connection interface disconnects battery from charge device, active charge control disabled during test NE, NF, NR, NC 1 sample discharged DRAFT Parameters 11 Requirements Comments 2 fresh sample and 2 cycled 25 x, 100% SOC

12 UN T 7 Test: Overcharge (continued) Standard CL Test Name ISO 124053 10. 1 Overcharge protection RTCA DO 311 2. 3. 18 Overcharge Protection Enabled Device Tested Parameters Requirements Comments Batteries Charge at 2 C or 5 C, power supply 20% above VCmax, continue charging until: Interrupt by auto disconnect, or 130% SOC reached or cell temps reach 55 C disconnect active controls NE, NF, NL, NR, ≥ 100 Ω/V, Overcharge protection works 100% SOC 1 sample Batteries Constant voltage, 1. 5 maximum battery voltage, current 8 times nominal current, 1 hour maintain of power source + 3 hours of observation NL, NF, NE, no fumes or smokes 1 sample fully charged

13 UN T 8 Test: Forced Discharge Standard CL Test Name Device Tested Parameters Requirements Comments UN 38. 3. 4. 8 T 8: Forced discharge Cells discharge at 1 It A for a test period of 90 min NF, ND 10 fresh cells 10 cycled cells 50 X discharged IEC 62619 8. 2. 6 Forced discharge Cells Same as UN 38. 3 T 8 NF, NE 1 sample, discharged IEC 62660 -3 6. 3. 3. 1 Forced discharge Cells discontinued when voltage of cell ≤ 25 % of nominal voltage specified by the mfg, or cell is discharged for 30 min. NF, NE 1 sample discharged RTCA DO-311 N/A Not applicable at cell level