PROJECT

COMMUNICATION
HANDBOOK
Second Edition
September 2007
Office of Project Management Process Improvement














































Office of Project Management Process Improvement
1120 N Street, Mail Station 28
Sacramento, CA 95814
www.dot.ca.gov/hq/projmgmt
Project Communication Handbook
September, 2007
ii









Preface
Purpose
This document provides an overview of the basic concepts and processes
that guide project communication at the Department. The purpose of the
Project Communication Handbook is to assist the project team in identifying
internal and external stakeholders, developing the Project Communication
Plan, and enhancing communication among all parties involved.
Audience
All Department Capital Delivery Program personnel, including project
managers, their teams and supporting hierarchy.
Background
This is the 2
nd
edition of the Project Communication Handbook.
Revisions
This revision represents the original version of the 2
nd
edition.
Conventions
Titles of books and other documents appear in italics.
Web site URLs appear in bold italics.
Supplementary information appears in the left margin alongside normal
Like this example.
text in the right column.
Project Communication Handbook iii


iv
























C
CONTENTS
Preface .................................................................................................................................iii
Purpose..........................................................................................................................iii
Audience........................................................................................................................iii
Background....................................................................................................................iii
Revisions ........................................................................................................................iii
Conventions...................................................................................................................iii
Contents .................................................................................................................. v
Figures ................................................................................................................................ vii
Overview .................................................................................................................1
What Is Project Communication?.......................................................................................... 2
What Is Project Communication Management? .................................................................... 4
Task Manager Role in Communication ........................................................................... 4
Why Do We Do It?.......................................................................................................... 5
Processes .................................................................................................................7
Overview.............................................................................................................................. 8
Develop the Communication Plan ........................................................................................ 9
Gather Planning Inputs ................................................................................................ 10
Identify Stakeholders .................................................................................................... 10
Determine Stakeholder Needs ...................................................................................... 11
Project Communication Handbook v






























Cont e nt s
Identify Communication Methods and WBS Products ...................................................11
Prepare the Communication Plan Draft.........................................................................12
Distribute the Communication Plan Draft .....................................................................16
Incorporate Changes and Finalize the Communication Plan..........................................17
Distribute Information.........................................................................................................18
Involve the Community ................................................................................................19
Report Communication Performance ..................................................................................20
Maintain and Archive Project Records..................................................................................21
Tools and Methods ................................................................................................23
Communication Tools.........................................................................................................24
Project Fact Sheet .........................................................................................................24
Filing Systems...............................................................................................................24
Work Breakdown Structure...........................................................................................25
Resource Breakdown Structure .....................................................................................25
Project Charter..............................................................................................................25
Organization Breakdown Structure (OBS) .....................................................................25
Performance Reporting.................................................................................................25
Communication Methods ...................................................................................................26
Useful Website References.............................................................................................27
Appendices............................................................................................................29
Appendix A: Sample Project Communication Plan, Stakeholder Analysis, and
Communication Matrix .......................................................................................................30
Appendix B: Sample Conflict Management Plan..................................................................34
Glossary .................................................................................................................35
Acronyms...............................................................................................................37
Index .....................................................................................................................39
Project Communication Handbook vi











Cont e nt s F i gur e s
Figures
Figure 1. Communicating WBS element...................................................................................... 3
Figure 2. Communication plan flowchart.................................................................................... 9
Figure 3. Conflict management flowchart ................................................................................. 15
Figure 4. Sample communication plan ..................................................................................... 31
Figure 5. Sample stakeholder analysis ....................................................................................... 32
Figure 6. Sample communication matrix................................................................................... 33
Project Communication Handbook vii


Cont e nt s
Project Communication Handbook viii







1
OVERVIEW
This chapter summarizes Department project communication by:
Defining “project communication” and “project communication
management”
Explaining the purpose and goals of project communication
management at the Department
Project Communication Handbook 1




















Ov e r v i e w
What Is Project Communication?
For more
information about project
stakeholders, see the
Project Management
Handbook.
For more
information about task
managers, see the Project
Management Handbook.
Project communication is the exchange of project-specific information
with the emphasis on creating understanding between the sender and the
receiver. Effective communication is one of the most important factors
contributing to the success of a project.
The project team must provide timely and accurate information to all
stakeholders. Members of the project team prepare information in a variety
of ways to meet the needs of project stakeholders. Team members also
receive feedback from these stakeholders.
Project communication includes general communication between team
members but is more encompassing. It utilizes the Work Breakdown
Structure (WBS) for a framework, it is customer focused, it’s limited in time,
it is product focused with the end in mind, and it involves all levels of the
organization. For details about the WBS, see “Work Breakdown Structure”
on page 25.
For each WBS element, there are:
Suppliers who provide inputs needed for the WBS element
Task managers who are responsible for delivering the WBS element
Customers who receive the products of the WBS element
Suppliers must communicate with the task managers, and the task
managers must communicate with suppliers and customers. The supplier is
often the task manager for an earlier deliverable in the project lifecycle; the
customer may be a task manager for a later deliverable. Good project
communication includes notifying the next task manager in the project
delivery chain about when to expect a deliverable. The supplier and
customer may also be the functional manager.
It is important to note that the communication should be reciprocal
between the task manager and supplier and the task manager and
customer, i.e., although communication is the responsibility of the task
manager, the customer/supplier should always validate expected
deliverable dates (see Figure 1).
Project Communication Handbook 2




















Ov e r v i e w Wha t I s P r oj e c t Communi c a t i on?
S U P P L I E R
-Provides input-
Could be task manager of earlier deliverable
T A S K M A N A G E R
-Delivers the WBS element-
C U S T O M E R
-Receives the product-
Could be task manager for later deliverable
Figure 1. Communicating WBS element
The project communication plan is a part of the overall project plan. It
builds on the project workplan, which shows:
What will be produced on the project — the deliverable including
the WBS
Who will produce it — the Cost Center
When will it be produced
For more information, see
“Prepare the Communication Plan Draft” on page12.
Project Communication Handbook 3



















Ov e r v i e w
What Is Project Communication Management?
Task Manager
Role in
Communication
Project Communication Management is the knowledge area that employs
the processes required to ensure timely and appropriate generation,
collection, distribution, storage, retrieval and ultimate disposition of
project information.
1
Project Communication is the responsibility of everyone on the project
team. The project manager, however, is responsible to develop the Project
Communication Management Plan with the input from the task managers
and Project Development Team (PDT).
A task manager responsible for a deliverable needs to know why
the customer wants it, what features they want, how long it will
take, and how they want to receive it.
The task manager tells their customer exactly when to expect
the deliverable. If that deliverable is linked to a WBS element on
the critical path, it is even more important that task manager
informs their internal customer when the deliverable will
arrive. The recipient functional manager must have their staff
ready to start work immediately after it arrives.
The task manager must ensure that internal customers know
about any changes in the delivery date. This allows the
recipient functional manager to schedule their resources
accordingly. The task manager follows up with the customer of
each deliverable. The task is not complete merely because the
final product is delivered to the customer. The task manager
contacts the customer to confirm that the deliverable met
his/her needs and expectations. The task manager should enter
feedback that others might use in future projects into the
lessons learned database and into the Department’s guidance
and training materials.
1
PMBOK Guide –Third Edition, page 221
Project Communication Handbook 4











Ov e r v i e w Wha t I s P r oj e c t Communi c a t i on Ma na ge me nt ?
Why Do We Do It?
The project communication management processes provides the critical links
among people and information that are necessary for successful
communications.
Project managers use project communication management to:
Develop a communication plan for the project
Distribute information via the methods that reach customers most
effectively
File data using the Project Development Uniform Filing System and
Construction Organization of Project Documents
Archive records in accordance with Department Records Retention
policies
Project Communication Handbook 5


Ov e r v i e w
Project Communication Handbook 6






2
PROCESSES
This chapter explains the various processes involved in Department project
communication.
Project Communication Handbook 7












Ov e r v i e w P r oc e s s e s
Overview
Understanding the communication process is the first step in
communication planning. Consider these five factors:
Who is involved in the communication process — the identified
stakeholders, such as Project Team Members, project management
and staff, customer management and staff, and external
stakeholders.
What is being communicated — the message; the information being
communicated.
When the information is communicated — weekly, monthly,
quarterly, as needed, or as identified.
How the information is distributed— in a meeting, a memorandum,
an email, a newsletter, a presentation, etc.
Who will provide the information being communicated.
For more
information about the
roles of the customers,
Deputy District Director
for Program and Project
Management
(DDDPPM), and
District Director, see the
Project Management
Handbook.
Project Communication Handbook 8







P r oc e s s e s De v e l op t he Communi c a t i on P l a n
Develop the Communication Plan
Preparing the project communication plan assists the project team in
identifying internal and external stakeholders and enhances
communication among all parties involved in the project. The project
manager leads the project development team to prepare a communication
plan to ensure that an effective communication strategy is built into the
project delivery process. The plan is a framework and should be a living,
evolving document that can be revised when appropriate. The
communication plan is part of the project management plan. Figure 2
shows the steps in the development of the communication plan.
Determine Stakeholder
Needs
Identify Communication
Methods and WBS Products
Prepare Communication
Plan Draft
Distribute Communication
Plan Draft
Any Changes from
Stakeholders?
Incorporate
Changes
End Process
No
Yes
Finalize Project
Communication Plan
WBS Product
List
Project Charter
Gather Planning Inputs
Begin Process
Identify Stakeholders
Figure 2. Communication plan flowchart
Project Communication Handbook 9


















De v e l op t he Communi c a t i on P l a n P r oc e s s e s
Gather Planning
Inputs
Identify
Stakeholders
The project development team (PDT) develops a communication plan by
asking the following questions:
Who needs what information?
When do they need the information?
Who delivers the information?
How should the information be delivered?
While all projects share the need to communicate project information, the
specific information needs and the methods of distribution may vary
widely.
The PDT develops two inputs for the project communication planning
process:
WBS product list — a list of potential project products, based on the
workplan that includes all the elements of the WBS, and the sub-
products of the WBS.
Project charter — the record of the agreement between the sponsor
and the project manager on the key elements of a project. The project
charter lists the project manager, the project sponsor, and the PDT
(for further details about the project charter, see the Project
Management Handbook).
Project stakeholders have information and communication needs.
Identifying the information needs of the stakeholders and determining a
suitable means of meeting those needs are important factors for project
success.
The PDT must identify the stakeholders on a project, determine what their
needs and expectations are, and then manage and influence those
expectations to ensure a successful project.
The PDT brainstorms a list of stakeholders using the roles identified in the
Project Management Handbook, the RBS/OBS list of functional areas, and the
Innovation Checklists for project manager (see Project Management Directive
(PMD) 007R).
Project Communication Handbook 10














