- Advisory services add value and improve an organization's governance, risk management, and control processes without the internal auditor assuming management responsibility. Examples include reviews, recommendations (advice), committee participation, facilitation, training, and other outreach activities.
- Audits are examinations of evidence for the purpose of providing an independent assessment on governance, risk management, and control processes for the organization.
- Investigations are independent evaluations of allegations generally focused on improper governmental activities (IGA) including misuse of university resources, fraud, financial irregularities, significant control weaknesses, and unethical behavior or actions.
The Office of Ethics, Risk and Compliance Services (OERCS) serves as an independent, objective resource to the Chancellor, the Compliance, Accountability, Risk and Ethics (CARE) Committee, the Compliance and Enterprise Risk Committee (CERC), and the campus community. Reporting to the Chief Ethics, Risk and Compliance Officer (CERCO), OERCS is responsible for coordinating and monitoring the University’s ethics, risk and compliance activities, and for developing a culture of accountability in which risk assessment and risk management (mitigation) are part of all campus practices and decision making activities. It will assist functional managers with mitigating material risks, complying with laws, regulations, and policies, and adhering to the ethical standards of the University. OERCS consists of these five units: Public Records Office, Office of Disability Compliance, Office for the Prevention of Harassment & Discrimination, Office of Investigations, and Risk Services.
The Campus Investigations Office responds to reports of known or suspected improper governmental activity and retaliation and provides guidance to Whistleblowers and others seeking to raise a complaint or concern. The Campus Investigations Coordinator is responsible for ensuring that the Office of the President is aware of all Whistleblower matters and for ensuring that UC Berkeley meets its obligation to report matters in the system wide Whistleblower system known as EthicsPoint.
The Office for the Prevention of Harassment and Discrimination (OPHD) develops and implements 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.
The UC Berkeley Privacy Office is the focal point for campus privacy issues. The Privacy Office oversees institutional compliance with federal and state privacy regulations, as well as campus and UC policy, and strives to protect and promote UC Berkeley’s privacy values through a unified and comprehensive privacy program.
The Risk Services unit is responsible for enterprise risk services and traditional risk services. 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. Traditional Risk Services administers a portfolio of insurance programs for the campus.
Government and Community Relations (GCR) builds relationships with community leaders, elected officials, government agencies and third party advocates to further the mission of UC Berkeley in the public sector. GCR also coordinates the University's response to a wide range of political and policy issues, and advises administrators and faculty on strategies to facilitate constructive dialogue with government and community leaders.
The attorneys in the Office of Legal Affairs (OLA) provide legal advice and assistance on a wide range of matters affecting faculty, students and staff in areas that include student affairs, litigation, labor and employment, affirmative action, faculty concerns, academic affairs, research, intellectual property, business transactional matters, intercollegiate athletics, and compliance, as well as regulations and policies of The Regents.
The Staff Ombuds Office is a safe place to discuss and clarify problems and concerns, understand conflict situations, and find effective ways to respond. Services provided by the Staff Ombuds Office include individual assessments, consultations and referrals, group facilitation and mediation, and campus-wide classes and tailored training workshops.