21A/746/CD

COMMITTEE DRAFT (CD)

P ROJECT NUMBER :

IEC 63338 ED1

D ATE OF CIRCULATION : C LOSING DATE FOR COMMENTS :

2021-01-08 2021-04-02

S UPERSEDES DOCUMENTS :

21A/727A/NP, 21A/733/RVN

IEC SC 21A : S ECONDARY CELLS AND BATTERIES CONTAINING ALKALINE OR OTHER NON - ACID ELECTROLYTES

S ECRETARIAT : S ECRETARY :

France Mr Pierre Bourg

O F INTEREST TO THE FOLLOWING COMMITTEES : P ROPOSED HORIZONTAL STANDARD :

TC 21,TC 120
Other TC/SCs are requested to indicate their interest, if any,
in this CD to the secretary.

F UNCTIONS CONCERNED :
EMC E NVIRONMENT Q UALITY ASSURANCE S AFETY

This document is still under study and subject to change. It should not be used for reference purposes.

Recipients of this document are invited to submit, with their comments, notification of any relevant patent rights of
which they are aware and to provide supporting documentation.

T ITLE :

General guidance for reuse of secondary cells and batteries

N OTE FROM TC/SC OFFICERS :

Copyright © 2021 International Electrotechnical Commission, IEC. All rights reserved. It is permitted to download
this electronic file, to make a copy and to print out the content for the sole purpose of preparing National Committee
positions. You may not copy or "mirror" the file or printed version of the document, or any part of it, for any other
purpose without permission in writing from IEC.
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2 CONTENTS
3 FOREWORD ........................................................................................................................... 4

4 INTRODUCTION ..................................................................................................................... 6
5 1 Scope .............................................................................................................................. 7
6 2 Normative references ...................................................................................................... 7
7 3 Terms and definitions ...................................................................................................... 8
8 4 General Considerations ................................................................................................. 12
9 5 Consideration of Safety Risks Associated with Reuse .................................................... 13
10 5.1 General ................................................................................................................. 13
11 5.2 Lithium systems .................................................................................................... 14
12 5.2.1 Secondary lithium batteries ........................................................................... 14
13 5.2.2 Secondary lithium battery systems ................................................................. 14
14 5.3 Nickel systems ...................................................................................................... 15
15 5.3.1 Nickel metal-hydride cells and batteries ......................................................... 15
16 5.3.2 Nickel metal-hydride battery systems ............................................................. 16
17 5.4 Battery management system ................................................................................. 16
18 5.4.1 Battery management system functions ........................................................... 17
19 5.4.2 BMS data ...................................................................................................... 18
20 6 Considerations for Reused Battery Systems .................................................................. 18
21 6.1 General ................................................................................................................. 18
22 6.2 Determining suitability for reuse (based on battery lifetime traceability data) ......... 18
23 6.2.1 Battery lifetime traceability data ..................................................................... 18
24 6.3 Safety evaluation of reused batteries .................................................................... 19
25 6.4 Reused cell and battery operating region .............................................................. 19
26 7 Coordination on Reuse with the Original Manufacturer .................................................. 20
27 7.1 General ................................................................................................................. 20
28 7.2 Caution statements on reuse applicability ............................................................. 20
29 7.2.1 Originally intended reuse (according to the original manufacturer) ................. 20
30 7.2.2 Originally unintended reuse (according to the original manufacturer) ............. 20
31 7.2.3 Caution statement not available ..................................................................... 20
32 8 Recommendations for Reuse Application Manufacturers................................................ 20
33 8.1 Removal of original cell or battery label and markings ........................................... 20
34 9 Environmental Options in Case Reuse is Not Possible ................................................... 21
35 Annex A (informative) Guidance Checklist .......................................................................... 22
36 Annex B (informative) Reuse Relevant Reference Information ............................................ 23
37 B.1 Interim Measures for the Administration of Recycling and Utilization of New
38 Energy Vehicles .................................................................................................... 23
39 B.2 UL 1974 ................................................................................................................ 23
40 B.3 SAE J2997 (Under development) .......................................................................... 23
41 B.4 prEN 45554 (Under development) ......................................................................... 23
42 B.5 National Renewable Energy Laboratory TP-5400-63332 ....................................... 24
43 B.6 European Commission JRC Technical Report 2018-08-28 .................................... 24
44 B.7 Ecodesign preparatory Study for Batteries 2019-09-20 ......................................... 24
45 Bibliography .......................................................................................................................... 25
46
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47 Figure 1 – Scope of IEC 63338 ED1 ....................................................................................... 7

48 Figure 2 – Battery System Configuration Example ................................................................ 15
49 Figure 3 – Example of Protection Device Installation ............................................................. 16
50 Figure 4 – Requirements for the BMS ................................................................................... 17
51

52 Table A.1 – Checklist of recommendations before reuse of relevant secondary cells

53 and batteries ......................................................................................................................... 22
54 Table B.1 – Reuse Relevant Reference Information .............................................................. 23

55
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56 INTERNATIONAL ELECTROTECHNICAL COMMISSION

57 ____________

58

59 GENERAL GUIDANCE FOR REUSE OF SECONDARY CELLS AND

60 BATTERIES
61

62 FOREWORD

63 1) The International Electrotechnical Commission (IEC) is a worldwide organization for standardization

