FEDERAL HIGHWAY ADMINISTRATION • OFFICE OF MOTOR CARRIERS

FHWA Contact: Elaine Riccio, HCS-30, (202) 366-4006

A Qualitative Assessment of the 

Role of Shippers and Others in Driver

Compliance with Federal Safety

Regulations

Introduction

There is widespread perception among various trucking industry representatives and

observers that commercial motor vehicle (CMV) operators are frequently forced to 

violate the Federal hours-of-service (HOS) regulations because of the tightness of their

schedules. HOS regulations specify how long a CMV driver may drive continuously, and

the length and number of breaks a driver must take.

This concern was identified as one of the top 10 safety issues at the 1995 FHWA

National Truck and Bus Safety Summit. In addition, the National Transportation Safety

Board has recommended that the FHWA undertake a rulemaking to prohibit shipment

schedules that would require that a driver exceed regulations in order to complete a

deadline. 

Congress has also recommended action on this subject. In accordance with

Congressional intent, the Office of Motor Carriers conducted a focus group study to

determine the scope, nature, and extent of shipper involvement with violations of 

safety regulations. This tech brief summarizes the study final report (FHWA-MC-98-049). 

Purpose

The purpose of this exploratory research was to identify and evaluate, through focus

group sessions with trucking industry participants, those factors in the freight shipping

process which appear to be related to CMV operators’ violation of the Federal Motor

Carrier Safety Regulations, including driver HOS regulations. Researchers sought to

address the extent to which commercial shippers, receivers, dispatchers, and others

involved in interstate truck-related commerce impose demands for the timely delivery

of products that may result in HOS violations. 

Methodology

The FHWA conducted a series of focus groups with representatives from the shipping

community and the motor carrier industry. In October and December 1996, sessions

were held in Baltimore, Maryland and St. Louis, Missouri. Ten groups were convened

with five specific audiences: carriers and brokers; dispatchers; carrier-employed drivers;

independent drivers; and shippers. 

The 57 participants included 5 women and 52 men. Each session lasted about 90 

minutes. Moderator’s guides and participant information sheets were prepared in 

consultation with the Office of Motor Carriers staff and an industry advisory panel.

Separate guides were prepared for each target audience, although the major topic

Tech Brief

The vision of the Office of

Motor Carriers is to help

move people, goods, and

commercial motor vehicles

on our Nation’s highways in

the most efficient, economical, and crash-free manner

possible. The OMC research

and technology program

focuses on improving safety

in interstate commercial

motor vehicle operations and

serves a trucking and motor

coach industry that carries

more than 40 percent of all

intercity freight.

Studies are conducted in the

following areas: commercial

driver human factors, health,

and performance needs; new

and emerging driver and

vehicle technologies; safetyrelated data collection and

analysis needs; and performance-based changes to the

Federal Motor Carrier Safety

Regulations.

The OMC’s human factors

research projects aim to 

promote alert, healthy 

drivers and seek to improve

the uniformity and effectiveness of driver training and

licensing.

Office of Motor Carrier Research

and Standards

400 Seventh Street, SW

HCS-30; Room 3107

Washington, DC 20590
areas remained consistent. The research effort was

directed toward the investigation of the following

major issues: 

• What party (or parties) is responsible for exerting

pressure on drivers to violate safety regulations

governing HOS?

• What key factors influence the setting of the 

original schedule?

• What key factors influence the ability to adhere to

the original schedule? 

• What roles do pickup and delivery requirements

(e.g., appointments, loading/unloading demands)

play in driver violations? 

• Do some shippers (carriers/brokers, receivers) 

commodities tend to put more pressure than others

on carriers/drivers to exceed the HOS regulations? 

• To what extent have various developments 

(economic, social, regulatory) affected the scheduling of freight in the motor carrier industry? 

The moderator solicited opinions about HOS 

violations, scheduling procedures for pickups and

deliveries, and personnel involved in picking up and

receiving freight. Other major topics addressed by all

groups were: loading and unloading; pressure points

that influence the shipping process; and communication difficulties experienced by all parties involved. 

Findings

What party (or parties) is responsible for 

exerting pressure on drivers to violate safety

regulations governing HOS? 

Feedback from the focus groups revealed that, while

multiple parties are involved, no single player in the

shipping process can be held solely accountable for

unreasonable scheduling and CMV driver violations of

HOS rules. All contribute to the problem and all have

a role to play in its resolution. Figure 1 illustrates a

typical shipping cycle and the pressures placed on 

drivers. 

Many focus group participants stated the belief that

shipper and motor carrier sales personnel are

unaware of, or do not care about, pressures imposed

on drivers. Also, the role of the dispatcher was considered crucial by all group participants, because 

dispatchers interact directly with drivers in setting the

schedules that they must follow. 

What key factors influence the setting of the

original schedule?

Participants stated that schedules are often made

before a driver leaves to pick up a shipment or even

before products are ready to be shipped and that

there is minimal driver input into the scheduling

process. All participants commented that economic

pressures strongly influence schedules and may 

compromise safety requirements. Several other key

factors that influence scheduling were noted, 

including competition between carriers, and the 

type of freight being shipped. 

What factors influence the ability to adhere to

the original schedule?

Delivery deadlines that are initially reasonable may

become unrealistic as a result of several factors.

Participants listed many factors that can cause 

delays, including: road construction, accidents, 

bad weather, vehicle breakdowns, and roadside

inspections. They asserted that the pressure to meet 

a schedule is present, regardless of delays, and that

original deadlines are often not changed as needed.

