Accountability Matrix

The Compliance Accountability Matrix provides information on compliance requirements and their handling at Mines. By expanding a compliance area, the user will see a brief description of the area, the general requirements included in that area, and the primary office responsible for compliance. If you have a question about compliance in an area that is not listed on this page, please contact the Internal Audit and Compliance Office.

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Compliance Area Academic Affairs
Area Description Issues relating to University academic programs.
Compliance Topics
Responsible Office Provost (Interim)
Responsible Person Dr. Tom Boyd
Contact Phone x3020
Contact Email tboyd@mines.edu

Compliance Area Admissions (Graduate)
Area Description Issues relating to application and admission to University graduate and professional schools and programs.
Compliance Topics
Responsible Office Graduate Studies (Interim Dean)
Responsible Person Dr.  Windy Zhou
Contact Phone 303-273-3020
Contact Email wzhou@mymail.mines.edu
Compliance Area Admissions (Undergraduate)
Area Description Issues relating to application and admission to University undergraduate schools and programs.
Compliance Topics Colorado Higher Education Admissions Requirements (HEAR)
Department of Education (DOE) Program Integrity Rules
Responsible Office Enrollment Management/Admissions
Responsible Person Heather Boyd; Kim Medina
Contact Phone 303-273-3221
Contact Email hboyd@mines.edu
Compliance Area Athletics
Area Description Issues relating to University intercollegiate athletics programs, including the rules and policies of the National Collegiate Athletic Association (NCAA) and the athletic conferences in which school teams participate.
Compliance Topics NCAA Athletic Audit Bylaw 22.2.1.2
NCAA/Conference Rules
Responsible Office Student Life/Athletics
Responsible Person David Hansburg; Dixie Cirillo
Contact Phone
Contact Email dhansburg@mines.edu; dcirillo@mines.edu
Compliance Area Audit & Compliance
Area Description Issues relating to audit and general compliance for the school.
Compliance Topics Federal Sentencing Guidelines for Organizations (FSGO)
Responsible Office Internal Audit; Compliance & Policy
Responsible Person Shannon Sinclair; Amanda Davis
Contact Phone 303-384-2504; 303-273-3707
Contact Email ssinclair@mines.edu; compliance@mines.edu
Compliance Area Business Operations
Area Description Issues relating to compliance with University policies and procedures regarding the procurement of goods and services used in University business.
Compliance Topics Business Utilization
Colorado Revised Statutes – Fair Competition with Private Industry (24-113, 23-41-116, C.R.S.)
Colorado Revised Statutes – Private Use of State Property/Protection of University Assets (5 C.F.R. 2635.101)
Confidential Information – Guidance on Mitigating Risk Posed by Information Stored on Photocopiers, Fax Machines and Printers
Contracts – Revenue
Executive Order 1289 (E-Verify)
Responsible Office Financial Planning and Business Operations
Responsible Person Vicki Nichol
Contact Phone 303-273-3763
Contact Email vnichol@mines.edu
Compliance Area Capital Planning and Construction
Area Description Issues relating to the planning, design, construction, and space management of University land and buildings.
Compliance Topics Building Permits
Colorado Building Codes – Construction
Colorado Revised Statutes – State Buildings
Contractor Compliance
Davis Bacon Act
Executive Order 11246/Office of Federal Contract Compliance Programs
The Contract Work Hours and Safety Standards Act (CWHSSA)
City of Golden – Water Tap Permits
Responsible Office
Responsible Person Chris Cocallas
Contact Phone
Contact Email Cocallas@mines.edu
Compliance Area Conflict of Interest
Area Description Issues relating to actual or apparent financial conflicts of interests, including the university’s financial disclosure policies and procedures, and concerns about how such conflicts could affect objectivity.