64 comprising all national electrotechnical committees (IEC National Committees). The object of IEC is to
65 promote international co-operation on all questions concerning standardization in the electrical and
66 electronic fields. To this end and in addition to other activities, IEC publishes International Standards,
67 Technical Specifications, Technical Reports, Publicly Available Specifications (PAS) and Guides (hereafter
68 referred to as “IEC Publication(s)”). Their preparation is entrusted to technical committees; any IEC National
69 Committee interested in the subject dealt with may participate in this preparatory work. International,
70 governmental and non-governmental organizations liaising with the IEC also participate in this preparation.
71 IEC collaborates closely with the International Organization for Standardization (ISO) in accordance with
72 conditions determined by agreement between the two organizations.
73 2) The formal decisions or agreements of IEC on technical matters express, as nearly as possible, an
74 international consensus of opinion on the relevant subjects since each technical committee has
75 representation from all interested IEC National Committees.
76 3) IEC Publications have the form of recommendations for international use and are accepted by IEC National
77 Committees in that sense. While all reasonable efforts are made to ensure that the technical content of IEC
78 Publications is accurate, IEC cannot be held responsible for the way in which they are used or for any
79 misinterpretation by any end user.
80 4) In order to promote international uniformity, IEC National Committees undertake to apply IEC Publications
81 transparently to the maximum extent possible in their national and regional publications. Any divergence
82 between any IEC Publication and the corresponding national or regional publication shall be clearly indicated
83 in the latter.
84 5) IEC itself does not provide any attestation of conformity. Independent certification bodies provide conformity
85 assessment services and, in some areas, access to IEC marks of conformity. IEC is not responsible for any
86 services carried out by independent certification bodies.
87 7) No liability shall attach to IEC or its directors, employees, servants or agents including individual experts and
88 members of its technical committees and IEC National Committees for any personal injury, property damage
89 or other damage of any nature whatsoever, whether direct or indirect, or for costs (including legal fees) and
90 expenses arising out of the publication, use of, or reliance upon, this IEC Publication or any other IEC
91 Publications.
92 8) Attention is drawn to the Normative references cited in this publication. Use of the referenced publications
93 is indispensable for the correct application of this publication.
94 9) Attention is drawn to the possibility that some of the elements of this IEC Publication may be the subject of
95 patent rights. IEC shall not be held responsible for identifying any or all such patent rights.

96 International Standard IEC XXXXX has been prepared by subcommittee XX: TITLE, of IEC
97 technical committee XX:XXX.

98 The text of this International Standard is based on the following documents:

99

FDIS Report on voting

 IEC CD 63338 ED1  IEC:2021 –5– 21A/746/CD

XX/XX/FDIS XX/XX/RVD

100

101 Full information on the voting for the approval of this International Standard can be found
102 in the report on voting indicated in the above table.

103 This document has been drafted in accordance with the ISO/IEC Directives, Part 2.

104 The committee has decided that the contents of this document will remain unchanged until
105 the stability date indicated on the IEC website under "http://webstore.iec.ch" in the data
106 related to the specific document. At this date, the document will be
107 • reconfirmed,
108 • withdrawn,
109 • replaced by a revised edition, or
110 amended.
111 •
112

113 The National Committees are requested to note that for this document the stability date
114 is 20XX..

115 THIS TEXT IS INCLUDED FOR THE INFORMATION OF THE NATIONAL COMMITTEES AND WILL BE DELETED

116 AT THE PUBLICATION STAGE .

117
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118 INTRODUCTION

119 Based on the principles of life cycle thinking (LCT) and environmentally conscious design (ECD),
120 secondary battery reuse is a means to extend service life, and reduce raw material consumption.
121 However, there are inherent safety risks to be considered before reusing a battery.

122 The primary purpose of this document is intended to provide: basic guidance on the
123 environmental aspects of reuse of relevant cells and batteries; basic guidance on safety risks
124 for the reuse of relevant cells and batteries; basic guidance on original manufacturer caution
125 statements on the applicability of a product for reuse; and useful information regarding reuse
126 and relevant cell and battery regulations and standards to interested parties.

127 Additionally, various regions and countries are currently developing requirements and
128 regulations for the reuse of secondary cells and batteries, especially those used for the
129 propulsion of electric road vehicles, after being extracted at their end of life. These differing
130 requirements and regulations could lead to trade barriers in the future. Therefore, the secondary
131 purpose of this document is avoiding potential trade barrier issues by providing nations and
132 regions that lack secondary battery reuse regulations with guidance with which they can
133 establish harmonized standardization with the international standard.

134 The expected users of this document are: original manufacturers (including cell and battery or
135 application), qualified reuse application manufacturers, and end-users; national, regional, and
136 local authorities that establish secondary battery reuse regulations; and national, regional, and
137 local authorities that revise secondary battery reuse regulations.

138 However, other stakeholders are not precluded from using this document.

139 National and regional standards, regulations and voluntary stewardship programs are given
140 priority in the matters covered in this document.
 IEC CD 63338 ED1  IEC:2021 –7– 21A/746/CD

141 GENERAL GUIDANCE ON REUSE OF SECONDARY CELLS AND

142 BATTERIES
143
144

145 1 Scope

146 This document applies to the reuse of secondary lithium and nickel metal-hydride cells and
147 batteries after extraction from the application they were first placed on the market with
148 (hereafter “relevant cells and batteries”).
149 Note: Reuse can be divided between refurbishing and repurposing. Compare with 3.15
150 “originally intended reuse” and 3.16 “originally unintended reuse”.

151

Reuse
(Scope of IEC 63338 ED1)

Originally
intended
reuse
(3.15)
New
secondary First placed Extraction
cell and on the from original Recycling
battery market application
manufacturing
Originally
unintended
reuse
(3.16)

152 Figure 1 – Scope of IEC 63338 ED1

153 2 Normative references

154 The following documents are referred to in the text in such a way that some or all of their content
155 constitutes requirements of this document. For dated references, only the edition cited applies.
156 For undated references, the latest edition of the referenced document (including any
157 amendments) applies.
158

159 IEC 62430 ED2, Environmental Conscious Design (ECD) – Principles, requirements and
160 guidance

161 IEC 62619:2017, Secondary cells and batteries containing alkaline or other non-acid
162 electrolytes - Safety requirements for secondary lithium cells and batteries, for use in industrial
163 applications

