UNIVERSITY OF CALIFORNIA

BERKELEY • DAVIS • IRVINE • LOS ANGELES • MERCED • RIVERSIDE • SAN DIEGO • SAN FRANCISCO

EXECUTIVE VICE PRESIDENT — CHIEF OPERATING OFFICER

SANTA BARBARA • SANTA CRUZ

OFFICE OF THE PRESIDENT
1111 Franklin Street, 12th Floor
Oakland, California 94607-5200
510/987-0500

April 11, 2016
Via Email to ndirks@berkeley.edu

Chancellor Nicholas Dirks
Office of the Chancellor
University of California, Berkeley
200 California Hall #1500
Berkeley, CA 94720-1500
Re: Allegations of Suspected Improper Governmental Activities
Dear Chancellor Dirks:
I am providing this notice to you in my capacity as the system-wide Locally
Designated Official.
This letter is to notify you that a preliminary investigation has been initiated into a
reporting party’s allegation of several issues of concern related to your use of
University resources. In summary, the reporting party has alleged:
 that you and/or members of your family have utilized the Recreational Sports
Facility without paying corresponding fees;
 that you and/or members of your family have utilized professional services of
Department of Recreational Sports employees or independent contractors
without paying corresponding fees; and
 that you have utilized University resources for a Department of Recreational
Sports employee to travel with you, unrelated to University business.
These allegations, if substantiated, could constitute Improper Governmental
Activities, in violation of the University of California Policy on Reporting and
Investigating Allegations of Suspected Improper Governmental Activities
(“Whistleblower Policy”), attached.
The decision to conduct an investigation is not an accusation—the investigation is a
neutral fact finding process. You will have the opportunity to be interviewed by the
investigator, respond to material points of fact, and provide any information you
deem necessary and appropriate to the review. You have a right to consult on this

 Chancellor Dirks
April 11, 2016
Page 2
matter with persons of your choice. This may include representation that you
engage, including legal representation.
The University will retain an independent fact finder to conduct the investigation,
under the general supervision of the Director of Investigations with the Office of
Ethics, Compliance & Audit Services at the Office of the President. The investigation
will be conducted in accordance with the procedures identified in the Whistleblower
Policy.
As a preliminary investigative procedure, we are asking for your cooperation in the
preservation of all electronic or documentary records. The investigator will take
appropriate measures to minimize the impact the investigation will have on your
University operations.
It is our customary practice to remind all persons involved in investigations that the
University’s Whistleblower Policy mandates a responsibility to refrain from any
conduct that would interfere with the investigation. Please be aware that the
reporting party and others who participate as witnesses in this matter are protected
from retaliatory action by the University’s Whistleblower Protection Policy,
attached. Speculation as to the complainant’s identity or motivation should
especially be avoided. The University is committed to providing a work environment
where employees are free to report suspected Improper Governmental Activity
without fear of retribution and where employees can be candid and honest without
reservation in conducting the University’s business.
The University takes complaints alleging Improper Governmental Activities
seriously and is committed to a fair, objective, and thorough review. I anticipate that
an investigator will contact you within the next two weeks. For any questions related
to the investigative process or associated policies and procedures, please direct your
inquiries to Director of Investigations Will Mallari at Will.Mallari@UCOP.edu.
Sincerely,

Rachael Nava
System-wide Locally Designated Official
Executive Vice President – Chief Operating Officer
Enclosures: Whistleblower Policy; Whistleblower Protection Policy
cc:

Senior Vice President Vacca
Director Mallari

 Chancellor Dirks
April 11, 2016
Page 3

bcc: Chief Deputy General Counsel Petrulakis
Senior Counsel Leider