Basel III Toolkit

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Risk management protects your organization from exposure to losses resulting from defaults by your lending and trading counterparties.

More Uses of the Basel III Toolkit:

  • Ensure continuous compliance with relevant capital management policies, rules and regulations.

  • Control: financial resource management, capital analytics and product development analyst.

  • Support the review and resolution of cash breaks.

  • Communicate project status and milestones.

  • Systematize: financial resources management.

  • Organize: partner with technology to drive and implement reporting process enhancements and smooth production execution.

  • Manage: partner with various internal teams unsecured funding, finance, operations, etc.

  • Ensure you lead the development of technology solutions to serve the needs of the business working closely with your technology partners.

  • Manage to under liquidity needs and raise funding accordingly to meet your organizations regulatory and internal requirements.

  • Methodize: time series estimation and forecasting.

  • Interact with financial control to ensure completeness of month end financial close process.

  • Be certain that your organization follows organization policy, procedures and guidelines.

  • Coordinate: maximum likelihood estimation.

  • Establish: capital base and franchise.

  • Drive: basel iii, advanced approaches, resolution and recovery.

  • Keep abreast of industry, regulatory, and accounting developments.

  • Arrange that your organization focus on team coordination and process improvements working with internal and external technology partners.

  • Drive team connectivity and involve actively in process improvements and concepts.

  • Facilitate analysis and collection of user requirements.

  • Control: partner with regulatory reporting and support teams to establish correct production of monthly, quarterly and weekly.

  • Confirm your organization assess economic capital and to ensure that risks taken are adequately compensated.

  • Ensure you limited dependent and qualitative variable models.

  • Measure and analyze the liquidity effects of government mandated and idiosyncratic scenarios.


Save time, empower your teams and effectively upgrade your processes with access to this practical Basel III Toolkit and guide. Address common challenges with best-practice templates, step-by-step work plans and maturity diagnostics for any Basel III related project.

Download the Toolkit and in Three Steps you will be guided from idea to implementation results.

The Toolkit contains the following practical and powerful enablers with new and updated Basel III specific requirements:

STEP 1: Get your bearings

Start with...

  • The latest quick edition of the Basel III Self Assessment book in PDF containing 49 requirements to perform a quickscan, get an overview and share with stakeholders.

Organized in a data driven improvement cycle RDMAICS (Recognize, Define, Measure, Analyze, Improve, Control and Sustain), check the…

  • Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation

Then find your goals...

STEP 2: Set concrete goals, tasks, dates and numbers you can track

Featuring 943 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Basel III improvements can be made.

Examples; 10 of the 943 standard requirements:

  1. Is a cash disbursement journal prepared monthly that details the date of check, check number, payee, amount of check, and columnar description of expense account (and restricted fund) to be charged?

  2. Is your organization Treasurer required to communicate liquidity requirements so that the investment portfolio may be positioned to meet your organizations expected liquidity requirements?

  3. How do you deal with the situation line unit demands for short term interest rate-based pricing create the need for more short term funding than liquidity considerations will support?

  4. What are the pros and cons of using a formula-based approach and what factors might be incorporated in the formula to determine the level of the countercyclical capital buffer amount?

  5. How do you explicitly incorporate into the capital framework other critical risk areas, as portfolio concentrations and operational, liquidity, legal, and information systems risks?

  6. Does the treasury function use appropriate staffing, systems, and processes to ensure good cash management practices, liquidity, risk avoidance, and effective results reporting?

  7. Are advance payments to vendors and/or employees recorded as receivables and controlled in a manner which assures that they will be offset against invoices or expense vouchers?

  8. What if risk-based capital requirements are binding and your organization cannot adjust its equity capital position during the time horizon relevant for your dynamic model?

  9. Does the system retain system records in accordance with federal regulations established by the National Archives and Records Administration (NARA), GAO, and others?

  10. Does the system automatically compute amounts to be disbursed, including discounts, withholdings, interest, or penalties, in accordance with applicable regulations?

Complete the self assessment, on your own or with a team in a workshop setting. Use the workbook together with the self assessment requirements spreadsheet:

  • The workbook is the latest in-depth complete edition of the Basel III book in PDF containing 943 requirements, which criteria correspond to the criteria in...

Your Basel III self-assessment dashboard which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next:

  • The Self-Assessment Excel Dashboard; with the Basel III Self-Assessment and Scorecard you will develop a clear picture of which Basel III areas need attention, which requirements you should focus on and who will be responsible for them:

    • Shows your organization instant insight in areas for improvement: Auto generates reports, radar chart for maturity assessment, insights per process and participant and bespoke, ready to use, RACI Matrix
    • Gives you a professional Dashboard to guide and perform a thorough Basel III Self-Assessment
    • Is secure: Ensures offline data protection of your Self-Assessment results
    • Dynamically prioritized projects-ready RACI Matrix shows your organization exactly what to do next:


STEP 3: Implement, Track, follow up and revise strategy

The outcomes of STEP 2, the self assessment, are the inputs for STEP 3; Start and manage Basel III projects with the 62 implementation resources:

  • 62 step-by-step Basel III Project Management Form Templates covering over 1500 Basel III project requirements and success criteria:

Examples; 10 of the check box criteria:

  1. Source Selection Criteria: When and what information can be considered with offerors regarding past performance?

  2. Activity Duration Estimates: Are Basel III project activities decomposed into manageable components to ensure expected management control?