164 IEC 63115-2:202X, Secondary cells and batteries containing alkaline or other non-acid
165 electrolytes - Sealed nickel-metal hydride rechargeable cells and modules for use in industrial
166 applications - Part 2: Safety

167 IEC 61508, Functional safety of electrical/electronic/programmable electronic safety related

168 systems
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169 3 Terms and definitions

170 For the purposes of this document, the following terms and definitions apply.
171 ISO and IEC maintain terminological databases for use in standardization at the following
172 addresses:
173
174 • IEC Electropedia: available at http://www.electropedia.org/
175 • ISO Online browsing platform: available at http://www.iso.org/obp

176

177 3.1
178 product

179 goods or service

180 [SOURCE: ISO 14050:2009, definition 6.2]

181 3.2
182 electric road vehicle
183 electric vehicle with only a traction battery as power source for vehicle propulsion (battery
184 electric vehicle) or vehicle with both a rechargeable energy storage system and a fuelled power
185 source for propulsion (hybrid electric vehicle)

186 [SOURCE: IEC 62660-1 2018 ED2, definitions 3.1, 3.2 modified]

187 3.3
188 waste battery

189 cells or batteries which the owner discards or intends or is required to discard

190 Note 1 to entry: assessment of used batteries for possibility to repurpose is included in IEC 63330 ED1

191 3.4
192 environment
193 surroundings in which an organization operates, including air, water, land, natural resources,
194 flora, fauna, humans, and their interrelation

195 Note 1 to entry: Surroundings in this context extend from within an organization to the global system.

196 [SOURCE: ISO 14050:2009, definition 3.1]

197 3.5
198 environmental aspect
199 element of a product that, during its life-cycle, can interact with the environment

200 3.6
201 environmental impact
202 any change to the environment, wholly or partly resulting from a product environmental aspect

203 3.7
204 environmental impact assessment
205 A process to determine the magnitude and significance of environmental impacts within the
206 confines of the goals, scope, and objectively defined in the life-cycle assessment

207 3.8
208 environmentally conscious design
209 ECD
210 systematic approach which takes into account environmental aspects in the design and
211 development process with the aim to reduce adverse environmental impacts
 IEC CD 63338 ED1  IEC:2021 –9– 21A/746/CD

212 [SOURCE: IEC 62430:2009, definition 3.6]

213 3.9
214 life-cycle
215 consecutive and interlinked stages of a product system, from raw material acquisition or
216 generation of natural resources to final disposal

217 [SOURCE: ISO 14050:2009, definition 7.1]

218 3.10
219 life-cycle thinking
220 LCT
221 consideration of all relevant environmental aspects (of a product) during the entire (product)
222 life-cycle definition

223 [SOURCE: IEC Guide 109:2012, definition 3.10]

224 3.11
225 life-cycle assessment
226 LCA
227 compilation and evaluation of the inputs and, outputs and the potential environment impacts of
228 a product system throughout its life-cycle

229 [SOURCE: ISO 14140:2006, definition 3.2]

230 3.12
231 end of life
232 EOL
233 Life-cycle stage of a product starting when it is finally removed from its intended use-phase

234 [SOURCE: IEC 62075:2012, definition 3.4, modified]

235 3.13
236 recycling
237 processing of waste materials for the original purpose or for other purposes, excluding energy
238 recovery

239 [SOURCE: ISO 15270:2008, definition 3.30, modified]

240 3.14
241 reuse
242 operations by which secondary batteries that are not waste are used again in an application

243 Note 1 to entry: Reuse can be divided between refurbishing and repurposing. Compare with 3.15 “originally
244 intended reuse” and 3.16 “originally unintended reuse”
245

246 3.15
247 originally intended reuse
248 operation by which secondary batteries that are not waste are used again in the same
249 application as when first placed on the market as originally intended from the design stage,
250 after refurbishing (intended refurbishing), or used again in a different application to when first
251 placed on the market as originally intended from the design stage (intended repurposing)
252 Note 1 to entry: Compare with 3.16 "originally unintended reuse”

253 3.16
254 originally unintended reuse
255 operation by which secondary batteries that are not waste are used again in the same
256 application as when first placed on the market not as originally intended from the design stage,
257 after refurbishing (unintended refurbishing), or used again in a different application to when first
258 placed on the market not as originally intended from the design stage (unintended repurposing)
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259 Note 1 to entry: Compare with 3.15 “originally intended reuse”

260 3.17
261 reuse application
262 application in which a cell or battery or battery system is used after undergoing reuse operations

263 Note 1 to entry: Compare with 3.15 “originally intended reuse” and 3.16 “originally unintended reuse”

264 [SOURCE: IEC 62619]

265 3.18
266 secondary cell
267 basic manufactured unit providing a source of electrical energy by direct conversion of chemical
268 energy, that consists of electrodes, separators, electrolyte, container and terminals, and that is
269 designed to be charged electrically

270 [SOURCE: IEC 62133-1, IEC 62133-2]

271 3.19
272 secondary battery
273 assembly of secondary cell(s) which may include associated safety and control circuits and
274 case, ready for use as a source of electrical energy characterized by its voltage, size, terminal
275 arrangement, capacity and rate capability

276 Note 1 to entry: Includes single cell batteries

277 3.20
278 battery system
279 battery
280 system which comprises one or more cells, modules or battery packs
281 Note 1 to entry: It has a battery management system to cut off in case of overcharge, overcurrent, overdischarge,
282 and overheating.
283 Note 2 to entry: Overdischarge cut off is not mandatory if there is an agreement between the battery manufacturer
284 and the customer.
285 Note 3 to entry: The battery system may have cooling or heating units.

286 [SOURCE: IEC 62619 modified]

287 3.21
288 service life
289 total period of useful life of a cell or a battery in operation which is specified for original usage

290 Note 1 – For secondary cells and batteries, the service life may be expressed in time, number of charge/discharge
291 cycles, or capacity in ampere hours (Ah).

