1. The Particularity and Importance of Shipping Lithium Batteries by Sea

In the era of booming global trade, lithium batteries are widely used, from electronic devices to new – energy vehicles. However, shipping lithium batteries by sea has its own unique characteristics. Lithium batteries are classified as Class 9 dangerous goods, which means their international sea transportation must adhere to strict regulations. The International Maritime Dangerous Goods Code (IMDG Code) formulated by the International Maritime Organization (IMO) provides detailed and strict rules for the transportation of lithium batteries.

Compliant transportation of lithium batteries is crucial for safety, trade, and legal liability. In terms of safety, lithium batteries pose risks such as fire and explosion during transportation. If the transportation does not comply with relevant regulations, it may pose a serious threat to ships, crew members, and other goods. For example, there was a cargo ship that caught fire due to improper transportation of lithium batteries, resulting in the loss of goods and endangering the lives of crew members.

In the aspect of trade, compliant transportation ensures the smooth arrival of goods at the destination, avoiding cargo detention and delays caused by incomplete or non – compliant documents, thus safeguarding the normal conduct of trade. From a legal liability perspective, if the transporter violates relevant regulations, they may face huge fines or even legal lawsuits.

The purpose of this article is to provide clear guidance for exporters and logistics practitioners, helping them understand the essential documents for shipping lithium batteries by sea and ensuring the safety and compliance of the transportation process.

2. Core Document List: Five Essential Documents for Shipping Lithium Batteries by Sea

2.1 MSDS (Material Safety Data Sheet)

The MSDS details the composition, physical and chemical properties, and safety operation guidelines of the battery. It is compiled by the manufacturer or supplier. Its function is to enable all parties involved in transportation, including shipping companies, freight forwarders, and dock workers, to understand the hazards of the product and the emergency measures to be taken in case of an emergency. For example, the MSDS will explain the possible reactions of lithium batteries under high – temperature or impact conditions and how to extinguish fires.

2.2 UN38.3 Test Report

The UN38.3 test report includes the results of eight safety tests, such as altitude simulation, thermal cycling, and vibration. This report is issued by professional testing laboratories recognized by CNAS, such as SGS, Intertek, and CATARC. Generally, the validity period of this report is indefinite after the first shipment, unless there is a design change in the battery. These eight tests comprehensively evaluate the safety of lithium batteries under different environments and conditions to ensure that they will not pose risks during transportation.

2.3 Dangerous Goods Packaging Certificate (Certificate of Approval for the Use of Packaging for Dangerous Goods)

The dangerous goods packaging certificate is a document that proves the packaging complies with the IMDG Code. In China, it is issued by the Chinese customs or the entry – exit inspection and quarantine agency. Other countries also have corresponding institutions responsible for this work. It should be noted that this is a requirement specific to exports from China, and the content of the certificate must be consistent with the actual packaging. If the packaging changes, a new certificate needs to be obtained.

2.4 Maritime Transport Appraisal Report

The purpose of the maritime transport appraisal report is to confirm the transport classification and packaging grade of the goods. It is issued by an appraisal institution recognized by the maritime authority. Some ports or shipping companies may have additional requirements. This report helps all parties involved in transportation accurately understand the nature of the goods and the required packaging requirements, so as to take appropriate transportation measures.

2.5 Lithium Battery Transport Declaration

The lithium battery transport declaration is provided and signed by the shipper. It includes a statement of compliance with the IMDG Code and product information. Usually, it adopts the format recommended by the IMO. It is a commitment from the shipper regarding the compliance of the goods during transportation.

3. Supplementary and Auxiliary Documents

3.1 Packing Certificate/Inspection Form

The packing certificate/inspection form is used to ensure that the loading of lithium batteries complies with requirements such as isolation and fixation. It is signed by the packing personnel or the person in charge, recording various inspection details during the packing process, such as the proper placement of the goods and whether necessary fixing measures have been taken.

3.2 Declaration of Conformity (DOC)

Some shipping companies require a declaration of conformity to prove that the overall transportation process complies with relevant regulations. This is a measure taken by shipping companies to ensure the safety of cargo transportation.

