Phase I - Vision

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Home I-Vision II-Preliminary Design III-Final Design IV-Pre-Construction V-Construction VI-Retrospect


Phase I - Vision

Phase I is the beginning of a project. The principal document involved is the City's Five-Year Capital Improvements Program (Task 5). For extensive complex projects a preliminary study should be performed for establishing the scope and estimating the project cost.

Project funding is determined early in the planning/scheduling process. Funding sources will depend on project classification and qualifications. The proposed funding sources will have a significant role in determining the tasks that will be involved in this or subsequent phases of a project. For example, if Federal funding is involved, KDOT and MARC are major players in this and subsequent phases.

A major objective of this manual is to receive permission from KDOT, subsequent to approval, for the City's Public Works staff to manage/administer Federal funded projects.

Phase I Checklist

Task 1 - Prepare Preliminary Engineering Study/Cost Estimate

For major projects a preliminary study will be conducted and the report prepared. This report will be the basis for establishing the design parameters and preliminary project cost. For thoroughfare street projects, the report will also establish the cross section, right-of-way widths, median openings, intersection geometry, future traffic signal locations, and vertical and horizontal alignments. The preliminary study is a valuable tool to ensure subsequent development complies with the ultimate construction.

The City's website provides interactive Preliminary Engineering Studies map with the links to the reports and plan drawings.

Standard Bid Items for use in cost estimating are available online.

Task 2 - Prepare Feasibility Report


A feasibility report is required when an Improvement District is proposed as a method of financing all or part of a project. This feasibility report is required to have the following:

  • Project description,
  • A description of the proposed improvements and benefit points if applicable,
  • Estimate of probable cost and the potential funding sources available for the project (Improvement District, SMAC, and City funds) including the apportionment of the costs,
  • A legal description of the property to be included in the Improvement District,
  • Easement and property acquisitions,
  • Method of assessment,
  • Apportionment of cost and
  • A summary of the project and a staff recommendation.

Citizens' petition for requesting projects and/or services is an important method of determining interest. If IDs are the method for financing projects, a formal approved petition form must be obtained from the City along with any instructional information.

Exhibit No. I-2a is a copy of the City’s petition form for an Improvement District.
Exhibit No. I-2b is a sample Feasibility Report for the improvement project financed by an ID.

Property owner(s) desiring consideration of a Storm Drainage Improvement Project shall make a written request to the City that outlines the nature and history of the problem and indicates their support for the improvements.

If the nature and history of the problem is a public matter, City staff, upon approval of the Governing Body, may complete a Feasibility Study and/or Preliminary Engineering Study to include problem description; conceptual improvements, and a preliminary cost estimate for all potential Storm Drainage Improvement projects.

After we have conducted a Feasibility Study and/or a PES and have a feasible solution, we mail out "Informal Petitions" to document the support from the neighborhood and their intent to donate easements as outlined in Resolution 3900.

Exhibit No. I-2c is a sample Feasibility Study for the storm drainage improvement project
Exhibit No. I-2d is a sample Preliminary Engineering Study for the storm drainage improvement project
Exhibit No. I-2e is a sample of an informal petition for storm drainage improvement project.

Informal petitions are also available for requesting streetlight and sidewalk projects.

Exhibit No. I-2f is an informal petition form for streetlight projects.
Exhibit No. I-2g is an informal petition form for sidewalk projects.

Governing Body Resolution No. 4036 establishes policy for city-owned streetlighting.

Governing Body Resolution No. 4046 establishes the policy on requesting construction of new sidewalks.

Governing Body Resolution No. 4384 establishes the policy on creating ID's for bank stabilization projects.

Governing Body Resolution No. 3900 establishes the policy on creating ID's for drainage projects.

Public Works Standard Operating Procedure for Prioritization of Storm Drainage Improvements.