292 Note 2 – service life does not equal the guarantee or warrantee period provided by the original manufacturer.

293 Note 3 – battery refers to a secondary cell, module, battery pack and battery system

294 [SOURCE: IEC 60050-482:2004, 482-03-46, modified]

295 3.22
296 secondary lithium cell
297 Li-ion cell
298 secondary cell with an organic solvent electrolyte and positive and negative electrodes which
299 utilize an intercalation or insertion compound in which lithium is stored

300 [SOURCE: IEC 60050-482:2004, 482-05-07 modified]

301 Note 1 to entry: lithium ion cells do not include lithium metal

302 3.23
303 secondary lithium battery
304 Li-ion battery
305 secondary battery with assembly of secondary lithium cells
 IEC CD 63338 ED1  IEC:2021 – 11 – 21A/746/CD

306 3.24
307 secondary nickel metal hydride cell
308 Ni-MH cell
309 cell containing a nickel hydroxide compound for the positive electrode, a hydrogen absorbing
310 alloy for the negative electrode, and potassium hydroxide or other alkaline solution as
311 electrolyte, and not releasing either gas or liquid when operated within the limits specified by
312 the manufacturer
313 Note 1 to entry: A sealed cell may be equipped with a safety device to prevent a dangerously high internal pressure
314 and is designed to operate during its life in its original sealed state.

315 [SOURCE; IEC60050-482;2004, 482-05-17]

316 3.25
317 secondary nickel metal hydride battery
318 Ni-MH battery
319 secondary battery with assembly of nickel metal hydride cells

320 3.26
321 state of health
322 SOH
323 secondary battery’s state of degradation measured as a percentage of its original specifications

324 Note 1 to entry: considers factors such as permanent capacity loss, resistance, cycle life etc.
325 3.27
326 module
327 group of cells connected together either in a series and/or parallel configuration with or
328 without protective devices (e.g. fuse or PTC) and monitoring circuitry

329 [SOURCE: IEC 62619]

330 3.28
331 battery pack
332 energy storage device, which is comprised of one or more cells or modules electrically
333 connected

334 Note 1 to entry: It has a monitoring circuitry which provides information (e.g. cell voltage) to a battery system.
335 Note 2 to entry: It may incorporate a protective housing and be provided with terminals or other interconnection
336 arrangement.

337 [SOURCE: IEC 62619]

338 3.29
339 battery management system
340 BMS
341 electronic system associated with a battery which has functions to cut off in case of
342 overcharge, overcurrent, overdischarge, and overheating

343 Note 1 to entry: It monitors and/or manages its state, calculates secondary data, reports that data and/or controls
344 its environment to influence the battery’s safety, performance and/or service life.
345 Note 2 to entry: Overdischarge cut off is not mandatory if there is an agreement between the battery manufacturer
346 and the customer.
347 Note 3 to entry: The function of the BMS can be assigned to the battery pack or to the application that uses the
348 battery. (See Figure 5)
349 Note 4 to entry: The BMS can be divided and it can be found partially in the battery pack and partially on the
350 application that uses the battery. (See Figure 5)
351 Note 5 to entry: The BMS is sometimes also referred to as a BMU (battery management unit)

352 [SOURCE: IEC 62619 modified]

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353 3.30
354 original manufacturer
355 manufacturer(s) of cells, batteries, battery systems (original battery manufacturer), and/or the
356 application that they are first placed on the market with (original application manufacturer), who
357 determines whether reuse is intended from the design stage

358 Note 1 to entry: Compare with 3.15 “originally intended reuse” and 3.16 “originally unintended reuse”

359 Note 2 to entry: Intention to reuse is determined by contractual agreement between original battery manufacturer
360 and original application manufacturer. Even if the original battery and application manufacturers are the same, the
361 intention to reuse is clarified via the label (see clause 7.2).

362 3.31
363 reuse application manufacturer
364 manufacturer(s) of an application in which a cell, battery, or battery system is used after
365 undergoing reuse operations

366 Note 1 to entry: The reuse application manufacturer can be a refurbishing or repurposing manufacturer and engages
367 with the original manufacturer via contractual agreement.

368 Note 2 to entry: The reuse application manufacturer may also engage with a battery provider (in addition to the
369 original manufacturer) via contractual agreement.

370 3.32
371 battery provider
372 party that is responsible for relevant cells and batteries, but is not the original manufacturer or
373 reuse application manufacturer

374 Note1 to entry: The battery provider may be a distributer, producer, trader, or similar and engages with the original
375 manufacturer and reuse application manufacturer via contractual agreement.

376 3.33
377 reuse period
378 period from extraction from the original application until battery end of life including refurbish
379 period and/or repurpose period

380 3.34
381 operating region
382 conditions during charging and discharging in which the cell operates within its voltage, current
383 and temperature range as specified by the cell manufacturer

384 4 General Considerations

385 In order to reduce adverse environmental impacts, the opportunity to use materials again should
386 be considered as part of environmentally conscious design (ECD). Examples include the
387 recovery and reuse of products (e.g., electronic subassemblies, semiconductor devices, and
388 safety devices), which are physically combined with batteries. However, it is not always possible
389 and can sometimes be extremely difficult to effectively and safely reuse batteries that are
390 collected, because there is a possibility of having received damage which can affect safety. The
391 size and original application of a secondary cell or battery will have a large impact on whether
392 reuse can be considered. An example of a type of battery that should not be reused in any
393 situation is batteries used in portable applications. Originally unintended reuse may have a
394 much higher safety risk than originally intended reuse.

395 Reuse manufacturers should coordinate with original manufacturers (and battery provider if
396 applicable) via contractual agreement to ensure safety and performance can be maintained in
397 reused batteries, including information related to end of service life, based on clauses 5, 6, 7,
398 and 8 of this document.
 IEC CD 63338 ED1  IEC:2021 – 13 – 21A/746/CD

399 This document outlines and provides guidance on the safety risks associated with reuse.
400 Additionally, this document provides guidance on coordination between the original and reuse
401 application manufacturers regarding labelling on the applicability of a product for reuse.