Compliance Topics
  • NHS Grants Manual
  • NFS Grants Manual
  • Uniform Guidance @ 2 CFR 200
Responsible Office Compliance & Policy
Responsible Person Amanda Davis
Contact Phone 303-273-3707
Contact Email compliance@mines.edu
Compliance Area Crime and Campus Safety
Area Description Issues relating to the collection, storage, distribution and transmission of confidential information and matters relating to the privacy of such information.
Compliance Topics Campus Sex Crimes Prevention Act
Clery Act
Communications Assistance for Law Enforcement Act (CALEA)
PATRIOT Act of 2001 (Uniting and Strengthen-ing America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act)
Responsible Office Public Saftey Office
Responsible Person Greg Bohlen
Contact Phone
Contact Email gbohlen@mines.edu
Compliance Area Environmental Health & Safety
Area Description Issues relating to building safety, laboratory safety, hazardous materials, and fire safety.
Compliance Topics Centers for Disease Control
Chemical Facility Anti-Terrorism Standards (CFATS)
Colorado Department of Public Health and Environment (CDPHE)
Comprehensive Environmental Response Compensation and Liability Act of 1980 (CERCLA)
Emergency Planning and Community Right to Know Act of 1986 (EPCRA)
Environmental Protection Agency Laws
City of Golden – Fire Codes
Hazardous Materials Transportation Act of 1994
Industrial Alcohol User Permits and Special Tax
Mandatory Reporting of Greenhouse Gases Rule
Occupational Health & Safety Act (OSHA)
Public Health Security and Bioterrorism Preparedness and Response Act of 2002
Radiation Safety Regulations (10 CFR 20)
Radioactive Material Regulations
Residential Lead-Based Paint Hazard Reduction Act of 1992
Resource Conservation and Recovery Act (RCRA) of 1976
Toxic Substances Control Act (TSCA)
Water Pollution Control Act (Clean Water Act)
Asbestos
Responsible Office Environmental Health & Safety
Responsible Person Barb O’Kane
Contact Phone
Contact Email bokane@mines.edu
Compliance Area Export Controls
Area Description Issues relating to the University’s compliance with laws and regulations relating to the export of goods and technology.
Compliance Topics Export Administration Regulations
Import, Export and Transport of Nuclear Equipment and Material
International Traffic in Arms Regulations (ITAR)
Responsible Office Office of Research Administration
Responsible Person Johanna Eagan
Contact Phone 303-384-2589
Contact Email jeagan@mines.edu
Compliance Area External Contracts (research); Purchasing
Area Description Issues relating to the disclosure, approval, and management of contracts signed by the university’s faculty, students, and staff.
Compliance Topics Procurement Rules
Responsible Office Office Of Research Administration; Purchasing Office
Responsible Person Natalie Martinez
Contact Phone
Contact Email nmartine@mines.edu
Compliance Area Financial Aid
Area Description Issues relating to the provision of financial aid to include grants and scholarships, student loans, and student employment.
Compliance Topics Donor Scholarships
Free Application for Federal Student Aid
McKinney-Vento Act
Title IV Federal Aid – Pell Grants
Taxability of Scholarships and Fellowships
Title IV Federal Aid – Work Study
National Student Loan Data System Reporting
Responsible Office Financial Aid
Responsible Person Jill Robertson
Contact Phone 303-273-3207
Contact Email jirobert@mines.edu
Compliance Area Financial Reporting
Area Description Issues relating to reporting of revenues and expenditures and tracking of investments.
Compliance Topics Colorado Revised Statutes – Student Activity Fees:
Donor Terms and Conditions
External Consulting Contracts
Fair Credit Reporting Act
Fly America Act
Gramm-Leach-Bliley Act
Investment Laws & Regulations
Non-Delinquency on Federal Debt
Pension Protection Act of 2006
Fair and Accurate Credit Transactions Act of 2003 (FACTA, Red Flag Rules)
Bond Covenants
Responsible Office Controller’s Office
Responsible Person  Tressa Constantineau 
Contact Phone 303-273-3262
Contact Email tries@mines.edu
Compliance Area Government Relations & Lobbying
Area Description Issues relating to the University’s interactions with the federal and state governments, including advocacy of the University’s interests.
