Lithium Battery Certifications and Export Documents Guide

Lithium battery certifications and export documents will vary based on the battery chemistry, configuration, application, and shipment method, and destination market. A document that satisfies the requirements for air transport might not demonstrate product safety, and a safety standard might not permit international shipment.

The most critical part of the process for OEM customers is to determine the compliance requirements prior to completing the cell, BMS and enclosure designs, as well as the final product design. Last minute changes may lead to further testing, late delivery and development costs.

Are All Lithium Battery Documents the Same?

No. Battery documentation generally falls into four categories:

Transportation testing and shipping documents
Product safety standards and certificates
Market-access and environmental compliance
Commercial export documents

UN38.3 for instance, is the one specified for transportation of lithium cells/batteries. IEC 62133-2 is the standard dealing with safe use of portable sealed rechargeable lithium cells and batteries. The CE marking is relevant to relevant EU legislation while an SDS or MSDS provides information on chemicals and handling.

A buyer should not assume that one report covers all four categories.

UN38.3 Test Report and Test Summary

The lithium cells and batteries available for transport are usually required to satisfy the tests and criteria provided in subsection 38.3 of the UN Manual of Tests and Criteria. The test series assesses the battery for transport related applications.

Typical UN38.3 tests include:

Altitude simulation
Thermal testing
Vibration
Shock
External short circuit
Impact or crush
Overcharge
Forced discharge

Tests that apply to the item are determined by whether it is a cell or battery, and whether it is rechargeable or not.

The manufacturers and subsequent distributors are also required to make the relevant UN38.3 test summary available. The summary typically specifies the manufacturer, the laboratory that did the testing, the report number and whether or not the battery passed or failed the tests. A passing grade for UN38.3 does not necessarily imply that the battery meets all product safety or market access requirements. It's mainly a transportation need. The Manual of Tests and Criteria of the UNECE is the current framework for the technical.

SDS or MSDS

An SDS, also referred to as an MSDS, will contain data on the chemical composition, chemical hazards, handling, storage, firefighting and transportation of the battery.

An SDS will aid freight forwarders, customs officials, importers and warehouse staff in understanding the product and how it is to be handled. An SDS is not a UN38.3 test report or test summary, however.

The document will be based on the actual battery chemistry and model being shipped. An assembled pack of a different material may require a different general cell level SDS that may not include enough information for the logistics provider.

IEC 62133-2

IEC 62133-2 specifies safety requirements and tests for portable sealed secondary lithium cells and batteries under intended use and reasonably foreseeable misuse.

It may be relevant to portable electronics, medical equipment, consumer devices and other rechargeable products. Testing can include electrical, mechanical and environmental safety evaluations, depending on the battery design and certification program.

IEC 62133-2 and UN38.3 serve different purposes. IEC 62133-2 focuses on product safety for portable rechargeable batteries, while UN38.3 addresses transport testing. A project may require both. Buyers can review the standard scope through the International Electrotechnical Commission.

UL Standards

The UL requirements are different for each cell, battery pack and end product. The common ones that are discussed are UL 1642 for Lithium cells, and UL 2054 for some household and commercial battery packs.

Other standards may apply to larger industrial/ stationary systems, depending on product category and installation. For instance, the same standard should not be used for assessing an energy-storage battery as would be used for a small portable battery pack.

Before freezing the design, make sure to check with the product certification lab the UL standard applicable to OEM buyers. The evaluation may be affected by cell selection, BMS architecture, enclosure materials, fuses, connectors and wiring.

CE Marking for the European Union

CE is not just an "off-the-shelf" battery quality certificate from a factory. It will show that a product that falls under European Union legislation has been evaluated for conformity and that the economic operator responsible for the product has prepared the technical documentation and declaration

It provides the EU Batteries Regulation, which sets standards on batteries on the European Union market and sets requirements on safety, sustainability, labelling, removability, battery waste management and other requirements based on battery type and timeline of implementation. The regulation came into effect on 17 August 2023 and has different requirements gradually. The European Commission provides guidance on batteries.

There may also be other EU regulations that the completed device must meet. The responsibility should be clearly shared between the battery manufacturer and device manufacturer, importer/authorized representative.