P r oc e s s e s De v e l op t he Communi c a t i on P l a n
Determine
Stakeholder Needs
The key to successful
community involvement is
communicating with
external project
stakeholders early and
often.
For more
information about the
PDT, see the Project
Management Handbook
and the third edition of the
PMBOK Guide section
10.4, pages 221 and 235.
Identify
Communication
Methods and WBS
Products
As early as possible, the PDT assigns team members to contact local,
regional, state, and federal agencies that have even a minor stake in a
project. By working with these agencies from the earliest stages, the project
team reduces the chance of conflict at critical times.
For more information about external project stakeholders, see “Involve the
Community” on page 19.
Project team members and stakeholders use different communication
methods at particular times during the project lifecycle. For examples of
communication methods, see “Communication Methods” on page 26.
The project team uses the WBS product list to identify the products that
may be needed on the project. The PDT identifies:
Who produces the product
Who receives the product
The method of product transmittal
This information is tied directly to WBS elements and sub-products
required for the project.
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De v e l op t he Communi c a t i on P l a n P r oc e s s e s
Prepare the
Communication
Plan Draft
For a stakeholders
analysis sample, see “Figure
5. Sample stakeholder
analysis” on page 32.
Templates for the
stakeholder analysis and
the communication
matrix are available on
the Internet at:
http://www.dot.ca.
gov/hq/projmgmt/
guidance.htm
The project communication plan includes the information needed to
successfully manage project product deliverables.
The project communication plan includes the following (see Figure 4.
Sample communication plan on page 31):
Brief introduction and background — answers the question, “Why
do we need a project communication plan?”
A list of the project sponsor, project manager, PDT members, and
other key stakeholders.
Methods of communications to be used, including formal meetings
to be held (who, what, when, how).
Project reporting information — answers the question, “How will
project performance be collected and distributed to the internal and
external project stakeholders?”
Stakeholders analysis — includes internal stakeholders (name and
contact information) identified by Cost Center number and
function, and external stakeholders (name and contact information)
identified by agency or organization. The stakeholders analysis is
designed to help the PDT analyze internal and external stakeholder
needs by gathering the following information from each
stakeholder:
ƒ Goals for the project. What is each stakeholder’s desired outcome
for the project? The project manager should ensure at the start that
there is a consistent vision for the project.
ƒ Preferred methods of communication. Project team members will
use this information as a means to meet individual
communication needs. If the team cannot reasonably
communicate through each stakeholder’s preferred medium, the
team needs to negotiate a method to ensure that each stakeholder
receives and understands the project communication.
ƒ Preferred method for recognizing performance of the team, within
the constraints of what is achievable. The PDT uses this
information to plan appropriate celebrations at the completion of
each project component. For a list of possible rewards, see “Decide
How to Acknowledge the Performance of the Team” on page 14.
12 Project Communication Handbook












P r oc e s s e s De v e l op t he Communi c a t i on P l a n
For
communication matrix
sample, see Figure 6.
Sample communication
matrix on page 33.
Communication matrix — this tool is used to track project
performance by project component and WBS element. The WBS
product list is the input. It includes the WBS codes, WBS titles, sub-
products, and Uniform Filing System location numbers. The list also
indicates which sub-products should be filed in the Project History
File (PHF). To complete the communication matrix, the PDT
indicates if the sub-product is required, who produces it, who
receives it, the method of transmittal, and the date submitted.
The project manager assigns a team member to complete the draft project
communication plan for each appropriate project component:
Project Initiation Document (PID)
Permits and Environmental Studies
Plans, Specifications, and Estimates (PS&E)
Right of Way
Construction
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De v e l op t he Communi c a t i on P l a n P r oc e s s e s
Decide How to Acknowledge the Performance of the Team
Some forms of recognition that are achievable in California State service
are:
Gold and Silver Superior Accomplishment awards & Employee
Recognition Program Accomplishment awards
End-of-project phase team celebrations organized by the project
manager and sponsored by appropriate managers and project
stakeholders
Certificates, posters, and letters of appreciation from the District
Director, Deputy District Director, or other appropriate manger
Certificates and letters of appreciation from local agencies and other
external stakeholders
Excellence in Transportation awards presented by the Department
Tranny awards presented by the California Transportation
Foundation
Purcell, Roberts, and Moskowitz awards presented by the
Department
Excellence in Highway Design awards presented by the Federal
Highway Administration
Environmental Excellence awards presented by the Federal Highway
Administration
Public Affairs Skills awards presented by the Federal Highway
Administration
Other External Professional Awards such as Project of the Year
awards by the ASCE
Develop a Conflict Management Strategy
A good communication plan includes a conflict management strategy
which is designed to make issues between stakeholders more manageable.
Project managers minimize conflicts and resolve issues through constant
communication with the project sponsor(s), project team members, and
other project stakeholders. Project managers can use the sample strategy
that appears later in this section, or can develop a more specific strategy.
The project manager negotiates and/or mediates conflict resolution.
Project managers encourage project stakeholders to seek win-win solutions
to their problems when possible. Because the project manager discusses
and develops a conflict management strategy before the project begins,
issues are more manageable. The project manager documents in the project
record any decisions that utilize the conflict management strategy.
Figure 3 shows an overview of conflict management (also see Appendix B
for conflict management plan).
Project Communication Handbook 14





P r oc e s s e s De v e l op t he Communi c a t i on P l a n
Plan Execute Control
Begin Conflict
Management Process
Obtain Project Information
Project Manager Drafts
Conflict Management Plan
Forward Draft to Key
Stakeholders for Input
Changes Based on
Input from
Stakeholders?
Incorporate
Changes into
Conflict
Management
Plan
Finalize Conflict
Management Plan
Review Conflict
Management Plan
Follow the Plan to
Resolve Issue or
Take Issue to Next
Level
Document
Meetings and
Results
File Conflict
Management
Issues/Results in
Project Records
(PDPM Uniform
Filing System)
Record Diary Entries on
All Project Issues and
Results
File Diary Entries
in Project Folder
Conflict Arises
Yes
No
End Conflict
Management Process
Close
Figure 3. Conflict management flowchart
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De v e l op t he Communi c a t i on P l a n P r oc e s s e s
Sample Conflict Management Strategy
The project manager and the project stakeholders meet and agree to
The project manager
attempt to resolve all conflicts at an individual level as much as possible.
prepares the conflict
Two (or more) parties with a dispute will meet and use the following
management strategy with
guidelines:
input from stakeholders.
Stakeholders use this
strategy to resolve issues at
any time during the project.
To resolve conflicts within the scope of the project:
Step Action
1 Acknowledge the conflict
2 Establish ground rules
3 Establish common ground and shared goals
4 Separate the problem from the people
5 Have the parties share collected data related to the conflict
6 Explore solutions, listing as many alternatives as possible
7 Evaluate solutions, looking for a win-win solution
8 Select the best solution
9 Share the solution with the project stakeholders
Distribute the
Communication
Plan Draft
For complete
definitions of task
managers and functional
managers, see the Project
Management Handbook.
If a conflict cannot be resolved at an individual level, the conflict may need
to be escalated by the project manager with the functional manager or the
Chief of Program/Project Management. (See Appendix B for timetable for
escalation process.)
Each time stakeholders meet to resolve a conflict, they record the following
information:
Issues
Meeting date and location
Attendees
Results of meeting
The project manager sends the draft project communication plan to the
project stakeholders for review and input. When reviewing the
communication matrix, functional managers ensure that a task manager is
assigned to each WBS elements listed in the functional managers’ area of
responsibility. The functional managers list all the assigned task managers
on the communication matrix and the stakeholder analysis.
Project Communication Handbook 16







P r oc e s s e s
Incorporate
Changes and
Finalize the
Communication
Plan
De v e l op t he Communi c a t i on P l a n
The project manager or PDT members incorporate changes from the
project stakeholders into the project communication plan. The project
manager then distributes the final project communication plan to the
project team members. The project management support unit (PMSU) uses
the finalized project communication matrix to track the progress of project
deliverables. (For a sample of a completed project communication plan, see
“Appendix A: Sample Project Communication Plan” on page 30.)
Project Communication Handbook 17






























Di s t r i b ut e I nf or ma t i on P r oc e s s e s
Distribute Information
For a complete
definition of a stakeholder,
see the Project
Management Handbook.
Proper information distribution makes information available to project
stakeholders in a timely manner. Following the communication plan
ensures that all members of the project team are aware of their
responsibilities to communicate with external stakeholders. The more
information stakeholders have regarding a project or deliverable, the less
likely last minute conflicts, changes, or complaints will affect a project.
Team members can improve overall project communication by adhering to
the following communication guidelines:
Awareness
ƒ Base communication strategies on stakeholder needs and
feedback.
ƒ Ensure that communication is shared in a timely manner.
Content
ƒ Advocate open, honest, face-to-face, two-way communication.
ƒ Create an environment where project team members and other
stakeholders can constructively challenge behavior and ideas.
Context
ƒ Remember that communication is two-way. Listen as well as
deliver the message.
ƒ Involve senior management when appropriate.
Communication flow
ƒ Coordinate communication with project milestone events,
activities, and results.
ƒ Include key stakeholders in developing an interest-based conflict
management process.
Effectiveness
ƒ Conduct regular assessments of the communication plan and
process.
ƒ Communication must focus on the customer.
Format and media
ƒ Take advantage of existing communication vehicles and
opportunities.
ƒ The project team has a variety of methods to share information.
For examples, see “Communication Methods” on page 26.
Project Communication Handbook 18




















