PHMSA Hazmat Notice of Probable Violation (NOPV) Response

The situation

Derek, 52, owns Midwest Chemical Supply LLC, a small chemical distributor in Dayton, Ohio that supplies janitorial chemicals (sodium hypochlorite, hydrochloric acid, ammonium hydroxide) and specialty cleaning products to commercial facilities. Annual revenue: $1.8M; 6 employees.

In April 2026 Derek received a certified letter from PHMSA's Hazardous Materials Safety Law Division: "Notice of Probable Violation, PHMSA Case No. 26-XXXX-SH-SO. Proposed Civil Penalty: $14,800."

The PHMSA inspector who visited Derek's warehouse in February found three violations during the compliance inspection: (1) Shipping papers incomplete: the description block on two shipping documents was missing the Emergency Response Telephone Number required by 49 CFR 172.604; (2) Training records deficient: PHMSA could not verify that one employee (recently hired in January 2026) had received DOT hazmat training under 49 CFR 172.700-704 within 90 days of hire as required; (3) Missing hazard class label: one pallet of hydrochloric acid (UN1789, Packing Group III) was missing the "CORROSIVE" Class 8 label on the outer container.

Derek has 30 calendar days to respond. He's considering just paying the $14,800, but he doesn't know:

(a) The shipping paper violation is partially contestable. Derek's shipping documents included a supplier-provided emergency contact number, but it appeared in the "notes" field rather than the "Emergency Response Telephone Number" field specified in 49 CFR 172.604. The regulatory requirement is for the phone number to be in a specific location on the document, not that it be entirely absent. Derek can argue this was a formatting/placement compliance issue with an immediately correctable fix, not a substantive failure to provide emergency contact information.

(b) The training record violation may be reducible. The 90-day training window for new hazmat employees (49 CFR 172.702) runs from date of hire. Derek's January 2026 hire was trained in March 2026, within 90 days. The training was documented, but Derek used a paper log that he hadn't scanned into his records management system yet. The inspector couldn't verify the training at the inspection, but the training DID occur and IS documented. Derek can provide the training certificate and log as evidence in his informal response, potentially eliminating this violation finding entirely.

(c) The first-offense penalty mitigation policy is significant. DOT's penalty policy provides substantial reductions for first-offense violations with no prior PHMSA history, immediate corrective action, small business size, and no resulting accident, injury, or spill. A well-crafted informal response invoking these factors, and providing documented corrective action, may reduce the $14,800 penalty to $3,000-$5,000. Derek has never received a PHMSA NOPV before.

(d) An environmental compliance attorney quoted Derek $6,500 for "PHMSA NOPV informal response + informal conference representation." The shipping paper defense + training record documentation + first-offense mitigation argument is largely self-executable.

Who receives this

Small businesses that ship, offer for transport, or handle hazardous materials and receive PHMSA Notices of Probable Violation: (1) chemical distributors and wholesalers (janitorial supplies, pool chemicals, industrial solvents); (2) fire extinguisher service companies (compressed gases, HALON); (3) propane and petroleum distributors; (4) welding supply companies (compressed gas cylinders, oxygen, acetylene, argon); (5) paint and coating manufacturers/distributors; (6) pharmaceutical distributors (ORM-D/limited quantity prescription drugs); (7) pool and spa supply companies; (8) waste management and recycling companies (hazardous waste characterization and shipping). NOT intended for: pipeline operators (separate PHMSA pipeline enforcement regime); large chemical companies with in-house counsel; carriers rather than shippers (FMCSA covers carrier enforcement).

Why the agency will not advise you

PHMSA's Hazardous Materials Safety Law Division attorneys who issue NOPVs cannot advise respondents on penalty mitigation strategy. PHMSA's Response Options page explains procedural options only. The DOT penalty policy mitigation factors (first offense, corrective action, ability to pay, gravity of violation) require active invocation in the written response, penalty mitigation is NOT automatic. No self-serve PHMSA NOPV response tool exists. CHEMTREC offers compliance consulting (not enforcement defense). Hazmat compliance attorneys charge $3k-$15k for this process.