402 If the reuse guidance in this document is not followed, potential hazards include:

403 a) fire,

404 b) explosion,

405 c) leakage of cell electrolyte,

406 d) venting,

407 e) rupture of the casing of cell, module, battery pack, and battery system with exposure of
408 internal components.

409 Note: Potential risks are described in IEC 62619 ED2, and IEC 63115-2 ED1.

410 5 Consideration of Safety Risks Associated with Reuse

411 5.1 General

412 Secondary batteries including secondary lithium and Ni-MH are generally available in the
413 market for use in applications such as electric vehicles, energy storage systems, PCs and
414 mobile phones.

415 Among them, secondary lithium batteries are widely used from portable devices to EVs and
416 large-scale systems such as energy storage systems because of their high energy density and
417 charge/discharge efficiency. In addition, Ni-MH batteries are widely used in portable
418 applications that accept alkaline batteries, in energy storage systems, and in vehicles as part
419 of hybrid electric systems.

420 Secondary lithium batteries are widely available in the market due to their excellent
421 characteristics as energy storage devices, but compared to other battery chemistry, it is
422 generally more difficult to ensure safety in cells alone, and under conditions outside of those
423 specified by the battery manufacturer. In the worst case, events such as cell explosion, ignition,
424 and smoke may occur. Ni-MH batteries are safer from a chemistry point of view, however
425 deviation from the use conditions intended by the original battery manufacturer can still result
426 in safety issues.

427 Therefore, in actual use, safety is ensured by using battery systems that are designed with
428 functional safety methods so as not to deviate from the specified usage and handling methods.

429 If a cell is removed from a safely designed battery system and reused, or the battery system is
430 modified (hardware, software) without checking battery lifetime traceability data and appropriate
431 design considerations to ensure safely, safety incidents are likely.

432 The reuse application manufacturer should confirm whether reuse is permissible and assess
433 battery lifetime traceability data from the original manufacturer (refer to clause 6.2.1 of this
434 document). They shall also assess the requirements of the reuse application, and design an
435 appropriate battery system to ensure safety.

436 The following relevant cells and battery safety standards should be referenced.

437 ・IEC 62133-1

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438 Secondary cells and batteries containing alkaline or other non-acid electrolytes – Safety
439 requirements for portable sealed secondary cells, and for batteries made from them, for use in
440 portable applications – Part 1: Nickel systems
441 ・IEC 62133-2
442 Secondary cells and batteries containing alkaline or other non-acid electrolytes – Safety
443 requirements for portable sealed secondary cells, and for batteries made from them, for use in
444 portable applications – Part 2: Lithium systems
445 ・IEC 62660-3
446 Secondary lithium-ion cells for the propulsion of electric road vehicles
447 ・IEC 62619 (for cell and batteries)
448 Secondary cells and batteries containing alkaline or other non-acid electrolytes Safety
449 requirements for secondary lithium cells and batteries for use in industrial applications
450 ・IEC 63115-2
451 Secondary cells and batteries containing alkaline or other non-acid electrolytes - Sealed nickel
452 metal hydride rechargeable cells and modules for use in industrial applications - Part 2: Safety
453 ・ISO6469-1
454 Electrically propelled road vehicles — Safety specifications — Part 1 Rechargeable energy
455 storage system (RESS)
456 ・UN ECE R100
457 Uniform provisions concerning the approval of vehicles with regard to specific requirements for
458 the electric power train
459 ・UN GTR No.20
460 Global Technical Regulation on the Electric Vehicle Safety (EVS) Addendum 20: Global
461 Technical Regulation No. 20
462 ・IEC 62933-5-2 ED.1（FDIS ）
463 Electrical energy storage (EES) systems Part 5-2: Safety requirements for grid integrated EES
464 systems - electrochemical based systems
465

466 5.2 Lithium systems

467 5.2.1 Secondary lithium batteries

468 Secondary lithium batteries are energy storage devices that utilise the movement of lithium ions
469 to perform mutual conversion between chemical energy and electrical energy, and realize
470 mutual energy conversion by causing a specific electrochemical reaction during charging and
471 discharging. In order to maintain safety and performance, and achieve smooth energy
472 conversion, it is essential to ensure the intended electrochemical reactions occur without side
473 reactions. For that reason, battery manufacturers specify how to use and handle each battery.
474 If this method of use or handling is deviated from, the chemical energy stored in the battery will
475 not be properly controlled, abnormal reactions will progress rapidly, and the energy cannot be
476 controlled by the cell itself. This may result in the energy being released from the cell, and
477 cause safety incidents such as cell explosion, ignition and heat generation.

478 The usage and handling methods specified above include many outside factors that are
479 controlled at the battery level, such as charge and discharge voltage, current range, and
480 temperature range. Battery systems shall be configured to prevent abnormal events, and to
481 ensure safety by electrically and mechanically controlling and protecting the battery.

482 5.2.2 Secondary lithium battery systems

483 Secondary lithium battery systems are designed with consideration of safety and battery
484 characteristics based on the requirements and conditions of the application while complying
485 with the cell usage and handling methods specified by the battery manufacturer. In a safely-
 IEC CD 63338 ED1  IEC:2021 – 15 – 21A/746/CD

486 designed battery system, it is necessary to configure each functional element via methods such
487 as functional safety and to secure a sufficient level of safety against foreseeable events. A
488 battery system configuration example is shown in figure 2 (source: ISO 12405-4: 2018 Annex
489 A). Although not shown in the figure, a dedicated charger and external cooling device, if
490 necessary, are included in a safely designed battery system.