P r oc e s s e s Di s t r i b ut e I nf or ma t i on
Involve the
Community
The Department has adopted a number of policies that encourage
community involvement and building partnerships. The key to successful
community involvement is communicating with external project
stakeholders early and often. Project team members must be familiar with
the Department’s policies and procedures related to:
Community involvement — extensive information related to
working with external project stakeholders, including preparing
community involvement plans, can be found in the Project
Development Procedures Manual (PDPM), Chapter 22. All project team
members must be aware of this information and follow established
procedures. For more information, see the complete chapter at:
http://www.dot.ca.gov/hq/oppd/pdpm/chap_htm/chapt22/ch
apt22
Context sensitive solutions — the Department has adopted a
number of policies that encourage designers to respond to
community values where state highways serve as main streets. The
Director’s Policy on Context Sensitive Solutions details the roles and
responsibilities of all project team members. For more information,
see the complete policy statement at:
http://www.dot.ca.gov/hq/oppd/context-solution.pdf
Accommodating non-motorized travel — the Department
fully considers the needs of non-motorized travelers (including
pedestrians, bicyclists, and persons with disabilities) in all
programming, planning, maintenance, construction, operations,
and project development activities and products. The Deputy
Directive on Accommodating Non-Motorized Travel details the roles and
responsibilities of project team members. For more information, see
the complete policy statement, at:
http://www.dot.ca.gov/hq/oppd/non-motor-travel.pdf
Public information — the Department has an established policy
on public information. Project team members must be familiar with
this policy and understand their roles and responsibilities related to
the distribution of public information. Headquarters Public Affairs
provides information about statewide and policy concerns, while
District Public Affairs Offices answer questions related to local and/or
internal District operations.
Project Communication Handbook 19















R e p or t Communi c a t i on P e r f or ma nc e P r oc e s s e s
Report Communication Performance
The Communication Plan is reviewed continuously throughout the project
to ensure that it remains effective.
Periodically, the project manager asks the project stakeholders if the
project communication is sufficient to suit the stakeholder’s needs. In
some cases, project stakeholders may need greater detail or more frequent
delivery. In other cases, certain stakeholders may need summary
information, or may request notification only if problems arise.
To evaluate and report communication performance:
Step Action
1 Review the project communication plan
2 Solicit feedback from the project stakeholders, verbally or in writing, as to
whether the current information or communication method is adequate,
based on the following criteria:
Type of information
Frequency of information
Depth/detail of information
Format of information
Method of transmittal
3 Discuss the stakeholder feedback with the PDT
4 Update the project communication plan if needed
Project Communication Handbook 20













P r oc e s s e s Ma i nt a i n a nd Ar c hi v e P r oj e c t R e c or ds
Maintain and Archive Project Records
From the start of the project until the award of the construction contract,
the Project Engineer maintains a set of project records. These are organized
and indexed according to the Project Development Uniform Filing System.
From construction award to final closeout, the Resident Engineer
maintains a set of project records that are organized and indexed according
to the Construction Organization of Project Documents.
These filing systems address one of the most error-prone aspects of project
communication — communication over long spans of time. In many cases,
the recipients of deliverables may not need the deliverables until several
years after they are produced. The future recipient must know where to
find the deliverable and understand previous project decisions, even if the
task manager and other project team members are no longer available.
For more information about these filing systems, see “Filing Systems” on
page 24.
The project team archives the Project History File (PHF) when the project is
complete. This file includes selected project development records, final
project records, the project Risk Management Plan, the project Charter,
and the project Communication Plan. These include all letters, memos,
reports, etc., that document project decisions, or that would be useful to
develop a subsequent project.
The Project Delivery Procedure Manual (PDPM) indicates which project
development records are included in the PHF and describes the archival
process. For more information, see the complete chapter at:
http://www.dot.ca.gov/hq/oppd/pdpm/chap_htm/chapt07/chapt07.
htm
Project Communication Handbook 21



" .
Ma i nt a i n a nd Ar c hi v e P r oj e c t R e c or ds P r oc e s s e s
Project Communication Handbook 22








3
TOOLS AND
METHODS
This chapter describes some of the communication tools and methods used
by Department project team members. Stakeholders must choose
appropriate tools and methods to accomplish the communication task at
hand.
Project Communication Handbook 23



















Communi c a t i on T ool s T ool s a nd Me t hods
Communication Tools
Project team members use a variety of tools to organize and present project
information.
Project Fact Sheet
The project fact sheet contains summary data for stakeholders outside the
project team, and is typically posted on the project website. No set standard
exists for a project fact sheet. Districts use information from the project
charter and other sources. The table below shows what information is in
the charter as compared to the fact sheet.
Information Charter Fact Sheet
Background X X
Project purpose X X
Project component objectives X
Project description/scope statement X X
Project/component constraints, assumptions and risks X
Component deliverables X
Key team members X
Deliverable management process X
Location map X X
Major milestone delivery dates X
Estimated cost X
Project contacts (short list; keep to level 5 Task
Managers)
X
Filing Systems
A filing system is a set of agreed-upon folder and file naming conventions
used to classify project documents to make them easier to find. It is,
essentially, a numbering scheme used to identify different types of
documents and the folders where they are stored. All project records must
be filed according to the following file systems:
Project Communication Handbook 24























T ool s a nd Me t hods Communi c a t i on T ool s
For more
information, see Chapter 7
of the PDPM located at:
http://www.dot.ca.gov/hq
/oppd/pdpm/chap_htm/c
hapt07/chapt07.htm, and
Section 5-102 of the
Construction Manual
located at:
http://www.dot.ca.gov/hq
/construc/manual2001/ch
apter5/chp5_1.pdf
Work Breakdown
Structure
Resource
Breakdown
Structure
Project Charter
Organization
Breakdown
Structure (OBS)
Performance
Reporting
The Project Development Uniform Filing System — the standard
filing system for project records up until the award of the
construction contract.
The Construction Organization of Project Documents — the
standard filing system for project construction records from the
award of the construction contract onwards.
Electronic filing systems with standardized District formats also
serve as centralized stores for project information.
The WBS is a deliverable-oriented grouping of project elements that
organizes and defines the total scope of the project. Project
communication relates to WBS elements. Team members use the WBS, and
OBS to create the communication plan. For more information about the
WBS, see http://www.dot.ca.gov/hq/projmgmt/guidance.htm
The RBS is a standardized, hierarchical list of roles that is used to produce a
project deliverable. Project team members use the RBS to determine what
roles are needed to produce project-specific WBS elements and to identify
who needs to receive certain communication products. For more
information about the RBS, see
http://www.dot.ca.gov/hq/projmgmt/guidance.htm
The project charter documents the agreement between the sponsor and the
project manager over the key elements of a project and component. The
charter helps the project manager guide the project team efficiently and
effectively through the project development process.
The OBS describes the Caltrans organization chart. It groups personnel into
successively smaller units, each reporting to a single manager or supervisor.
Districts and divisions consist of offices, which are subdivided into
branches. In large districts and divisions, branches may be further
subdivided into sections, and sections sometimes subdivided into squads.
Performance reporting involves the collection of all baseline data, and
distribution of performance information to stakeholders. Performance
Reporting should generally provide information on scope, schedule, cost,
and quality. By analyzing deviations from plan (variances) a project
manager can spot developing problems in time to take corrective action
before they become serious. Earned-value analysis translates both schedule
and budget measures into dollar values and tracks them against the original
planned expenditure of effort, again translated into its dollar value.
Project Communication Handbook 25




























Communi c a t i on Me t hods T ool s a nd Me t hods
Communication Methods
Project team members use a variety of communication methods to deliver
project information, including meetings, telephone calls, email, voicemail,
and websites. Meetings in particular are often the most effective way to
distribute information to project stakeholders. Before planning a meeting,
the project manager or assigned team member should consider the
communication objectives carefully and choose a meeting format that will
meet the objectives.
For more information about the applicability, format, publicity, and
considerations for meetings, see Chapter 22 of the PDPM, located at:
http://www.dot.ca.gov/hq/oppd/pdpm/chap_htm/chapt22/chapt22.
htm
Project team members use meetings and many other communication
methods:
Method Purpose Responsibility Frequency Audience
Project Develop a formal baseline Project manager Weekly until Project
development workplan, which is used to define, baseline manager and
team meeting monitor, and manage project
execution.
Identify the basic task elements of
a project and assess the resource
needs for delivering a project
within an assigned time frame.
workplan is
signed
all
stakeholders
Project Communicate changes in Single focal point Weekly at Project
management Department policy or procedures, (SFP) or Chief of designated manager and
senior staff manage program expectations, PPM time functional
meeting and enhance training processes. managers
Project status Report status and progress of SFP or Chief of Monthly at Project
review meeting scheduled milestones and
activities.
Identify and discuss problems and
solutions for project obstacles.
PPM designated
time
manager,
DDDPPM, and
database
administrative
staff
Project team Report project status and progress Project manager As needed Project
meeting of scheduled milestones and
activities.
Identify and discuss project issues
and corrective actions.
(weekly,
monthly,
quarterly, or
ad hoc)
manager,
functional
managers, and
task managers
working on
the specific
project
Office meeting Report status and progress of
projects and scheduled tasks.
Identify and discuss office related
issues.
Project manager,
functional
manager, or task
manager
Weekly
Office
supervisor and
staff
Project Communication Handbook 26

































T ool s a nd Me t hods Communi c a t i on Me t hods
Method Purpose Responsibility Frequency Audience
External
customer and/or
supplier meeting
Involve external customers and
suppliers in the project.
For more information, see “Involve
the Community” on page 19.
Project manager,
functional
manager, or task
manager
As needed All
stakeholders
Project Internet
site
Report status and progress of
scheduled milestones and
activities.
Webmaster as needed All
stakeholders
Teleconference Communicate changes in
Department policy or procedures,
manage program expectations,
and enhance training processes.
Report status and progress of
scheduled milestones and
activities.
Identify and discuss problems and
solutions for project obstacles.
Varies Weekly at
designated
time
HQ staff,
project
manager,
DDDPPM
Correspondence
(letters, memos,
email, etc.)
Document status of action items,
decisions made, and problems
encountered.
All stakeholders As needed All
stakeholders
Site visit Identify and discuss problems and
solutions for project obstacles.
Project manager or
functional
manager
As needed All
stakeholders
Useful Website References
Stakeholder Analysis:
http://www.dot.ca.gov/hq/projmgmt/guidance.htm
Project Development Records:
http://www.dot.ca.gov/hq/oppd/pdpm/chap_htm/chapt07/chapt07.htm
Construction Manual Records:
http://www.dot.ca.gov/hq/construc/manual2001/chapter5/chp5_1.pdf
Community Involvement:
http://www.dot.ca.gov/hq/oppd/pdpm/chap_htm/chapt22/chapt22
Guide to More Effective Meeting:
http://onramp.dot.ca.gov/hq/cpsd/Project_HR_Mgmt/7-
meeting_skills/Eff_mtg_guide_v6.doc
Project Communication Handbook 27