Compliance Topics Foreign Corrupt Practices Act of 1977
Lobbying and Disclosure Act
Political Activity Prohibition
Responsible Office Chief of Staff to President
Responsible Person Peter Han
Contact Phone
Contact Email phan@mines.edu

Responsible PersonMichelle Durveau

Compliance Area Human Resources
Area Description Issues relating to labor laws including salary/compensation, accommodation for person’s with disabilities, workplace conduct, worker’s compensation, discrimination or harassment, employee benefits, or other laws regulated by the US Department of Labor.
Compliance Topics Age Discrimination in Employment Act of 1967 (ADEA)
Americans with Disabilities Act (ADA)
Cafeteria Plans
Colorado Revised Statutes – State Notification Laws (6-1-716, C.R.S.)
Consolidated Omnibus Budget Reconciliation Act (COBRA)
Consumer Credit Protection Act, Title II (CCPA)
Controlled Substances Act of 1970
Department of Labor Postering Requirements (see citations at right)
Drug and Alcohol Abuse Prevention Regulations (Education Department General Administrative Regulations [EDGAR])
Drug-Free Schools and Communities Act of 1989
Drug-Free Workplace Act of 1988 [41 USC §701]
Employee Polygraph Protection Act of 1988
Employee Retirement Income Security Act of 1974 (ERISA)
Employee vs. Independent Contractor
Equal Employment Opportunity Act
Equal Pay Act of 1963 (EPA)
Fair Labor Standards Act (FLSA)
Family and Medical Leave Act (FMLA)
Genetic Information Nondiscrimination Act (GINA)
Immigration Reform and Control Act of 1986
Insurance policies, Key Man
National Labor Relations Act of 1935
Omnibus Transportation Testing Act – Drug & Alcohol Testing of Transportation Employees
Privacy Act of 1974
The Veterans’ Readjustment Benefits Act, amended by the Vietnam Era Veterans’ Readjustment Assistance Act of 1974, and the Veterans Employment Opportunities Act of 1998
U.S. Citizenship and Immigration Services (USCIS) Form I 129 Deemed Export Certification
Uniformed Services Employment and Reemployment Rights Act of 1994 (USERRA)
Worker Adjustment and Retraining Notification Act (WARN)
Workers Compensation
Responsible Office Human Resources/Organizational Strategy
Contact PhoDarveau
Contact Email mdarveau@mines.edu@mines.edu
Compliance Area Immigration/Visas
Area Description Issues relating to compliance with laws and regulations relating to international students, faculty employees and the visa requirements for studying or working in the United States.
Compliance Topics Enhanced Border Security and Visa Entry Reform Act of 2002
Immigration and Nationality Act
Student and Exchange Visitor Program
Immigrations and Customs Enforcement (ICE)
Responsible Office International Student and Scholar Services
Responsible Person Brandon Samter
Contact Phone 303-273-3589
Contact Email bsamter@mines.edu
Compliance Area Information Technology
Area Description Issues relating to the protection and security of university information and the computer systems used to manage it.
Compliance Topics Children’s Online Privacy Protection Act of 1998 (COPPA)
Colorado Revised Statutes – Security Breach Notification Laws
Computer Security Act
Digital Millennium Copyright Act
Electronic Communications Privacy Act (ECPA, or “Wire Tap Act”)
Payment Card Industry (PCI) Standards
Telephone Operator Consumer Services Improvement Act of 1990 (TOCSIA)
Intellectual Property Laws – Software Licensing
Responsible Office Campus Computing, Communications, and Information Technologies (CCIT)
Responsible Person Mike Erickson
Contact Phone 303-273-3866
Contact Email ericson@mines.edu
Compliance Area Legal
Area Description Issues relating to matters on which legal advice is sought or required, including communications with lawyers who contact the University on behalf of their clients, response to legal documents, and litigation in which the University is or may be involved.