491

492 Key
493 1 Electric circuit (contactors, fuses, wiring)
494 2 Connectors for power line
495 3 Connectors for battery management system
496 4 Normal use impact-resistance case
497 5 Cooling device and connections (a: in, b: out)
498 6 Cell assembly
499 7 Service disconnect
500 8 Battery pack
501 9 Cell electronics
502 10 Battery management system
503 Figure 2 – Battery System Configuration Example

504 5.3 Nickel systems

505 5.3.1 Nickel metal-hydride cells and batteries

506 The nickel metal-hydride cell makes electrochemical use of the reversibility of the hydrogen
507 absorption/release reaction in the hydrogen absorbing alloy. The cell uses a nickel oxide
508 compound for the positive electrode, a hydrogen absorbing alloy for the negative electrode, and
509 an aqueous alkaline solution for the electrolyte, which includes constituents such as potassium
510 hydroxide (KOH). During charging, the electrolytic reaction of water causes the hydrogen, which
511 forms in atomic form on the surface of the hydrogen absorbing alloy in the negative electrode,
512 to diffuse into and be absorbed by the alloy (charge reaction). During discharge, the absorbed
513 hydrogen reacts with the hydroxide ions at the surface of the hydrogen absorbing alloy to once
514 again become water (discharge reaction).

515 Ni-MH cells and batteries have a higher tolerance to overcharge and overdischarge than
516 secondary lithium batteries, however in the event of excessive overcharge and overdischarge,
517 internal pressure can build inside the cells and leakage can occur. Ni-MH cells and batteries
518 have a gas release vent in order to prevent excessive pressure, however in extreme conditions
519 deterioration can occur. For example, in a large assembly of cells, heat can accumulate around
520 the innermost cells in case of overcharge at high temperatures and battery life will be reduced.
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521 When utilizing an assembly of cells in an application, heat dispersion should be considered. In
522 order to minimize these safety risks, Ni-MH cells and batteries should not be used outside of
523 the conditions intended by the battery manufacturer.

524 5.3.2 Nickel metal-hydride battery systems

525 Ni-MH battery systems are designed with consideration of safety and battery characteristics
526 based on the requirements and conditions of the application while complying with the cell usage
527 and handling methods specified by the battery manufacturer. In a safely-designed battery
528 system, each functional element is configured via methods such as functional safety and to
529 secure sufficient safety against foreseeable events.

530 When incorporating assembled Ni-MH cells into a battery system, protection devices should be
531 included. Depending on the charging and discharging conditions, a combination of a thermistor
532 and breaker or thermistor and PTC should be used as shown in figure 3.

533

534 Figure 3 – Example of Protection Device Installation

535 5.4 Battery management system

536 A BMS manages and controls batteries along with the device controller by measuring battery
537 voltage, input/output current, battery temperature, etc. and calculating SOC and SOH based on
538 these measurements. Operating region and other battery information are also provided to the
539 device controller. The BMS can access the main contactor of the battery system either directly
540 or via the application management unit to connect and disconnect the power line under certain
541 conditions. A BMS may differ in design and implementation; it may be a single electronic unit
542 built into the battery system or it may be located outside the battery pack and connected to the
543 battery pack via a communication bus or input/output lines. An example of the implementation
544 of BMSs in various systems is shown in figure 4 (source: IEC 62619:2017/ IEC 63115-2
545 modified).
 IEC CD 63338 ED1  IEC:2021 – 17 – 21A/746/CD

546

547

548 Figure 4 – Requirements for the BMS

549 5.4.1 Battery management system functions

550 The following are examples of data recorded in a BMS. These functions are set to comply with
551 the usage and handling methods specified by the original manufacturer and provide necessary
552 functions to the application.

553 a) Electrical protection

554 Overcharge protection, overdischarge protection, overcurrent protection, external short-circuit

555 protection, overheat protection, insulation resistance monitoring function, fuse, safety plug, etc.

556 b) Mechanical protection

557 Crush protection, shock protection, temperature control function, waterproof and dustproof
558 function, external flame protection, fire protection structure, etc.

559 c) Other management functions

560 Self-diagnosis function, error history storage, communication function with application side,
561 contactor control, etc.

562 Note: The above data are sometimes recorded by the battery application
 21A/746/CD – 18 – IEC CD 63338 ED1  IEC:2021

563 5.4.2 BMS data

564 The following are examples of data that should be recorded in the BMS.

565 • History of overcharge, overdischarge, overcurrent, external short-circuit, insulation,

566 and/or insulation failure
567 • History of excessive shock and/or vibration
568 • BMS self-diagnosis result
569 • Failure history of communication with application side
570 • SOH
571 Note: The above data are sometimes recorded by the battery application.

572 6 Considerations for Reused Battery Systems

573 6.1 General

574 Unlike new cells, cells that have undergone original use are exposed to varying environments,
575 usage and handling history, and degree of damage and deterioration, resulting in inconsistent
576 quality. In addition, this inconsistency is not limited to a single characteristic, but is complex
577 and diversified. This results in issues when making estimates, and selecting specific parameters.
578 Also, evaluation via sampling is difficult and inaccurate. For safety evaluation of relevant cells
579 and batteries, most existing safety standard test methods are destructive tests, which are not
580 suitable for the evaluation of reused batteries of non-uniform quality, and general methods for
581 non-destructive safety evaluation are not established at the time of publication. Therefore, the
582 safety evaluation of relevant cells and batteries should be conducted using battery lifetime
583 traceability data to confirm if appropriate usage and handling parameters (as decided at the
584 design stage) were not exceeded during original use, and can be maintained during reuse.
585 Therefore, single cells should not be reused without appropriate battery lifetime traceability
586 data. Therefore, when single cells should not be reused without appropriate battery lifetime
587 traceability data (see 6.2.1).