A
APPENDICES
The Appendices contain templates and samples of the project
communication plan, stakeholder analysis, communication matrix, and
conflict management plan.
Project Communication Handbook 29



























Ap p e ndi x A: S a mp l e P r oj e c t Communi c a t i on P l a n, S t a k e hol de r Ana l y s i s , a nd
Communi c a t i on Ma t r i x Ap p e ndi c e s
Appendix A: Sample Project Communication Plan,
Stakeholder Analysis, and Communication Matrix
Project Communication Plan
District 8
Project 34040K
SB-395
Permits and Environmental Studies Phase
Introduction and Background
The purpose of the Project Communication Plan is to provide consistent and timely information
to all project stakeholders. This plan will assist the project team in building an effective
communication strategy to enhance communication throughout project delivery.
The project manager assigns team members to create the communication matrix with input from
the PDT members. Figure 4 shows the communication matrix template.
The project manager assigns team members to create the stakeholders analysis with input from
the PDT members. Figure 3 shows the stakeholders analysis template.
This project is one of the two segments of the proposed improvements on US-395 from I-15 to
SR-14. The location of this project is from the junction of I-15/US-395 to 0.5 miles south of
Farmington Road. The first part of this segment from I-15 to Purple Sage Road will be realigned
and widened to a 4 or 6-lane freeway. The second portion from Purple Sage Road to Farmington
Road will be widened to a 4-lane expressway.
Project Team Representatives
Project Sponsor: Frank White
Project Manager: Lisa Gonzales
Assistant Project Manager: Maher Ahmad
The PDT is made up of the following Project Team Representatives:
Name Division Telephone
Lisa Gonzales Project Management (909) XXX-XXXX
Maher Ahmad Project Management (909) XXX-XXXX
Wendy Young Design I (909) XXX-XXXX
Donald Johnson Planning (909) XXX-XXXX
Michael Burns Environmental Cultural Studies (909) XXX-XXXX
Allen Wong Construction (909) XXX-XXXX
Ram Vapari Design I (909) XXX-XXXX
Tanya Khan Materials (909) XXX-XXXX
Mary Lee Environmental Project Management (909) XXX-XXXX
Ian Jones Right of Way (909) XXX-XXXX
Ricky Scott Public Affairs (909) XXX-XXXX
Project Communication Handbook 30

































Ap p e ndi c e s Ap p e ndi x A: S a mp l e P r oj e c t Communi c a t i on P l a n,
S t a k e hol de r Ana l y s i s , a nd Communi c a t i on
Ma t r i x
Community Involvement
In March 1990, the Department developed a Community Involvement Program for the study of the
realignment of US-395. Two groups were organized: the Community Advisory Committee (CAC) and
the Project Development Team (PDT). During the time of the study, the CAC had 9 meetings and the
PDT had 12. Two public meetings were held, one in June 1990 and the other in August 1991. A
Community Involvement Program Report was completed by Resource Management International, Inc.,
and accepted by the Department in July 1992.
During the period from June 1999 to July 2000, informational meetings were held between the
Department, local and Federal agencies and property/business owners to discuss different alternatives
of the proposed realignments. The Department’s Districts 6, 8, and 9 as well as regional MPO’s and
RTPA’s and the Counties of San Bernardino and Kern have been working in partnership with local
agencies, cities and communities to find a viable alternative for the eventual upgrading of US-395.
Communication Methods
The Project Manager schedules formal monthly PDT meetings during the PA&ED phase.
Notices/invitations are sent out through Lotus Notes. Meetings are held in the District 8 Conference
Room. Notes will be taken and distributed to the PDT. The Project Manager also meets with the
Functional Units informally on an as needed basis to discuss/resolve issues.
The Environmental Branch will be meeting regularly with the Bureau of Land Management as issues
arise. The Project Manager will participate in these meetings on an as needed basis.
Project Reporting Information
District 8 utilizes an online Data Retrieval System. From this site, the user can query much of the data
that is available in electronic format through the District 8 website.
Conflict Management Strategy
All parties agree to work cooperatively to avoid and resolve conflicts at the lowest level possible. If
disagreements emerge which cannot be resolved, the following procedure will be followed:
1. All parties involved must agree that an impasse exists
2. All parties involved must be able to respond in the affirmative to the following statements:
¾ The position taken is legal and ethical
¾ The position taken is good for our customers
¾ The position taken makes efficient use of resources
¾ Each party accepts full responsibility for the position he/she is taking
¾ The position taken works towards meeting project delivery goals
When the parties at the lowest level are unable to come to a solution, the problem must be escalated to
the next working level.
Figure 4. Sample communication plan
Project Communication Handbook 31





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Figure 5. Sample stakeholder analysis
Project Communication Handbook 32
































































































































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Ap p e ndi x B : S a mp l e Conf l i c t Ma na ge me nt P l a n Ap p e ndi c e s
Appendix B: Sample Conflict Management Plan
TYPICAL CONFLICT MANAGEMENT PLAN
This process supplements the MOU for project delivery between Caltrans District XX and (Local
Agency) concerning projects on State Highways. This document, developed jointly by Caltrans and
(Local Agency), is intended to provide a framework for resolving conflicts between the parties, should
they arise and an impasse has occurred between the parties.
PRINCIPLES
Caltrans and (Local Agency) share the following principals in the resolution of conflicts:
1. The efficient delivery of effective, appropriate projects is the primary goal of both parties
under this MOU.
2. The parties will focus on their common goals rather than differences.
3. Win/win solutions to conflicts should be sought.
4. Differences of opinion are okay.
5. Timely, open honest communication is the key to avoiding and resolving conflicts.
6. Decisions should be made and conflicts should be resolved at the lowest possible level.
DECISION PROCESS
The attached “Conflict Resolution Plan” matrix is to be followed to identify the process by which
unresolved issues may be elevated to a higher decision authority.
Level Local Agency
Participant
Caltrans participant
for single-project
issues
Caltrans Participant
for Program-wide
issues
1. Decision timeframe
1-15 days
Program Manager Project Manager Dist. Div. Chief for
Program/Proj. Mgmt.
2. Decision timeframe
16-30 days
Executive Director Dist. Div. Chief for
Program/Proj. Mgmt.
District Director
3. Decision timeframe
31-90 days
Agency Board District Director District Director
If the 90-day limit is reached, the local agency may submit a written request for further review by
Caltrans to the District Director. The request must describe the position of the local agency on the
issue. The District Director will forward the agency’s request to the Caltrans Division Chiefs for
Transportation Programming and Project Management. In addition, the District Director will provide
a report describing the steps taken to attempt to resolve the issue. This report should provide an issue
overview, a discussion of the items that are in dispute with references to sections in policy manuals
and memos that support the District’s position, and a District recommendation on the issue.
A meeting may be convened, by either the Caltrans Program Manager for Transportation
Programming or the Program Manager for Project Management to consider the issue, and include
local agency and District representatives. If a solution is reached that is agreeable to both parties, the
agency and the District will work to implement the solution. If the agreement is not achieved, the
issue may be addressed to the California Transportation Commission for consideration. All decisions
and agreements should be documented fully and a copy should be kept in the PM project files.
Project Communication Handbook 34













G
GLOSSARY
Definitions
Administrative Closure Consists of documenting project results to formalize acceptance of the
product of the project by the sponsor (or customer).
Communication In general terms, is the process of creating understanding between a sender
and a receiver. For communication to occur, the message received must
match the message sent. The sender should ensure this match with
feedback from the receiver.
Conflict Management Prescribed method of resolving problems arising during the course of a
project.
Construction
Organization of
Project Documents
Standard filing system for project construction records.
Critical Path The set of activities that are critical to completing the project on schedule,
and it determines the duration of a project. The critical path changes as
activities are completed ahead of, or behind, schedule.
Customer A person or organization receiving a completed project deliverable.
External customers receive the final deliverable.
Deliverable A tangible project element with a scheduled completion date.
Project Communication Handbook 35















Gl os s a r y
Filing System A numbering scheme used to identify different types of documents. In
order to quickly find and identify files, every Department document has a
file naming convention.
Project Charter Documents the agreement between the sponsor and the project manager
on the key elements of a project and component. It provides the
authorization for the project manager to execute the project.
Project Component Refers to the five components listed: 1) PID Phase. 2) Permits &
Environmental Studies. 3) PS&E. 4) Right of Way. 5) Construction.
Project Project communication is the exchange of project-specific information
Communication with the emphasis on creating understanding between the sender and the
receiver.
Project Development The standard filing system for all project records and documents up until
Uniform Filing System the award of the construction contract.
Project Fact Sheet A summary of project information for external customers.
Project Milestone An event used to measure the progress of a project. Signifies the start or
completion of a major project deliverable.
Stakeholders Individuals and organizations who are actively involved in the project, or
whose interests may be positively or negatively affected as a result of
project execution or successful project completion.
Supplier A person or organization responsible for producing the required input to
begin a process or activity.
Resource Breakdown The RBS is a standardized, hierarchical list of roles that might be needed to
Structure produce a project deliverable. Project team members use the RBS to
determine what roles are needed to produce project-specific WBS elements
and to identify who needs to receive certain communication products.
WBS Product List A complete list of potential sub-products of a project.
Project Communication Handbook 36











A
ACRONYMS
HQ Headquarters
OBS Organizational Breakdown Structure
PDPM Project Development Procedures Manual
PDT Project Development Team
PHF Project History File
PID Project Initiation Document
PMSU Project Management Support Unit
PS&E Plans, Specifications, and Estimates
RBS Resource Breakdown Structure
SFP Single Focal Point
WBS Work Breakdown Structure
Project Communication Handbook 37


