Compliance Oversight & Coordination

UC Berkeley, like all organizations, operates in an inherently risky environment. Risks include compliance risks, financial risks, operating risks, strategic risks, regulatory risks, environmental risks, reputational risks, political risks, and a whole host of other types of risk. Managing this portfolio of risks is especially important to help ensure that the university can continue to serve its faculty, staff and students. By strategically managing risk, UC Berkeley can reduce the chance of loss, create greater financial stability, and protect its resources, enabling the university to continue its mission of excellence in teaching, research and public service.

While unit managers are primarily responsible for managing risk inherent in their areas of responsibility, the campus has established a risk management governance structure to manage the overall risk profile for the campus.   This governance structure is designed to provide an “enterprise” view of risks across the entire campus, enabling senior management to prioritize risks, establish risk response strategies, and monitor impact from the strategies. 

Compliance & Enterprise Risk Committee (CERC)

The Compliance & Enterprise Risk Committee (CERC) is responsible for identifying, assessing, and monitoring campus risks. The committee prioritizes identified risks and communicates significant risks to the Chancellor’s cabinet. The committee, makes recommendations on risk response opportunities, policies, and best practices to be implemented at the campus level.

While unit officials are primarily responsible for managing risk inherent in their enterprise areas of responsibility, the CERC, through subcommittees, works with functional risk owners to advise and assist in risk assessment and mitigation strategies. 

The Compliance & Enterprise Risk Committee also identifies new and emerging risks and, using work groups drawn from across the campus, advises on how to mitigate those risks.  CERC’s membership has the knowledge and authority to speak for, and act on behalf of, their constituencies.

Office of Ethics, Risk, and Compliance Services (OERCS)

The Office of Ethics, Risk, and Compliance Services (OERCS) serves as an independent, objective resource to the Chancellor, the Compliance & 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.

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