According to participants, drivers may feel pressure 

to make up time lost in delays, possibly by 

exceeding speed limits or driving more hours than

regulations permit. 

Road construction, vehicle breakdowns, and bad 

weather are among the circumstances that can create

delays along a route, causing a reasonable delivery

deadline to become unrealistic.

Photo courtesy of the NY State Thruway Authority
What roles do pickup and delivery requirements

(e.g., appointments, loading/unloading

demands) play in driver violations?

Participants noted that drivers are being inappropriately used to load and unload freight. The need for

drivers to load or unload their own vehicles can 

often impede timely completion of a run and force

the driver into excess hours in order to make 

delivery. Similarly, delays in accessing the unloading

point can result in drivers feeling a need to make 

up for lost time. 

Do some shippers commodities tend to put 

more pressure than others on carriers/drivers 

to exceed the HOS regulations?

Focus group participants stated that certain commodities are more time-sensitive than others and may not

be accepted by the receiver if they arrive late. The

types of hot freight that can place undue pressure on

the delivery process include produce and other perishables, toys, hardware, steel and automobile parts.

When transporting these types of freight, drivers may

see no alternative other than speeding or exceeding

the HOS regulations in order to make timely delivery. 

When transporting hazardous materials, drivers are

often required to use restricted routes and travel 

during specified hours, frequently adding miles and

delays to the trip and putting pressure on drivers to

make up the extra miles and time lost. 

To what extent have various developments 

(economic, social, regulatory) affected the

scheduling of freight in the motor carrier 

industry? 

The ability of a motor carrier to turn down a delivery

that requires a driver to exceed the HOS regulations is

frequently constrained by the economic necessity to

accept the business offered and/or to sustain a 

business relationship. Participants alleged that 

reputable firms will reject unrealistic deadlines, but

that business pressures force others to accept them 

or risk losing the job to another motor carrier. 

Recommendations

Based on factors identified by focus group participants, researchers recommended that the industry,

individual companies, and the Federal government

explore the following initiatives:

Industry Initiatives

• Better communication is needed among shippers,

receivers, dispatchers, carrier/brokers and drivers so

that the concerns of all parties can be taken into

consideration when setting schedules for pickup

and delivery. 

• Alternative strategies, e.g., innovative pricing and

planning initiatives that help reduce the pressure

Figure 1.

Shipping Cycle: Pressures on Drivers
Researcher

This study was performed by

Global Exchange, Inc., 7910

Woodmont Ave., Suite 400,

Bethesda, MD, 20814-3015,

Contract No. DTFH61-95-C00077.

Distribution

This Tech Brief is being distributed according to a standard

distribution. Direct distribution

is being made to the Resource

Centers and Divisions.

Availability

The study final report is 

available from the National

Technical Information Service,

Telephone: (703) 605-6000,

Order No. PB-98-172448.

Key Words

shipper, appointment, loading,

unloading, hours of service,

broker, receiver, dispatcher,

commercial driver, just-in-time

delivery.

Notice

This Tech Brief is disseminated

under the sponsorship of the

Department of Transportation

in the interest of information

exchange. The Tech Brief provides a synopsis of the study’s

final publication. The Tech

Brief does not establish policies

or regulations, nor does it

imply FHWA endorsement of

the conclusions or recommendations. The U.S. Government

assumes no liability for its 

contents or their use.

on drivers caused by impossible schedules, have been used by some motor carriers.

These strategies need to be explored by others. 

• Truck driver fatigue awareness/ countermeasures information and training sessions

need to be made available to those involved in the scheduling and delivery of

freight, particularly dispatchers who interface directly with the drivers and set their

schedules. 

Individual Company Initiatives 

• Communication and coordination at all levels within a company need to be improved

in setting appropriate delivery schedules. Personnel need to meet to discuss the 

challenges they experience and to identify strategies that they employ, or could

employ, to cope with the pressures of the industry. Carrier and shipper sales personnel should work closely with dispatchers before pickup and delivery schedules are set. 

• Carriers need to work with their dispatchers to educate them about driver needs 

and problems. Some motor carriers require their dispatchers to ride with drivers on a

recurring basis. This and other strategies could help eliminate misunderstandings and

should be explored. 

Government Initiatives 

• Explore with the Congress expanding Federal oversight of interstate shippers,

receivers, and others who ship freight by motor carrier. 

• Convene a conference or symposium with representatives of the various parties

involved in the shipping process to identify and assess potentially effective corrective

actions that can reduce the level of driver HOS violations brought about by improper

scheduling. 

• Participate in and facilitate development of training courses and outreach material

that offer information about the HOS rules that could be provided to shipping 

organizations and provide awareness and understanding of fatigue and its effects 

on truck driver performance to shippers, carriers, and receivers. 

Further Research 

As directed by the Congress in the 1998 Transportation Equity Act for the 21st Century,

subsequent research has been initiated on the extent to which unrealistic pickup and

delivery demands by shippers, consignees and others encourage violations of the safety

regulations. The study will seek quantative data to determine the scope of the problem. Once the assessment is completed, the Secretary of Transportation will review the

findings and determine whether to submit a plan to Congress seeking implementing

authority to investigate and bring civil actions against shippers and others encouraging

violations of the safety regulations. 

The OMC and its industry partners have focused fatigue education, training, and 

outreach efforts to date on carriers, dispatchers, safety managers, and drivers. An 

in-progress scheduling practices study will gather additional information on the role of

shippers in scheduling decisions by carriers and drivers and may result in development

of information and educational materials specifically targeting shippers.

December 1998

Publication No. FHWA-MCRT-99-004