" .
Ac r ony ms
Project Communication Handbook 38















I
A
Acknowledge the Performance of the Team... 14
Archiving Project Records .............................. 21
Awards............................................................ 14
C
Communication matrix ................................. 13
Communication Methods.............................. 27
Communication Plan................................. 9, 30
Community Involvement .............................. 19
Conflict Management .................................... 14
Conflict Management Plan ............................ 34
Conflict Management Strategy ...................... 16
Context Sensitive Solutions ........................... 19
D
Distribute Information................................... 18
INDEX
F
Filing System...................................................24
H
History File..............................................See PHF
I
Information Distribution ...............................18
M
Maintaining Project Records ..........................21
Meetings .........................................................27
Methods.................................................... 23, 27
N
Non-motorized Travel ....................................19
Project Communication Handbook 39









Index
O
Open Channels .............................................. 19
Organization Breakdown Structure................ 25
P
PDT........................................................... 10, 17
Performance Evaluation................See Reporting
Communication Performance
Performance Reporting .................................. 26
PHF ........................................................... 13, 21
Prepare the Communication Plan Draft......... 12
Project Charter ......................................... 10, 25
Project Communication Definition ................. 2
Project Fact Sheet ........................................... 24
Project History File ................................. See PHF
Project Records ............................................... 21
Public Information......................................... 19
R
Records ........................................................... 21
Reporting Communication Performance....... 20
Resource Breakdown Structure....................... 25
Rewards .......................................................... 14
S
Stakeholders Analysis ..................................... 12
T
Task Manager ............................................. 4, 16
Task Manager Role in Communication............ 4
Tools......................................................... 23, 24
W
WBS .......................................................... 11, 25
Project Communication Handbook 40

Office of Project Management Process Improvement
1120 N Street, Mail Station 28
Sacramento, CA 95814
www.dot.ca.gov/hq/projmgmt Project Communication Handbook September, 2007

ii

Preface

Purpose
This document provides an overview of the basic concepts and processes that guide project communication at the Department. The purpose of the Project Communication Handbook is to assist the project team in identifying internal and external stakeholders, developing the Project Communication Plan, and enhancing communication among all parties involved.

Audience

All Department Capital Delivery Program personnel, including project managers, their teams and supporting hierarchy.

Background Revisions Conventions

This is the 2nd edition of the Project Communication Handbook.

This revision represents the original version of the 2nd edition.

Titles of books and other documents appear in italics. Web site URLs appear in bold italics.

Like this example.

Supplementary information appears in the left margin alongside normal text in the right column.

Project Communication Handbook

iii

iv

...................................................................................................iii Background.......... 4 Task Manager Role in Communication ...............................................................................................................................................................................................................................................................................................................................................................................................................................................iii Purpose................................C CONTENTS Preface .................................................................................................................................................. 8 Develop the Communication Plan ................................................ 11 Project Communication Handbook v ...............................................................................................................................................................................iii Contents ......................................................................................................................................................................................................................................................................................................................... 2 What Is Project Communication Management? .............................................................. 9 Gather Planning Inputs .................... 10 Determine Stakeholder Needs .............................................. 5 Processes ................................................................................................................................................................................................................................................ 4 Why Do We Do It?..... v Figures ...............................................................iii Conventions.................................................... 10 Identify Stakeholders .............................................................................................................vii Overview ........1 What Is Project Communication?......7 Overview.............................................................iii Revisions ...................................................................................iii Audience.................

...................Contents Identify Communication Methods and WBS Products .........................................................................................................................................................................................................................................................................................................................................................25 Resource Breakdown Structure ................................................25 Project Charter..................................................................................................................................................................................................................................24 Filing Systems ........................................................................................................................................19 Report Communication Performance ...........................................................................................................................24 Work Breakdown Structure .....................................................................................29 Appendix A: Sample Project Communication Plan............................................. Stakeholder Analysis.................................................................24 Project Fact Sheet ..........................................................................26 Useful Website References.................................................37 Index ........................................................................................25 Organization Breakdown Structure (OBS) ............... and Communication Matrix .21 Tools and Methods ................25 Communication Methods ..............................................................................................35 Acronyms.................................................................16 Incorporate Changes and Finalize the Communication Plan...........................................................................................................................................................................................................................................................................27 Appendices.....................25 Performance Reporting ..............................................................................18 Involve the Community ...........................................23 Communication Tools...............30 Appendix B: Sample Conflict Management Plan.............................................................................................................................34 Glossary .........................................................................................12 Distribute the Communication Plan Draft ..39 vi Project Communication Handbook .....20 Maintain and Archive Project Records..............................................................17 Distribute Information...................................................11 Prepare the Communication Plan Draft..............................

........................................................................... 15 Figure 4................................................ 33 Project Communication Handbook vii .............. 32 Figure 6................ Sample stakeholder analysis ................... Sample communication matrix..................... 3 Figure 2.............. 31 Figure 5................................................................................... Sample communication plan .............. Communication plan flowchart.......................Contents Figures Figures Figure 1.......................... Conflict management flowchart . 9 Figure 3..................................................................................................... Communicating WBS element..........................................................

Contents viii Project Communication Handbook .

1 OVERVIEW This chapter summarizes Department project communication by:  Defining “project communication” and “project communication management”  Explaining the purpose and goals of project communication management at the Department Project Communication Handbook 1 .

although communication is the responsibility of the task manager. For each WBS element. Effective communication is one of the most important factors contributing to the success of a project. it is customer focused. it is product focused with the end in mind. see “Work Breakdown Structure” on page 25. Team members also receive feedback from these stakeholders. The supplier is often the task manager for an earlier deliverable in the project lifecycle.  Customers who receive the products of the WBS element Suppliers must communicate with the task managers. there are:  Suppliers who provide inputs needed for the WBS element  Task managers who are responsible for delivering the WBS element For more information about task managers. Good project communication includes notifying the next task manager in the project delivery chain about when to expect a deliverable. It utilizes the Work Breakdown Structure (WBS) for a framework. Members of the project team prepare information in a variety of ways to meet the needs of project stakeholders. i.. see the Project Management Handbook. and it involves all levels of the organization. For more information about project stakeholders. the customer may be a task manager for a later deliverable. and the task managers must communicate with suppliers and customers. The supplier and customer may also be the functional manager. The project team must provide timely and accurate information to all stakeholders. it’s limited in time. Project communication includes general communication between team members but is more encompassing.Overview What Is Project Communication? Project communication is the exchange of project-specific information with the emphasis on creating understanding between the sender and the receiver. For details about the WBS. the customer/supplier should always validate expected deliverable dates (see Figure 1). 2 Project Communication Handbook . It is important to note that the communication should be reciprocal between the task manager and supplier and the task manager and customer.e. see the Project Management Handbook.

Communicating WBS element The project communication plan is a part of the overall project plan. Project Communication Handbook 3 . Could be task manager for later deliverable Figure 1.Overview What Is Project Communication? SUPPLIER -Provides inputCould be task manager of earlier deliverable TASK MANAGER -Delivers the WBS element- CUSTOMER -Receives the product. It builds on the project workplan. which shows:  What will be produced on the project — the deliverable including the WBS  Who will produce it — the Cost Center  When will it be produced For more information. see “Prepare the Communication Plan Draft” on page12.

however. storage. collection. The task manager should enter feedback that others might use in future projects into the lessons learned database and into the Department’s guidance and training materials. distribution. The task manager tells their customer exactly when to expect the deliverable. If that deliverable is linked to a WBS element on the critical path. The task manager must ensure that internal customers know about any changes in the delivery date. The task is not complete merely because the final product is delivered to the customer. what features they want. The recipient functional manager must have their staff ready to start work immediately after it arrives. and how they want to receive it. The task manager follows up with the customer of each deliverable. The project manager. page 221 4 Project Communication Handbook . is responsible to develop the Project Communication Management Plan with the input from the task managers and Project Development Team (PDT). 1 Project Communication is the responsibility of everyone on the project team. The task manager contacts the customer to confirm that the deliverable met his/her needs and expectations. how long it will take. Task Manager Role in Communication A task manager responsible for a deliverable needs to know why the customer wants it. it is even more important that task manager informs their internal customer when the deliverable will arrive. 1 PMBOK Guide –Third Edition. This allows the recipient functional manager to schedule their resources accordingly.Overview What Is Project Communication Management? Project Communication Management is the knowledge area that employs the processes required to ensure timely and appropriate generation. retrieval and ultimate disposition of project information.

Project managers use project communication management to:  Develop a communication plan for the project  Distribute information via the methods that reach customers most effectively  File data using the Project Development Uniform Filing System and Construction Organization of Project Documents  Archive records in accordance with Department Records Retention policies Project Communication Handbook 5 .Overview What Is Project Communication Management? Why Do We Do It? The project communication management processes provides the critical links among people and information that are necessary for successful communications.

Overview 6 Project Communication Handbook .

Project Communication Handbook 7 .2 PROCESSES This chapter explains the various processes involved in Department project communication.

such as Project Team Members.  Who will provide the information being communicated. Deputy District Director for Program and Project Management (DDDPPM). project management and staff. quarterly.  When the information is communicated — weekly.  What is being communicated — the message. etc. a presentation. 8 Project Communication Handbook . see the Project Management Handbook.  How the information is distributed— in a meeting. customer management and staff. an email. For more information about the roles of the customers. or as identified. Consider these five factors:  Who is involved in the communication process — the identified stakeholders.Overview Processes Overview Understanding the communication process is the first step in communication planning. as needed. the information being communicated. monthly. and District Director. a memorandum. and external stakeholders. a newsletter.

