ALM ® 12V7 s-Series User’s Guide Chapter 2: Regulatory Compliance406014-02EN, Rev. 05 © 2016 NEC Energy Solutions, Inc. All rights reserved. Page 13 of 49This document contains the proprietary information of NEC Energy Solutions, Inc. (“NECES”) and may not be modified,reproduced, retransmitted or redistributed, either in whole or in part, for any reason without NECES’ prior written consent.integrator must verify that the ALM 12V7 s-Series-powered host product is compliant with allapplicable regulations. Refer to Table 3 on page 14 for a list of proper names and UNnumbers required for shipping lithium-ion batteries.Regulations OverviewRechargeable lithium-ion (including lithium-ion polymer) cells and batteries are considereddangerous goods. The regulations that govern their transport are based on the UNRecommendations on the Transport of Dangerous Goods Model Regulations. Transport ofdangerous goods is regulated internationally by:• International Civil Aviation Organization (ICAO) Technical Instructions• International Air Transport Association (IATA) Dangerous Goods Regulations• International Maritime Dangerous Goods (IMDG) CodeIn the United States, transportation of hazardous material is regulated by Title (part) 49 of theCode of Federal Regulations or CFR’s. Title 49 CFR Sections 100-185 of the U.S. HazardousMaterials Regulations (HMR) contains the requirements for transporting cells and batteries.Refer to the following sections within 49 CFR for specific information.• Section 173.185 – Shipping requirements for lithium cells and batteries• Section 172.102 – Special Provisions• Sections 172.101, 178 – Further information and specifications on packagingThe Office of Pipeline and Hazardous Materials Safety Administration (PHMSA), which iswithin the U.S. Department of Transportation (DOT), is responsible for drafting and writing theU.S. regulations that govern the transportation of hazardous materials (also known asdangerous goods) by air, ground, and ocean.Regulations by Cell/Battery SizeLithium-ion batteries and cells are considered Class 9, which is one of nine classes ofhazardous materials or dangerous goods defined in the regulations. As a class 9 material,cells and batteries must meet UN testing and packaging requirements as well as shippingregulations.Following International and U.S. DOT RegulationsFailure to comply with International and U.S. DOT regulations while transporting Class 9Hazardous Materials (Dangerous Goods) may result in substantial civil and criminal penalties.