The Office of Ethics, Risk and Compliance Services (OERCS) at the University of California, Berkeley serves as an independent, objective internal resource to the Chancellor and the Compliance, Accountability, Risk and Ethics (CARE) Committee. Reporting to the Campus Ethics and Compliance Officer (the CECO), OERCS is responsible for coordinating and monitoring the University’s ethics, compliance, and enterprise risk management (ERM) activities, providing senior management with a cross-functional, emerging view of risks, leading to more informed strategic decisions, better allocation of resources, and stronger governance practices. OERCS assists functional managers in developing programs and processes to mitigate material risks, comply with laws, regulations, and policies, and adhere to the ethical standards of the University.
A unit within OERCS, the five-person Risk Services unit is responsible ethics/compliance coordination and support, enterprise risk services, and traditional risk services. The unit is headed by the Deputy Ethics, Risk and Compliance Officer (Deputy CERCO) supervising the Director of Enterprise Risk Services, the campus Risk Manager, and two Enterprise Risk Analysts.
The Deputy Chief Ethics, Risk and Compliance Officer is responsible for the implementation of an appropriate compliance infrastructure with performance metrics, programs, and guidelines designed to detect and prevent non-compliant and/or unethical conduct throughout the campus. In addition, the Deputy is responsible for coordinating:
- UC Berkeley’s Conflict of Interest Program
- Access to campuswide policies
- Campus delegations of authority
- UC Berkeley’s Fraud Risk Management Program
The Director of Enterprise Risk Services systematically builds and improves UC Berkeley’s enterprise risk management (ERM) capabilities to embed ERM into our organization, enabling senior management to focus on the right risks at the right time, and ensuring risk intelligence is available to respond to risks as they emerge.
The Risk Manager leads a team of two analysts responsible for administering a portfolio of insurance programs for the campus. These programs cost the campus approximately $7 million each year. By working with a broad array of faculty, staff, and students, the Risk Manager becomes aware of potential risks and communicates them to campus senior management and/or OP-Risk Services, and then participates as necessary to establish strategic plans and objectives and implement campus and/or systemwide risk mitigation preferences.
Prevention of Harassment and Discrimination
The Office for the Prevention of Harassment and Discrimination (OPHD) is responsible for developing and implementing all institutional compliance efforts related to sex discrimination, sexual harassment, sexual assault as governed by University Policy (e.g., the UC Policy on Sexual Harassment), as well as state and federal laws (e.g., Title IX). OPHD also oversees and monitors campus efforts to comply with Title IX athletics equity requirements. OPHD also manages and monitors all compliance education initiatives on campus.
The office of Disability Compliance supports the campus in meeting its responsibilities with respect to persons with disabilities.
The campus Public Records Coordinator (PRA Coordinator) is responsible for managing the University's responses to public records requests made under the California Public Records Act (PRA) and the California Information Practices Act (IPA) to ensure compliance with all applicable laws across all campus departments.
The Campus Investigations Coordinator responds to reports of known or suspected improper governmental activity and retaliation.