The Prompt List as a Framework for Risk Identification Idea Generation
PMBOK v8 Definition
A prompt list is a predetermined list of risk categories that might give rise to individual project risks and that could also act as sources of overall project risk. The prompt list can be used as a framework to aid the project team in idea generation when using risk identification techniques. The risk categories in the lowest level of the risk breakdown structure (RBS) can be used as a prompt list for individual project risks.
This concept is part of the Identify Risks process, which belongs to the Project Risk Management Knowledge Area within the Planning Process Group.
Why It Matters for the Exam
The PMI exam frequently tests your understanding of tools and techniques used during risk identification, and the prompt list is a specific, named tool within the data gathering and idea generation category. Exam questions often present scenarios where the project team is struggling to identify risks, and the correct answer involves using a prompt list (often derived from the RBS) to stimulate thinking. You will see this in situational questions about risk identification, as well as in definition-based questions differentiating prompt lists from other risk management tools.
Key Points to Remember (for the exam)
- Main Purpose: A framework to aid the project team in idea generation during risk identification techniques.
- Primary Source: The risk categories in the lowest level of the Risk Breakdown Structure (RBS).
- Scope: Used to identify both individual project risks and sources of overall project risk.
- Nature: A predetermined list of risk categories, not a list of specific risks themselves.
- Common Confusion: Do not confuse a prompt list with the risk register. The prompt list is an input tool used during identification; the risk register is an output that contains the identified risks.
- Key Process: Belongs to the Identify Risks process (Section 2.7.2.2 in PMBOK v8).
- Strategic Use: Some common strategic frameworks are more suitable for identifying certain types of risks when used as a prompt list.
Typical PMI Exam Example
A project manager is facilitating a risk identification workshop with a new project team that has never worked together. The team is struggling to think of potential risks beyond obvious technical issues. The project manager distributes a document containing categories such as "Technical," "External," "Organizational," and "Project Management," each with subcategories. This document is a prompt list derived from the risk breakdown structure.
PMI Exam Traps
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Trap: Confusing the prompt list with the risk register.
- Reality: The prompt list is a tool (input) used before risks are identified. The risk register is an output that lists the identified risks after the process.
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Trap: Thinking the prompt list contains specific risks.
- Reality: A prompt list contains risk categories (e.g., "Technical," "Regulatory"), not specific risks (e.g., "Server failure," "New regulation XYZ"). It prompts the team to think of specific risks within those categories.
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Trap: Assuming a prompt list is only for threats.
- Reality: The prompt list is used to identify both negative (threats) and positive (opportunities) risks. The PMBOK v8 states it includes "recognizing both negative and positive risks."
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Trap: Believing the prompt list is created during the Identify Risks process.
- Reality: The prompt list is typically developed during Plan Risk Management (often as part of the RBS) and is used as an input/tool during Identify Risks.
Important PMI Connections
| Related Concept | Relationship Type | Exam Attention Point |
|---|---|---|
| Risk Breakdown Structure (RBS) | Source / Input | The lowest level of the RBS is the prompt list for individual risks. Tested on direct hierarchy. |
| Identify Risks Process | Belongs to | The prompt list is a tool used within this process. Questions often ask: "Which process uses a prompt list?" |
| Risk Register | Output | The prompt list helps create the risk register. Do not confuse the tool (prompt list) with the deliverable (risk register). |
| Data Gathering Techniques | Category | The prompt list is a specific tool under the broader "data gathering" techniques (e.g., interviews, brainstorming) used during risk identification. |
Quick Review Questions
- What is the primary source from which a prompt list for individual project risks is derived?
- During which process (name and Knowledge Area) is the prompt list used as a framework for idea generation?
- Does a prompt list contain specific risk events or risk categories? Explain the difference.
- A project team has identified only technical risks. Which tool could the project manager use to help the team consider other categories such as external or organizational risks?
- True or False: The prompt list is an output of the Identify Risks process.
PMBOK v8 Reference
Section 2.7.2.2 – Identify Risks (Tools and Techniques: Prompt lists) Section 5 – Tools and Techniques (Page 191)