Qualified intermediary Toolkit

Downloadable Resources, Instant Access

Save time, empower your teams and effectively upgrade your processes with access to this practical Qualified intermediary Toolkit and guide. Address common challenges with best-practice templates, step-by-step work plans and maturity diagnostics for any Qualified intermediary 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 Qualified intermediary specific requirements:

STEP 1: Get your bearings

Start with...

  • The latest quick edition of the Qualified intermediary 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 994 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Qualified intermediary improvements can be made.

Examples; 10 of the 994 standard requirements:

  1. Can a disciplined intermediary be present during solicitation of the sale of insurance, or can a person knowingly solicit the sale of insurance with the assistance of a disciplined intermediary?

  2. Approximately how much capital gain on the relinquished property or properties are you trying to shelter from current taxation as a result of the 1031 Exchange (net sale price minus basis)?

  3. What are the gaps in what you absolutely need to know about financing workforce development in order to pursue an exploration and in order to know if this exploration is having impact?

  4. If a seller of an investment property is planning to engage in a 1031 tax deferred exchange, can the seller accept an earnest money deposit and still obtain full tax deferral?

  5. Does the qualified intermediary have sufficient experience and expertise to catch errors and/or problems with your 1031 exchange transaction before the transaction closes?

  6. What are the minimum participation requirements that can be used by an insurer in determining whether to provide coverage under a group health benefit plan to an employer?

  7. What gaps in your knowledge of financing workforce development must be filled in order to increase the funding available for workforce development for low-income workers?

  8. Can a disciplined intermediary continue to be employed by, act as an agent for, or be affiliated with a person engaged in the business of an insurance intermediary?

  9. What must an intermediary do before giving advice to an individual consumer that results in the purchase or exchange of an annuity in accordance with that advice?

  10. What kinds of investment products are offered on automated advice platforms (both pure and hybrid automated advice platforms) and which are most commonly offered?

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 Qualified intermediary book in PDF containing 994 requirements, which criteria correspond to the criteria in...

Your Qualified intermediary 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 Qualified intermediary Self-Assessment and Scorecard you will develop a clear picture of which Qualified intermediary 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 Qualified intermediary 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 Qualified intermediary projects with the 62 implementation resources:

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

Examples; 10 of the check box criteria:

  1. Procurement Audit: When negotiation took place in successive stages, was this practice stated in the procurement documents and was it done in accordance with the award criteria stated?

  2. Variance Analysis: What does a favorable labor efficiency variance mean?

  3. Human Resource Management Plan: Is a pmo (Qualified intermediary project management office) in place and provide oversight to the Qualified intermediary project?

  4. WBS Dictionary: Is the anticipated (firm and potential) business base Qualified intermediary projected in a rational, consistent manner?

  5. Risk Register: Which key risks have ineffective responses or outstanding improvement actions?

  6. Milestone List: Do you foresee any technical risks or developmental challenges?

  7. Stakeholder Management Plan: How, to whom and how frequently will Risk status be reported?

  8. Scope Management Plan: Are changes in scope (deliverable commitments) agreed to by all affected groups & individuals?

  9. Lessons Learned: What skills did you need that were missing on this Qualified intermediary project?

  10. Scope Management Plan: Knowing the health of the Qualified intermediary project Ð What is the status?

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

1.0 Initiating Process Group:

  • 1.1 Qualified intermediary project Charter
  • 1.2 Stakeholder Register
  • 1.3 Stakeholder Analysis Matrix

2.0 Planning Process Group:

  • 2.1 Qualified intermediary project Management Plan
  • 2.2 Scope Management Plan
  • 2.3 Requirements Management Plan
  • 2.4 Requirements Documentation
  • 2.5 Requirements Traceability Matrix
  • 2.6 Qualified intermediary 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 Qualified intermediary 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 Qualified intermediary 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 Qualified intermediary project or Phase Close-Out
  • 5.4 Lessons Learned



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

In using the Toolkit you will be better able to:

  • Diagnose Qualified intermediary 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 Qualified intermediary 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 Qualified intermediary investments work better.

This Qualified intermediary 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.