Task 3 - Prepare SMAC Project Addition Study (Form)


If a proposed project was not identified by the County's Consulting Engineer, in the initial or subsequent study, a project addition request letter for a proposed project must first be submitted to the Stormwater Program Manager for approval prior to beginning the Preliminary Engineering Study. The project request letter shall include all the requirements documented in the Administrative Procedures. After the proposed project request is approved, an interlocal agreement is prepared and executed prior to beginning the Preliminary Engineering Study.

Exhibit No. I-3a is a copy of the Johnson County, Stormwater Management Program Policy.
Exhibit No. I-3b is a copy of the Johnson County, Stormwater Management Advisory Council, By Laws.
Exhibit No. I-3c is a copy of the Johnson County, Administrative Procedures for the Stormwater Management Program.

Maintenance projects replacing structurally deteriorated stormwater infrastructure may qualify for funds provided by Johnson County Stormwater Strategic Asset Management Plan (SAMP).

Exhibit No. I-3d is the project template.
Exhibit No. I-3e is the project reimbursement form.
Exhibit No. I-3f is the Johnson County SAMP Report.
Exhibit No. I-3g is a project submittal sample.

Task 4 - Obtain City Council Approval - PES

Completed Preliminary Engineering Study may need Public Works Committee review and recommendation to the City Council, especially if the proposed design deviates from any City ordinance or policy. The Director of Public Works shall make this determination.

Task 5 - Obtain City Council Approval - CIP


The City Five Year CIP is prepared annually. This permits revisions to existing projects and submittal of new projects for consideration. The Finance Department usually begins the process in September and concludes it in March (for budget planning purposes) of the subsequent year. QUESTICA budgeting software is utilized.

During this process there are public hearings by the Planning Commission, City Council Committees, and the City Council.

Refer to KDOT's "Guidelines for Public Involvement" and Code of Federal Regulations (Title 23, Part 771) regarding the public involvement process requirements for Federal funded projects.

Refer to City's website for information on Capital Improvement Program.

Task 6 - Submit MARC Five Year Plan


Subsequent to City approval of the CIP, the Mid-America Regional Council (MARC) will call for new projects along with updates to the current Transportation Improvement Program (TIP). MARC produces a new TIP every other year to outline federal transportation expenditures over the next five-year period. The call for new projects and updates occurs at the beginning of the calendar year.

Refer to MARC's website for the detailed information on Transportation Improvement Program .

Task 7 - Obtain MARC Approval

Proposed transportation projects will first be prioritized by the Kansas Highway Priority Committee consisting of City Staff members. This recommendation is forwarded to the MARC Total Transportation Policy Committee for recommendation to the MARC Board.

Task 8 - Submit Application to HUD


Overland Park is a HUD Entitlement City and annually receives grant money for low and moderate income neighborhoods. A Citizens' Advisory Committee has been organized to monitor the implementation and progress of all CDBG activities.

Exhibit No. I-8 is the CDBG Citizens' Participation Plan.

Task 9 - Receive HUD Approval


The City Manager receives the official grant approval from HUD and the PDS Staff notifies the city department responsible for project design/construction for capital projects.

Task 10 - Submit CARS Five Year Plan to County


The CARS program provides funds to the cities of Johnson County to construct and maintain their major arterial streets. Each year the cities submit a 5-year road improvement plan to Johnson County. Using a scoring system, Johnson County selects projects and allocates funds. The CARS Program pays 50% of the projects construction and construction inspection costs. Cities are responsible for design, right-of-way, and utility relocation costs. In January of each year Johnson County sends the City a program letter detailing the process for submitting funding requests for the CARS Five-Year Program. Submittals must be completed by the date stated in the program letter. One form must be submitted for each project in the Five-Year Program. A detailed description of the existing facility and a detailed description of the project must be provided as well as project cost information. All program policies, forms and instructions can be found on the Johnson County CARS Program web page.