588 6.2 Determining suitability for reuse (based on battery lifetime traceability data)
589 In order to ensure safety during reuse, whether or not a relevant cell or battery can be reused
590 should be determined based on battery lifetime traceability data recorded during original use.
591 Therefore, relevant cells and batteries extracted from applications that do not have battery
592 lifetime traceability data should not be reused. Type of battery lifetime traceability data varies
593 depending on application and design, however clause 6.2.1 should be referred to for general
594 examples.
595

596 The original manufacturer(s) should maintain responsibility over relevant cells and batteries for
597 the warranty period agreed between the original battery and application manufacturers. The
598 original manufacturer should be responsible for the original use of relevant cells and batteries,
599 however should not be responsible for the reuse of relevant cells and batteries if excluded from
600 the agreed warranty period.

601 6.2.1 Battery lifetime traceability data

602 Battery lifetime traceability data includes original use data, storage data after extraction, and
603 data recorded during reuse assessment such as described below. Battery lifetime traceability
604 data is useful for reuse assessment. The reuse application manufacturer should contact the
605 original manufacturer in order to access battery lifetime traceability data. The following are
606 examples of battery lifetime traceability data that the reuse application manufacturer should
607 access.

608 History of:

609 • Overcharge
610 • Overdischarge
 IEC CD 63338 ED1  IEC:2021 – 19 – 21A/746/CD

611 • Overcurrent
612 • Overtemperature
613 • Insulation failure
614 • Accidents
615 • Storage conditions (e.g. storage period, environment, etc.)

616 6.3 Safety evaluation of reused batteries

617 Regarding the redesign of relevant secondary batteries, the use and BMS conditions with which
618 relevant secondary batteries are first placed on the market (as designed by the original
619 manufacturer) should not be modified at the time of reuse without the contractual agreement of
620 the original manufacturer.

621 The safety evaluation of reused batteries is different to that of new batteries due to the non-
622 uniformity of their quality, and due to destructive testing with sample batteries not being
623 available as general methods for non-destructive safety evaluation are not established at the
624 time of publication. As a result, during development of battery systems, they should be
625 evaluated and tested for safety during both original use and reuse. If a battery system has not
626 been evaluated and tested for multiple uses, the originally designed use-conditions and system
627 controls should not be deviated from in order to maintain safety.

628 In addition, the end of service life is an important consideration in risk assessment. Safety risks
629 can be especially serious if users are unaware of potential increased hazards as the end of
630 service life approaches.

631 6.4 Reused cell and battery operating region

632 The original relevant cell and battery operating region (voltage range, environmental
633 temperature, etc.) should not be expanded during reuse, and should be narrowed in order to
634 ensure safety.

635 If the operating region is expanded or the battery system is modified, the reuse application
636 manufacturer should consult with the original manufacturer via contractual agreement, and the
637 reuse application manufacturer should pass the functional safety requirements of IEC 61508
638 Functional safety of electrical/electronic/programmable electronic safety related systems.
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639 7 Coordination on Reuse with the Original Manufacturer

640 7.1 General

641 The reuse of relevant cells and batteries has safety risks including those discussed in clause 5,
642 and as a result the reuse application manufacturer should confirm whether reuse has been
643 discouraged by the original manufacturer such as via the product label or other methods.

644 Note: If reuse-relevant information is not included on the product label or manual, this does not
645 necessarily imply reuse is intended.

646 7.2 Caution statements on reuse applicability

647 In some countries and regions reuse application product liability may be determined to be the
648 responsibility of the original manufacturer rather than the reuse application manufacturer. In
649 order to avoid these issues, or for safety-related reasons, the original manufacturer should
650 include a statement regarding whether reuse is originally intended on the label as described in
651 clauses 7.2.1 and 7.2.2. If there is not sufficient space to include this statement, refer to clause
652 7.2.3. If relevant cells or batteries are labeled with such a statement, they should not be reused.
653 If the statement is ignored, the reuse application manufacturer should accept product liability.
654 However, if an original manufacturer wishes to discourage the reuse of their products, other
655 environmentally conscious design (ECD) principles based on IEC 62430 ED2 should be
656 considered as an alternative. If battery service life is specified by the original manufacturer,
657 reuse should not be conducted after the specified period due to degradation risks. The reuse
658 period should not exceed the specified service life
659

660 7.2.1 Originally intended reuse (according to the original manufacturer)

661 If reuse was originally intended by the original manufacturer, relevant cells and batteries should
662 be labelled with a similar statement to the following, “Before reusing this product, contractual
663 agreement should be received from the original manufacturer”.

664 7.2.2 Originally unintended reuse (according to the original manufacturer)

665 If reuse was not originally intended by the original manufacturer, relevant cells and batteries
666 should be labelled with a statement similar to the following, “This product was not designed to
667 be reused. It should not be used in any way other than as originally intended by the original
668 manufacturer”.

669 Relevant disposal information such as that described in clause 9 should also be included.

670 7.2.3 Caution statement not available

671 Due to limited space, including a caution statement at the cell level may not be possible. As a
672 result, caution statement information should be shared via QR code, barcode, or similar,
673 included at the battery pack or module level, or included on the product instruction manual.

674 If a caution statement is not available, the reuse application manufacturer should contact the
675 original manufacturer in order to determine whether reuse is possible.

676 8 Recommendations for Reuse Application Manufacturers

677 8.1 Removal of original cell or battery label and markings

678 The decision to remove, replace, or amend original cell or battery labels and markings should
679 be made based on contractual agreement between the original and reuse application
680 manufacturers.
 IEC CD 63338 ED1  IEC:2021 – 21 – 21A/746/CD

681 9 Environmental Options in Case Reuse is Not Possible

682 At an original application’s end-of-life, reuse should be considered in order to minimise adverse
683 environmental impacts over the application’s lifecycle. However, if contractual agreement to
684 reuse could not be reached between the original and reuse application manufacturers, or if as
685 a result of battery assessment, it has been determined that reuse cannot be safely conducted,
686 waste batteries should be recycled based on the requirements of local regulations.

