Federal-Aid Highway Program Guidance on High Occupancy Vehicle (HOV) Lanes
August 2008

Chapter IV Implementation

Implementing an HOV facility involves various activities and coordination of a variety of agencies and groups. Taking a comprehensive and systematic approach to the implementation process will help ensure that the facility is constructed, designed, and operated in a safe and efficient manner. For example, the development of a concept of operations and application of a systems engineering process will assist States in addressing system lifecycle costs from concept thru design, installation, testing, operations, and maintenance. Refer to the State DOT-FHWA Stewardship agreement for other applicable requirements, such as design approval for change of interstate access and Intelligent Transportation System architecture final rule compliance.

In the course of managing HOV facilities, some minor or significant physical or operational modifications may be needed to meet changing conditions. States are encouraged to work with their local FHWA Division Office if significant operational changes, relative to the annual certification or original project commitments, are proposed. In this way, agencies can ensure that all Federal statutory requirements and original project commitments are met. For example, operational changes, such as pricing SOV/LOVs will require the State to execute a toll agreement with FHWA as stated in 23 U.S.C. 166(c) before a HOT lane is deployed. In addition, original project commitments and/or the source of Federal funds used for implementation of the HOV lanes, may preclude certain changes to such facilities. For example, States may not be allowed to convert an HOV lane to a general-purpose lane if funds to construct the facility were made available under the Congestion Mitigation and Air Quality Improvement or the Interstate Maintenance programs. Other Federal funding sources may have similar requirements that limit the ability of operating agencies to change HOV/HOT lanes to general-purpose lanes or to establish a minimum occupancy requirement of four or more for an HOV facility where practically no or minimal HOV users exist.

Further, agencies that own and operate HOV lanes are encouraged to involve the FHWA Division Office in the development of programs and initiatives to monitor how well the lanes are functioning, to assess their effectiveness with regard to improving the efficient of travel, to identify new strategies to improve performance, or to analyze the impacts of any significant changes on either the transportation system (including how it is operated), regional HOV system, or both.

Performance Monitoring, Evaluating, and Reporting Program

The purpose of monitoring and evaluating the performance of an HOV lane is to determine if the facility is meeting its goals and objectives. The results of the performance evaluation provide the basis for making revisions to improve the operation of the HOV system or specific lanes.

Evaluating HOV lanes is in some ways similar to evaluating other highway facilities where safety, vehicle volumes, and level of service are examined. However, HOV evaluations also examine facility impacts on the movement of people (how many people, as opposed to how many vehicles, use the lane); modal shifts (how many people changed their travel behavior to take advantage of the HOV lane); reliability; and travel-time savings. These are all important indicators of HOV lane performance.

The process for assessing possible HOV operating strategies should be similar to the one used to plan a project and should emerge from an established monitoring program. Information on vehicle and passenger volumes, travel speeds, travel-time savings, violation rates, and crashes should form the basis of an ongoing monitoring and evaluation program. This information can be used to identify possible problems and potential changes in the operation of an HOV facility.

Technical guidance and recommended practices on performance monitoring and evaluation of HOV systems can be found in the National Cooperative Highway Research Program Report 414: "HOV Systems Manual." For additional resources, refer to Chapter VI in this Program Guidance or visit the FHWA HOV Program Web site at http://www.ops.fhwa.dot.gov/freewaymgmt/hov.htm.

HOV Facility Management, Operation, and Monitoring (Freeways) - 23 U.S.C. 166 (d)

If States implement low emission and energy-efficient and/or HOT vehicle exception(s), they must operate in accordance with the restrictions and requirements of 23 U.S.C. 166 (d) which established a minimum average operating speed that HOV facilities with exempted vehicles must maintain. Although a State should provide or ensure a high level of service to preserve the primary purpose of HOV facilities to offer significant travel time and reliability benefits, there is no statutory requirement that the above definition should be used to establish the operational performance standard for an HOV facility that does not permit SOV/LOVs.

The minimum average operating speed is defined at Section 166(d)(2)(A) as 45 miles per hour (mph), for an HOV facility with a speed limit of 50 mph or greater, and not more than 10 mph below the speed limit for a facility with a speed limit of less than 50 mph. Section 166(d)(2)(B) provides that an HOV facility is considered degraded if it fails to maintain a minimum average operating speed 90 percent of the time over a consecutive 180-day period during morning or evening weekday peak hour periods (or both for a reversible facility). It is noted that a facility may have one or more locations where this operating speed is routinely not met, but still be able to maintain the minimum average operating speed over the length of the entire facility or segment. The impact of bottleneck delay on an HOV facility is dependent on the length of the bottleneck and the predominant usage pattern of the HOV facility. A minor bottleneck on a long facility may not be a problem - whereas a bottleneck on a short facility or on a critical segment could have a greater impact and lead to a degraded condition. See sidebar to left for example.

