Product

AS3 Compliance Program Assessment

Module A assesses a compliance program against the U.S. Department of Justice’s Evaluation of Corporate Compliance Programs (September 2024). Module B, the Anti-Corruption add-on, adds questions keyed to the DOJ/SEC FCPA Resource Guide and to themes drawn from FCPA enforcement resolutions, and is mapped to ISO 37001. Module A alone and Module A + Module B are both available now.
Demo by request

The Evaluation of Corporate Compliance Programs is guidance for prosecutors, not a standard.

How strong is our program today?

Answer one question at a time. Get a score for each element you choose to assess.

What should we fix first?

Get a gap report and a remediation plan in priority order, and a summary you can show to a board.

Available now

Two paths, both available now

Module A · Available now

Compliance Program Assessment

Assesses the core of a compliance program (leadership and culture, risk assessment, policies, risk-based procedures for gifts, hospitality, travel, donations and sponsorships, training, reporting and investigations, discipline and incentives, monitoring and testing, M&A, and general financial and accounting controls) against the DOJ’s Evaluation of Corporate Compliance Programs (September 2024).

Module B · Adds to Module A · Available now

Anti-Corruption add-on

Goes deeper on bribery risk: third parties; gifts, hospitality and travel for public officials, with approvals and limits; facilitation payments; solicitation and extortion by officials; donations and sponsorships linked to officials; accounting controls over payments; and the Resource Guide’s red flags. It is keyed to the DOJ/SEC FCPA Resource Guide (“Hallmarks of Effective Compliance Programs”) and to themes from FCPA enforcement resolutions, and is mapped to ISO 37001.

Choose your path

Module A alone Available now

Module A + Module B Available now

What buyers get

Built to dramatically reduce staff time needed for assessment completion and remediation.

Planned

How AI works here

AI proposes, a named reviewer decides.

These are design commitments for the planned AI, not features available now.

Screenshot of the cockpit: overall progress, deadlines and a Continue assessment button — Sample data.

18 elements in both pathsCore program elements, plus an anti-corruption module
Fixed rulesEach answer scores 0 to 4. AI does not score.
Seven reportsFrom a board summary to a remediation plan.
In your browserYour answers stay on your device. Nothing is sent to AS3.

For compliance officers and executives

Choose the elements you want to assess. You do not have to assess all of them.
Give each element an owner and a deadline, and send reminders.
Read a board summary, and see which elements were not assessed.

Setup and cockpit

For law-firm partners

A structured self-check you can use alongside your advice to a client.
An optional “Attorney-Client Privileged” marking on reports.
Evidence is recorded as references only. No documents are uploaded.

Privacy and data

Reports

Seven reports

Executive and board summary, Element scorecard, Gap report, Remediation plan, and more. Reports open when the assessment is complete.

See all seven reports

Questions

Is this legal advice?

This is compliance guidance. For legal issues, seek advice of counsel.

Where are my answers stored?

In your browser, on your device. They are not sent to AS3. You can delete them at any time under Settings.

Can I assess only some elements?

Yes. You choose the elements. The others are greyed out. Each report says how many elements the overall score covers (18 elements in both paths) and lists the elements not assessed.

What does the demo cover?

Two elements, Risk Assessment and Third-Party Due Diligence and Oversight, with 15 questions. It asks one question at a time and gives guidance when you ask for it.

Can I try it?

Yes, by request. Send a request and, after approval, we send you an access code.

Try the demo.

The demo is open only by request. After we approve your request, we send you an access code.

Request demo access Contact us