The plan is a framework and should be a living. Communication plan flowchart Project Communication Handbook 9 . evolving document that can be revised when appropriate. Figure 2 shows the steps in the development of the communication plan.Processes Develop the Communication Plan Develop the Communication Plan Preparing the project communication plan assists the project team in identifying internal and external stakeholders and enhances communication among all parties involved in the project. The communication plan is part of the project management plan. The project manager leads the project development team to prepare a communication plan to ensure that an effective communication strategy is built into the project delivery process. Begin Process WBS Product List Gather Planning Inputs Project Charter Identify Stakeholders Determine Stakeholder Needs Identify Communication Methods and WBS Products Prepare Communication Plan Draft Distribute Communication Plan Draft Any Changes from Stakeholders? Yes No Incorporate Changes Finalize Project Communication Plan End Process Figure 2.

and the Innovation Checklists for project manager (see Project Management Directive (PMD) 007R). and the PDT (for further details about the project charter.  Project charter — the record of the agreement between the sponsor and the project manager on the key elements of a project. 10 Project Communication Handbook . The PDT brainstorms a list of stakeholders using the roles identified in the Project Management Handbook. and the subproducts of the WBS. Gather Planning Inputs The PDT develops two inputs for the project communication planning process:  WBS product list — a list of potential project products. the project sponsor. Identify Stakeholders Project stakeholders have information and communication needs. The project charter lists the project manager. the RBS/OBS list of functional areas. see the Project Management Handbook).Develop the Communication Plan Processes The project development team (PDT) develops a communication plan by asking the following questions:  Who needs what information?  When do they need the information?  Who delivers the information?  How should the information be delivered? While all projects share the need to communicate project information. determine what their needs and expectations are. The PDT must identify the stakeholders on a project. Identifying the information needs of the stakeholders and determining a suitable means of meeting those needs are important factors for project success. based on the workplan that includes all the elements of the WBS. the specific information needs and the methods of distribution may vary widely. and then manage and influence those expectations to ensure a successful project.

For examples of communication methods. see “Involve the Community” on page 19. see the Project Management Handbook and the third edition of the PMBOK Guide section 10. and federal agencies that have even a minor stake in a project. Project Communication Handbook 11 . regional.4. the PDT assigns team members to contact local. The key to successful community involvement is communicating with external project stakeholders early and often. pages 221 and 235. see “Communication Methods” on page 26. For more information about the PDT. Identify Communication Methods and WBS Products Project team members and stakeholders use different communication methods at particular times during the project lifecycle. The PDT identifies:  Who produces the product  Who receives the product  The method of product transmittal This information is tied directly to WBS elements and sub-products required for the project. the project team reduces the chance of conflict at critical times. The project team uses the WBS product list to identify the products that may be needed on the project. For more information about external project stakeholders. state. By working with these agencies from the earliest stages.Processes Develop the Communication Plan Determine Stakeholder Needs As early as possible.

project manager. within the constraints of what is achievable.  Project reporting information — answers the question. when.Develop the Communication Plan Processes Prepare the Communication Plan Draft The project communication plan includes the information needed to successfully manage project product deliverables. “Why do we need a project communication plan?”  A list of the project sponsor. see “Figure 5. how). see “Decide How to Acknowledge the Performance of the Team” on page 14. If the team cannot reasonably communicate through each stakeholder’s preferred medium. and other key stakeholders. Sample stakeholder analysis” on page 32. Project team members will use this information as a means to meet individual communication needs. what.dot. Sample communication plan on page 31):  Brief introduction and background — answers the question. the team needs to negotiate a method to ensure that each stakeholder receives and understands the project communication. ƒ Preferred method for recognizing performance of the team.htm 12 Project Communication Handbook . For a stakeholders analysis sample. and external stakeholders (name and contact information) identified by agency or organization. What is each stakeholder’s desired outcome for the project? The project manager should ensure at the start that there is a consistent vision for the project. including formal meetings to be held (who. gov/hq/projmgmt/ guidance. ƒ Preferred methods of communication.ca. PDT members. The PDT uses this information to plan appropriate celebrations at the completion of each project component. The project communication plan includes the following (see Figure 4.  Methods of communications to be used. For a list of possible rewards. Templates for the stakeholder analysis and the communication matrix are available on the Internet at: http://www. “How will project performance be collected and distributed to the internal and external project stakeholders?”  Stakeholders analysis — includes internal stakeholders (name and contact information) identified by Cost Center number and function. The stakeholders analysis is designed to help the PDT analyze internal and external stakeholder needs by gathering the following information from each stakeholder: ƒ Goals for the project.

Processes Develop the Communication Plan For communication matrix sample. To complete the communication matrix. The WBS product list is the input. who produces it. and Uniform Filing System location numbers. and Estimates (PS&E)  Right of Way  Construction Project Communication Handbook 13 . The list also indicates which sub-products should be filed in the Project History File (PHF). who receives it. the PDT indicates if the sub-product is required. The project manager assigns a team member to complete the draft project communication plan for each appropriate project component:  Project Initiation Document (PID)  Permits and Environmental Studies  Plans. Specifications. see Figure 6. subproducts. It includes the WBS codes. and the date submitted. Sample communication matrix on page 33. WBS titles. the method of transmittal.  Communication matrix — this tool is used to track project performance by project component and WBS element.

and other project stakeholders. Project managers can use the sample strategy that appears later in this section. and Moskowitz awards presented by the Department  Excellence in Highway Design awards presented by the Federal Highway Administration  Environmental Excellence awards presented by the Federal Highway Administration  Public Affairs Skills awards presented by the Federal Highway Administration  Other External Professional Awards such as Project of the Year awards by the ASCE Develop a Conflict Management Strategy A good communication plan includes a conflict management strategy which is designed to make issues between stakeholders more manageable. project team members. Project managers encourage project stakeholders to seek win-win solutions to their problems when possible. 14 Project Communication Handbook . Roberts. issues are more manageable. Project managers minimize conflicts and resolve issues through constant communication with the project sponsor(s).Develop the Communication Plan Processes Decide How to Acknowledge the Performance of the Team Some forms of recognition that are achievable in California State service are:  Gold and Silver Superior Accomplishment awards & Employee Recognition Program Accomplishment awards  End-of-project phase team celebrations organized by the project manager and sponsored by appropriate managers and project stakeholders  Certificates. posters. Deputy District Director. The project manager negotiates and/or mediates conflict resolution. Because the project manager discusses and develops a conflict management strategy before the project begins. or can develop a more specific strategy. Figure 3 shows an overview of conflict management (also see Appendix B for conflict management plan). or other appropriate manger  Certificates and letters of appreciation from local agencies and other external stakeholders  Excellence in Transportation awards presented by the Department  Tranny awards presented by the California Transportation Foundation  Purcell. and letters of appreciation from the District Director. The project manager documents in the project record any decisions that utilize the conflict management strategy.

Conflict management flowchart Project Communication Handbook 15 .Processes Develop the Communication Plan Plan Begin Conflict Management Process Execute Control Record Diary Entries on All Project Issues and Results Conflict Arises Obtain Project Information Review Conflict Management Plan Close Project Manager Drafts Conflict Management Plan Follow the Plan to Resolve Issue or Take Issue to Next Level File Diary Entries in Project Folder Forward Draft to Key Stakeholders for Input Document Meetings and Results End Conflict Management Process Changes Based on Input from Stakeholders? Yes No Incorporate Changes into Conflict Management Plan File Conflict Management Issues/Results in Project Records (PDPM Uniform Filing System) Finalize Conflict Management Plan Figure 3.

the conflict may need to be escalated by the project manager with the functional manager or the Chief of Program/Project Management. The project manager and the project stakeholders meet and agree to attempt to resolve all conflicts at an individual level as much as possible. Stakeholders use this strategy to resolve issues at any time during the project. listing as many alternatives as possible Evaluate solutions. they record the following information:  Issues  Meeting date and location  Attendees  Results of meeting Distribute the Communication Plan Draft For complete definitions of task managers and functional managers. When reviewing the communication matrix. looking for a win-win solution Select the best solution Share the solution with the project stakeholders If a conflict cannot be resolved at an individual level. Two (or more) parties with a dispute will meet and use the following guidelines:  To resolve conflicts within the scope of the project: Step 1 2 3 4 5 6 7 8 9 Action Acknowledge the conflict Establish ground rules Establish common ground and shared goals Separate the problem from the people Have the parties share collected data related to the conflict Explore solutions. functional managers ensure that a task manager is assigned to each WBS elements listed in the functional managers’ area of responsibility.Develop the Communication Plan Processes Sample Conflict Management Strategy The project manager prepares the conflict management strategy with input from stakeholders. see the Project Management Handbook.) Each time stakeholders meet to resolve a conflict. The functional managers list all the assigned task managers on the communication matrix and the stakeholder analysis. 16 Project Communication Handbook . (See Appendix B for timetable for escalation process. The project manager sends the draft project communication plan to the project stakeholders for review and input.

The project management support unit (PMSU) uses the finalized project communication matrix to track the progress of project deliverables. see “Appendix A: Sample Project Communication Plan” on page 30.Processes Develop the Communication Plan Incorporate Changes and Finalize the Communication Plan The project manager or PDT members incorporate changes from the project stakeholders into the project communication plan. The project manager then distributes the final project communication plan to the project team members.) Project Communication Handbook 17 . (For a sample of a completed project communication plan.

ƒ Include key stakeholders in developing an interest-based conflict management process. see “Communication Methods” on page 26. the less likely last minute conflicts. ƒ Ensure that communication is shared in a timely manner. 18 Project Communication Handbook . two-way communication. and results.  Context ƒ Remember that communication is two-way. ƒ Involve senior management when appropriate. changes.  Effectiveness ƒ Conduct regular assessments of the communication plan and process. The more information stakeholders have regarding a project or deliverable. ƒ Communication must focus on the customer.  Communication flow ƒ Coordinate communication with project milestone events. or complaints will affect a project. Proper information distribution makes information available to project stakeholders in a timely manner. For examples. activities. honest. Following the communication plan ensures that all members of the project team are aware of their responsibilities to communicate with external stakeholders.  Content ƒ Advocate open.  Format and media ƒ Take advantage of existing communication vehicles and opportunities. ƒ The project team has a variety of methods to share information. see the Project Management Handbook. ƒ Create an environment where project team members and other stakeholders can constructively challenge behavior and ideas. face-to-face.Distribute Information Processes Distribute Information For a complete definition of a stakeholder. Team members can improve overall project communication by adhering to the following communication guidelines:  Awareness ƒ Base communication strategies on stakeholder needs and feedback. Listen as well as deliver the message.