A minimum average operating speed can ideally be obtained by collecting data at multiple locations. Data collection points can either be spaced uniformly at equal distance apart from one another or at strategic locations. The monitoring should be conducted, at a minimum, during peak periods. A State should evaluate this regular monitoring information to develop an understanding of the operating and usage characteristics of the facility in order to assess whether overall incentives to use the HOV facility are adversely impacted by the bottleneck location(s).

The FHWA does not require use of a specific procedure or methodology for States to use in determining if the operational performance of an HOV facility is degraded. This is because each HOV facility has different characteristics and each State agency has different resources to collect and analyze data. The appropriate frequency of data collection should be determined based on the type of HOV facility, number and location of entrance and exit points, traffic patterns, etc. States are encouraged to create monthly reports as a means to continually monitor and evaluate the HOV facilities. A State DOT is encouraged to work with the local FHWA Division Office to develop a detailed performance-monitoring program that outlines the methodology it will use to determine whether the particular HOV facility meets the applicable Federal operational performance requirements.

If a State allows HOT or low emission and energy-efficient vehicles to use an HOV lane, and the lane becomes degraded, Section 166(d)(1)(C) requires the State to limit or discontinue the use of the lane by the number of HOT vehicles and/or low emission and energy-efficient vehicles necessary to bring the facility back to compliance or to take other actions that will quickly bring the operational performance up to the Federal standard. A showing that the HOT and low emission and energy-efficient vehicles caused the degradation is not required. The State has discretion in deciding which vehicles to limit or discontinue as well as the manner and means through which to do it. For example, the State may utilize a variety of options for improving the operation of its HOV facilities, such as improving enforcement, increasing the fuel economy percentages, increasing the occupancy requirements, establishing tolls, or varying the tolls by time of day or actual traffic conditions.

HOV Facility Management, Operation, and Monitoring (Arterials) - 23 U.S.C. 166 (d)

Arterial street HOV facilities are found within a wide range of settings and environments in an urban area, for example, in downtown/central business districts, suburban activity centers, neighborhood commercial areas, and major commuter travel corridors. Arterial streets are typically designed to operate at travel speeds of 25 to 50 mph. Hence, the average operating speed must not be more than 10 mph below the speed limit for an arterial street facility, in accordance to 23 U.S.C. 166(d)(2)(A).

The operating environment for an HOV facility on an arterial street is much different from the operating environment on freeways. Examples of considerations used to determine the average operating speed for arterial facilities are: delays due to signalized intersections, driveway access, turning movements, on-street parking, and buses stopping to drop off and pick up passengers, etc. A State may derive an average operating speed based on the average travel time using these considerations.

Enforcement Program

Enforcement is critical to the successful operation of an HOV facility. The role of an HOV enforcement program is to protect the integrity of the facility by deterring possible violators and promote the safe and efficient use of the HOV lanes. If a State allows HOT or low emission and energy-efficient vehicles to use an HOV lane, the operating agency must establish, manage, and support an enforcement program that ensures the facility is being operated at the performance standards stated in 23 U.S.C. 166(d).

The FHWA may consider targeted enforcement an eligible operational expense in limited circumstances if the State demonstrates that it will deploy additional resources to specifically focus on HOV enforcement to improve the operational performance of the facility, not just supplement the overall enforcement budget.

Certification - 23 U.S.C. 166 (d)

This section presents the Federal certification requirements for States permitting low-emission and energy-efficient vehicles, as well as HOT vehicles, to travel on HOV facilities exempt from the posted HOV occupancy requirements. In addition, the Federal certification requirement for States to disallow use of HOV facilities by motorcycles and bicycles is also presented.

Low Emission and Energy-Efficient Vehicles and HOT Vehicles

When exempted vehicles are allowed to operate on HOV facilities, the State must annually certify to FHWA that it continues to meet all requirements of 23 U.S.C. 166, including those related to vehicle eligibility; operational performance monitoring, evaluation, and reporting; and enforcement. In particular, States are required to include in their certification a clear demonstration that the presence of low emission and energy-efficient or HOT vehicles has not caused the facility to become degraded (as defined by 23 U.S.C. 166(d)(2)(A)). The certification will be submitted to the FHWA Division Office the same time every year. Assuming compliance with the Federal requirements, the FHWA Division Administrator will annually renew his or her acceptance upon receipt of the State's certification.

If it is determined, based on the State's monitoring and evaluation of the performance of its HOV facility that the facility is or has become degraded as a result of low emission and energy-efficient vehicles or HOT vehicles, the State must take steps bring the facility back into compliance with Federal requirements as stated in 23 U.S.C. 166 (d)(2)(A). The Division Office should work with the State in developing a corrective action plan to bring the facility back to an acceptable level of performance within a reasonable timeframe.

