Patrick Kelley on Creating a Compliance Program and the Special Challenges in Governmental Entities [Podcast]

By Adam Turteltaub

In 2007 the Federal Bureau of Investigation embarked on the formation of its compliance program.  It was a first for the FBI and, at the time, one of the few compliance programs in the entire Federal Government.

Patrick W. Kelley was selected to serve as Chief Compliance Officer in the brand new Office of Integrity and Compliance, and it fell to him to turn the vision into a reality.  Over the last decade the program has matured and grown very sophisticated.  Members of the FBI compliance team have now become regular attendees and speakers at SCCE events, sharing their considerable expertise.

In this podcast Pat shares what he learned from the program’s launch and the lessons for compliance professionals in both government and the private sector.  Listen in to discover:

  • How the challenges of starting a compliance program at a governmental entity are often similar to those at a private sector company: where are you going to get staff, what’s the infrastructure look like, what the org chart look like, for example
  • There is added complexity in the Federal government since, depending on how the compliance office is set up, Congress may need to be notified
  • In governmental entities even a new program already likely has some elements already in place such as a written code of individual conduct
  • While this is an asset, part of the challenge for a new program is determining how to integrate existing elements into a true compliance program
  • The importance of top management support
  • The need to get the general counsel’s office on board given that in government entities often they control the standards of conduct and ethics program
  • Getting the infrastructure offices on board, especially finance, facilities and HR
  • The important role played by the executives who manage the “business lines” of the agency
  • Where the compliance office is put physically in the office can speak volumes and allows for greater informal interactions with leadership
  • The difference in the roles of the Inspector General and the Compliance team
  • How the FBI rolled out its program
  • The importance of patience and the need to expect things to go slower than you might like
  • Not being too wedded to a plan and being willing to revise when absolutely necessary