Key facts, with sources

• PHMSA's Hazardous Materials Regulations (HMR), found in 49 CFR Parts 171-180, apply to any 'offeror' (shipper) or 'carrier' of hazardous materials by ground, air, water, or pipeline. Regulated entities include small businesses that ship chemical products, compressed gases, flammable liquids, oxidizers, pesticides, infectious substances, and lithium batteries. PHMSA's Office of Chief Counsel, Hazardous Materials Safety Law Division issues Notices of Probable Violation (NOPVs) when compliance inspections identify violations. PHMSA's public HazMat Enforcement Actions Search database shows 2025 NOPVs issued to: Hajoca Corporation (plumbing supplies distributor, March 28, 2025), Pelican Sales (March 31, 2025), McConkey Fire Extinguishers (August 25, 2025), United Wash Supply LLC (hazardous materials safety violation), Innovative Water Care (June 3, 2025), Electronic Fluorocarbons (June 6, 2025), R Carter and Associates (April 21, 2025), Discount Propane (April 22, 2025), JT Container (May 19, 2025), Kimbro Oil Company (July 23, 2025). This is a representative sample, most respondents are small businesses without in-house hazmat regulatory counsel. The maximum civil penalty for serious PHMSA hazmat violations (2025, inflation-adjusted) is $91,160 per day per violation. Source: PHMSA Enforcement — Response Options for Hazardous Materials Compliance Proceedings · PHMSA HazMat Enforcement Actions Search · PHMSA — NOPV Hajoca Corporation (March 2025)
• PHMSA's NOPV process gives respondents three options within 30 calendar days of receipt: (1) pay the proposed civil penalty; (2) submit an informal written response, which may include a request for an informal conference; or (3) request a formal hearing. An informal response must contain written explanations, information, or arguments responding to the allegations, the proposed penalty amount, or the terms of any proposed compliance order, no specific format is required. The informal conference is a meeting between the respondent and the PHMSA attorney to discuss the case informally. If the matter is not resolved through informal response/conference, PHMSA may issue a final order or refer to a formal hearing. Failure to respond within 30 days waives all contest rights, the violation is treated as admitted and the full penalty may be assessed. If a respondent cites the EXACT SAME violation within 6 years, PHMSA increases the baseline penalty by 100%, making a first-offense NOPV an important credentialing event for the respondent's future compliance history. The most common PHMSA NOPV violations for small businesses: (1) failure to maintain adequate training records for hazmat employees (49 CFR 172.704); (2) improper packaging (wrong packaging method, wrong packaging standard applied); (3) missing or incorrect shipping paper elements (proper shipping name, hazard class, packing group, UN number, emergency contact); (4) missing hazard class labels or incorrect UN number marking; (5) exceeding small-quantity exemption limits without following full HMR requirements. Source: PHMSA — Response Options for Hazardous Materials Compliance Proceedings · PHMSA — Are You Ready for a PHMSA Hazmat Inspection? CHEMTREC · PHMSA — NOPV Discount Propane (April 2025)
• PHMSA hazmat enforcement is distinct from EPA environmental enforcement and from FMCSA safety rating enforcement. PHMSA's HMR (49 CFR Parts 171-180) governs the TRANSPORTATION of hazardous materials, packaging, marking, labeling, placarding, shipping papers, training, and quantity limits, by any mode (highway, rail, air, water, pipeline). A small business that ships chemicals, compressed gas cylinders, paint/flammable liquids, pesticides, lithium batteries, or biological materials must comply with HMR even if it is not a 'carrier', any 'offeror' (the company that prepares the shipment for transport) must comply with packaging, marking, labeling, and shipping paper requirements. PHMSA inspectors conduct compliance inspections at shippers' facilities (not just at carrier terminals or weigh stations). The DOT Hazardous Materials Safety Administration Penalty Policy provides mitigation factors that reduce penalties below the proposed amount: first offense; immediate corrective action; good-faith compliance efforts; gravity of the violation (no accident, injury, or spill); size of the business and ability to pay. These mitigation factors are applied through the informal response process, respondents who pay the penalty without responding permanently forfeit the ability to invoke these factors. Source: PHMSA Hazardous Materials Safety FAQs · PHMSA Regulatory Compliance — HazMat Enforcement

When to bring in a professional

Self-serve responses fit routine cases: clear facts, amounts a business can absorb, and a deadline still ahead of you. Bring in a licensed professional when the amount at stake is large relative to their fee, the facts are genuinely disputed, criminal exposure is possible, or the deadline has already passed. A short paid consultation to sanity-check your plan is often worth it even when you handle the filing yourself.

All sources for this guide

1. PHMSA — Response Options for Hazardous Materials Compliance Proceedings
2. PHMSA HazMat Enforcement Actions Search
3. PHMSA — NOPV Hajoca Corporation (March 2025)
4. PHMSA — Are You Ready for a PHMSA Hazmat Inspection? CHEMTREC
5. PHMSA — NOPV Discount Propane (April 2025)
6. PHMSA Hazardous Materials Safety FAQs
7. PHMSA Regulatory Compliance — HazMat Enforcement