One-line takeaway
Lithium batteries — both lithium-ion and lithium-metal — fall under the UN's Class 9 Miscellaneous Dangerous Goods. Every export from China requires a UN38.3 test report + SDS + dangerous-goods packaging certificate (ocean) or DGR handling (air). The right starting point is the UN number (UN3480 / UN3481 / UN3090 / UN3091), then apply the correct mode-specific regulation (IMDG for ocean, IATA DGR for air, ADR for ground). Get one detail wrong — packaging, declaration, destination compliance — and the entire shipment can be detained or seized.
1. Why lithium batteries are Class 9 DG
The UN Model Regulations (the "Orange Book") classify dangerous goods into 9 classes. Lithium batteries belong to Class 9, Miscellaneous Dangerous Goods because they:
- Contain flammable organic electrolyte (LiPF6, EC, DMC, etc.) that can ignite when short-circuited or overheated
- Use electrode materials containing metallic lithium or lithium compounds that release hydrogen on contact with water and oxidize violently in air
- Are prone to thermal runaway under physical damage, overcharge, or external short — a single cell fire can ignite an entire batch in under 30 seconds
- Are difficult to extinguish with conventional means — specialized Class D extinguishing agents or large volumes of cooling water are required
After UPS Flight 6 (2010) and Asiana Flight 991 (2011) crashed due to lithium battery fires, IATA banned standalone lithium batteries (UN3480 / UN3090) on passenger aircraft from 2016 — a milestone in DG history.
2. The four core UN numbers
| UN no. | Proper shipping name | Battery type | Packing form | IATA PI |
|---|---|---|---|---|
| UN3480 | Lithium-ion batteries | Li-ion / Li-polymer | Standalone (no equipment) | PI965 (cargo aircraft only) |
| UN3481 | Lithium-ion batteries packed with equipment | Li-ion / Li-polymer | Battery + equipment, separate inner packaging | PI966 |
| UN3481 | Lithium-ion batteries contained in equipment | Li-ion / Li-polymer | Inside the device (phones, laptops, cameras, toys) | PI967 |
| UN3090 | Lithium metal batteries | Li metal / Li alloy | Standalone | PI968 (cargo aircraft only) |
| UN3091 | Lithium metal batteries packed with equipment | Li metal / Li alloy | Battery + equipment, separate | PI969 |
| UN3091 | Lithium metal batteries contained in equipment | Li metal / Li alloy | Inside the device (watches, smoke alarms) | PI970 |
* Damaged, defective, or end-of-life lithium batteries take UN3480 / UN3090 with a "damaged" PI variant — never mix with normal batteries.
3. Four documents you must have
3.1 UN38.3 test report
What is UN38.3? Mandatory testing under Section 38.3 of the UN Manual of Tests and Criteria — 8 tests: T1 altitude simulation, T2 thermal, T3 vibration, T4 shock, T5 external short circuit, T6 impact, T7 overcharge, T8 forced discharge.
- Who tests: SGS, CMA, UL, TÜV, ATIC, ITC, and other accredited labs
- Validity: one report per battery model; needs re-testing on design change; some destination regulations require reports within 1 or 3 years
- Content: battery model, capacity (mAh), Wh, voltage, chemistry, 8 test results, lab accreditation
- Budget: RMB 6,000-15,000 per model, lead time 4-6 weeks
3.2 SDS / MSDS (Safety Data Sheet)
SDS is the GHS-aligned 16-section document covering: identification / hazards / composition / first aid / fire fighting / accidental release / handling & storage / exposure control / physical & chemical properties / stability & reactivity / toxicology / ecology / disposal / transport / regulatory / other.
- Authored by the manufacturer, compliant with GB/T 16483, ANSI Z400, ISO 11014, EU REACH
- English SDS is the international baseline; destination may require local language (24 EU languages, Arabic, etc.)
- SDS and MSDS are the same document — SDS is the current name after GHS adoption from 2008
3.3 Dangerous Goods Packaging Certificate (Chinese export only)
Ocean-only, issued by China's customs inspection authority, certifying that the packaging meets UN performance testing (drop, stacking, leakproofness, hydraulic, vibration). Without it, ocean LCL/FCL booking is refused.
- Applicant: the packaging manufacturer (not the freight forwarder or the cargo shipper)
- Validity: per packaging batch, typically 1 year
- Linked documents: Performance Certificate (with inspection stamp); for each shipment the shipper applies for a Use Certificate
3.4 DGD / DG Form (Dangerous Goods Declaration)
Air: IATA Shipper's Declaration for Dangerous Goods (triplicate), signed by a personnel with IATA DGR qualification.