  3. Procurement Management Plan: Has a structured approach been used to break work effort into manageable components (WBS)?

  4. Stakeholder Management Plan: What potential impact does the Basel III project have on the stakeholder?

  5. Stakeholder Management Plan: Do you use diagrams and tables to account for complex concepts and increase overall readability?

  6. Assumption and Constraint Log: Is the current scope of the Basel III project substantially different than that originally defined in the approved Basel III project plan?

  7. Quality Management Plan: Is the amount of effort justified by the anticipated value of forming a new process?

  8. Stakeholder Management Plan: How will you engage this stakeholder and gain commitment?

  9. Resource Breakdown Structure: What is your organizations history in doing similar activities?

  10. Variance Analysis: How are material, labor, and overhead standards set?

Step-by-step and complete Basel III Project Management Forms and Templates including check box criteria and templates.

1.0 Initiating Process Group:

  • 1.1 Basel III project Charter
  • 1.2 Stakeholder Register
  • 1.3 Stakeholder Analysis Matrix

2.0 Planning Process Group:

  • 2.1 Basel III project Management Plan
  • 2.2 Scope Management Plan
  • 2.3 Requirements Management Plan
  • 2.4 Requirements Documentation
  • 2.5 Requirements Traceability Matrix
  • 2.6 Basel III project Scope Statement
  • 2.7 Assumption and Constraint Log
  • 2.8 Work Breakdown Structure
  • 2.9 WBS Dictionary
  • 2.10 Schedule Management Plan
  • 2.11 Activity List
  • 2.12 Activity Attributes
  • 2.13 Milestone List
  • 2.14 Network Diagram
  • 2.15 Activity Resource Requirements
  • 2.16 Resource Breakdown Structure
  • 2.17 Activity Duration Estimates
  • 2.18 Duration Estimating Worksheet
  • 2.19 Basel III project Schedule
  • 2.20 Cost Management Plan
  • 2.21 Activity Cost Estimates
  • 2.22 Cost Estimating Worksheet
  • 2.23 Cost Baseline
  • 2.24 Quality Management Plan
  • 2.25 Quality Metrics
  • 2.26 Process Improvement Plan
  • 2.27 Responsibility Assignment Matrix
  • 2.28 Roles and Responsibilities
  • 2.29 Human Resource Management Plan
  • 2.30 Communications Management Plan
  • 2.31 Risk Management Plan
  • 2.32 Risk Register
  • 2.33 Probability and Impact Assessment
  • 2.34 Probability and Impact Matrix
  • 2.35 Risk Data Sheet
  • 2.36 Procurement Management Plan
  • 2.37 Source Selection Criteria
  • 2.38 Stakeholder Management Plan
  • 2.39 Change Management Plan

3.0 Executing Process Group:

  • 3.1 Team Member Status Report
  • 3.2 Change Request
  • 3.3 Change Log
  • 3.4 Decision Log
  • 3.5 Quality Audit
  • 3.6 Team Directory
  • 3.7 Team Operating Agreement
  • 3.8 Team Performance Assessment
  • 3.9 Team Member Performance Assessment
  • 3.10 Issue Log

4.0 Monitoring and Controlling Process Group:

  • 4.1 Basel III project Performance Report
  • 4.2 Variance Analysis
  • 4.3 Earned Value Status
  • 4.4 Risk Audit
  • 4.5 Contractor Status Report
  • 4.6 Formal Acceptance

5.0 Closing Process Group:

  • 5.1 Procurement Audit
  • 5.2 Contract Close-Out
  • 5.3 Basel III project or Phase Close-Out
  • 5.4 Lessons Learned



With this Three Step process you will have all the tools you need for any Basel III project with this in-depth Basel III Toolkit.

In using the Toolkit you will be better able to:

  • Diagnose Basel III projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices
  • Implement evidence-based best practice strategies aligned with overall goals
  • Integrate recent advances in Basel III and put process design strategies into practice according to best practice guidelines

Defining, designing, creating, and implementing a process to solve a business challenge or meet a business objective is the most valuable role; In EVERY company, organization and department.

Unless you are talking a one-time, single-use project within a business, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are we really trying to accomplish here? And is there a different way to look at it?'

This Toolkit empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make Basel III investments work better.

This Basel III All-Inclusive Toolkit enables You to be that person.


Includes lifetime updates

Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.