HOV-to-HOT Screening Checklist

Performance Considerations

Agencies should consider the potential performance before adapting an HOV lane to a HOT 

lane. Converting an HOV lane to a HOT lane could provide significant benefits to travelers.

FACTOR QUESTION YES NO

HOV Lane 

Utilization

Will HOT lane operations remedy an existing utilization problem?

Will peak hour use remain below 1600 vehicles per hour 

per lane?

Will conversion have a positive impact on person throughput in the 

corridor?

Travel Time Will average travel-time savings be greater than 1 minute/mile and 

more than 5 minutes overall?

Will there be a higher reliability of travel times on the HOT lane 

than the general-purpose lanes?

Will the conversion create a negative impact on HOT or general-purpose 

lane speeds?

Will the conversion provide reliable trip times for transit?

Benefits Will the net agency/societal benefits be greater after conversions 

in accordance with regional goals?

(agency: toll revenue exceeds costs of conversion; societal: overall 

travel time savings, reduction in emissions, reduction in fuel use)

Willingness to 

Pay Tolls

Are there other local toll facilities that drivers are 

familiar with?

If so, will toll collection technology be interoperable?

Is there a market of travelers willing to pay for a higher level of 

service (eg, commuters, high income)?

Safety Will HOT lanes have a positive or neutral effect on the crash rate 

for the facility?

Environment Will conversion have a positive or neutral effect on fuel use?

Will conversion have a positive or neutral effect on 

emissions?

Revenue 

Generation

Does the estimated revenue cover expected operations, 

maintenance and enforcement costs, and additional costs 

necessary for the project to be financially viable?

Tailoring the Process to 

Your Project

The evaluation should consider 

the concept of “weighting” 

the various screening factors 

based upon project objectives 

and regional transportation 

system goals. This is a subjective 

element that accounts for projectspecific needs and conditions. All 

screening factors can be weighted 

equally, but more likely there will 

be certain factors that will have 

greater emphasis in the analysis. 

Based on a community’s needs 

and project specifics (e.g., political, 

public, operations, geometry), 

conversion may or may not be 

practical. The more important a 

factor, the greater the importance 

of addressing that factor should it 

receive a “No” answer.

How to Use This Checklist

The decision flowchart in the 

figure (at right) outlines a highlevel screening tool to assess your 

HOV lane for conversion to HOT. 

The Performance Considerations

and Facility Considerations are 

reviewed first to determine if the 

project is technically advisable. 

The Institutional Considerations

are then reviewed to determine 

if there are non-technical issues 

that would impact implementation 

and success of the project. A 

“No” answer to any of the factors 

should trigger further investigation 

into whether the impact can 

be mitigated. Any factor can 

become a fatal flaw if it receives 

a “No” depending on the unique 

characteristics of the individual 

project and community. 

Further 

Investigation and

Evaluation

Performance 

Considerations

Institutional

Considerations

Performance 

Data/Analysis

Facility

Considerations

Facility

Data/Analysis

Institutional Analysis 

and Recommended 

Direction

Can deficiencies 

be addressed?

Policy Decision 

to Proceed

YES NO

Institutional

Data/Analysis

HOT0901.0412
Facility Considerations

Facility considerations include design, operations and enforcement features. Certain facility features are essential or desirable for 

successful HOT lane operation.

Institutional Considerations

Agencies must also consider the viewpoints of the public, governmental agencies, 

legislative authorities, the media and other stakeholders.

FACTOR QUESTION YES NO

Cross Section Does the design envelope satisfy AASHTO desirable requirements for the entire length?

If not, are minimum sections less than 1000 feet in length?

Lane Separation 

Between HOT and 

General Purpose Lanes

Are AASHTO guidelines satisfied for the type of separation?

Facility Access Satisfies 

Origin-Destination 

Requirements

Are current access points located to serve primary users for the HOT lanes?

Facility Access Design If proposed access design is for slip ramps at grade, is buffer/barrier opening length at least 1300-1500 ft?

Is there sufficient weaving distance for vehicles to cross the general-purpose lanes and access the HOT lane 

without degrading freeway speed?

Ability to Enforce Are there enforcement areas included in the design of the HOT lane for detecting and detaining violators?

Is there supporting technology for enforcement?

Are current violation rates in the HOV lane < 10 percent?

Are enforcement efforts conducted on a routine basis?

Facility Traffic Control Does proposed sign placement, messaging and color conform to the MUTCD and best guidance available?

Pricing Strategy Can toll system capabilities achieve stated objectives for lane management at desired performance level of HOV 

and transit given geometric characteristics? 

Existing Toll Technology Is there an existing tolling system in the region or state that can be leveraged for HOT operation?

Incident Management Are operational treatments for incident management available that can be provided to assure travel time reliability? 

Maintenance Will the level of maintenance be adequate to ensure quality service and operations?

FACTOR QUESTION YES NO

Legal Is there legislation in the state to allow for toll collection and HOT lanes?

Public 

Acceptance

Is the public familiar with and accepting of electronic toll collection and 

video enforcement?

Are resources dedicated for enhanced and active public outreach and 

education?

Are HOV advocates amenable to changes in HOV operation? 

Is the HOT concept compatible with Local and State goals and 

objectives?

Political 

Acceptance

Is there a political champion?

Is there political familiarity with the HOT lanes concept?

Is there political support for the HOT lanes concept?

Is the HOT concept compatible with Local and State goals and objectives?

Environmental 

Justice/

Title VI Issues

Are low income/minority populations disproportionately adversely 

affected?

Can a mitigation plan be developed if low income/minority populations 

are disproportionately adversely affected?

Revenue Use If net revenue use is not dictated by federal requirement, is there 

agreement among agencies on how net revenue will be used?

Is the public informed and accepting of proposed use of net revenue 

generated from the project?

Interagency 

Cooperation

Do all transportation agencies in the corridor support the HOT lane concept?

Can operating agreements be established to specify areas of responsibility? 

Is cooperation expected from the enforcement and judiciary systems?

Media 

Awareness

Is there a positive working relationship with the media?

Are resources available to engage the media in public outreach efforts?

Project 

Marketing/

Evaluation

Are resources dedicated to promote the project and inform the public on 

operating details, both before and after the ribbon cutting?

Are resources dedicated to monitor and evaluate the project after opening 

and to communicate ongoing performance to agency officials and the public?

For more information about 

implementing HOT lanes in your 

community, see the following 

resources:

FHWA Office of Operations:

http://www.ops.fhwa.dot.gov/

freewaymgmt/index.htm 

FHWA Tolling and Pricing Program:

http://www.ops.fhwa.dot.gov/

tolling_pricing/index.htm 

Neil Spiller

Transportation Specialist

Federal Highway Administration

Office of Operations, 

HOTM E84-431

1200 New Jersey Ave, SE

Washington D.C. 20590

Phone: 202-366-2188

neil.spiller@dot.gov

Greg Jones 

Transportation Specialist

FHWA-Resource Center

61 Forsyth Street, Ste. 17T26

Atlanta, GA 30303

Phone: 404-562-3906

Fax: 404-562-3700

GregM.Jones@dot.gov

FHWA-HOP-12-024