687 When economically feasible and determined by LCA to have a lesser environmental impact than
688 the use of virgin materials, recycled battery materials should be reutilised in the manufacture
689 of new cells and batteries.
 21A/746/CD – 22 – IEC CD 63338 ED1  IEC:2021

690 Annex A
691 (informative)
692
693 Guidance Checklist

694 Table A.1 – Checklist of recommendations before reuse of relevant secondary cells and
695 batteries

Item Clause(s)/ Guidance Category

Subclause(s) Safety Performance Environment Producer
Responsibility
Considerations for basic 5.2 or 5.3 ✓ ✓
battery technology risks (Secondary
lithium or Ni-MH)

Consideration of 4 ✓
environmentally conscious
design (ECD)
Confirmation of whether 7 ✓ ✓
reuse was originally
intended or unintended
Contractual agreement to 4, 6.1, 6.2, ✓
reuse from the original 6.3, 6.4,
manufacturer 7.2.1, 8.1
Considerations for reuse of 6 ✓ ✓
battery systems (BMS)
Removal of original cell or 8.1 ✓
battery marking before
reuse
Considerations for 9 ✓
environmental options in
case reuse is not possible

696
 IEC CD 63338 ED1  IEC:2021 – 23 – 21A/746/CD

697 Annex B
698 (informative)
699
700 Reuse Relevant Reference Information

701 Table B.1 – Reuse Relevant Reference Information

Title No. Standard Technical report Policy

Interim Measures for the Administration of A.1 ✓
Recycling and Utilization of New Energy
Vehicles
UL 1974 A.2 ✓

SAE J2997* A.3 ✓

prEN 45554* A.4 ✓

NREL TP-5400-63332 A.5 ✓

EC JRC Technical Report 2018-08-28 A.6 ✓

Ecodesign preparatory Study for Batteries A.7 ✓

*: Under development

702 B.1 Interim Measures for the Administration of Recycling and Utilization of
703 New Energy Vehicles

704 Title: 新能源汽车动力蓄电池回收利用管理暂行办法

705 Contents: People’s Republic of China measures that cover requirements for the recycling and
706 “cascade use” (second life) of electric propulsion vehicle parts including batteries.

707 URL: http://www.beijing.gov.cn/zhengce/wenjian/192/33/50/438650/1542320/index.html

708 B.2 UL 1974

709 Title: Standard for Evaluation for Repurposing Batteries

710 Contents: Standard including requirements for the sorting and grading of cells and batteries for
711 repurposing, and for repurposed battery applications.

712 URL: https://standardscatalog.ul.com/standards/en/standard_1974

713 B.3 SAE J2997 (Under development)

714 Title: Standards for Battery secondary use

715 Contents: Standard under development to define how batteries can be safely reused. Also
716 covers labelling, transport, state of health.

717 URL: https://www.sae.org/standards/content/j2997/

718 B.4 prEN 45554 (Under development)

719 Title: General methods for the assessment of the ability to repair, reuse and upgrade energy-
720 related products
 21A/746/CD – 24 – IEC CD 63338 ED1  IEC:2021

721 Contents: Standard under development to define the methods for the reuse, repair, and upgrade
722 products. Also will include information on reusability indexes.

723 URL:
724 https://www.cenelec.eu/dyn/www/f?p=104:110:488575770544901::::FSP_ORG_ID,FSP_PROJ
725 ECT,FSP_LANG_ID:2240017,65685,25

726 B.5 National Renewable Energy Laboratory TP-5400-63332

727 Title: Identifying and Overcoming Critical Barriers to Widespread Second Use of PEV Batteries

728 Contents: Technical report that covers how PEV batteries can be used as part of a “second
729 use”, how much second use will cost, how long they can be used for, what is their value.

730 URL: https://www.nrel.gov/docs/fy15osti/63332.pdf

731 B.6 European Commission JRC Technical Report 2018-08-28

732 Title: Sustainability Assessment of Second Life Application of Automotive Batteries (SASLAB)

733 Contents: Technical report that assesses the sustainability of xEV battery second use, and
734 defines and outlines a second use battery system including performance testing.

735 URL:
736 http://publications.jrc.ec.europa.eu/repository/bitstream/JRC112543/saslab_final_report_2018
737 _2018-08-28.pdf

738 B.7 Ecodesign preparatory Study for Batteries 2019-09-20

739 Title: Preparatory Study on Ecodesign and Energy Labelling of rechargeable electrochemical
740 batteries with internal storage

741 Contents: Study into the eco-design of batteries. As part of Task 6, eco-design options are
742 described including extended lifetime, which considers battery direct reuse and repurposing.

743 URL: https://ecodesignbatteries.eu/documents

 IEC CD 63338 ED1  IEC:2021 – 25 – 21A/746/CD

744 Bibliography

745

746 IEC GUIDE 109:2012, Environmental aspects – Inclusion in electrotechnical product standards

747 ISO 14040:2006, Environmental management – Life cycle assessment – Principles and
748 framework

749 ISO 12405-4: 2018, Electrically propelled road vehicles —Test specification for lithium-ion
750 traction battery packs and systems — Part 4: Performance testing

751 IEC 63218:202X, Secondary cells and batteries containing alkaline and other non-acid
752 electrolytes – Secondary Lithium, Nickel Cadmium and Nickel Metal-Hydride Cells and Batteries
753 For Portable Applications – Guidance on Environmental Aspects

754 IEC 60086-6:2020, PRIMARY BATTERIES – Part 6: Guidance on environmental aspects

755 IEC TR 62635:2012, Guidelines for end-of-life information provided by manufacturers and
756 recyclers and for recyclability rate calculation of electrical and electronic equipment

757 ANSI C18.4M:2017, American National Standard for Portable Cells and Batteries –
758 Environmental

759 _____________
760