Project team members must be familiar with this policy and understand their roles and responsibilities related to the distribution of public information.ca. including preparing community involvement plans. maintenance. while District Public Affairs Offices answer questions related to local and/or internal District operations. operations. see the complete policy statement. and persons with disabilities) in all programming.dot. see the complete chapter at: http://www. Project Communication Handbook 19 . can be found in the Project Development Procedures Manual (PDPM).Processes Distribute Information Involve the Community The Department has adopted a number of policies that encourage community involvement and building partnerships. Headquarters Public Affairs provides information about statewide and policy concerns.pdf  Accommodating non-motorized travel — the Department fully considers the needs of non-motorized travelers (including pedestrians. All project team members must be aware of this information and follow established procedures. see the complete policy statement at: http://www.pdf  Public information — the Department has an established policy on public information.dot. and project development activities and products.ca.gov/hq/oppd/context-solution. For more information. For more information. Chapter 22. planning. The key to successful community involvement is communicating with external project stakeholders early and often. bicyclists. The Director’s Policy on Context Sensitive Solutions details the roles and responsibilities of all project team members. construction. For more information.gov/hq/oppd/pdpm/chap_htm/chapt22/ch apt22  Context sensitive solutions — the Department has adopted a number of policies that encourage designers to respond to community values where state highways serve as main streets. at: http://www. The Deputy Directive on Accommodating Non-Motorized Travel details the roles and responsibilities of project team members.dot.ca.gov/hq/oppd/non-motor-travel. Project team members must be familiar with the Department’s policies and procedures related to:  Community involvement — extensive information related to working with external project stakeholders.

In other cases. Periodically. based on the following criteria:  Type of information  Frequency of information  Depth/detail of information  Format of information  Method of transmittal 3 4 Discuss the stakeholder feedback with the PDT Update the project communication plan if needed 20 Project Communication Handbook . project stakeholders may need greater detail or more frequent delivery. In some cases. certain stakeholders may need summary information.  To evaluate and report communication performance: Step 1 2 Action Review the project communication plan Solicit feedback from the project stakeholders. as to whether the current information or communication method is adequate. verbally or in writing.Report Communication Performance Processes Report Communication Performance The Communication Plan is reviewed continuously throughout the project to ensure that it remains effective. the project manager asks the project stakeholders if the project communication is sufficient to suit the stakeholder’s needs. or may request notification only if problems arise.

and the project Communication Plan. These are organized and indexed according to the Project Development Uniform Filing System. In many cases. From construction award to final closeout. that document project decisions. These filing systems address one of the most error-prone aspects of project communication — communication over long spans of time. The future recipient must know where to find the deliverable and understand previous project decisions. final project records. the project Risk Management Plan. the Resident Engineer maintains a set of project records that are organized and indexed according to the Construction Organization of Project Documents. reports. These include all letters.dot.Processes Maintain and Archive Project Records Maintain and Archive Project Records From the start of the project until the award of the construction contract. etc.ca. This file includes selected project development records. The Project Delivery Procedure Manual (PDPM) indicates which project development records are included in the PHF and describes the archival process. the Project Engineer maintains a set of project records. see the complete chapter at: http://www. or that would be useful to develop a subsequent project. see “Filing Systems” on page 24. htm Project Communication Handbook 21 .. the recipients of deliverables may not need the deliverables until several years after they are produced. The project team archives the Project History File (PHF) when the project is complete. memos. For more information. the project Charter.gov/hq/oppd/pdpm/chap_htm/chapt07/chapt07. For more information about these filing systems. even if the task manager and other project team members are no longer available.

Maintain and Archive Project Records Processes " 22 . Project Communication Handbook .

3 TOOLS AND METHODS This chapter describes some of the communication tools and methods used by Department project team members. Project Communication Handbook 23 . Stakeholders must choose appropriate tools and methods to accomplish the communication task at hand.

It is. keep to level 5 Task Managers) Charter X X X X X X X X X X X X X X Fact Sheet X X Filing Systems A filing system is a set of agreed-upon folder and file naming conventions used to classify project documents to make them easier to find. essentially. The table below shows what information is in the charter as compared to the fact sheet. Information Background Project purpose Project component objectives Project description/scope statement Project/component constraints. a numbering scheme used to identify different types of documents and the folders where they are stored. assumptions and risks Component deliverables Key team members Deliverable management process Location map Major milestone delivery dates Estimated cost Project contacts (short list. Project Fact Sheet The project fact sheet contains summary data for stakeholders outside the project team. No set standard exists for a project fact sheet. Districts use information from the project charter and other sources. and is typically posted on the project website. All project records must be filed according to the following file systems: 24 Project Communication Handbook .Communication Tools Tools and Methods Communication Tools Project team members use a variety of tools to organize and present project information.

again translated into its dollar value.dot. Performance Reporting should generally provide information on scope. and OBS to create the communication plan. see http://www. For more information about the RBS. Organization Breakdown Structure (OBS) The OBS describes the Caltrans organization chart. schedule. and distribution of performance information to stakeholders.gov/hq /oppd/pdpm/chap_htm/c hapt07/chapt07.ca.htm.  The Construction Organization of Project Documents — the standard filing system for project construction records from the award of the construction contract onwards. which are subdivided into branches. branches may be further subdivided into sections. Work Breakdown Structure The WBS is a deliverable-oriented grouping of project elements that organizes and defines the total scope of the project. and quality.dot.htm Resource Breakdown Structure The RBS is a standardized. cost. Project team members use the RBS to determine what roles are needed to produce project-specific WBS elements and to identify who needs to receive certain communication products. It groups personnel into successively smaller units. Earned-value analysis translates both schedule and budget measures into dollar values and tracks them against the original planned expenditure of effort.ca.Tools and Methods Communication Tools For more information. By analyzing deviations from plan (variances) a project manager can spot developing problems in time to take corrective action before they become serious.htm Project Charter The project charter documents the agreement between the sponsor and the project manager over the key elements of a project and component. Team members use the WBS. and sections sometimes subdivided into squads. see Chapter 7 of the PDPM located at: http://www.ca. and Section 5-102 of the Construction Manual located at: http://www.  Electronic filing systems with standardized District formats also serve as centralized stores for project information. Project communication relates to WBS elements.dot. In large districts and divisions. Project Communication Handbook 25 .ca.gov/hq/projmgmt/guidance.gov/hq /construc/manual2001/ch apter5/chp5_1. The charter helps the project manager guide the project team efficiently and effectively through the project development process.dot. each reporting to a single manager or supervisor. Districts and divisions consist of offices. Performance Reporting Performance reporting involves the collection of all baseline data.gov/hq/projmgmt/guidance. For more information about the WBS.pdf  The Project Development Uniform Filing System — the standard filing system for project records up until the award of the construction contract. see http://www. hierarchical list of roles that is used to produce a project deliverable.

located at: http://www. and considerations for meetings. quarterly. manage program expectations. monitor. including meetings. Meetings in particular are often the most effective way to distribute information to project stakeholders. functional manager. Project team meeting Report project status and progress of scheduled milestones and activities. or task manager Weekly 26 Project Communication Handbook . publicity. see Chapter 22 of the PDPM. and task managers working on the specific project Office supervisor and staff Responsibility Project manager Frequency Weekly until baseline workplan is signed Audience Project manager and all stakeholders Office meeting Report status and progress of projects and scheduled tasks.dot. email. Identify and discuss office related issues. voicemail. DDDPPM. Project manager As needed (weekly. htm Project team members use meetings and many other communication methods: Method Project development team meeting Purpose Develop a formal baseline workplan. which is used to define. Before planning a meeting.ca. and enhance training processes. monthly. format. Identify the basic task elements of a project and assess the resource needs for delivering a project within an assigned time frame. Project management senior staff meeting Project status review meeting Communicate changes in Department policy or procedures.Communication Methods Tools and Methods Communication Methods Project team members use a variety of communication methods to deliver project information. Identify and discuss project issues and corrective actions. and manage project execution. the project manager or assigned team member should consider the communication objectives carefully and choose a meeting format that will meet the objectives. Identify and discuss problems and solutions for project obstacles. and database administrative staff Project manager.gov/hq/oppd/pdpm/chap_htm/chapt22/chapt22. Project manager. For more information about the applicability. and websites. telephone calls. functional managers. or ad hoc) Single focal point (SFP) or Chief of PPM SFP or Chief of PPM Weekly at designated time Monthly at designated time Project manager and functional managers Project manager. Report status and progress of scheduled milestones and activities.

memos. Report status and progress of scheduled milestones and activities. DDDPPM Varies Weekly at designated time Correspondence (letters. All stakeholders As needed All stakeholders All stakeholders Project manager or functional manager As needed Useful Website References Stakeholder Analysis: http://www.htm Construction Manual Records: http://www. functional manager. decisions made.ca. email. manage program expectations.gov/hq/projmgmt/guidance.dot. see “Involve the Community” on page 19.ca. and problems encountered.dot.dot.Tools and Methods Communication Methods Method External customer and/or supplier meeting Purpose Involve external customers and suppliers in the project.gov/hq/cpsd/Project_HR_Mgmt/7meeting_skills/Eff_mtg_guide_v6. Identify and discuss problems and solutions for project obstacles.ca.gov/hq/construc/manual2001/chapter5/chp5_1.dot. For more information. etc.gov/hq/oppd/pdpm/chap_htm/chapt07/chapt07. Responsibility Project manager. Identify and discuss problems and solutions for project obstacles. Report status and progress of scheduled milestones and activities. and enhance training processes.doc Project Communication Handbook 27 . project manager.htm Project Development Records: http://www.) Site visit Document status of action items.gov/hq/oppd/pdpm/chap_htm/chapt22/chapt22 Guide to More Effective Meeting: http://onramp.ca.dot. or task manager Webmaster Frequency As needed Audience All stakeholders Project Internet site Teleconference as needed All stakeholders HQ staff.ca.pdf Community Involvement: http://www. Communicate changes in Department policy or procedures.

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Project Communication Handbook 29 . stakeholder analysis.A APPENDICES The Appendices contain templates and samples of the project communication plan. communication matrix. and conflict management plan.