Ocean: IMO Dangerous Goods Declaration (DGD) + Container Packing Certificate, signed by the shipper or agent.
4. Lithium batteries by air: IATA DGR essentials
IATA DGR is reissued annually. 2026 highlights (core rules only — defer to the latest IATA manual in practice):
| Category | UN / PI | Passenger A/C | Cargo A/C | Package max |
|---|---|---|---|---|
| Standalone Li-ion | UN3480 PI965 IA | Forbidden | Allowed, ≤35 kg/pkg | 35 kg |
| Standalone Li-ion (section II) | UN3480 PI965 IB | Forbidden | Allowed, ≤10 kg/pkg | 10 kg |
| Li-ion packed with equipment | UN3481 PI966 | Allowed (as DG) | Allowed | 5 kg (IB section) |
| Li-ion contained in equipment | UN3481 PI967 | Allowed; ≤4 cells / 2 batteries with conditions may be exempt | Allowed | 5 kg (IB) |
| Standalone Li-metal | UN3090 PI968 | Forbidden | Allowed | 2.5 kg lithium content |
- State of charge (SOC): UN3480 (PI965) cargo aircraft shipments must be at ≤30% SOC to reduce thermal runaway risk.
- Labels: Class 9 hazard label (diamond with battery icon), CAO label (cargo aircraft only), UN number + proper shipping name labels, and Lithium Battery handling mark where applicable.
- Carrier approval: most carriers (Air China Cargo, China Eastern, Cathay Cargo, Lufthansa Cargo, etc.) require 48-hour advance approval for lithium battery bookings.
5. Lithium batteries by ocean: IMDG essentials
The IMDG Code, issued by IMO and updated biennially, classifies lithium batteries as Class 9 and imposes:
- Packaging: UN-certified packaging (4G / 4GV / 4H2, etc.) with valid DG packaging certificate
- Container: FCL uses SOC (Shipper Owned Container) or carrier-approved DG containers; LCL requires a DG-licensed CFS warehouse
- Declaration: "Dangerous Goods, Class 9, UN 3480, Lithium Ion Battery" on the B/L, plus DGD + Container Packing Certificate
- Cutoff: DG cargo closes 24-48 hours earlier than general cargo; book at least 7 days ahead
- Carrier policy: MSC, Maersk, CMA CGM and others have dedicated lithium-battery acceptance policies — submit UN38.3 + SDS for DG-team review before booking
- Restricted ports: Long Beach, Rotterdam, and others impose storage limits on lithium batteries — select supported ports
6. China domestic trucking & terminal handling
- DG-licensed vehicles: only trucks with a Road Transport License for Dangerous Goods may move lithium batteries within China
- Certified attendants: each vehicle requires one DG transport personnel certificate holder on board
- Route filing: some provinces require route filing with local traffic police 24 hours ahead
- Dedicated DG yards: Qingdao, Shanghai, Ningbo, Yantian all maintain DG-segregated yards
- Supervised loading: a DG-qualified packer must supervise container stuffing and sign the Container Packing Certificate
7. Destination-country compliance highlights
| Destination | Primary regulation | Key points |
|---|---|---|
| United States | 49 CFR + DOT + PHMSA | HazMat registration, UN38.3, UL listing (some applications); Amazon FBA requires the DG review |
| European Union | ADR / RID / IMDG + 2006/66/EC + EU 2023/1542 | CE marking, battery registration (DE EAR, FR ADEME, etc.), recycling obligations, new Battery Regulation phased in 2025-2028 |
| United Kingdom | UK CA + Battery Regulations 2009 | Post-Brexit UKCA replacing CE, producer registration |
| Canada | TDG + IATA / IMDG | Bilingual labels (EN + FR), Transport Canada filing |
| Japan | PSE + Chemical Substances Control Law | PSE round mark (low capacity) or diamond mark (high capacity); BMS testing for high-power packs |
| Australia | ADG Code + RCM | RCM compliance mark, ACCC mandatory safety standard rolling out 2025 for some categories |
| Russia | EAC + GOST | EAC certification, GOST test report |
| Middle East | SASO (Saudi) / G-Mark (Gulf) | SASO lithium-battery mandatory certification, SABER system filing |
8. Common HS codes & VAT refund rates
| HS code | Description | Typical use | 2026 export VAT refund |
|---|---|---|---|
| 8507.60.00.10 | Lithium-ion accumulators ≤2 kWh | Consumer electronics, power tools | 13% |
| 8507.60.00.20 | Lithium-ion accumulators >2 kWh ≤20 kWh | Home ESS, e-bikes / e-scooters | 13% |
| 8507.60.00.90 | Other lithium-ion accumulators | EV, industrial ESS | 13% (product-dependent) |
| 8506.50.00.00 | Lithium primary cells | Remotes, smoke alarms | 13% |
| 8504.40.30.00 | BMS (battery management system) | Battery protection PCB | 13% |
* Refund rates are subject to the current Export Goods and Labor VAT Refund Catalog. Some lithium products were adjusted in 2026 — see our VAT refund changes article.