RoHS and REACH Documentation

ROHS limits the use of some hazardous materials within electrical and electronic goods. Unlike regular electronic components, batteries are not assessed in accordance with the RoHS regulations, but instead are evaluated as batteries under battery-specific EU legislation. Customers can still ask for material declarations and test reports on battery-pack components, wiring and connectors, as well as PCBs and related electronic components.

In addition, REACH declarations can be requested for materials provided to the European market containing restricted substances and/or substances of very high concern.

For accurate documentation, buyers should specify whether they need:

Supplier material declarations
Laboratory test reports
Full material disclosure
REACH SVHC statement
RoHS report for applicable pack components
Declaration for the finished electronic product

Battery Shipping Classification

Depending on the manner in which the battery is being supplied, the shipping requirements are changing:

Lithium batteries shipped by themselves
Batteries packed with equipment
Batteries contained in equipment

Other factors that influence classification, marking and documentation are the battery chemistry, quantity, mode of transport, and watt-hour rating of the battery.

There are state-of-charge and packaging requirements for lithium-ion batteries when being shipped by themselves for air transport. The rules change on a regular basis, so shippers should always use the latest instructions from the carrier (not the out-dated, on-line checklist). This is where the 2026 IATA battery guidance comes in handy, as it offers the latest information on the industry.

Common Export and Shipping Documents

Each shipment and destination may have different documentation details, but they can include any or all of the following:

Commercial invoice
Packing list
Sales contract or purchase order
Bill of lading or air waybill
Certificate of origin
Customs declaration
UN38.3 test report
UN38.3 test summary
SDS or MSDS
Dangerous goods declaration, when applicable
Packaging certificate or transport appraisal
Product specification
Applicable safety certificates
CE Declaration of Conformity
Environmental compliance declarations
Insurance documents

Not every shipment requires every document. The exporter, importer, freight forwarder and customs broker should confirm the final list before dispatch.

When Does a Custom Battery Need New Testing?

New or updated testing may be required when changes affect the battery type or certified construction. Important changes can include:

Cell manufacturer or cell model
Series-parallel configuration
Battery capacity or energy
BMS and protection design
Enclosure construction
Charging limits
Pack dimensions
Critical safety components

OEM buyers should avoid changing critical materials after certification unless the change has been reviewed by the manufacturer and testing body.

How GLOFLUX Supports OEM Battery Projects

GLOFLUX supports custom lithium-ion, lithium polymer and LiFePO4 battery projects from specification review through prototyping and production.

Compliance support may include:

Reviewing the application and target market
Selecting suitable cells and BMS architecture
Preparing battery specifications
Coordinating prototype testing
Providing available technical reports
Supporting third-party testing
Preparing transportation documents
Maintaining approved production materials

To verify if the battery is certified, the exact model should be checked. The report of one cell/battery configuration does not guarantee the certification of another customized pack.

Conclusion

There are so many more steps to lithium battery compliance than gathering a few certificates from a supplier. The buyer should differentiate between transport testing, product safety requirements, European market requirements and environmental declarations and commercial shipping documents.

It is best to provide confirmation of application, destination market and transportation method at the outset of the development process. By planning early, the battery manufacturer, product designer, certification laboratory and logistics provider will be able to coordinate prior to the finalisation of the battery design.

Frequently Asked Questions

1. Is UN38.3 a product safety certification?

No. UN38.3 mainly serves as a demonstration that the lithium cell or battery type has met all applicable transportation tests.

2. Can an MSDS replace a UN38.3 report?

No. The SDS/ MSDS gives information about the chemical and handling properties, and UN38.3 deals with transport-related testing.

3. Does every custom battery require IEC 62133-2?

Not necessarily. The standard depends on the type of battery, product application, destination market and certification scheme.

4. Can one UN38.3 report cover different battery packs?

Only the construction of the battery as tested and allowed in the variations covers the actual construction. Technical review or new testing may be required for cell, configuration, BMS or energy changes.

5. What documents should I request before shipment?

Ask for the battery specification, applicable documentation for UN38.3, SDS, commercial invoice, packing list and any certificates for the destination country and transport method.