UN 38.3 – Test summary: The test summary

Lithium cells and batteries may only be transported under UN numbers 3090, 3091, 3480 or UN 3481 – and sodium-ion cells and batteries since the beginning of 2025 – if manufacturers and subsequent distributors fulfil the tests and criteria de-s­cribed in section 38.3.5 of the UN manual and submit the corres­ponding test summary.

This summary contains the main results of the tests simulat­ing transport conditions such as pressure, temperature, crush­ing and impact. The report on the testing of the prototype or ­series is summarised on half a page.

Legal provisions and exceptions

The obligation to provide the test summary results from the dangerous goods regulations for land transport (ADR/RID/ADN, § 2.2.9.1.7 g), maritime transport (IMDG Code, § 2.9.4.7) and air transport (IATA-DGR, § 3.9.2.6.1 g).

These regulations have been in force since January 1st, 2020. The following are exempt:

• Prototypes and small series,
• waste and
• damaged or defective cells and batteries.

Obligations in land transport

Lithium and sodium-ion batteries that do not meet the requirements of special provision 230 are not authorised for land transport (§ 2.2.9.2 ADR/RID/ADN).

It is the responsibility of the consignor’s customer to check whether the transport is authorized (GGVSEB = German dangerous goods regulations for road, rail and inland waterway transport)

• the consignor’s principal (§ 17 (1) No. 1 GGVSEB),
• the consignor (§ 18 (1) No. 3 GGVSEB),
• the shipper (§ 21 (1) No. 1 GGVSEB). However, the responsibility for this inspection does not lie with the carrier (§ 19 GGVSEB).

Obligations in maritime transport

Lithium and sodium-ion batteries may only be transported by sea if the provisions of the IMDG Code are complied with (§ 3 (1) No. 1 GGVSee). In this case, the sender or consignor and the shipper must ensure that the test summary is available. If this is missing, the transport must be cancelled.

The shipper is obliged to provide all necessary documents required for the proper handling of the transport (§ 455 (1) ­sen­tence 1 of the German Commercial Law Code (HGB); § 413 (1) HGB; § 487 (1) HGB).

Risks in the event of violations

Violations of the regulations have serious consequences:

• consequences under administrative offence law (§ 37 (1) No. 3a, 4c and 10a GGVSEB, § 27 (1) No. 1a GGVSee).
• consequences under criminal law if transport without a test summary causes a hazard (§ 328 (3) No. 2 StGB).
• consequences under liability law if damage occurs. In this case, the shipper, consignor or charterer must pay for damages and expenses, even if there is no fault (§ 455 (2) sentence 1 no. 3 HGB; § 414 (1) no. 4 HGB; § 488 (1) sentence 1 no. 4 HGB).

Storage

The presence of the test summary is also required for storage (No. 5.1 VdS 3103) in Germany. The warehouse keeper should ask the client for the test summary. The storing party must provide this document and is liable for any damage caused by its absence, incompleteness or inaccuracy (Section 468 (3) sen-tence 1 no. 3 HGB).

Amendment 2025

From 2025, the term “make available” has been added to all dangerous goods regulations. Manufacturers and distributors must ensure that the test summary is accessible to the consignor and other persons in the supply chain so that compliance with the regulations can be verified.

Conclusion

If the test summary is missing, the transport or storage of lithium and sodium-ion batteries is not permitted. The risks are significantly higher than the potential costs of proper testing and documentation.

Dr. Norbert Müller
publicly certified and sworn expert for
the transport and storage of dangerous goods, Duisburg

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