This project is one of the two segments of the proposed improvements on US-395 from I-15 to SR-14. Figure 4 shows the communication matrix template.Appendix A: Sample Project Communication Plan. This plan will assist the project team in building an effective communication strategy to enhance communication throughout project delivery. The project manager assigns team members to create the communication matrix with input from the PDT members. The location of this project is from the junction of I-15/US-395 to 0. Stakeholder Analysis. The second portion from Purple Sage Road to Farmington Road will be widened to a 4-lane expressway. Project Team Representatives Project Sponsor: Frank White Project Manager: Lisa Gonzales Assistant Project Manager: Maher Ahmad The PDT is made up of the following Project Team Representatives: Name Division Telephone Lisa Gonzales Project Management (909) XXX-XXXX Maher Ahmad Project Management (909) XXX-XXXX Wendy Young Design I (909) XXX-XXXX Donald Johnson Planning (909) XXX-XXXX Michael Burns Environmental Cultural Studies (909) XXX-XXXX Allen Wong Construction (909) XXX-XXXX Ram Vapari Design I (909) XXX-XXXX Tanya Khan Materials (909) XXX-XXXX Mary Lee Environmental Project Management (909) XXX-XXXX Right of Way (909) XXX-XXXX Ian Jones Ricky Scott Public Affairs (909) XXX-XXXX 30 Project Communication Handbook . The first part of this segment from I-15 to Purple Sage Road will be realigned and widened to a 4 or 6-lane freeway. Stakeholder Analysis. and Communication Matrix Project Communication Plan District 8 Project 34040K SB-395 Permits and Environmental Studies Phase Introduction and Background The purpose of the Project Communication Plan is to provide consistent and timely information to all project stakeholders. and Communication Matrix Appendices Appendix A: Sample Project Communication Plan. Figure 3 shows the stakeholders analysis template. The project manager assigns team members to create the stakeholders analysis with input from the PDT members.5 miles south of Farmington Road.

The Project Manager also meets with the Functional Units informally on an as needed basis to discuss/resolve issues. All parties involved must agree that an impasse exists 2. All parties involved must be able to respond in the affirmative to the following statements: ¾ The position taken is legal and ethical ¾ The position taken is good for our customers ¾ The position taken makes efficient use of resources ¾ Each party accepts full responsibility for the position he/she is taking ¾ The position taken works towards meeting project delivery goals When the parties at the lowest level are unable to come to a solution. From this site. the problem must be escalated to the next working level. Two groups were organized: the Community Advisory Committee (CAC) and the Project Development Team (PDT). The Department’s Districts 6.. Project Reporting Information District 8 utilizes an online Data Retrieval System. Notices/invitations are sent out through Lotus Notes. During the time of the study. The Environmental Branch will be meeting regularly with the Bureau of Land Management as issues arise. If disagreements emerge which cannot be resolved. the CAC had 9 meetings and the PDT had 12. one in June 1990 and the other in August 1991. Stakeholder Analysis. Inc. the following procedure will be followed: 1. Sample communication plan Project Communication Handbook 31 . and accepted by the Department in July 1992. During the period from June 1999 to July 2000. the Department developed a Community Involvement Program for the study of the realignment of US-395. 8. informational meetings were held between the Department. cities and communities to find a viable alternative for the eventual upgrading of US-395. local and Federal agencies and property/business owners to discuss different alternatives of the proposed realignments. The Project Manager will participate in these meetings on an as needed basis. Communication Methods The Project Manager schedules formal monthly PDT meetings during the PA&ED phase. and 9 as well as regional MPO’s and RTPA’s and the Counties of San Bernardino and Kern have been working in partnership with local agencies. A Community Involvement Program Report was completed by Resource Management International. Figure 4. and Communication Matrix Community Involvement In March 1990. Two public meetings were held. the user can query much of the data that is available in electronic format through the District 8 website. Meetings are held in the District 8 Conference Room. Conflict Management Strategy All parties agree to work cooperatively to avoid and resolve conflicts at the lowest level possible.Appendices Appendix A: Sample Project Communication Plan. Notes will be taken and distributed to the PDT.

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appropriate projects is the primary goal of both parties under this MOU. The efficient delivery of effective. is intended to provide a framework for resolving conflicts between the parties. 34 Project Communication Handbook . open honest communication is the key to avoiding and resolving conflicts. This document. 2. Div. should they arise and an impasse has occurred between the parties. the District Director will provide a report describing the steps taken to attempt to resolve the issue. Mgmt. Decisions should be made and conflicts should be resolved at the lowest possible level. Mgmt. This report should provide an issue overview. The District Director will forward the agency’s request to the Caltrans Division Chiefs for Transportation Programming and Project Management.Appendix B: Sample Conflict Management Plan Appendices Appendix B: Sample Conflict Management Plan TYPICAL CONFLICT MANAGEMENT PLAN This process supplements the MOU for project delivery between Caltrans District XX and (Local Agency) concerning projects on State Highways. a discussion of the items that are in dispute with references to sections in policy manuals and memos that support the District’s position. Chief for Program/Proj. 6. Decision timeframe 1-15 days 2. District Director District Director 1. Differences of opinion are okay. 3. Div. Timely. and a District recommendation on the issue. All decisions and agreements should be documented fully and a copy should be kept in the PM project files. the agency and the District will work to implement the solution. DECISION PROCESS The attached “Conflict Resolution Plan” matrix is to be followed to identify the process by which unresolved issues may be elevated to a higher decision authority. by either the Caltrans Program Manager for Transportation Programming or the Program Manager for Project Management to consider the issue. Decision timeframe 16-30 days 3. Chief for Program/Proj. Win/win solutions to conflicts should be sought. The parties will focus on their common goals rather than differences. If a solution is reached that is agreeable to both parties. and include local agency and District representatives. PRINCIPLES Caltrans and (Local Agency) share the following principals in the resolution of conflicts: 1. 5. The request must describe the position of the local agency on the issue. Decision timeframe 31-90 days If the 90-day limit is reached. 4. A meeting may be convened. District Director Caltrans Participant for Program-wide issues Dist. In addition. Level Local Agency Participant Program Manager Executive Director Agency Board Caltrans participant for single-project issues Project Manager Dist. the local agency may submit a written request for further review by Caltrans to the District Director. If the agreement is not achieved. developed jointly by Caltrans and (Local Agency). the issue may be addressed to the California Transportation Commission for consideration.

For communication to occur. or behind. The critical path changes as activities are completed ahead of. A tangible project element with a scheduled completion date. A person or organization receiving a completed project deliverable. The sender should ensure this match with feedback from the receiver. Prescribed method of resolving problems arising during the course of a project. Standard filing system for project construction records. External customers receive the final deliverable. the message received must match the message sent. is the process of creating understanding between a sender and a receiver. Customer Deliverable Project Communication Handbook 35 . and it determines the duration of a project. Conflict Management Construction Organization of Project Documents Critical Path The set of activities that are critical to completing the project on schedule.G GLOSSARY Definitions Administrative Closure Consists of documenting project results to formalize acceptance of the product of the project by the sponsor (or customer). Communication In general terms. schedule.

Project communication is the exchange of project-specific information with the emphasis on creating understanding between the sender and the receiver. Refers to the five components listed: 1) PID Phase. The RBS is a standardized.Glossary Filing System A numbering scheme used to identify different types of documents. hierarchical list of roles that might be needed to produce a project deliverable. Project Fact Sheet Project Milestone Stakeholders A summary of project information for external customers. every Department document has a file naming convention. Supplier Resource Breakdown Structure WBS Product List 36 Project Communication Handbook . A complete list of potential sub-products of a project. 3) PS&E. An event used to measure the progress of a project. In order to quickly find and identify files. It provides the authorization for the project manager to execute the project. Signifies the start or completion of a major project deliverable. Project Charter Project Component Project Communication Project Development The standard filing system for all project records and documents up until Uniform Filing System the award of the construction contract. Individuals and organizations who are actively involved in the project. A person or organization responsible for producing the required input to begin a process or activity. 5) Construction. Documents the agreement between the sponsor and the project manager on the key elements of a project and component. 2) Permits & Environmental Studies. Project team members use the RBS to determine what roles are needed to produce project-specific WBS elements and to identify who needs to receive certain communication products. 4) Right of Way. or whose interests may be positively or negatively affected as a result of project execution or successful project completion.

A ACRONYMS HQ OBS PDPM PDT PHF PID PMSU PS&E RBS SFP WBS Headquarters Organizational Breakdown Structure Project Development Procedures Manual Project Development Team Project History File Project Initiation Document Project Management Support Unit Plans. Specifications. and Estimates Resource Breakdown Structure Single Focal Point Work Breakdown Structure Project Communication Handbook 37 .

Project Communication Handbook .Acronyms " 38 .

................ 9..... 16 Context Sensitive Solutions .............................See PHF C Communication matrix ....................... 14 Conflict Management Plan ........................................................................23..............19 Project Communication Handbook 39 ........................................................ 27 Communication Plan. 19 I Information Distribution ...................................... 21 Awards........ 30 Community Involvement ............................................27 Methods......24 H History File.. 18 N Non-motorized Travel ................................................................................. 34 Conflict Management Strategy ......................................... 27 D Distribute Information......................................................18 M Maintaining Project Records ....I INDEX A Acknowledge the Performance of the Team............................................................ 13 Communication Methods..................21 Meetings ....................... 14 F Filing System............................... 14 Archiving Project Records ....................................... 19 Conflict Management ....

..................... 19 Organization Breakdown Structure.. See PHF Project Records ............................................... 13................................... 21 Prepare the Communication Plan Draft.. 10................................................. 23....................... 19 R Records ....................................... 17 Performance Evaluation ............. 24 Project History File ............. 25 P PDT. 26 PHF .......................................................................................... 4 Tools............................................................ 16 Task Manager Role in Communication......... 21 Public Information......... 11................................................ 25 40 Project Communication Handbook ........................................... 10..............................................................................Index O Open Channels ................................................ 25 Project Communication Definition .. 12 Project Charter .......................... 20 Resource Breakdown Structure ................. 14 S Stakeholders Analysis ........ 24 W WBS ...................................................... 12 T Task Manager ................ 4......... 25 Rewards .......... 21 Reporting Communication Performance......See Reporting Communication Performance Performance Reporting ................ 2 Project Fact Sheet ..............................

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