Exhibit No. I-10 is an example of CARS program letter with instructions for submitting CARS Five-Year program to the Board of County Commissioners. A new program letter will be sent by CARS each year kicking off the annual process.
Exhibit No. I-10a is an example of a CARS Program submittal package

Task 11 - Execute Other Agency Agreements


  • CARS:

This agreement between the City and County should be executed prior to beginning project construction. The agreement is generally furnished by the County.

Exhibit No. I-11a is an example of a previously executed CARS Agreement.

NOTE: Beginning December 2023: Please add the CARS indemnification waiver to the CARS funding agreements during the City execution process.

Exhibit No. I-11a1 is the CARS indemnification waiver.
  • SMAC:

This agreement between the City and County should be executed prior to beginning project engineering. The agreement is generally furnished by the County.

Exhibit No. I-11b is an example of a previously executed SMAC Agreement for design.
Exhibit No. I-11c is an example of a previously executed SMAC Agreement for construction.

NOTE: Beginning December 2023: Please add the SMAC indemnification waiver to the SMAC funding agreements during the City execution process.

Exhibit No. I-11bc1 is the SMAC indemnification waiver.
  • City:

The interlocal agreement between the cities shall be executed prior to beginning project engineering. If there is CARS, SMAC and/or KDOT funding the interlocal agreement between the cities shall be executed prior to execution of CARS, SMAC, and/or KDOT agreements.

Exhibit No. I-11d is an Interlocal Agreement template.

Submit staff billing reports to the Finance Department for projects which staff time is reimbursable according to executed Interlocal Agreements. This also includes Improvement Districts.

Exhibit No. V-16c is a sample of a Staff Billing Report to finance.

Task 12 - Obtain Priority Evaluation from KDOT


KDOT participates in the MARC process. As the Federal-Aid projects identified in MARC's approved TIP are scheduled, and funding is available, the City is notified to begin project engineering. For more information see Chapter 2.0 Programming of KDOT's LPA Project Development Manual.

Task 13 - Submit KDOT Form 1302 for Project Request. Submit City's Request to Administer the Project


Once approved in the TIP, the City shall submit a Project Programming Request - KDOT form 1302, available at KDOT's BLP website, along with a copy of the approved TIP page showing the approved project, and a project schedule. With the transmittal of Form 1302 the City shall also request to administer the Federally Funded project. The request shall be emailed to [email protected] and copied to the BLP's Project Manager.

Once this is received by the BLP, the project shall be programmed. After a two week review the BLP develops and approves the Project Authorization (KDOT Form 883) and creates the City/State Agreement.

NOTE: Beginning December 2023: Please add the KDOT indemnification waiver to the City/State funding agreements during the City execution process.

Exhibit No. I-13e is the KDOT indemnification waiver.

Once the project receives the project number, the field check plans can be submitted.

For more information see Chapter 2.0 Programming of KDOT's LPA Project Development Manual.

Exhibit No. I-13a is a Project Programming Request (KDOT Form 1302).
Exhibit No. I-13b is a Rupis Project Schedule Form.
Exhibit No. I-13c is a sample Rupis Schedule.
Exhibit No. I-13d is a sample transmittal email to KDOT.

Task 14 - Receive Project Authorization from KDOT. Begin Environmental Process


No action is required by the City. This is handled by KDOT.

When the project is authorized and Form 883 is executed, the KDOT Bureau of Design, Environmental Services Section (ESS) will perform initial reviews and make initial contacts with environmental regulatory agencies to ascertain the potential for environmental impact.

For more information refer to Chapter 2.0 Programming and Chapter 4.0 Environmental of KDOT's LPA Project Development Manual.

Exhibit No. I-14 is a sample KDOT project authorization letter with a typical project schedule.

Task 15 - Public Involvement


Public involvement shall be commensurate with the complexity of the project and should be in accordance with KDOT's Sharing the future: Public Involvement in Kansas Transportation System.

All Phase I Exhibits