3.3 Shipping Company Application Form (e.g., CSD Form)

Each shipping company has its own specific application form for booking dangerous goods, such as the CSD form. The shipper needs to fill out these forms according to the requirements of the shipping company, accurately declaring the UN number, packaging class, and other information of the goods.

4. Detailed Process of Document Handling

4.1 Stage One: Production and Testing Preparation

First, it is necessary to determine the product classification, distinguishing between lithium – ion/metal batteries and whether they are transported separately or with equipment. Different types of batteries may have different transportation requirements and document – handling procedures. Then, conduct the UN38.3 test by contacting a recognized laboratory. The testing period usually takes 2 – 4 weeks. Finally, compile the MSDS based on the test results and product information.

4.2 Stage Two: Packaging and Appraisal

Select UN – certified packaging that complies with the corresponding clauses of PI 965 – PI 970. Then, apply for the dangerous goods packaging certificate from the local customs, providing materials such as the UN38.3 report and the packaging performance certificate. After on – site inspection, the certificate will be issued. At the same time, submit samples and materials to the appraisal institution to obtain the maritime transport appraisal report.

4.3 Stage Three: Booking and Declaration

Choose a qualified shipping company and confirm its dangerous goods acceptance policy in advance. Then, submit the documents for pre – review, including the MSDS, UN38.3 report, and dangerous goods packaging certificate. Fill out the shipping company’s form accurately, declaring relevant information about the goods. Finally, sign and submit the transport declaration, which should be delivered with the goods.

4.4 Stage Four: Pre – shipment Preparation

Before shipment, affix Class 9 dangerous goods labels and lithium – battery markings on the goods. Prepare the packing certificate, recording the packing inspection details. Put copies of the documents in a waterproof bag and transport them with the goods to ensure they are not damaged during transportation.

5. Common Problems and Precautions

5.1 Document Timeliness and Updates

If there is a design change in the lithium battery, it is necessary to conduct new tests and update relevant documents. Moreover, regulations are constantly being updated. For example, the IMDG Code is revised every two years. Transporters need to ensure that their documents comply with the latest version of the regulations.

5.2 Special Requirements of Different Countries/Ports

Different countries and ports may have special requirements. For instance, the United States requires FMC registration, and the European Union has additional ADR clauses. Additional documents may be required for customs clearance at the destination port. Transporters need to understand these requirements in advance to avoid affecting the transportation and customs clearance of the goods.

5.3 Avoiding Typical Errors

It is necessary to avoid inconsistencies between the document information and the actual goods, such as the battery specifications recorded in the document not matching the actual goods. In addition, the packaging grade must be consistent with the report, and non – compliant packaging cannot be used. Also, pay attention to the markings required by updated regulations, such as new requirements added in 2024, and do not omit them.

5.4 Handling Special Situations

For sample transportation, there may be a simplified process, but certain conditions still need to be met. For defective/recalled batteries, there are additional requirements, such as special packaging and transportation measures. There are also strict restrictions on the mixed loading of lithium batteries with other dangerous goods, and it cannot be done randomly.

6. Recommended Resources and Tools

The official websites of authoritative organizations are important sources of information, such as the websites of the IMO, IATA, and maritime authorities of various countries, which publish the latest regulations. Query tools like shipping companies’ dangerous goods acceptance standard databases can help transporters understand the specific requirements of each shipping company. In addition, professional services such as dangerous goods freight forwarders and compliance consulting companies can provide professional advice and assistance. According to a report from a European logistics research institution, about 30% of lithium – battery shipments face document – related issues, highlighting the importance of using these resources and tools.

7. Conclusion: Building a Culture of Compliance

Systematic document management is crucial for shipping lithium batteries by sea. Transporters need to establish a comprehensive document – management system to ensure the accuracy, completeness, and timely update of documents. Continuous training and regulatory tracking are also essential. Employees need to constantly learn new regulations and requirements to adapt to the ever – changing transportation environment. In the process of shipping lithium batteries by sea, a balance must be found among safety, compliance, and efficient transportation to ensure the smooth transportation of goods and the safety of the entire transportation process. Only in this way can a good reputation be established in international trade and unnecessary risks and losses be avoided.