Compliance Topics Colorado Revised Statutes – Colorado Open Records Act (24-72-201, C.R.S.)
Federal Rules of Civil Procedure
Freedom of Information Act (FOIA)
Responsible Office Legal Services
Responsible Person Anne Walker
Contact Phone 303-384-2321
Contact Email aswalker@mines.edu
Compliance Area Plant Operations
Area Description Issues relating to the maintenance and repair of University buildings and other facilities.
Compliance Topics City of Golden – Clearing of Snow and Ice
City of Golden – Water System Maintenance
Colorado Revised Statutes – Swimming Pools (Title 25)
Colorado Department of Public Health and Environment – Elevators & Lifts
Plant Operations Equipment Safety Including Vehicles
Executive Order 13513 – Cell Phones in Vehicles
Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA)
Tax reporting of personal use of University-owned Autos
Colorado Building Codes – Boilers
Responsible Office Facilities Management
Responsible Person Gary Bowersock
Contact Phone 303-273-3535
Contact Email gbowerso@mines.edu
Compliance Area Property
Area Description Issues relating to the use of university-owned real property, to the University’s purchase or leasing of real property and to interactions with other owners of real property.
Compliance Topics
Responsible Office CPC-real property; Legal Services; Controller
Responsible Person
Contact Phone
Contact Email
Compliance Area Research Financial Administration
Area Description Issues relating to the administration of sponsored research agreements, including the appropriate charging of and accounting for costs, expenses and effort to grants.
Compliance Topics America Competes Act
American Recovery and Reinvestment Act of 2009 (ARRA)
Federal Acquisition Regulations
Federal Funding Accountability and Transparency Act of 2006 (FFATA)
National Science Foundation (NSF) Requirements
Non-Disclosure Agreements
Office of Management and Budget (OMB) Circulard A-110, A-133, A-21
Uniform Guidance 2 CFR 200
Office of Management and Budget (OMB) Circular A-21
Central Contractor Registration
Responsible Office Office of Research Administration
Responsible Person Ralph Brown
Contact Phone 303-273-3538
Contact Email rabrown@mines.edu
Compliance Area Research Regulatory
Area Description Issues relating to the federal and other regulations applicable to the design, conduct and reporting of research, including the protection of human and animal research subjects, the use of hazardous materials in research, and research misconduct.
Compliance Topics Department of Health and Human Services
Intergovernmental Review of Federal Programs – Coordinated Proposal Review
National Institutes of Health Requirements
National Science Foundation – Data Requirements
Responsible Office VPRTT; Office of Research Administration
Responsible Person Ryan Richards; John Spear; Ralph Brown
Contact Phone
Contact Email rabrown@m
Compliance Area Student Health
Area Description Issues relating to the medical and mental health treatment of students and the provision of health-related information to students.
Compliance Topics Colorado Health Insurance Provider Laws
Colorado Health Services Licensing
Colorado Revised Statutes – Professional Counseling Confidentiality (Title 12)
Health Insurance Portability and Accountability (HIPAA)
Medical Waste Tracking Act
Medicare Secondary Payer Reporting
Patient Protection and Affordable Care Act
Responsible Office Student Health
Responsible Person Deb Roberge; Derek Morgan
Contact Phone 303-273-3297
Contact Email droberge@mines.edu
Compliance Area Student Information and Enrollment
Area Description Issues relating to student enrollment including student confidential information, student information reporting, laws regarding veteran enrollment, and transfer credit.
Compliance Topics College Opportunity Fund
Colorado Revised Statutes – Student Residency (23-7-101, CRS)
Department of Veteran Affairs Laws
Family Educational Rights and Privacy Act (FERPA)
Post 911/GI Bill
Solomon Act
Student Right to Know
Colorado Revised Statutes – Restriction of Public Benefits (CRS 24-76-101)
Colorado Revised Statutes – Transfer Policies (23-1-108)
Department of Defense – Tuition Assistance MOU
Responsible Office Registrar
Responsible Person Lara Medley
Contact Phone 303-273-3204
Contact Email lmedley@mines.edu
Compliance Area Student Life
Area Description Issues relating to student services.