9. Six common mistakes that get shipments held
- Treating lithium batteries as general cargo: wrong HS + missing DG declaration → customs seizes for misdeclaration or DG smuggling.
- Expired UN38.3 report: US Customs, EU Customs, and Amazon FBA enforce strict validity windows (often 1 year) — expired = none.
- SDS not in destination language: EU member states require local-language SDS; English-only may be refused at the border.
- Missing exterior labels: Class 9 label, UN + proper shipping name, CAO label (air) — all mandatory.
- SOC exceeds 30%: factories often ship cells at 100% SOC. UN3480 PI965 air shipments require discharge to ≤30% pre-shipment.
- Wrong booking sequence: booking first and submitting DG paperwork later is regularly refused. Submit UN38.3 + SDS to the carrier's DG team for approval, THEN book.
10. Indicative cost & transit time
| Mode | Example route | Transit | Indicative cost |
|---|---|---|---|
| FCL ocean | Qingdao → Los Angeles | 12-18 days | USD 3,500-6,500 / 40HQ + DG surcharge |
| LCL ocean | Qingdao → Rotterdam | 30-40 days | USD 90-150 / CBM + DG surcharge |
| Cargo air | Qingdao → New York | 5-8 days | USD 6-9 / kg (PI965) |
| Passenger air (in-equipment) | Qingdao → Frankfurt | 3-5 days | USD 5-7 / kg (PI967, ≤5kg/pkg) |
| Ocean+truck DDP (FBA) | Qingdao → FBA ONT8 | 25-35 days | USD 4-6 / kg (duty paid to FC) |
| China-Europe rail | Yiwu / Xi'an → Duisburg | 16-22 days | USD 4,000-6,500 / 40HQ + DG |
* Indicative only. DG surcharges typically run USD 200-800 per shipment depending on carrier. Peak season and pre-Chinese New Year add significant uplift.
11. How Mighty International can help
Our DG-qualified team at Qingdao port can manage:
- Ocean FCL / LCL exports (with SOC containers, DG packaging certificate)
- Air DGR shipments (IATA-qualified personnel, cargo aircraft booking)
- DDP duty-paid to door for US FBA, EU overseas warehouses, Russia
- UN38.3 testing and SDS authoring via partner laboratories
- Destination compliance advisory (CE / UKCA / PSE / SASO / EAC)
- China-Europe rail for lithium batteries (Qingdao / Yiwu / Xi'an departures)
- DG HS classification and China VAT refund filing
Need a lithium-battery shipping plan?
Send us your product specs (mAh / Wh / chemistry), quantity, and destination — routing and pricing within one business day.
Talk to our DG teamFrequently asked questions
What is the difference between UN3480 and UN3481?
UN3480 = standalone Li-ion (no equipment). UN3481 = with equipment (PI966 packed separately, PI967 inside the device). Li-metal takes UN3090 / UN3091.
Is a UN38.3 test report mandatory?
Yes — every lithium battery export, including in-equipment, needs UN38.3 from an accredited lab (SGS / CMA / UL / TÜV). Validity 1-3 years.
Which mode is most restrictive — air, ocean, or ground?
Air is strictest: UN3480 banned on passenger aircraft since 2016. Ocean is most permissive for large volumes. China ground requires DG-licensed vehicles + attendants.
Are MSDS and SDS the same?
Same document — SDS is the current GHS-aligned name (16 sections). MSDS was the older name. China GB/T 16483, EU REACH, US OSHA all use SDS today.
How do I ship lithium batteries to Amazon FBA?
FBA accepts lithium batteries after a DG review (4-7 days). Most cost-effective: ocean+truck DDP with UN38.3 + DG declaration. Air for in-equipment SKUs costs 3-5x more.
References & further reading
- UN Recommendations on the Transport of Dangerous Goods — Model Regulations
- UN Manual of Tests and Criteria, Section 38.3
- IATA Dangerous Goods Regulations (latest edition)
- IMDG Code (International Maritime Dangerous Goods Code)
- EU Battery Regulation (EU 2023/1542)
- Related guides: HS Code Lookup & Classification, DDP Shipping from China
Disclaimer: This guide is general informational content. Defer to the latest IATA DGR, IMDG Code, destination-country regulations, and carrier policies for actual operations. Lithium battery transport is highly specialized — work with a DG-qualified freight forwarder.