Although there is no requirement for initial certification, States are encouraged to work with the local FHWA Division Office before allowing any HOT vehicles, alternative fuel vehicles, or low emission and energy-efficient vehicles (i.e., certified hybrid vehicles) that do not meet occupancy requirements to use HOV facilities to ensure Federal requirements are met and to avoid the need for corrective action. States are also encouraged to submit a revised certification to FHWA if significant operational changes, relative to the annual certification or original project commitments are proposed. States are further encouraged to actively manage their HOV/HOT facilities by evaluating and implementing necessary operational changes to meet specified performance requirements or to accommodate other changes in the operating environment.

With respect to low emission and energy-efficient vehicles, the State must commit to allow only vehicles that meet (or exceed) the Federal requirements established in 23 U.S.C. 166 and the upcoming EPA rulemaking. In the interim, the State must apply the eligibility requirements specified in 23 U.S.C. 166(b)(f)(3). This includes fuel economy percentages in 23 U.S.C. 166(f)(3)(B)(i). While there is no prescribed methodology for making the relevant vehicle comparisons to arrive at the fuel economy percentages, the States may refer to the May 24, 2007, EPA NPRM (72 FR29102) or develop and use their own reasonable methodologies until the EPA issues its final regulations. While the States may develop and use their own methodologies in the absence of EPA regulations, the FHWA Division Offices should work with the States to ensure that the States' methodologies are applied fairly and consistently for each vehicle. Until the EPA issues its final regulations (see Chapter III), the Division Administrators' acceptance will be conditioned on the State's agreement to update its program to incorporate the EPA requirements once the rule becomes effective.

For HOT lanes, in addition to the above requirements, the following elements are also required in the annual certification as stated in 23 U.S.C. 166(d):

• The State must indicate the presence of a program that addresses how motorists can enroll and participate in the toll program.
• The State must indicate that they have implemented a system that will automatically collect the tolls, or indicate that such a system will be implemented in a reasonable period of time following establishment of the HOT lane.
• The State must demonstrate policies and procedures to manage demand for the facility by varying the toll amount, if necessary to ensure acceptable performance.

Motorcycles and Bicycles

In order to restrict motorcycle and/or bicycle use of an HOV facility the State must submit a certification to FHWA that such use would create a safety hazard as stated in 23 U.S.C. 166(b)(2). Prior to granting acceptance, FHWA will publish notice of the certification(s) in the Federal Register and provide an opportunity for public comment. The list of accepted certifications will be published at the FHWA HOV Program Web site at http://www.ops.fhwa.dot.gov/freewaymgmt/hov.htm.

There is no particular format that is required for certifications to restrict the use of HOV facilities by bicycles and/or motorcycles, although specific information is requested. The written requests should be submitted to the FHWA Division Office and include the following background information:

• The name, title, e-mail address, and phone number of the person who will act as the point of contact on behalf of the requesting agency;
• A description of the subject HOV facilities;
• A detailed explanation of why the presence of motorcycles and/or bicycles creates safety hazards; and
• A copy of policies or regulations regarding the restriction, if applicable.

Toll Agreements - 23 U.S.C. 166 (c)

If a State chooses to implement variable or dynamic pricing on an HOV facility, a Title 23 United States Code (U.S.C.) Section 166 toll agreement must be executed pertaining to the use of toll revenue collected from the operation of the facility. Specifically, tolls may be collected subject to the requirements of Title 23 U.S.C. Section 129, which mandates that all toll revenues will be used first for debt service, for reasonable return on investment of any private person financing the project, and for the costs necessary for the proper operation and maintenance of the facility (including reconstruction, resurfacing, restoration, and rehabilitation). Section 129 further provides that if there are any excess revenues, then the State may use these revenues for any purpose that is eligible under Title 23 as long as the State annually certifies that the facility is being adequately maintained. Section 166 further requires that the State, in using any excess toll revenue, give priority consideration to projects for developing alternatives to SOV travel and projects for improving highway safety. A model toll agreement is provided at Appendix C.

In executing a toll agreement, States should work with the FHWA Division Offices. The FHWA Division Offices will coordinate with FHWA Office of Operations (HOP) in Headquarters to ensure that all necessary provisions are included in the agreement prior to its execution.

The State Transportation Department should sign at least two counterpart originals of the toll agreement. If another public authority or private entity will have jurisdiction over the facility, then they should sign the original agreements as well. Once all the original agreements have been signed, the State should transmit the signed originals to the FHWA Division Office, which will then forward them to the HOP in Washington, DC. Enough signed originals should be provided so that each signatory will receive an original for their records after FHWA signs the agreements. The originals should not be dated prior to submitting them to FHWA HOP.

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