Compliance Topics Colorado Revised Statutes – Fair Housing Statutes (Title 38)
Credit Card Accountability Responsibility and Disclosure Act of 2009 (Credit CARD Act)
Fair Housing Act of 1968
Responsible Office Student Life
Responsible Person Dr. Dan Fox
Contact Phone x3357
Contact Email dfox@mines.edu
Compliance Area Tax Matters
Area Description Issues relating to the University’s federal and state tax status, the compilation and filing of tax returns, and other matters with tax implications.
Compliance Topics Accountable Business Expense Plan
Automobile Mileage Rates
Benefits Plans – IRS Requirements
Bond Covenants
Deferred Compensation Plans
Donations – Substantiation and Disclosure Provisions
Educational Assistance Programs
Exempt Organization Tax Returns
Federal and State Payroll Tax Withholding and Reporting
Lobbying Restrictions and Disclosure Requirements
Non-qualified Deferred Compensation
Non-Resident Alien Taxes, and Filing and Information Return
Prizes and Awards to Employees
Property Transferred to Employee as Compensation
Quid Pro Quo Rules for Donations
Reporting Receipt of Cash Greater than $10,000
Reporting Tuition Payment Credit
Retention period for employment tax records
Retirement Plans
Sales Tax Exempt Purchases
Sales Taxes – Collection and Payment
Student Loan Interest Reporting
Tax Laws for Exempt Entities
Taxability of Meals and Lodging Furnished to an Employee
Tuition/Educational Assistance Program
Unrelated Business Income Taxes
W-9 Collection and 1099 Reporting
Responsible Office Controller
Responsible Person Tressa Constantineau 
Contact Phone 303-273-3262
Contact Email tries@mines.edu
Compliance Area Technology Transfer
Area Description Issues relating to the development and licensing of discoveries, inventions and technology, including the securing of patents for such inventions, the protection of intellectual property rights, and the commercialization of intellectual property.
Compliance Topics Animal Welfare Act
Bayh-Dole Act
Cooperative Research and Technology Enhancement Act of 2004 (CREATE Act)
Human Subjects Research
Intellectual Property Laws – Research data
Leahy-Smith America Invents Act (AIA)
Patent Accounting
Responsible Office VPRTT
Responsible Person Dr. Tony Dean; William Vaughan
Contact Phone
Contact Email adean@mines.edu
Compliance Area University Administration
Area Description Issues relating to University policy and planning.
Compliance Topics Civil Rights Act of 1964
Education Amendments of 1972, Title IX
Higher Education Act
Higher Education Reconciliation Act of 2005
Higher Education Act – Integrated Post-Secondary Education Data System (IPEDS) – Surveys
Smoking
Higher Education Opportunity Act (HEOA)
Higher Learning Commission – Pathways Response
Responsible Office Compliance & Policy
Responsible Person Amanda Davis
Contact Phone 303-273-3707
Contact Email compliance@mines.edu
Compliance Area University Endowment
Area Description Issues relating to the solicitation, negotiation, receipt, management and stewardship of donations and gifts to the University.
Compliance Topics Uniform Prudent Management of Institutional Funds Act of 2006
Responsible Office Foundation
Responsible Person Brian Winklebauer
Contact Phone 303-273-3140
Contact Email bwinkelb@mines.edu

Compliance Area Contact compliance office for referral
Area Description
Compliance Topics Controlling the Assault of Non-Solicited Pornography and Marketing Act of 2003 (CAN-SPAM Act)
Executive Order 13166 – Limited English Proficiency
Responsible Office Compliance & Policy
Responsible Person Amanda Davis
Contact Phone 303-273-3707
Contact Email compliance@mines.edu